FIPS 140-2 Non-Proprietary Security Policy
FortiGate-3700D/3815D
FortiGate-3700D/3815D FIPS 140-2 Security Policy
Document Version: 2.1
Publication Date: June 11, 2018
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
Firmware Version: FortiOS 5.4, b9791, 170802
Hardware Version: FortiGate-3700D (C1AA92)
FortiGate-3815D (C1AE66)
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Monday, June 11, 2018
FortiGate-3700D/3815D FIPS 140-2 Non-Proprietary Security Policy
01-544-437658-20170619
This document may be freely reproduced and distributed whole and intact when including the copyright notice found on the
last page of this document.
TABLE OF CONTENTS
Overview 5
References 5
Introduction 6
Security Level Summary 7
Module Descriptions 8
Cryptographic Module Ports and Interfaces 8
FortiGate-3700D 10
FortiGate-3815D 12
Web-Based Manager 14
Command Line Interface 14
Roles, Services and Authentication 15
Roles 15
FIPS Approved Services 15
Non-FIPS Approved Services 18
Authentication 18
Physical Security 19
Operational Environment 22
Cryptographic Key Management 22
Random Number Generation 22
Entropy 22
Key Zeroization 22
Algorithms 23
Cryptographic Keys and Critical Security Parameters 25
Alternating Bypass Feature 28
Key Archiving 29
Mitigation of Other Attacks 29
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) 30
FIPS 140-2 Compliant Operation 31
Enabling FIPS-CC mode 32
Self-Tests 33
Startup and Initialization Self-tests 33
Conditional Self-tests 33
Critical Function Self-tests 34
Error State 34
Overview References
Overview
This document is a FIPS 140-2 Security Policy for Fortinet’s FortiGate-3700D and FortiGate-3815D Multi-Threat
Security Systems. This policy describes how the FortiGate-3700D and FortiGate-3815D (hereafter referred to as
the ‘modules’) meet the FIPS 140-2 security requirements and how to operate the modules in a FIPS compliant
manner. This policy was created as part of the FIPS 140-2 Level 2 validation of the modules.
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 modules 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.fortinet.com.
Additional information on the entire Fortinet product line can be obtained from the following sources:
l Find general product information in the product section of the Fortinet corporate website at
https://www.fortinet.com/products.
l Find on-line product support for registered products in the technical support section of the Fortinet corporate
website at https://www.fortinet.com/support.
l Find contact information for technical or sales related questions in the contacts section of the Fortinet corporate
website at https://www.fortinet.com/contact.
l Find security information and bulletins in the FortiGuard Center of the Fortinet corporate website at
https://www.fortiguard.com.
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5
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 1.2.
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Security Level Summary
The modules meet the overall requirements for a FIPS 140-2 Level 2 validation.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance Level
Cryptographic Module Specification 2
Cryptographic Module Ports and Interfaces 3
Roles, Services and Authentication 3
Finite State Model 2
Physical Security 2
Operational Environment N/A
Cryptographic Key Management 2
EMI/EMC 2
Self-Tests 2
Design Assurance 3
Mitigation of Other Attacks 2
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Module Descriptions
The FortiGate-3700D and FortiGate-3815D are multiple chip, standalone cryptographic modules consisting of
production grade components contained in a physically protected enclosure in accordance with FIPS 140-2 Level
2 requirements.
The modules have a similar appearance and perform the same functions, but have different numbers and types
of network interfaces in order to support different network configurations:
l The FortiGate-3700D has 34 network interfaces with status LEDs for each network interface (2x 10/100/1000
Base-T, 28x 10GB SFP+, 4x 40GB QSFP+).
l The FortiGate-3815D has 16 network interfaces with status LEDs for each network interface (2x 10/100/1000
Base-T, 10x 10GB SFP+, 4x 100GB CFP2).
The modules each have two x86 compatible CPUs.
The modules are 3U rackmount devices.
The FortiGate-3700D and 3815D use a Fortinet entropy token as the entropy source. Refer to the Cryptographic
Key Management section for more information on entropy and entropy sources.
The validated firmware version is FortiOS 5.4, b9791, 170802.
Any firmware version that is not shown on the module certificate is out of scope of this validation and requires a
separate FIPS 140-2 validation.
Figures 1 and 2 are representative of the modules tested.
Cryptographic Module Ports and Interfaces
All of the modules have status LEDs as described in he following table:
Table 2: Module Status LEDs
LED State Description
Power Green The module is powered on.
Off The module is powered off.
Status Green The module is running normally.
Flashing The module is starting up.
Off The module is powered off.
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Module Descriptions Cryptographic Module Ports and Interfaces
LED State Description
HA Green HA is enabled.
Off The unit is in standalone mode.
Alarm Red The unit has a major alarm.
Amber The unit has a minor alarm.
Off The unit is operating normally.
Ethernet Ports Link/ACT Green Port is connected.
Flashing Port is sending/receiving data.
Off No link established.
Speed Green Connected at 1000 Mbps.
Amber Connected at 100 Mbps
Off Connected at 10 Mbps
SFP Ports Green Port is connected.
Flashing Port is sending/receiving data.
Off No link established.
SFP Ports (Bypass pair) Green Inline mode
Amber Bypass mode
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FortiGate-3700D
Figure 1 - FortiGate-3700D Front and Rear Panels
Table 3: FortiGate-3700D Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output, control
input and status output
Connection to 10/100/1000
networks.
Ports 1-4 QSFP+ 40 Gbps Data input, data output, control
input and status output
Multimode fiber optic
connections to gigabit
optical networks.
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Connector Type Speed Supported Logical Interfaces Description
Ports 5-32 SFP 10 Gbps Data input, data output, control
input and status output
Multimode fiber optic
connections to gigabit
optical networks.
Console Port RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
USB Port USB A N/A Key loading and archiving,
entropy input
Optional USB token and
entropy token.
USB Port USB B N/A Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
AC POWER N/A N/A Power 120/240VAC power
connection.
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FortiGate-3815D
Figure 2 - FortiGate-3815D Front and Rear Panels
Table 4: FortiGate-3815D Connectors and Ports
Connector Type Speed Supported Logical Interfaces Description
MGMT Ports RJ-45 10/100/1000
Base-T
Data input, data output, control
input, and status output
Copper gigabit connection to
10/100/1000 copper
networks.
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Connector Type Speed Supported Logical Interfaces Description
Ports 1-4 CFP2 100 Gbps
Data input, data output, control
input, and status output
Multimode fiber optic
connections to gigabit optical
networks.
Ports 5-14 SFP 10 Gbps Data input, data output, control
input and status output
Multimode fiber optic
connections to gigabit optical
networks.
USB USB-A N/A Key loading and archiving, entropy
input
Optional USB token and
entropy token.
Console RJ-45 9600 bps Control input, status output Optional connection to the
management computer.
Provides access to the
command line interface
(CLI).
AC POWER N/A N/A Power
120/240VAC power
connection.
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Web-Based Manager
The FortiGate web-based manager provides GUI based access to the modules and is the primary tool for
configuring the modules. The manager requires a web browser on the management computer and an Ethernet
connection between the FortiGate unit and the management computer.
A web-browser that supports Transport Layer Security (TLS) 1.2 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 mode and is disabled.
Figure 3 - 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
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Roles, Services and Authentication
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 mode). Telnet access to the CLI is not allowed in
FIPS mode and is disabled.
Roles, Services and Authentication
Roles
When configured in FIPS mode, the module provides the following roles:
l Crypto Officer
l Network User
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 modules also provide a Network User role for end-users (Users). Network Users can make use of the
encrypt/decrypt services, but cannot access the modules 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 in each mode of
operation, the types of access for each role and the Keys or CSPs they affect.
The access types are abbreviated as follows:
Read Access R
Write Access W
Execute Access E
Table 5: Services available to Crypto Officers
Service Access Key/CSP
connect to module locally using the
console port
WE N/A
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Roles, Services and Authentication
Service Access Key/CSP
connect to module remotely using TLS* WE
Diffie-Hellman Key, EC Diffie Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
and HTTPS/TLS Session Encryption Key,
DRBG v and key values, DRBG Output,
DRBG Seed, NDRNG Output String
connect to module remotely using SSH* WE Diffie-Hellman Key, SSH Server/Host Key,
SSH Session Authentication Key, SSH
Session Encryption Key, DRBG v and key
values, DRBG Output, DRBG Seed,
NDRNG Output String
authenticate to module WE Crypto Officer Password
show system status N/A N/A
show FIPS-CC mode enabled/disabled
(console/CLI only)
N/A N/A
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
key zeroization W All Keys
execute factory reset (disable FIPS-CC
mode, console/CLI only)
W All keys stored in Flash RAM
execute FIPS-CC on-demand self-tests
(console only)
E
Configuration Integrity Key, Firmware
Integrity Key
add/delete crypto officers and network
users
WE Crypto Officer Password, Network User
Password
set/reset crypto officers and network
user passwords
WE
Crypto Officer Password, Network User
Password
backup/restore configuration file RWE Configuration Encryption Key,
Configuration Backup Key
read/set/delete/modify module
configuration*
N/A N/A
execute firmware update WE Firmware Update Key
read log data N/A N/A
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Roles, Services and Authentication
Service Access Key/CSP
delete log data (console/CLI only) N/A N/A
execute system diagnostics
(console/CLI only)
N/A N/A
enable/disable alternating bypass mode N/A N/A
read/set/delete/modify IPsec/SSL VPN
configuration*
W
IPsec: IPsec Manual Authentication Key,
IPsec Manual Encryption Key, IKE Pre-
Shared Key, IKE RSA Key, IKE ECDSA
Key, Diffie-Hellman Key, EC Diffie-
Hellman Key
SSL: HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS Session Encryption Key
read/set/modify HA configuration WE HA Password, HA Encryption Key
Table 6: Services available to Network Users in FIPS-CC mode
Service/CSP Access Key/CSP
connect to module remotely using TLS* WE Diffie-Hellman Key, EC Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication Key,
HTTPS/TLS Session Encryption Key,
DRBG v and key values, DRBG Output,
DRBG Seed, NDRNG Output String
authenticate to module WE Network User Password
IPsec VPN controlled by firewall
policies*
E Diffie-Hellman Key, EC Diffie-Hellman
Key, all IKE and IPsec Key, DRBG v and
key values, DRBG Output, DRBG Seed,
NDRNG Output String
SSL VPN controlled by firewall policies* E
Network User Password, Diffie-Hellman
Key, EC Diffie-Hellman Key, HTTPS/TLS
Server/Host Key, HTTPS/TLS Session
Authentication Key, HTTPS/TLS Session
Encryption Key, DRBG v and key values,
DRBG Output, DRBG Seed, NDRNG
Output String
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Roles, Services and Authentication
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
l Configuration backups using password protection
l L2TP and PPTP VPN
l Services marked with an asterisk (*) in Tables 5 and 6 are considered non-approved when using the following
algorithms:
l Non-compliant-strength Diffie-Hellman
l Non-compliant-strength RSA key wrapping
The above services shall not be used in the FIPS approved mode of operation.
Authentication
The module implements 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. The password entry feedback mechanism does not provide information that could be
used to guess or determine the authentication data.
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.
The minimum password length is 8 characters when in FIPS-CC mode (maximum password length is 32
characters) chosen from the set of ninety four (94) characters. New passwords are required to include 1
uppercase character, 1 lowercase character, 1 numeric character, and 1 special character. The odds of guessing
a password are 1 in {(10)*(26^2)*(32)*(94^4)} which is significantly lower than one in a million.
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; thus, the maximum number of attempts in one minute is 3.
Therefore the probability of a success with multiple consecutive attempts in a one-minute period is 3 in {(10)*
(26^2)*(32)*(94^4)} which is less than 1/100,000. 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 which is a maximum of 115,200 bps which is 6,912,000 bits per minute. An 8
byte password would have 64 bits, so there would be no more than 108,000 passwords attempts per minute.
Therefore the probability of success would be 1/({(10)*(26^2)*(32)*(94^4)} /108,000) which is less than 1/100,000.
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, IKE RSA key (RSA certificate) or IKE ECDSA key (ECDSA certificate). The odds of guessing the
authentication key for each IPsec method is:
l 1 in 16^40 for the IPsec Manual Authentication key (based on a 40 digit, hexadecimal key)
l 1 in 94^8 for the IKE Pre-shared Key (based on an 8 character, ASCII printable key)
l 1 in 2^112 for the IKE RSA Key (based on a 2048bit RSA key size)
l 1 in 2^128 for the IKE ECDSA Key (based on a P-256 curve ECDSA key size)
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Physical Security
Therefore the minimum odds of guessing the authentication key for IPSec is 1 in 94^8, based on the IKE Pre-
shared key.
Physical Security
The modules meet FIPS 140-2 Security Level 2 requirements by using production grade components and an
opaque, sealed enclosure. Access to the enclosure is restricted through the use of tamper-evident seals to secure
the overall enclosure. The tamper-evident seals shall be installed for the module to operate in a FIPS Approved
mode of operation. All Networking devices need tamper-evident seals to meet the FIPS 140-2 Level 2 Physical
Security requirements.
The seals are red wax/plastic with black lettering that reads “Fortinet Security Seal”.
The tamper seals are not applied at the factory prior to shipping. It is the responsibility of the Crypto Officer to
apply the seals before use to ensure full FIPS 140-2 compliance. Once the seals have been applied, the Crypto
Officer must develop an inspection schedule to verify that the external enclosure of the modules and the tamper
seals have not been damaged or tampered with in any way. Upon viewing any signs of tampering, the Crypto
Officer must assume that the device has been fully compromised. The Crypto Officer is required to zeroize the
cryptographic module by following the steps in the Key Zeroization section of the SP.
The Crypto Officer is responsible for securing and controlling any unused seals. The Crypto Office is also
responsible for the direct control and observation of any changes to the modules such as reconfigurations where
the tamper-evident seals are removed or installed to ensure the security of the module is maintained during such
changes and ensuring the module is returned to a FIPS approved state.
The surfaces should be cleaned with 99% Isopropyl alcohol to remove dirt and oil before applying the seals.
Ensure the surface is completely clean and dry before applying the seals. If a seal needs to be re-applied,
completely remove the old seal and clean the surface with an adhesive remover before following the instructions
for applying a new seal. Allow 12 hours for the seals to fully cure.
Additional seals can be requested through your Fortinet sales contact. Reference the ‘FIPS-SEAL-RED’ SKU
when ordering. Specify the number of seals required based on the specific model as described below:
l The FortiGate-3700D uses three seals to secure the external enclosure and power supplies (see Figure 4 and
Figure 5).
l The FortiGate-3815D uses one seal to secure the external enclosure (see Figure 6).
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Physical Security
Figure 4 - FortiGate-3700D external enclosure seal and power supply seal, right, rear
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Physical Security
Figure 5 - FortiGate-3700D power supply seal, rear, left
Figure 6 - FortiGate-3815D external enclosure seal, top right
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Operational Environment
Operational Environment
The modules consist of the combination of the FortiOS operating system and the FortiGate appliances. The
FortiOS operating system can only be installed, and run, on a FortiGate appliance. The FortiOS operating system
provides a proprietary and non-modifiable operating system.
Cryptographic Key Management
Random Number Generation
The modules use a firmware based, deterministic random bit generator (DRBG) that conforms to NIST Special
Publication 800-90A.
Entropy
The module uses a Fortinet entropy token (part number FTR-ENT-1 or part number FTR-ENT-2) to seed the
DRBG during the modules’ boot process and to periodically reseed the DRBG. The entropy token is not included
in the boundary of the module and therefore no assurance can be made for the correct operation of the entropy
token nor is there a guarantee of stated entropy.
Entropy Strength
The entropy loaded into the approved AES-256 bit DRBG is 256 bits. The entropy source is over-seeded and then
an HMAC-SHA-256 post-conditioning component is applied.
Reseed Period
The RBG is seeded from the entropy token during the boot process and then reseeded periodically. The default
reseed period is once every 24 hours (1440 minutes) and is configurable (1 to 1440 minutes). The entropy token
must be installed to complete the boot process and to reseed the DRBG.
Key Zeroization
The zeroization process must be performed under the direct control of the operator. The operator must be
present to observe that the zeroization method has completed successfully.
All keys and CSPs are zeroized by erasing the module’s boot device and then power cycling the FortiGate unit. To
erase the boot device, execute the following command from the CLI:
execute erase-disk <boot device>
The boot device ID may vary depending on the FortiGate module. Executing the following command will output a
list of the available internal disks:
execute erase-disk ?
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Cryptographic Key Management
Algorithms
Table 7: FIPS approved algorithms
Algorithm NIST Cert Number
CTR DRBG (NIST SP 800-90A) with AES 256-bits 1543
AES in CBC mode (128-, 256-bits) 4602, 4604, 4628
AES in GCM mode (128-, 256-bits) 4602, 4628
SHA-1 3777, 3779, 3792
SHA-256 3777, 3779, 3792
SHA-384 3777, 3792
SHA-512 3777, 3792
HMAC SHA-1 3050, 3052, 3063
HMAC SHA-256 3050, 3052, 3063
HMAC SHA-384 3050, 3063
HMAC SHA-512 3050, 3063
RSA PKCS1
l Key Pair Generation: 2048 and 3072-bit
l Key Pair Generation: 2048-bit
l Signature Generation: 2048 and 3072-bit
l Signature Verification: 1024, 2048 and 3072-bit
l For legacy use, the module supports 1024-bit RSA keys and SHA-1 for
signature verification
2526
2510, 2526
2510, 2526
2510, 2526
ECDSA
l Key Pair Generation: curves P-256, P-384 and P-521
l Signature Generation: curves P-256, P-384 and P-521
l Signature Verification: curves P-256, P-384 and P-521
1137
1137
1129, 1137
CVL (SSH) AES 128-bit, AES 256-bit CBC (using SHA1) 1287
CVL (TLS 1.1 and 1.2) 1287
CVL (IKE v1 and v2) 1272
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Cryptographic Key Management
Algorithm NIST Cert Number
CVL (ECDSA SigGen Component: Curves P-256, P-384 and P-521) 1288, 1329
CKG (NIST SP 800-133) Vendor Affirmed
KTS (AES Cert. #4628 and HMAC Cert. #3063; key establishment methodology provides 128 or 256 bits of
encryption strength).
In accordance with FIPS 140-2 IG D.12, the cryptographic module performs Cryptographic Key Generation (CKG)
as per SP800-133 (vendor affirmed). The resulting generated symmetric key and the seed used in the asymmetric
key generation are the unmodified output from SP800-90A DRBG.
There are algorithms, modes, and keys that have been CAVs tested but are not available when the module is
configured for FIPS compliant operation. Only the algorithms, modes/methods, and key lengths/curves/moduli
shown in this table are supported by the module in the FIPS validated configuration.
Table 8: FIPS allowed algorithms
Algorithm
RSA (CVL Certs. #1272 and #1287, key wrapping; key establishment methodology provides 112 or 128 bits
of encryption strength)
Diffie-Hellman (CVL Certs. #1272 and #1287, key agreement; key establishment methodology provides
between 112 and 201 bits of encryption strength)
EC Diffie-Hellman (CVL Certs. #1272 and #1287, key agreement; key establishment methodology provides
between 128 and 256 bits of encryption strength)
NDRNG (Entropy Token)
MD5 (used in the TLS protocol only)
Table 9: Non-FIPS approved algorithms
Algorithm
RSA is non-compliant when keys less than 2048 bits are used, since such keys do not provide the minimum
required 112 bits of encryption strength
Diffie-Hellman is non-compliant when keys less than 2048 bits are used, since such keys do not provide the
minimum required 112 bits of encryption strength
Note that the IKE, SSH and TLS protocols, other than the KDF, have not been tested by the CMVP or CAVP as
per FIPS 140-2 Implementation Guidance D.11.
The module is compliant to IG A.5: GCM is used in the context of TLS and IKEv2/IPSec.
For TLS, The GCM implementation meets Option 1 of IG A.5: it is used in a manner compliant with SP 800-52
and in accordance with RFC 5246 for TLS key establishment. The AES GCM IV generation is in compliance with
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Cryptographic Key Management
RFC 5288 and shall only be used for the TLS protocol version 1.2 to be compliant with FIPS140-2 IG A.5, Option
1 (“TLS protocol IV generation”); thus, the module is compliant with [SP800-52]. During operational testing, the
module was tested against an independent version of TLS and found to behave correctly.
For IPsec/IKEv2, the GCM implementation meets Option 1 of IG A.5: it is used in a manner compliant with RFCs
4106 and 7296. During operational testing, the module was tested against an independent version of IPsec with
IKEv2 and found to behave correctly.
In case the module’s power is lost and then restored, the key used for the AES GCM encryption or decryption
shall be re-distributed.
Cryptographic Keys and Critical Security Parameters
The following table lists all of the cryptographic keys and critical security parameters used by the modules. The
following definitions apply to the table. Note that "Automatic" generation is defined as Electronic Entry/Electronic
Distribution as per IG 7.7.
Table 10: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
NDRNG output
string
Automatic Boot device
Plain-text
Input string for the
entropy pool (5120-bits)
By erasing the Boot
device and power
cycling the module
DRBG seed Automatic Boot device
Plain-text
256-bit seed used by the
DRBG (output from
NDRNG)
By erasing the Boot
device and power
cycling the module
DRBG output Automatic Boot device
Plain-text
Random numbers used
in cryptographic
algorithms (256-bits)
By erasing the Boot
device and power
cycling the module
DRBG v and key
values
Automatic Boot device
Plain-text
Internal state values for
the DRBG
By erasing the Boot
device and power
cycling the module
IPsec Manual
Authentication
Key
Manual Boot device
AES encrypted
Used as IPsec Session
Authentication Key
By erasing the Boot
device and power
cycling the module
IPsec Manual
Encryption Key
Automatic SDRAM
Plain-text
Used as IPsec Session
Encryption Key using
AES (128-, 256-bit)
By erasing the Boot
device and power
cycling the module
IPsec Session
Authentication
Key
Automatic SDRAM
Plain-text
IPsec peer-to-peer
authentication using
HMAC SHA-1 or HMAC
SHA-256
By erasing the Boot
device and power
cycling the module
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Fortinet, Inc.
25
Cryptographic Key Management
Key or CSP Generation Storage Usage Zeroization
IPsec Session
Encryption Key
Automatic SDRAM
Plain-text
VPN traffic
encryption/decryption
using AES (128-,256-bit)
By erasing the Boot
device and power
cycling the module
IKE SKEYSEED Automatic SDRAM
Plain-text
Used to generate IKE
protocol keys
By erasing the Boot
device and power
cycling the module
IKE Pre-Shared
Key
Manual Boot device
AES encrypted
Used to generate IKE
protocol keys
By erasing the Boot
device and power
cycling the module
IKE Authentication
Key
Automatic SDRAM
Plain-text
IKE peer-to-peer
authentication using
HMAC SHA-1 , -256, -
384 or -512
By erasing the boot
device and power
cycling the module
IKE Key
Generation Key
Automatic SDRAM
Plain-text
IPsec SA keying
material
By erasing the boot
device and power
cycling the module
IKE Session
Encryption Key
Automatic SDRAM
Plain-text
Encryption of IKE peer-
to-peer key negotiation
using or AES (128-, 256-
bit)
By erasing the boot
device and power
cycling the module
IKE RSA Key Manual Boot device
Plain-text
Used to generate IKE
protocol keys (2048- and
3072-bit signatures)
By erasing the boot
device and power
cycling the module
IKE ECDSA Key Manual Boot device
Plain-text
Used to generate IKE
protocol keys
(signatures using P-256,
-384 and -521 curves)
By erasing the boot
device and power
cycling the module
Diffie-Hellman
Keys
Automatic SDRAM
Plain-text
Key agreement and key
establishment (2048-
8192 bits)
By erasing the boot
device and power
cycling the module
EC Diffie-Hellman
Keys
Automatic SDRAM
Plain-text
Key agreement and key
establishment (key pairs
on the curves
secp256r1, secp384r1
and secp521r1)
By erasing the boot
device and power
cycling the module
26 FIPS 140-2 Security Policy
Fortinet, Inc.
Cryptographic Key Management
Key or CSP Generation Storage Usage Zeroization
Firmware Update
Key
Preconfigured Boot device
Plain-text
Verification of firmware
integrity when updating
to new firmware
versions using RSA
public key (firmware
load test, 2048-bit
signature)
By erasing the boot
device and power
cycling the module
Firmware Integrity
Key
Preconfigured Boot device
Plain-text
Verification of firmware
integrity in the firmware
integrity test using RSA
public key (firmware
integrity test, 2048-bit
signature)
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Server/Host Key
Preconfigured Boot device
Plain-text
RSA private key used in
the HTTPS/TLS
protocols (key
establishment, 2048- or
3072-bit)
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Session
Authentication
Key
Automatic SDRAM
Plain-text
HMAC SHA-1, -256 or -
384 key used for
HTTPS/TLS session
authentication
By erasing the boot
device and power
cycling the module
HTTPS/TLS
Session
Encryption Key
Automatic SDRAM
Plain-text
AES (128-, 256-bit) key
used for HTTPS/TLS
session encryption
By erasing the boot
device and power
cycling the module
SSH Server/Host
Key
Preconfigured Boot device
Plain-text
RSA private key used in
the SSH protocol (key
establishment, 2048- or
3072-bit)
By erasing the boot
device and power
cycling the module
SSH Session
Authentication
Key
Automatic SDRAM
Plain-text
HMAC SHA-1 or HMAC
SHA-256 key used for
SSH session
authentication
By erasing the boot
device and power
cycling the module
SSH Session
Encryption Key
Automatic SDRAM
Plain-text
AES (128-, 256-bit) key
used for SSH session
encryption
By erasing the boot
device and power
cycling the module
Crypto Officer
Password
Manual Boot device
SHA-1 hash
Used to authenticate
operator access to the
module
By erasing the boot
device and power
cycling the module
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Cryptographic Key Management
Key or CSP Generation Storage Usage Zeroization
Configuration
Integrity Key
Preconfigured Boot device
Plain-text
HMAC SHA-256 hash
used for configuration
integrity test
By erasing the boot
device and power
cycling the module
Configuration
Encryption Key
Preconfigured Boot device
Plain-text
AES 256-bit key used to
encrypt CSPs on the
Boot device and in the
backup configuration file
(except for crypto officer
passwords in the backup
configuration file)
By erasing the boot
device and power
cycling the module
Configuration
Backup Key
Preconfigured Boot device
Plain-text
HMAC SHA-256 key
used to hash crypto
officer passwords in the
backup configuration file
By erasing the boot
device and power
cycling the unit
Network User
Password
Manual Boot device
SHA-1 hash
Used to authenticate
network access to the
module
By erasing the boot
device and power
cycling the unit
HA Password Manual Boot device
AES encrypted
Used to authenticate
FortiGate units in an HA
cluster
By erasing the boot
device and power
cycling the unit
HA Encryption Key Manual Boot device
AES encrypted
Encryption of traffic
between units in an HA
cluster using AES 128-
bit key
By erasing the boot
device and power
cycling the unit
The Generation column lists all of the keys/CSPs and their entry/generation methods.
Manual entered keys are entered by the operator electronically (as defined by FIPS)
using the console or a management computer. Pre-configured keys are set as part of
the firmware (hardcoded) and are not operator modifiable.
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.
28 FIPS 140-2 Security Policy
Fortinet, Inc.
Key Archiving
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.
Key Archiving
The module supports key archiving to a management computer as part of the 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-256 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.
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.
Communications between the module and the FortiGuard servers is done securely over TLS using the FIPS
approved algorithms and parameters.
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 Security Policy
Fortinet, Inc.
29
Electromagnetic Interference/Electromagnetic
Compatibility (EMI/EMC)
The modules comply with EMI/EMC requirements for Class A devices as specified by Part 15, Subpart B, of the
FCC rules. The following table lists the specific lab and report information for the modules.
FCC Report Information
Module Lab Information FCC Report Number
FG-3700D Bay Area Compliance Laboratories Corp.
1274 Anvilwood Ave. Sunnyvale, CA 94086
(408)-732-9162
R1309162-15
FG-3815D
Spectrum Research & Testing Lab., Inc.
No. 167, Ln. 780, Shan-Tong Rd., Ling 8,
Shan-Tong Li, Chung-Li City, Taoyuan County 320,
Taiwan
FCAA14112605-02
30 FIPS 140-2 Security Policy
Fortinet, Inc.
FIPS 140-2 Compliant Operation
The Fortinet hardware is shipped in a non-FIPS 140-2 compliant configuration. The following steps must be
performed to put the module into a FIPS compliant configuration:
1. Download the model specific FIPS validated firmware image from the Fortinet Support site
athttps://support.fortinet.com/
2. Verify the integrity of the firmware image
3. Install the FIPS validated firmware image
4. Install the entropy token
5. Enable the FIPS-CC mode of operation
These steps are described in detail in the "FIPS 140-2 and Common Criteria Compliant Operation for FortiOS
5.4" document that can be found on the Fortinet Technical Documentation website.
In addition, 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:
l The FortiGate unit is configured in the FIPS-CC mode of operation.
l The FortiGate unit is installed in a secure physical location.
l Physical access to the FortiGate unit is restricted to authorized operators.
l The Fortinet entropy token is enabled.
l The Fortinet entropy token remains in the USB port during operation.
l Administrative passwords are at least 8 characters long.
l Administrative passwords are changed regularly.
l Administrator account passwords must have the following characteristics:
l One (or more) characters must be capitalized
l One (or more) chartacters must be lower case
l One (or more) characters must be numeric
l One (or more) characters must be non alpha-numeric (e.g. punctuation mark)
l Administration of the module is permitted using only validated administrative methods. These are:
l Console connection
l Web-based manager via HTTPS
l Command line interface (CLI) access via SSH
l Diffie-Hellman groups of less than 2048 bits are not used.
l Client side RSA certificates must use 2048 bit or greater key sizes.
l Only approved and allowed algorithms are used.
l IPSec VPN tunnels using AES-GCM should be configured with a key lifetime of 98,000 KB to ensure a rekey after a
maximum of 2^16 encryptions.
The module can be used in either of its two network operation modes: NAT/Route or Transparent. Note that
"mode of operation" in this context does not refer or have any impact on the FIPS approved mode of operation.
NAT/Route mode applies security features between two or more different networks (for example, between a
private network and the Internet) where the module functions like a network router. Transparent mode applies
security features at any point in a network where the module functions like a network bridge. The current
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Fortinet, Inc.
31
Enabling FIPS-CC mode FIPS 140-2 Compliant Operation
operation mode is displayed on the web-based manager status page and in the output of the get system
status CLI command.
Once the FIPS validated firmware has been installed and the module properly configured in the FIPS-CC mode of
operation, the module is running in a FIPS compliant configuration. It is the responsibility of the CO to ensure the
module only uses approved algorithms and services to maintain the module in a FIPS-CC Approved mode of
operation. Using any of the non-approved algorithms and services switches the module to a non-FIPS mode of
operation. Prior to switching between modes the CO should ensure all keys and CSPs are zeroized to prevent
sharing of keys and CSPs between the FIPS Approved and non-FIPS mode of operation.
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-cc
set status enable
end
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
32 FIPS 140-2 Security Policy
Fortinet, Inc.
Self-Tests
Startup and Initialization Self-tests
The module executes the following self-tests during startup and initialization:
l Firmware integrity test using RSA 2048-bit signatures
l Configuration/VPN bypass test using HMAC SHA-256
l Triple-DES, CBC mode, encrypt known answer test
l Triple-DES, CBC mode, decrypt known answer test
l AES, CBC mode, encrypt known answer test
l AES, CBC mode, decrypt known answer test
l AES, GCM mode, encrypt known answer test
l AES, GCM mode, decrypt known answer test
l HMAC SHA-1 known answer test
l SHA-1 known answer test (tested as part of HMAC SHA-1 known answer test)
l HMAC SHA-256 known answer test
l SHA-256 known answer test (tested as part of HMAC SHA-256 known answer test)
l HMAC SHA-384 known answer test
l SHA-384 known answer test (tested as part of HMAC SHA-384 known answer test
l HMAC SHA-512 known answer test
l SHA-512 known answer test (tested as part of HMAC SHA-512 known answer test
l RSA signature generation known answer test
l RSA signature verification known answer test
l ECDSA signature generation known answer test
l ECDSA signature verification known answer test
l DRBG 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).
When the self-tests are run, each implementation of an algorithm is tested - i.e. when the AES self-test is run, all
AES implementations are tested.
Conditional Self-tests
The module executes the following conditional tests when the related service is invoked:
l Continuous NDRNG test
l Continuous DRBG test
l RSA pairwise consistency test
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33
Critical Function Self-tests Self-Tests
l ECDSA pairwise consistency test
l Configuration integrity test using HMAC SHA-256
l Firmware load test using RSA signatures
Critical Function Self-tests
The module also performs the following critical function self-tests applicable to the DRBG, as per NIST SP 800-
90A Section 11:
l Instantiate test
l Generate test
l Reseed test
l Uninstantiate test
Error State
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.
34 FIPS 140-2 Security Policy
Fortinet, Inc.
Copyright© 2018 Fortinet, Inc. All rights reserved. Fortinet®, FortiGate®, FortiCare® and FortiGuard®, and certain other marks are registered trademarks of Fortinet,
Inc., in the U.S. and other jurisdictions, and other Fortinet names herein may also be registered and/or common law trademarks of Fortinet. All other product or company
names may be trademarks of their respective owners. Performance and other metrics contained herein were attained in internal lab tests under ideal conditions, and
actual performance and other results may vary. Network variables, different network environments and other conditions may affect performance results. Nothing herein
represents any binding commitment by Fortinet, and Fortinet disclaims all warranties, whether express or implied, except to the extent Fortinet enters a binding written
contract, signed by Fortinet’s General Counsel, with a purchaser that expressly warrants that the identified product will perform according to certain expressly-identified
performance metrics and, in such event, only the specific performance metrics expressly identified in such binding written contract shall be binding on Fortinet. For
absolute clarity, any such warranty will be limited to performance in the same ideal conditions as in Fortinet’s internal lab tests. In no event does Fortinet make any
commitment related to future deliverables, features, or development, and circumstances may change such that any forward-looking statements herein are not accurate.
Fortinet disclaims in full any covenants, representations,and guarantees pursuant hereto, whether express or implied. Fortinet reserves the right to change, modify,
transfer, or otherwise revise this publication without notice, and the most current version of the publication shall be applicable.