FortiGate 3950B
POWER
STATUS
HA
ALARM
CONSOLE
FMC FMC
FMC
USB
MGMT 1
MGMT 2
1
4
3
2
5 (SFP+)
6 (SFP+)
USB MGMT
SWITCH
SWITCH
FMC1
FMC2
I/O
FMC3
FMC4
FMC5
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
FMC
21
22
23
24
FMC
FIPS 140-2 Security Policy
FortiOS™ 4.0 MR3
FortiOS™ 4.0 MR3 FIPS 140-2 Security Policy
Document Version: 1.9
Publication Date: April 13, 2012
Description: Documents FIPS 140-2 Level 1 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Firmware Version: FortiOS 4.0, build8892, 111128
FortiOS™ 4.0 MR3: FIPS 140-2 Security Policy
13 Aril 2012
01-430-148261-20110705
for FortiOS 4.0 MR3
© Copyright 2012 Fortinet, Inc.
This document may be freely reproduced and distributed whole and intact including this copyright notice.
Trademarks
Dynamic Threat Prevention System (DTPS), APSecure, FortiASIC, FortiBIOS, FortiBridge, FortiClient,
FortiGate®, FortiGate Unified Threat Management System, FortiGuard®, FortiGuard-Antispam,
FortiGuard-Antivirus, FortiGuard-Intrusion, FortiGuard-Web, FortiLog, FortiAnalyzer, FortiManager,
Fortinet®, FortiOS, FortiPartner, FortiProtect, FortiReporter, FortiResponse, FortiShield, FortiVoIP, and
FortiWiFi are trademarks of Fortinet, Inc. in the United States and/or other countries. The names of actual
companies and products mentioned herein may be the trademarks of their respective owners.
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 1
http://docs.fortinet.com/ • Feedback
Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Module Interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . . 6
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 10
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Key Archiving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
FIPS 140-2 Compliant Operation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 2
http://docs.fortinet.com/ • Feedback
Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiOS 4.0
firmware, which runs on the FortiGate/FortiWiFi family of security appliances. This policy
describes how the FortiOS 4.0 firmware (hereafter referred to as the ‘module’) meets the
FIPS 140-2 security requirements and how to operate the module in a FIPS compliant
manner. This policy was created as part of the Level 1 FIPS 140-2 validation of the
module.
This document contains the following sections:
• Introduction
• Security Level Summary
• Module Description
• Mitigation of Other Attacks
• FIPS 140-2 Compliant Operation
• Self-Tests
• Non-FIPS Approved Services
The Federal Information Processing Standards Publication 140-2 - Security Requirements
for Cryptographic Modules (FIPS 140-2) details the United States Federal Government
requirements for cryptographic modules. Detailed information about the FIPS 140-2
standard and validation program is available on the NIST (National Institute of Standards
and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html.
References
This policy deals specifically with operation and implementation of the module in the
technical terms of the FIPS 140-2 standard and the associated validation program. Other
Fortinet product manuals, guides and technical notes can be found at the Fortinet
technical documentation website at http://docs.forticare.com.
Additional information on the entire Fortinet product line can be obtained from the
following sources:
• Find general product information in the product section of the Fortinet corporate
website at http://www.fortinet.com/products.
• Find on-line product support for registered products in the technical support section of
the Fortinet corporate website at http://www.fortinet.com/support
• Find contact information for technical or sales related questions in the contacts section
of the Fortinet corporate website at http://www.fortinet.com/contact.
• Find security information and bulletins in the FortiGuard Center of the Fortinet
corporate website at http://www.fortinet.com/FortiGuardCenter.
Introduction
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 3
http://docs.fortinet.com/ • Feedback
Introduction
The FortiGate product family spans the full range of network environments, from SOHO to
service provider, offering cost effective systems for any size of application. FortiGate
appliances detect and eliminate the most damaging, content-based threats from email and
Web traffic such as viruses, worms, intrusions, inappropriate Web content and more in
real time — without degrading network performance. In addition to providing application
level firewall protection, FortiGate appliances deliver a full range of network-level services
— VPN, intrusion prevention, web filtering, antivirus, antispam and traffic shaping — in
dedicated, easily managed platforms.
All FortiGate appliances employ Fortinet’s unique FortiASIC™ content processing chip
and the powerful, secure, FortiOS™ firmware achieve breakthrough price/performance.
The unique, ASIC-based architecture analyzes content and behavior in real time, enabling
key applications to be deployed right at the network edge where they are most effective at
protecting enterprise networks. They can be easily configured to provide antivirus
protection, antispam protection and content filtering in conjunction with existing firewall,
VPN, and related devices, or as complete network protection systems. The modules
support High Availability (HA) in both Active-Active (AA) and Active-Passive (AP)
configurations.
FortiGate appliances support the IPSec industry standard for VPN, allowing VPNs to be
configured between a FortiGate appliance and any client or gateway/firewall that supports
IPSec VPN. FortiGate appliances also provide SSL VPN services using TLS 1.0 in the
FIPS-CC mode of operation.
Security Level Summary
The module meets the overall requirements for a FIPS 140-2 Level 1 validation.
.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance
Level
Cryptographic Module Specification 1
Cryptographic Module Ports and Interfaces 3
Roles, Services and Authentication 3
Finite State Model 1
Physical Security 1
Operational Environment N/A
Cryptographic Key Management 1
EMI/EMC 1
Self-Tests 1
Design Assurance 3
Mitigation of Other Attacks 1
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 4
http://docs.fortinet.com/ • Feedback
Module Description
The module is a firmware operating system that runs exclusively on Fortinet’s
FortiGate/FortiWiFi product family (hereafter referred to as the FortiGate product family).
FortiGate units are PC-based, purpose built appliances.
The FortiGate appliances are multiple chip, standalone cryptographic modules consisting
of production grade components contained in a physically protected enclosure.
Figure 1: FortiOS Cryptographic Boundary
For the purposes of FIPS 140-2 conformance testing, the module was tested on the
FortiGate-3950B appliance.
The module can also be executed on any of the following FortiGate appliances and
remain vendor affirmed FIPS-compliant:
• FortiGate-30B
• FortiGate-50B
• FortiGate-60B
• FortiGate-60C
• FortiGate-80C
• FortiGate-100A
• FortiGate-110C
• FortiGate-111C
• FortiGate-200A
• FortiGate-200B
• FortiGate-224B
• FortiGate-300A
• FortiGate-310B
• FortiGate-311B
• FortiGate-621B
• FortiGate-800F
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 5
http://docs.fortinet.com/ • Feedback
• FortiGate-1000A
• FortiGate-1000AFA2
• FortiGate-1240B
• FortiGate-3000
• FortiGate-3040B
• FortiGate-3016B
• FortiGate-3140B
• FortiGate-3600
• FortiGate-3600A
• FortiGate-3810A
• FortiGate-3951B
• FortiGate-5001SX
• FortiGate-5001A-SW
• FortiGate-5001FA2
• FortiGate-5001A-DW
• FortiGate-5001A-SW
• FortiGate-5001B
• FortiGate-5005FA2
• FortiWiFi-30B
• FortiWiFi-50B
• FortiWiFi-60B
• FortiWiFi-60C
• FortiWiFi-80CM
• FortiWiFi-81CM
Module Interfaces
The module’s logical interfaces and physical ports are described in Table 2.
Web-Based Manager
The FortiGate web-based manager provides GUI based access to the module and is the
primary tool for configuring the module. The manager requires a web browser on the
management computer and an Ethernet connection between the FortiGate unit and the
management computer.
Table 2: FortiOS logical interfaces and physical ports
FIPS 140 Interface Logical Interface Physical Port
Data Input API input parameters Network interface
Data Output API output parameters Network interface
Control Input API function calls Network interface, serial interface
Status Output API return values Network interface, serial interface
Power Input N/A The power supply is the power
interface
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 6
http://docs.fortinet.com/ • Feedback
A web-browser that supports Transport Layer Security (TLS) 1.0 is required for remote
access to the web-based manager when the module is operating in FIPS-CC mode. HTTP
access to the web-based manager is not allowed in FIPS-CC mode and is disabled.
Figure 2: The FortiGate web-based manager
Command Line Interface
The FortiGate Command Line Interface (CLI) is a full-featured, text based management
tool for the module. The CLI provides access to all of the possible services and
configuration options in the module. The CLI uses a console connection or a network
(Ethernet) connection between the FortiGate unit and the management computer. The
console connection is a direct serial connection. Terminal emulation software is required
on the management computer using either method. For network access, a Telnet or SSH
client that supports the SSH v2.0 protocol is required (SSH v1.0 is not supported in FIPS-
CC mode). Telnet access to the CLI is not allowed in FIPS-CC mode and is disabled.
Roles, Services and Authentication
Roles
When configured in FIPS-CC mode, the module provides the following roles:
• Crypto Officer
• Network User
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 7
http://docs.fortinet.com/ • Feedback
The Crypto Officer role is initially assigned to the default ‘admin’ operator account. The
Crypto Officer role has read-write access to all of the module’s administrative services.
The initial Crypto Officer can create additional operator accounts. These additional
accounts are assigned the Crypto Officer role and can be assigned a range of read/write
or read only access permissions including the ability to create operator accounts.
The module provides a Network User role for end-users (Users). Network users can
make use of the encrypt/decrypt services, but cannot access the module for administrative
purposes.
The module does not provide a Maintenance role.
FIPS Approved Services
The following tables detail the types of FIPS approved services available to each role, the
types of access for each role and the Keys or CSPs they affect.
The role names are abbreviated as follows:
The access types are abbreviated as follows:
Crypto Officer CO
User U
Read Access R
Write Access W
Execute Access E
Table 3: Services available to Crypto Officers
Service Access Key/CSP
authenticate to module WE Operator Password, Diffie-Hellman Key,
HTTP/TLS and SSH Server/Host Keys,
HTTPS/TLS and SSH Session
Authentication Keys, and HTTPS/TLS
Session Encryption Keys, RNG Keys
show system status WE N/A
show FIPS-CC mode
enabled/disabled
(console/CLI only)
WE N/A
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
execute factory reset (zeroize keys,
disable FIPS mode, console/CLI only)
E See “Key Zeroization” on page 9
execute FIPS-CC on-demand self-
tests (console only)
E Configuration Integrity Key, Firmware
Integrity Key
add/delete operators and network
users
WE Operator Password,
Network User Password
set/reset operator and network user
passwords
WE Operator Password,
Network User Password
backup/restore configuration file WE Configuration Encryption Key,
Configuration Backup Key
read/set/delete/modify module
configuration
WE N/A
enable/disable alternating bypass
mode
WE N/A
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 8
http://docs.fortinet.com/ • Feedback
Authentication
Module operators are uniquely identified by identity-based authentication. Operators must
authenticate with a user-id and password combination to access the modules remotely or
locally via the console. Remote operator authentication is done over HTTPS (TLS) or
SSH. Password entry is obfuscated using asterisks and the module does not provide
feedback on the authentication process - i.e. the module does not indicate if the password
or the user/operator account is incorrect for a failed authentication attempt.
By default, Network User access to the modules is based on firewall policy and
authentication by IP address or fully qualified domain names. Network Users can
optionally be forced to authenticate to the modules using a username/password
combination to enable use of the IPSec VPN encrypt/decrypt or bypass services. For
Network Users invoking the SSL-VPN encrypt/decrypt services, the modules support
authentication with a user-id/password combination. Network User authentication is done
over HTTPS and does not allow access to the modules for administrative purposes.
Note that operator authentication over HTTPS/SSH and Network User authentication over
HTTPS are subject to a limit of 3 failed authentication attempts in 1 minute. Operator
authentication using the console is not subject to a failed authentication limit, but the
number of authentication attempts per minute is limited by the bandwidth available over
the serial connection.
read/set/delete/modify IPSec/SSL
VPN configuration
N/A IPSec: IPSec Manual Authentication
Key, IPSec Manual Encryption Key, IKE
Pre-Shared Key, IKE RSA Key
SSL: HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS SSH Session Encryption
Key
read/set/modify HA configuration WE HA Password,
HA Encryption Key
execute firmware update E Firmware Update Key
read log data WE N/A
delete log data (console/CLI only) N/A N/A
execute system diagnostics
(console/CLI only)
WE N/A
Table 4: Services available to Network Users
Service/CSP Access Key/CSP
authenticate to module E Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS Session Encryption Key,
RNG Keys
IPSec VPN controlled by firewall
policies
E Diffie-Hellman Key, IKE and IPSec Keys,
RNG Keys
SSL VPN controlled by firewall
policies
E Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS Session Encryption Key,
RNG Keys
Table 3: Services available to Crypto Officers
Service Access Key/CSP
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 9
http://docs.fortinet.com/ • Feedback
The minimum password length is 8 characters when in FIPS-CC mode (maximum
password length is 32 characters). Using a strong password policy, where operator and
network user passwords are at least 8 characters in length and use a mix of alphanumeric
(printable) characters from the ASCII character set (as explained in “FIPS 140-2
Compliant Operation” on page 13), the odds of guessing a password are 1 in
8!x26x10x32x945
.
For Network Users invoking the IPSec VPN encrypt/decrypt services, the module acts on
behalf of the Network User and negotiates a VPN connection with a remote module. The
strength of authentication for IPSec services is based on the authentication method
defined in the specific firewall policy: IPSec manual authentication key, IKE pre-shared
key or IKE RSA key (RSA certificate). The odds of guessing the authentication key for
each IPSec method is:
• 1 in 1640
for the IPSec Manual Authentication key (based on a 40 digit, hexadecimal
key)
• 1 in 948
for the IKE Pre-shared Key (based on an 8 character, ASCII printable key)
• 1 in 21024
for the IKE RSA Key (based on a 1024bit RSA key size)
Therefore the minimum odds of guessing the authentication key for IPSec is 1 in 948
,
based on the IKE Pre-shared key.
Physical Security
The physical security for the module is provided by the FortiGate hardware which uses
production grade components and an opaque enclosure.
Operational Environment
The module constitutes the entire firmware operating system for a FortiGate unit and can
only be installed and run on a FortiGate appliance. The module provides a proprietary and
non-modifiable operating system and does not provide a programming environment.
For the purposes of FIPS 140-2 conformance testing, the module was tested on the
FortiGate-3950B appliance.
Cryptographic Key Management
Random Number Generation
The modules use a firmware based, deterministic random number generator that
conforms to ANSI X9.31 Appendix A.2.4.
Key Zeroization
The following keys are zeroized by executing a factory reset followed by a firmware
update.
• ANSI X9.31 RNG AES Key
• Firmware Update Key
• Firmware Integrity Key
• Configuration Integrity Key
• Configuration Backup Key
• SSH Server/Host Key
• HTTPS/TLS Server/Host Key
All other keys and CSPs are zeroized when the operator executes a factory reset or when
enabling or disabling the FIPS-CC mode of operation.
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 10
http://docs.fortinet.com/ • Feedback
See Table 7 on page 10 for a complete list of keys and CSPs.
Algorithms
Note that some algorithms may be classified as deprecated, restricted, or legacy-use.
Please consult NIST SP 800-131A for details.
Cryptographic Keys and Critical Security Parameters
The following table lists all of the cryptographic keys and critical security parameters used
by the module. The following definitions apply to the table:
Table 5: FIPS Approved or Allowed Algorithms
Algorithm NIST Certificate Number
RNG (ANSI X9.31 Appendix A) 974
Triple-DES 1203, 1204
AES 1856, 1857
SHA-1 1633, 1634
HMAC SHA-1 1103, 1104
RSA ANSI X9.31 (key generation, signature generation
and verification)
939
RSA PKCS1 (digital signature creation and verification) 939
Table 6: Non-FIPS Approved Algorithms
Algorithm
DES (disabled in FIPS-CC mode)
MD5 (disabled in FIPS-CC mode except for use in the TLS protocol)
HMAC MD5 (disabled in FIPS-CC mode)
Diffie-Hellman (shared secret provides between 80 and 201 bits of encryption strength;
non-compliant less than 80-bits of encryption strength)
RSA PKCS1 (shared secret provides between 80 and 112 bits of encryption
strength)
SHA-256 (non-compliant)
HMAC SHA-256 (non-compliant)
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
Table 7: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode
Key or CSP Storage Usage
Diffie-Hellman Keys SDRAM
Plaintext
Key agreement and key establishment
IPSec Manual Authentication
Key
Flash RAM
AES encrypted
Used as IPSec Session Authentication
Key
IPSec Manual Encryption Key Flash RAM
AES encrypted
Used as IPSec Session Encryption Key
Module Description
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 11
http://docs.fortinet.com/ • Feedback
IPSec Session Authentication
Key
SDRAM
Plain-text
IPSec peer-to-peer authentication using
HMAC SHA-1
IPSec Session Encryption
Key
SDRAM
Plain-text
VPN traffic encryption/decryption using
Triple-DES or AES
IKE Pre-Shared Key Flash RAM
AES encrypted
Used to generate IKE protocol keys
IKE Authentication Key SDRAM
Plain-text
IKE peer-to-peer authentication using
HMAC SHA-1 (SKEYID_A)
IKE Key Generation Key SDRAM
Plain-text
IPSec SA keying material (SKEYID_D)
IKE Session Encryption Key SDRAM
Plain-text
Encryption of IKE peer-to-peer key
negotiation using Triple-DES or AES
(SKEYID_E)
IKE RSA Key Flash Ram
Plain text
Used to generate IKE protocol keys
RNG Seed (ANSI X9.31
Appendix A.2.4)
Flash RAM
Plain-text
Seed used for initializing the RNG
RNG AES Key (ANSI X9.31
Appendix A.2.4)
Flash RAM
Plain-text
AES Seed key used with the RNG
Firmware Update Key Flash RAM
Plain-text
Verification of firmware integrity when
updating to new firmware versions
using RSA public key
Firmware Integrity Key Flash RAM
Plain-text
Verification of firmware integrity in the
firmware integrity test using RSA public
key
HTTPS/TLS Server/Host Key Flash RAM
Plain-text
RSA private key used in the
HTTPS/TLS protocols
HTTPS/TLS Session
Authentication Key
SDRAM
Plain-text
HMAC SHA-1 key used for HTTPS/TLS
session authentication
HTTPS/TLS Session
Encryption Key
SDRAM
Plain-text
AES or Triple-DES key used for
HTTPS/TLS session encryption
SSH Server/Host Key Flash RAM
Plain-text
RSA private key used in the SSH
protocol
SSH Session Authentication
Key
SDRAM
Plain-text
HMAC SHA-1 key used for SSH
session authentication
SSH Session Encryption Key SDRAM
Plain-text
AES or Triple-DES key used for SSH
session encryption
Operator Password Flash RAM
SHA-1 hash
Used to authenticate operator access to
the module
Configuration Integrity Key Flash RAM
Plain-text
SHA-1 hash used for configuration/VPN
bypass test
Configuration Encryption Key Flash RAM
Plain-text
AES key used to encrypt CSPs on the
flash RAM and in the backup
configuration file (except for operator
passwords in the backup configuration
file)
Configuration Backup Key Flash RAM
Plain-text
HMAC SHA-1 key used to encrypt
operator passwords in the backup
configuration file
Table 7: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode
Key or CSP Storage Usage
Mitigation of Other Attacks
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 12
http://docs.fortinet.com/ • Feedback
Alternating Bypass Feature
The primary cryptographic function of the module is as a firewall and VPN device. The
module implements two forms of alternating bypass for VPN traffic: policy based (for
IPSec and SSL VPN) and interface based (for IPSec VPN only).
Policy Based VPN
Firewall policies with an action of IPSec or SSL-VPN mean that the firewall is functioning
as a VPN start/end point for the specified source/destination addresses and will
encrypt/decrypt traffic according to the policy. Firewall policies with an action of allow
mean that the firewall is accepting/sending plaintext data for the specified
source/destination addresses.
A firewall policy with an action of accept means that the module is operating in a bypass
state for that policy. A firewall policy with an action of IPSec or SSL-VPN means that the
module is operating in a non-bypass state for that policy.
Interface Based VPN
Interface based VPN is supported for IPSec only. A virtual interface is created and any
traffic routed to the virtual interface is encrypted and sent to the VPN peer. Traffic received
from the peer is decrypted. Traffic through the virtual interface is controlled using firewall
policies. However, unlike policy based VPN, the action is restricted to Accept or Deny and
all traffic controlled by the policy is encrypted/decrypted.
When traffic is routed over the non-virtual interfaced, the module is operating in a bypass
state. When traffic is routed over the virtual interface, the module is operating in a non-
bypass state.
In both cases, two independent actions must be taken by a CO to create bypass firewall
policies: the CO must create the bypass policy and then specifically enable that policy.
Key Archiving
The module supports key archiving to a management computer or USB token as part of a
module configuration file backup. Operator entered keys are archived as part of the
module configuration file. The configuration file is stored in plain text, but keys in the
configuration file are either AES encrypted using the Configuration Encryption Key or
stored as a keyed hash using HMAC-SHA-1 using the Configuration Backup Key.
Mitigation of Other Attacks
The module includes a real-time Intrusion Prevention System (IPS) as well as antivirus
protection, antispam and content filtering. Use of these capabilities is optional.
Network User Password Flash RAM
AES encrypted
Used during network user
authentication
HA Password Flash RAM
AES encrypted
Used to authenticate FortiGate units in
an HA cluster
HA Encryption Key Flash RAM
AES encrypted
Encryption of traffic between units in an
HA cluster using AES
Table 7: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode
Key or CSP Storage Usage
FIPS 140-2 Compliant Operation
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 13
http://docs.fortinet.com/ • Feedback
The FortiOS IPS has two components: a signature based component for detecting attacks
passing through the FortiGate appliance and a local attack detection component that
protects the firewall from direct attacks. Functionally, signatures are similar to virus
definitions, with each signature designed to detect a particular type of attack. The IPS
signatures are updated through the FortiGuard IPS service. The IPS engine can also be
updated through the FortiGuard IPS service.
FortiOS antivirus protection removes and optionally quarantines files infected by viruses
from web (HTTP), file transfer (FTP), and email (POP3, IMAP, and SMTP) content as it
passes through the FortiGate modules. FortiOS antivirus protection also controls the
blocking of oversized files and supports blocking by file extension. Virus signatures are
updated through the FortiGuard antivirus service. The antivirus engine can also be
updated through the FortiGuard antivirus service.
FortiOS antispam protection tags (SMTP, IMAP, POP3) or discards (SMTP only) email
messages determined to be spam. Multiple spam detection methods are supported
including the FortiGuard managed antispam service.
FortiOS web filtering can be configured to provide web (HTTP) content filtering. FortiOS
web filtering uses methods such as banned words, address block/exempt lists, and the
FortiGuard managed content service.
Whenever a IPS, antivirus, antispam or filtering event occurs, the modules can record the
event in the log and/or send an alert email to an operator.
For complete information refer to the FortiGate Installation Guide for the specific module in
question, the FortiGate Administration Guide and the FortiGate IPS Guide.
FIPS 140-2 Compliant Operation
FIPS 140-2 compliant operation requires both that you use the module in its FIPS-CC
mode of operation and that you follow secure procedures for installation and operation of
the FortiGate unit. You must ensure that:
• The FortiGate unit is configured in the FIPS-CC mode of operation.
• The FortiGate unit is installed in a secure physical location.
• Physical access to the FortiGate unit is restricted to authorized operators.
• Administrative passwords are at least 8 characters long.
• Administrative passwords are changed regularly.
• Administrator account passwords must have the following characteristics:
• One (or more) of the characters should be capitalized
• One (or more) of the characters should be numeric
• One (or more) of the characters should be non alpha-numeric (e.g. punctuation
mark)
• Administration of the module is permitted using only validated administrative methods.
These are:
• Console connection
• Web-based manager via HTTPS
• Command line interface (CLI) access via SSH
• Diffie-Hellman groups of less than less than 1024 bits (Group 5) are not used.
• Client side RSA certificates must use 1024 bit or greater key sizes.
• LDAP based authentication must use secure LDAP (LDAPS).
• Only approved algorithms are used (see Table 5 on page 10).
Self-Tests
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 14
http://docs.fortinet.com/ • Feedback
The module can be used in either of its two operation modes: NAT/Route or Transparent.
NAT/Route mode applies security features between two or more different networks (for
example, between a private network and the Internet). Transparent mode applies security
features at any point in a network. The current operation mode is displayed on the web-
based manager Status page and in the output of the get system status CLI
command. Also, on LCD-equipped modules, Transparent mode is indicated by “FIPS-CC-
TP” and NAT/Route by “FIPS-CC-NAT” on the LCD display.
Refer to the FortiGate Handbook and other technical documentation for setup
andinstallation instructions (see “References” on page 2).
Enabling FIPS-CC mode
To enable the FIPS 140-2 compliant mode of operation, the operator must execute the
following command from the Local Console:
config system fips
set status enable
The Operator is required to supply a password for the admin account which will be
assigned to the Crypto Officer role.
The supplied password must be at least 8 characters long and correctly verified before the
system will restart in FIPS-CC mode.
Upon restart, the module will execute self-tests to ensure the correct initialization of the
module’s cryptographic functions.
After restarting, the Crypto Officer can confirm that the module is running in FIPS-CC
mode by executing the following command from the CLI:
get system status
If the module is running in FIPS-CC mode, the system status output will display the line:
FIPS-CC mode: enable
Note that enabling/disabling the FIPS-CC mode of operation will automatically invoke the
key zeroization service. The key zeroization is performed immediately after FIPS-CC
mode is enabled/disabled.
Self-Tests
The module executes the following self-tests during startup and initialization:
• Firmware integrity test using RSA signatures
• Configuration/VPN bypass test using HMAC SHA-1
• Triple-DES, CBC mode, encrypt/decrypt known answer test
• AES, CBC mode, encrypt/decrypt known answer test
• HMAC SHA-1 known answer test
• RSA signature generation/verification known answer test
• RNG known answer test
The results of the startup self-tests are displayed on the console during the startup
process. The startup self-tests can also be initiated on demand using the CLI command
execute fips kat all (to initiate all self-tests) or execute fips kat <test> (to initiate a
specific self-test).
The module executes the following conditional tests when the related service is invoked:
Non-FIPS Approved Services
FortiOS 4.0 MR3 FIPS 140-2 Security Policy
01-430-148261-20110705 15
http://docs.fortinet.com/ • Feedback
• Continuous RNG test
• RSA pairwise consistency test
• Configuration/VPN bypass test using HMAC SHA-1
• Firmware load test using RSA signatures
If any of the self-tests or conditional tests fail, the module enters an error state as shown
by the console output below:
Self-tests failed
Entering error mode...
The system is going down NOW !!
The system is halted.
All data output and cryptographic services are inhibited in the error state.
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
• Encrypted configuration backups using the backup configuration password
• LLTP and PPTP VPN
If the above services are used, the module is not considered to be operating in the FIPS
approved mode of operation.