FIPS 140-2 Security Policy
FortiGate-VM Virtual Appliance
Software Version 5.2
FortiGate-VM Virtual Appliance Non-Proprietary FIPS 140-2 Security Policy
Document Version: 1.4
Publication Date: April 7, 2017
Description: Documents FIPS 140-2 Level 1 Security Policy issues, compliancy and requirements for FIPS
compliant operation.
software Version: FortiGate-VM64 v5.2.7,build0718,160328
FortiGate-VM Virtual Appliance FIPS 140-2 Security Policy
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Copyright© 2017 Fortinet, Inc. All rights reserved. Fortinet®, FortiGate®, FortiCare® and FortiGuard®,
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This document may be freely reproduced and distributed whole and intact including this copyright notice.
FortiGate-VM Virtual Appliance FIPS 140-2 Security Policy
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Contents
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Module Interfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . . 6
Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Operational Environment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Entropy Token . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 11
Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Key Archiving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
FIPS 140-2 Compliant Operation. . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Self-Tests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
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Overview
This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate-VM
virtual security appliance running FortiOS 5.2. This policy describes how the appliance
(hereafter referred to as the ‘module’) meet the FIPS 140-2 security requirements and how
to operate the module in a FIPS compliant manner. This policy was created as part of the
FIPS 140-2 Level 1 validation of the module.
The Federal Information Processing Standards Publication 140-2 - Security Requirements
for Cryptographic modules (FIPS 140-2) details the United States Federal Government
requirements for cryptographic modules. Detailed information about the FIPS 140-2
standard and validation program is available on the NIST (National Institute of Standards
and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html.
References
This policy deals specifically with operation and implementation of the module in the
technical terms of the FIPS 140-2 standard and the associated validation program. Other
Fortinet product manuals, guides and technical notes can be found at the Fortinet
technical documentation website at http://docs.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, both physical and virtual, 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.
FortiGate appliances 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 appliances 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 module meets the overall requirements for a FIPS 140-2 Level 1 validation.
Module Description
The FortiGate-VM Virtual Appliance is a software security module designed to execute on
a general purpose computer (GPC) hardware platform running the VMware hypervisor. As
a software cryptographic module, the virtual appliance has no physical characteristics.
The module must rely on physical characteristics of the host system on which it runs. The
module supports the physical interfaces of the Dell PowerEdge R720. See Figure 1 for a
block diagram of the physical system. The module utilizes physical interfaces of the tested
platform hosting the virtual environment upon which the module is installed. The
hypervisor running on the physical system controls and maps the module's virtual
interfaces to the physical interfaces, which include the CPU, memory, network interfaces
and hard disk.
Table 1: Summary of FIPS security requirements and compliance levels
Security Requirement Compliance
Level
Cryptographic module Specification 1
Cryptographic module Ports and Interfaces 3
Roles, Services and Authentication 3
Finite State Model 1
Physical Security N/A
Operational Environment 1
Cryptographic Key Management 1
EMI/EMC 1
Self-Tests 1
Design Assurance 3
Mitigation of Other Attacks 1
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Figure 1: FortiGate-VM Physical and Cryptographic Boundaries
The validated software version is FortiGate-VM64 v5.2.7,build0718,160328 and a Fortinet
entropy token (FTR-ENT-1) was used as the entropy source.
Module Interfaces
The module’s logical interfaces and physical ports are described in Table 2.
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Web-Based Manager
The FortiGate-VM web-based manager provides GUI based access to the module and is
the primary tool for configuring the module. The manager requires a web browser on the
management computer and an Ethernet connection between the FortiGate-VM appliance
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-CC mode and is disabled.
Figure 2: The FortiGate-VM web-based manager
Table 2: Module interfaces and physical ports
FIPS 140 Interface FortiGate-VM Interface Logical Interface Physical Port
Data Input Virtual Ethernet Ports,
Virtual USB Ports
API input parameters Network interface, USB
interface (Entropy token)
Data Output Virtual Ethernet Ports API output parameters Network interface
Control Input Virtual Ethernet Ports,
Virtual Serial Ports,
Virtual USB Ports
API function calls Network interface, serial
interface, USB interface
(Entropy token)
Status Output Virtual Ethernet Ports,
Virtual Serial Ports
API return values Network interface, serial
interface
Power Input N/A N/A The power supply is the
power interface
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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-VM appliance and the management
computer. The console connection is a direct serial connection. Terminal emulation
software is required on the management computer using either method. For network
access, a Telnet or SSH client that supports the SSH v2.0 protocol is required (SSH v1.0
is not supported in FIPS-CC mode). Telnet access to the CLI is not allowed in FIPS-CC
mode and is disabled.
Roles, Services and Authentication
Roles
When configured in FIPS-CC mode, the module provides the following roles:
• Crypto Officer
• Network User
The Crypto Officer role is initially assigned to the default ‘admin’ operator account. The
Crypto Officer role has read-write access to all of the module’s administrative services.
The initial Crypto Officer can create additional operator accounts. These additional
accounts are assigned the Crypto Officer role and can be assigned a range of read/write
or read only access permissions including the ability to create operator accounts.
The module also provides a Network User role for end-users (Users). Network Users can
make use of the encrypt/decrypt services, but cannot access the module for administrative
purposes.
The module does not provide a Maintenance role.
FIPS Approved Services
The following tables detail the types of FIPS approved services available to each role 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 3: Services available to Crypto Officers
Service Access Key/CSP
authenticate to module WE Operator Password, Diffie-Hellman Key,
HTTP/TLS and SSH Server/Host Keys,
HTTPS/TLS and SSH Session
Authentication Keys, and HTTPS/TLS
Session Encryption Keys, 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
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Table 4: Services available to Network Users in FIPS-CC mode
enable FIPS-CC mode of operation
(console only)
WE Configuration Integrity Key
key zeroization WE All Keys, See “Key Zeroization” on
page 9
execute factory reset (disable FIPS-
CC mode, console/CLI only)
E All keys except software update key,
configuration integrity key, configuration
backup key
execute FIPS-CC on-demand self-
tests (console only)
E Configuration Integrity Key, Software
Integrity Key
add/delete operators and network
users
WE Crypto Officer Password,
Network User Password
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 software update E Software 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 3: Services available to Crypto Officers
Service Access Key/CSP
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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 3 and Table 4 are considered non-approved when using the following
algorithms:
• Non-compliant-strength Diffie-Hellman
• Non-compliant-strength RSA key wrapping
• DES
• MD5
• HMAC-MD5
Authentication
The module implements identity based authentication. Operators must authenticate with a
user-id and password combination to access the module 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 module 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 module 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 module supports
authentication with a user-id/password combination. Network User authentication is done
over HTTPS and does not allow access to the module 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 15.
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:
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• 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.
Physical Security
The FortiGate-VM virtual appliance is a software module and defined a as multi-chip,
standalone cryptographic module. As a software module the FIPS 140-2 physical
requirements are not applicable.
Operational Environment
The operational environment for the module consists of the FortiGate-VM software and
the VMware hypervisor. The module was tested as meeting level 1 with the FortiGate-VM
software on VMware ESXi 5.5.0 running on a Dell PowerEdge R720.
Cryptographic Key Management
Random Number Generation
The module uses a software based, deterministic random bit generator (DRBG) that
conforms to NIST Special Publication 800-90A. There is no assurance of the minimum
strength of generated keys.
Entropy Token
The module uses a Fortinet entropy token (part number FTR-ENT-1 or part number FTR-
ENT-2) to seed the DRBG during the module’s 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.
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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Algorithms
Note that the algorithms in Table 7 are listed as non-compliant since Known Answer Tests
for the algorithms are not implemented in the validated software build.
Table 5: FIPS Approved Algorithms
Algorithm NIST Certificate Number
CTR DRBG (NIST SP 800-90A) with 256-bits 1199
Triple-DES in CBC mode with 192-bits 2201, 2202
AES in CBC mode (128-, 192-, 256-bits) 4021, 4022
SHA-1 3317, 3318
SHA-256 3317, 3318
HMAC SHA-1 2623, 2624
HMAC SHA-256 2623, 2624
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
2191
CVL (SSH) - with TDES-192 bit-CBC, AES 128 bit-,
AES 256 bit -CBC (using SHA1)
851
CVL (TLS) - TLS 1.1 and 1.2 851
CVL (IKE v1 and v2) 850
Table 6: 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 9 for additional
information.
Table 7: FIPS Non-Compliant Algorithms
Algorithm
SHA-384
SHA-512
HMAC SHA-384
HMAC SHA-512
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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 module. The following definitions apply to the table:
Table 8: 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 9: 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
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/decryptio
n using Triple-DES
or AES
By erasing the Boot
device and power
cycling the module
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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
Software Update
Key
Preconfigured Boot device
Plain-text
Verification of
software integrity
when updating to
new software
versions using RSA
public key (software
load test)
By erasing the boot
device and power
cycling the module
Software
Integrity Key
Preconfigured Boot device
Plain-text
Verification of
software integrity in
the software integrity
test using RSA
public key (software
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
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
Table 9: 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 software (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 route/interface based (for IPSec VPN only).
Policy Based IPSec VPN
Firewall policies with an action of IPSec mean that the firewall is functioning as an IPSec
VPN start/end point for the specified source/destination addresses and is operating in a
non-bypass state.
Firewall policies with an action of accept and use the ssl.root interface mean the firewall is
acting as an SSL VPN end point for SSL VPN clients and is operating in a non-bypass
state.
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 9: Cryptographic Keys and Critical Security Parameters used in FIPS-CC mode
Key or CSP Generation Storage Usage Zeroization
Mitigation of Other Attacks
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01-525-296259-20151016 14
Firewall policies with an action of accept mean that the firewall is accepting/sending
plaintext data for the specified source/destination addresses and is operating in a bypass
state.
Route/Interface Based IPSec VPN
Route/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 interface, 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 (policy based and route/interface based VPN), 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.
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 module. 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 module can record the
event in the log and/or send an alert email to an operator.
For complete information refer to the FortiGate-VM Installation Guide, the FortiGate
Administration Guide and the FortiGate IPS Guide.
FIPS 140-2 Compliant Operation
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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-VM unit. You must ensure that:
• The FortiGate-VM unit is configured in the FIPS-CC mode of operation.
• The FortiGate-VM unit is installed in a secure physical location.
• Physical access to the FortiGate-VM 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 and Network User passwords are at least 8 characters long.
• Administrative and Network User passwords are changed regularly.
• Administrative and Network User 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 10).
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.
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:
Self-Tests
FortiGate-VM Virtual Appliance FIPS 140-2 Security Policy
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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:
• Software 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
• RSA pairwise consistency test
• Configuration/VPN bypass test using HMAC SHA-256
• Software 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.