FortiGate 3700D
STATUS
POWER
ALARM
HA
MGMT 1
MGMT 2
USB
CONSOLE
USB MGMT 1 4
5 7 9 11 13 15 17 19 21 25 27 29 31
26 28 30 32
18 20 22 24
10 12 14 16
23
6 8
3
2
SFP+
QSFP+
MGMT 2
CFP2
FortiGate 3815D
USB
STATUS
ALARM
HA
POWER
MGMT 1
CONSOLE
5 7
6 8
9 11
10 12
13
14
FIPS 140-2 Security Policy
FortiGate-3700D/3815D
FortiGate-3700D/3815D FIPS 140-2 Non-Proprietary Security Policy
Document Version: 1.8
Publication Date: October 26, 2016
Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for
FIPS compliant operation.
Firmware Version: v5.2.7,build0718,160328
Hardware Version: FortiGate-3700D (C1AA92)
FortiGate-3815D (C1AE66)
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-370755-20160502
Copyright© 2016 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.
This document may be freely reproduced and distributed whole and intact including this copyright notice.
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-370755-20160502 1
http://docs.fortinet.com/ • Feedback
Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Cryptographic Module Ports and Interfaces . . . . . . . . . . . . . . . . . . . . . 4
FortiGate-3700D Chassis Module . . . . . . . . . . . . . . . . . . . . . . . . 4
FortiGate-3815D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . . 9
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . 10
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . 14
Entropy Token . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 16
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Key Archiving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) . . . . . . . 19
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
FIPS 140-2 Compliant Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 2
Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’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:
• 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://fortiguard.com.
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.
Security Level Summary
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 3
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.
Security Level Summary
The modules meets the overall requirements for a FIPS 140-2 Level 2 validation.
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:
• The FortiGate-3700D has 34 network interfaces with a status LED for each network
interface (4x 40GB QSFP+, 28x 10GB SFP+, 2x 10/100/1000 Base-T)
• The FortiGate-3815D has 16 network interfaces with a status LED for each network
interface (4x 100GB CFP2, 10x 10GB SFP+, 2x 10/100/1000 Base-T).
The modules each have two x86 compatible CPUs.
The modules are 3U rackmount devices.
The validated firmware version is FortiOS v5.2.7,build0718,160328.
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
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 4
Figure 1 and Figure 2 are representative of the modules tested.
Cryptographic Module Ports and Interfaces
FortiGate-3700D Chassis Module
Figure 1: FortiGate-3700D Front and Rear Panels
Table 2: FortiGate-3700D Status LEDs
LED State Description
Power Green The module is powered on.
Off The module is powered off.
Status Flashing Green The module is starting up.
Green The module is running normally.
Off The module is powered off.
HA Green HA is enabled and in normal mode.
Red HA is enabled but in failover mode.
Off The unit is in stand-alone mode.
FortiGate 3700D
STATUS
POWER
ALARM
HA
MGMT 1
MGMT 2
USB
CONSOLE
USB MGMT 1 4
5 7 9 11 13 15 17 19 21 25 27 29 31
26 28 30 32
18 20 22 24
10 12 14 16
23
6 8
3
2
SFP+
QSFP+
FAN
FAN FAN
FAN FAN
FAN
CAUTION
DISCONNECT ALL
POWER CORDS
BEFORE SERVICING
CAUTION
DISCONNECT ALL
POWER CORDS
BEFORE SERVICING
POWER 1 POWER 2
LEDs
USB
Managment
port
Console
port
USB
Ports
Managment
ports
QSFP+
ports
SFP+
ports
Ground
Power
Supply
Power
Supply
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 5
Table 3: FortiGate-3700D QSPF+ Port Status LEDS
Table 4: FortiGate-3700D Front Panel Connectors and Ports
Alarm Red A critical error has occurred.
Amber A minor error has occurred.
Off The module is running normally.
SFP+ Ports Green Port is active
Flashing Green Port is receiving or sending data.
Off Port is not in use.
Management
Ports
Link Green Port is online.
Flashing Green Port is receiving or sending data.
Activity Green Connected at 1000 Mbps.
Amber Connected at 100 Mbps.
Off Connected at 10Mbps.
AC Power Green AC power is connected and has power.
Amber AC power is not connected.
Fan Green The fan is running and within the speed range.
Off The fan is not running or is over the speed range.
Configuration Left LED Right LED Description
40Gbps Green Off Port is connected.
Off Off Port is not connected.
10Gbps Flashing Green Blue All ports are connected.
Flashing Green Flashing Blue Some ports are connected.
Off Off No ports are connected.
Connector Type Speed Supported Logical
Interfaces
Description
Ports 1 to 4 QSPF+ 40Gbps Data input, data
output, control input
and status output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 5 to 32 SFP+ 10Gbps Data input, data
output, control input
and status output
Multimode fiber optic
connections to gigabit
optical networks.
Management
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.
CONSOLE RJ-45 9600 bps Control input, status
output
Optional connection to
the management
computer. Provides
access to the command
line interface (CLI).
USB USB A N/A Key loading and
archiving, entropy
input
Optional USB token and
entropy token.
USB MGMT USB
Mini-B
N/A Control input, status
output
Optional connection for
management or
configuration using
FortiExplorer.
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 6
Table 5: FortiGate-3700D Rear Panel Connectors and Ports
FortiGate-3815D
Figure 2: FortiGate-3815D Front and Rear Panels
Connector Type Speed Supported Logical
Interfaces
Description
POWER N/A N/A Power 120/240VAC power connection.
MGMT 2
CFP2
FortiGate 3815D
USB
STATUS
ALARM
HA
POWER
MGMT 1
CONSOLE
5 7
6 8
9 11
10 12
13
14
LEDs
Console
port
Managment
ports
USB
Port CFP2
ports
SFP+
ports
Ground
Power
Supplies
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 7
Table 6: FortiGate-3815D Status LEDs
Table 7: FortiGate-3815D Front Panel Connectors and Ports
LED State Description
Power Green The module is powered on.
Off The module is powered off.
Status Flashing Green The module is starting up.
Green The module is running normally.
Off The module is powered off.
HA Green HA is enabled and in normal mode.
Red HA is enabled but in failover mode.
Off The unit is in stand-alone mode.
Alarm Red A critical error has occurred.
Amber A minor error has occurred.
Off The module is running normally.
CFP2 and SFP+ Ports Green Port is active
Flashing Green Port is receiving or sending data.
Off Port is not in use.
Management
Ports
Link Green Port is online.
Flashing Green Port is receiving or sending data.
Activity Green Connected at 1000 Mbps.
Amber Connected at 100 Mbps.
Off Connected at 10Mbps.
AC Power Green AC power is connected and has power.
Amber AC power is not connected.
Fan Green The fan is running and within the speed range.
Off The fan is not running or is over the speed range.
Connector Type Speed Supported Logical
Interfaces
Description
Ports 1 to 4 CFP2 100Gbps Data input, data
output, control input
and status output
Multimode fiber optic
connections to gigabit
optical networks.
Ports 5 to 14 SFP+ 10Gbps Data input, data
output, control input
and status output
Multimode fiber optic
connections to gigabit
optical networks.
Management
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.
CONSOLE RJ-45 9600 bps Control input, status
output
Optional connection to
the management
computer. Provides
access to the command
line interface (CLI).
USB USB A N/A Key loading and
archiving, entropy
input
Optional USB token and
entropy token.
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 8
Table 8: FortiGate-3815D Rear Panel Connectors and Ports
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 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.
Connector Type Speed Supported Logical
Interfaces
Description
POWER N/A N/A Power 120/240VAC power connection.
3
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 9
Roles, Services and Authentication
Roles
When configured in FIPS mode, the module provides the following roles:
• Crypto Officer
• 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 9: 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, DRBG Output,
DRBG Seed, DRBG Input String
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
key zeroization WE All Keys, See “Key Zeroization” on
page 15
execute factory reset (disable FIPS-
CC mode, console/CLI only)
E All keys except firmware update key,
configuration integrity key, configuration
backup key
execute FIPS-CC on-demand self-
tests (console only)
E Configuration Integrity Key, Firmware
Integrity Key
add/delete operators and network
users
WE Crypto Officer Password,
Network User Password
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 10
Table 10: Services available to Network Users in FIPS-CC mode
Non-FIPS Approved Services
The module also provides the following non-FIPS approved services:
• Configuration backups using password protection
• LLTP and PPTP VPN
All services in Table 9 and Table 10 are considered non-approved when using the
following algorithms:
• Non-compliant-strength Diffie-Hellman
• Non-compliant-strength RSA key wrapping
• DES
set/reset operator and network user
passwords
WE Crypto Officer Password,
Network User Password
backup/restore configuration file WE Configuration Encryption Key,
Configuration Backup Key
read/set/delete/modify module
configuration
WE N/A
execute firmware update E Firmware Update Key
read log data WE N/A
delete log data (console/CLI only) WE N/A
execute system diagnostics
(console/CLI only)
WE N/A
enable/disable alternating bypass
mode
WE N/A
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
Service/CSP Access Key/CSP
authenticate to module WE Network User Password, Diffie-Hellman
Key, HTTPS/TLS Server/Host Key,
HTTPS/TLS Session Authentication
Key, HTTPS/TLS Session Encryption
Key, DRBG Output, DRBG Seed, DRBG
Input String
IPSec VPN controlled by firewall
policies
E Diffie-Hellman Key, IKE and IPSec
Keys, DRBG Output, DRBG Seed,
DRBG Input String
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, DRBG Output, DRBG Seed, DRBG
Input String
Table 9: Services available to Crypto Officers
Service Access Key/CSP
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 11
• MD5
• HMAC-MD5
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.
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 948
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/(948/108,000) which is less than 1/100,000
The minimum password length is 8 characters when in FIPS-CC mode (maximum
password length is 32 characters). The password may contain any combination of upper-
and lower-case letters, numbers, and printable symbols; allowing for 94 possible
characters. The odds of guessing a password are 1 in 94^8 which is significantly lower
than one in a million. Recommended procedures to increase the password strength are
explained in “FIPS 140-2 Compliant Operation” on page 20.
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 2112
for the IKE RSA Key (based on a 2048bit 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.
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 12
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 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 also responsible for securing and
controlling any unused seals.
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.
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:
The FortiGate-3700D uses 3 seals to secure:
• the power supplies (2 seals, see Figure 4 and Figure 5),
• the external enclosure (1 seal, see Figure 4).
The FortiGate-3815D uses 1 seal to secure:
• the external enclosure (1 seals, see Figure 6),
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 13
Figure 4: FortiGate-3700D Enclosure Seal and Power Supply Seals, rear, right side
Figure 5: FortiGate-3700D Power Supply Seal, rear, left side
Module Descriptions
FortiGate-3700D/3815D FIPS 140-2 Security Policy
01-525-297558-20151027 14
Figure 6: FortiGate-3815D Enclosure Seal, top, right side
Operational Environment
The modules consist of the combination of the FortiOS operating system and theFortiGate
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. The Module generates cryptographic keys
whose strengths are modified by available entropy. There is no assurance of the minimum
strength of generated keys.
Entropy Token
The modules use 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.
The default reseed period is once every 24 hours (1440 minutes). The entropy token must
be installed to complete the boot process and to reseed the DRBG. The entropy token is
responsible for loading a minimum of 256 bits of entropy.
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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 ?
Algorithms
Table 11: FIPS Approved Algorithms
Algorithm NIST Certificate Number
CTR DRBG (NIST SP 800-90A) with 256-bits 1161
Triple-DES in CBC mode with 192-bits 2172, 2173, 2175
AES in CBC mode (128-, 192-, 256-bits) 3963, 3964, 3966
SHA-1 3267, 3268, 3270
SHA-256 3267, 3268, 3270
HMAC SHA-1 2581, 2582, 2584
HMAC SHA-256 2581, 2582, 2584
RSA PKCS1
-Signature Generation: 2048-bit
-Signature Verification: 1024 and 2048-bit
-For legacy use, the module supports 1024-bit RSA
keys and SHA-1 for signature verification
2026
RSA PKCS1
-Signature Generation: 2048 and 3072-bit
-Signature Verification: 1024, 2048 and 3072-bit
-For legacy use, the module supports 1024-bit RSA
keys and SHA-1 for signature verification
2024
CVL (SSH) - with TDES-192 bit-CBC, AES 128 bit-,
AES 256 bit -CBC (using SHA1)
794
CVL (TLS) - TLS 1.1 and 1.2 794
CVL (IKE v1 and v2) 795
Table 12: FIPS Allowed Algorithms
Algorithm
RSA (key wrapping; key establishment methodology provides 112 or 128 bits of
encryption strength)
Diffie-Hellman (key agreement; key establishment methodology provides between 112
and 201 bits of encryption strength)
NDRNG (Entropy Token) - please refer to the “Entropy Token” on page 14 for additional
information.
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Note that the algorithms in Table 13 are listed as non-compliant since Known Answer
Tests for the algorithms are not implemented in the validated firmware build.
Note that the IKE, SSH and TLS protocols have not been tested by the CMVP or CAVP as
per FIPS 140-2 Implementation Guidance D.11.
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 tabl
Table 13: FIPS Non-Compliant Algorithms
Algorithm
SHA-384
SHA-512
HMAC SHA-384
HMAC SHA-512
Table 14: Non-FIPS Approved Algorithms
Algorithm
DES (disabled in FIPS-CC mode)
MD5 (disabled in FIPS-CC mode)
HMAC-MD5 (disabled in FIPS-CC mode)
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.
Key or CSP The key or CSP description.
Storage Where and how the keys are stored
Usage How the keys are used
Zeroization The key zeroization method
Table 15: 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
By erasing the Boot
device and power
cycling the module
DRBG seed Automatic Boot device
Plain-text
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
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
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IPSec Manual
Encryption Key
Automatic SDRAM
Plain-text
Used as IPSec
Session Encryption
Key
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
IPSec Session
Encryption Key
Automatic SDRAM
Plain-text
VPN traffic
encryption/decryption
using Triple-DES or
AES
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
(SKEYID_A)
By erasing the boot
device and power
cycling the module
IKE Key
Generation Key
Automatic SDRAM
Plain-text
IPSec SA keying
material (SKEYID_D)
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
Triple-DES or AES
(SKEYID_E)
By erasing the boot
device and power
cycling the module
IKE RSA Key Manual Boot device
Plain text
Used to generate IKE
protocol keys
By erasing the boot
device and power
cycling the module
Diffie-Hellman
Keys
Automatic SDRAM
Plaintext
Key agreement and
key establishment
By erasing the boot
device and power
cycling the module
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)
By erasing the boot
device and power
cycling the module
FirmwareIntegrity
Key
Preconfigured Boot device
Plain-text
Verification of
firmware integrity in
the firmware integrity
test using RSA public
key (firmware integrity
test)
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)
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 or Triple-DES
key used for
HTTPS/TLS session
encryption
By erasing the boot
device and power
cycling the module
Table 15: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
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Note: 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. Automatic keys are generated as part of the associated protocol.
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.
SSH Server/Host
Key
Preconfigured Boot device
Plain-text
RSA private key used
in the SSH protocol
(key establishment)
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 or Triple-DES
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
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
Automatic Boot device
Plain-text
AES 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
Automatic Boot device
Plain-text
HMAC SHA-256 key
used to encrypt 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
By erasing the boot
device and power
cycling the unit
Table 15: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC)
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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 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.
Electromagnetic Interference/Electromagnetic Compatibility
(EMI/EMC)
The modules comply with EMI/EMC requirements for Class A or B 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.
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.
Table 16: FCC Report Information
Module Lab Information FCC Report
Number
FG-3700D The module is declared to conform with EMI/EMC
requirements for Class B (business use) devices as
specified by Part 15, Subpart B, of the FCC rules.
N/A
FG-3815D The module is declared to conform with EMI/EMC
requirements for Class B (business use) devices as
specified by Part 15, Subpart B, of the FCC rules.
N/A
FIPS 140-2 Compliant Operation
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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.
• The Fortinet entropy token is used to seed the DRBG.
• The Fortinet entropy token remains in the USB port during operation
• 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 must be capitalized
• One (or more) of the characters must be numeric
• One (or more) of the characters must 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 2048 bits are not used.
• Client side RSA certificates must use 2048 bit or greater key sizes.
• Only approved and allowed algorithms are used (see “Algorithms” on page 15).
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.
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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 entropy-token enable
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
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-256
• Triple-DES, CBC mode, encrypt known answer test
• Triple-DES, CBC mode, decrypt known answer test
• AES, CBC mode, encrypt known answer test
• AES, CBC mode, decrypt known answer test
• HMAC SHA-1 known answer test
• SHA-1 known answer test (tested as part of HMAC SHA-1 known answer test)
• HMAC SHA-256 known answer test
• SHA-256 known answer test (tested as part of HMAC SHA-256 known answer test)
• RSA signature generation known answer test
• RSA signature verification known answer test
• 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 - e.g. when the
AES self-test is run, all AES implementations are tested.
The module executes the following conditional tests when the related service is invoked:
• Continuous NDRNG test
• Continuous DRBG test
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• RSA pairwise consistency test
• Configuration integrity test using HMAC SHA-256
• 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.