FIPS 140-2 Security Policy FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 blades 5140 5140SAP SERIAL 1 SERIAL 2 ALARM L 1 2 3 R R CA T ITI MAJO MINO USER USER USER SE CR RE 13 11 9 7 5 3 1 2 4 6 8 10 12 14 PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE USB 1 2 3 4 5 6 7 8 CONSOLE 5 STA IPM PWR ACC USB USB USB USB USB USB USB USB USB USB USB USB USB USB USB 1 2 3 4 5 6 7 8 CONSOLE 1 1 1 1 1 1 1 4 1 1 1 1 1 1 1 STA IPM PWR ACC 2 2 2 2 2 2 2 2 2 2 2 2 2 2 USB 5000SM ETH0 ETH1 1 2 3 4 5 6 7 8 CONSOLE 10/100 10/100 link/Act link/Act 3 STA IPM PWR ACC 3 3 3 3 3 3 3 3 3 3 3 3 3 3 ETH0 Service RESET USB 1 2 3 4 5 6 7 8 4 4 4 4 4 4 4 STATUS CONSOLE 4 4 4 4 4 4 4 2 STA IPM PWR ACC POWER Hot Swap 5 5 5 5 5 5 5 5 5 5 5 5 5 5 USB 12 1 2 3 4 5 6 7 8 6 6 6 6 6 6 6 1 6 CONSOLE 6 6 6 6 6 6 STA IPM PWR ACC 5000SM 7 7 ETH0 ETH1 7 7 7 7 7 7 7 7 7 7 7 7 10/100 10/100 link/Act link/Act ShMC ShMC 8 8 8 8 8 8 8 Critical 8 8 8 8 8 8 8 Hot Swap Major ETH0 Service Status STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM 1 Minor 2 STA IPM Alarm Alarm RESET STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM Console Ethernet Reset STATUS Hot Swap FILTER 0 1 2 FAN TRAY FAN TRAY FAN TRAY FIPS 140-2 Security Policy - FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 blades Document Version: 3.8 Publication Date: July 30, 2009 Description: Documents FIPS 140-2 Security Policy issues, compliancy and requirements for FIPS compliant operation. Hardware Models: FortiGate-5001SX (P4CF76) FortiGate-5001FA2 (C5FA26) FortiGate-5050 (C4QP38) FortiGate-5140 (C4GL51) Firmware Version: FortiOS 3.0, build8931, 081110 www.fortinet.com FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 blades FIPS 140-2 Security Policy v3.8 July 30, 2009 01-00000-0386-20061206 This document may be copied without Fortinet Incorporated’s explicit permission provided that it is copied in it’s entirety without any modification. Trademarks Dynamic Threat Prevention System (DTPS), APSecure, FortiASIC, FortiBIOS, FortiBridge, FortiClient, FortiGate, FortiGate Unified Threat Management System, FortiGuard, FortiGuard-Antispam, FortiGuard- Antivirus, FortiGuard-Intrusion, FortiGuard-Web, FortiLog, FortiAnalyzer, FortiManager, Fortinet, FortiOS, FortiPartner, FortiProtect, FortiReporter, FortiResponse, FortiShield, FortiVoIP, and FortiWiFi are trademarks of Fortinet, Inc. in the United States and/or other countries. The names of actual companies and products mentioned herein may be the trademarks of their respective owners. Regulatory compliance FCC Class A Part 15 CSA/CUS Caution: If you install a battery that is not the correct type, it could ! explode. Dispose of used batteries according to local regulations. Contents Contents References .................................................................................................... 5 Security Level Summary ................................................................................... 6 FIPS-CC Mode of Operation.............................................................................. 6 FortiGate Module Description .......................................................................... 6 Cryptographic Module Description ................................................................ 7 Cryptographic Module Ports and Interfaces .................................................. 8 Roles, Services and Authentication ............................................................ 15 Physical Security......................................................................................... 19 Operational Environment ............................................................................ 22 Cryptographic Key Management................................................................. 22 Alternating Bypass Feature ......................................................................... 25 Key Archiving .............................................................................................. 25 Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) ... 25 Mitigation of Other Attacks............................................................................. 26 IPS Signature Protection ............................................................................. 26 IPS Attack Protection .................................................................................. 27 Antivirus Protection ..................................................................................... 27 Antispam Protection .................................................................................... 27 Web Filtering ............................................................................................... 28 FortiGuard Services .................................................................................... 28 FIPS 140-2 Compliant Operation .................................................................... 28 Overview of FIPS 140-2 compliant operation.............................................. 29 Initial configuration of the FortiGate unit ..................................................... 29 Enabling FIPS-CC mode ............................................................................. 31 Self-Tests .................................................................................................... 33 Effects of FIPS-CC compliant mode ........................................................... 34 Remote access requirements ..................................................................... 35 Disabling FIPS-CC mode ............................................................................ 36 Error mode ....................................................................................................... 36 FIPS Error Mode ......................................................................................... 36 CC Error Mode ............................................................................................ 37 Non-FIPS Approved Services ......................................................................... 37 FortiGate-5050 Chassis with FortiGate-5001SX, 5001FA2 and 5005FA2 Blades - FIPS 140-2 Security Policy 01-00000-0382-20061201 3 Contents FortiGate-5050 Chassis with FortiGate-5001SX, 5001FA2 and 5005FA2 Blades - FIPS 140-2 Security Policy 4 01-00000-0382-20061201 References This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate-5050 and 5140 with the FortiGate-5001SX and 5001FA2 blade based Multi-Threat Security Systems. This policy describes how the FortiGate-5001SX and 5001FA2 blades, when installed in the FortiGate-5050 and 5140 chassis (hereafter referred to in combination as the ‘module’ or ‘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 Level 2 FIPS 140-2 validation of the modules. This document contains the following sections: • Security Level Summary • FIPS-CC Mode of Operation • FortiGate Module Description • Mitigation of Other Attacks • FIPS 140-2 Compliant Operation • Error mode • Non-FIPS Approved Services The Federal Information Processing Standards Publication 140-2 - Security Requirements for Cryptographic Modules (FIPS 140-2) details the United States Federal Government requirements for cryptographic modules. Detailed information about the FIPS 140-2 standard and validation program is available on the NIST (National Institute of Standards and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html. References This policy deals specifically with operation and implementation of the FortiGate module in the technical terms of the FIPS 140-2 standard and the associated validation program. Other FortiGate product manuals, guides and technical notes can be found at the Fortinet technical documentation website at http://docs.forticare.com. Additional information on the entire FortiGate product line can be obtained from the following sources: • Find general product information in the product section of the Fortinet corporate website at http://www.fortinet.com/products. • Find on-line product support for registered products in the technical support section of the Fortinet corporate website at http://www.fortinet.com/support • Find contact information for technical or sales related questions in the contacts section of the Fortinet corporate website at http://www.fortinet.com/contact. • Find security information and bulletins in the FortiGuard Center of the Fortinet corporate website at http://www.fortinet.com/FortiGuardCenter. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 5 References Security Level Summary The modules, consisting of the Fortinet FortiGate-5050 and 5140 chassis with the FortiGate-5001SX and 5001FA2 blade based Multi-Threat Security Systems, meet the overall requirements for a Level 2 FIPS 140-2 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 FIPS-CC Mode of Operation To operate the FortiGate modules in a FIPS compliant manner, the modules must be configured to run in the FIPS mode of operation. Enabling the FIPS mode of operation sets default values, disables some features and performs additional configuration procedures. See “FIPS 140-2 Compliant Operation” on page 28 for complete details on configuring the modules in the FIPS-CC mode of operation. FortiGate Module Description The FortiGate family spans the full range of network environments, from SOHO to service provider, offering cost effective systems for any size of application. They 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, the FortiGate module 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 Multi-Layered Security Systems employ Fortinet’s unique FortiASIC™ content processing chip and the powerful, secure, FortiOS™ operating system to 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. As the only systems in the world that are certified by ICSA for firewall, IPSec VPN, SSL VPN, antivirus, and intrusion FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 6 01-00000-0382-20061201 Cryptographic Module Description prevention functionality, the FortiGate modules deliver the highest level of security available. They provide a critical layer of real-time, network-based antivirus protection that complements host-based antivirus software and supports “defense-in-depth” strategies without compromising performance or cost. 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. FortiGate modules support the IPSec industry standard for VPN, allowing VPNs to be configured between a FortiGate module and any client or gateway/firewall that supports IPSec VPN. FortiGate modules also provide SSL VPN services. This section contains the following information: • Cryptographic Module Description • Cryptographic Module Ports and Interfaces • Roles, Services and Authentication • Physical Security • Operational Environment • Cryptographic Key Management • Alternating Bypass Feature • Key Archiving • Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) Cryptographic Module Description The FortiGate modules (the blades and chassis in combination) are multiple chip, standalone cryptographic devices consisting of production grade components contained in a physically protected enclosure in accordance with FIPS 140-2 Level 2 requirements. The blades run the FortiOS firmware, perform all of the cryptographic functions and provide the input/output interfaces. The chassis provide power, cooling and physical protection for the modules as a whole. The chassis do not run FortiOS firmware. The modules are Internet devices that provide integrated firewall, VPN, antivirus, antispam, intrusion prevention, content filtering and traffic shaping capabilities. This FIPS 140-2 Security Policy specifically covers the firewall, IPSec and SSL- VPN capabilities of the modules. The antivirus, antispam, intrusion prevention, content filtering and traffic shaping capabilities of the modules can be used without compromising the FIPS approved mode of operation. The blades 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-5001SX has 8 Gigabit network interfaces with a status LED for each interface (4 Gigabit SFP, 4 10/100/1000 BaseT) • The FortiGate-5001FA2 has 8 Gigabit network interfaces with a status LED for each interface (2 Accelerated Gigabit SFP, 2 Gigabit SFP, 4 10/100/1000 BaseT) The blades each have two x86 compatible CPUs. The blades are ATCA compliant. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 7 Cryptographic Module Ports and Interfaces The blades and chassis do not have hard drives. The FortiGate-5050 has a hot Swapable fan unit that contains 2 ventilation fans on the right side of the chassis The FortiGate-5140 has 3 hot swappable, internal ventilation fan units that draw in air from the bottom front of the chassis and expel it from the top rear. The FortiGate-5050 includes two DC power connectors. The FortiGate-5140 supports up to two, hot-swappable, DC power entry modules (PEMs). The FortiGate-5050 and 5140 chassis uses an external DC power sources. The FortiGate-5050 and 5140 chassis include removable Shelf Manager panels. The Shelf Manager provides management functions for the chassis only. The FortiGate-5050 and 5140 chassis includes slots for rear-panel blades. The rear-panel slots are not used in the validated configuration. Cryptographic Module Ports and Interfaces FortiGate-5001SX Blade Figure 1: FortiGate-5001SX Front Panel l Module Flash Disk Link/Traffic Position Access Status Power USB Ports USB 1 2 3 4 5 6 7 8 CONSOLE STA IPM PWR ACC Mounting Extraction Extraction Mounting Knot Knot Lever Lever Console 1234 5678 Locking Port SFP Gigabit fiber Gigabit Copper Screw or copper Table 2: FortiGate-5001SX Status LEDs LED State Description PWR Green The Fortinet module is powered on. ACC Off or The ACC LED flashes red when the Fortinet module Flashing accesses the FortiOS flash disk. The FortiOS flash disk red stores the current FortiOS firmware build and configuration files. The system accesses the flash disk when starting up, during a firmware upgrade, or when an administrator is using the CLI or GUI to change the FortiOS configuration. Under normal operating conditions this LED flashes occasionally, but is mostly off. STA Green Normal operation. Red The Fortinet is starting or a fault condition exists. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 8 01-00000-0382-20061201 Cryptographic Module Ports and Interfaces Table 2: FortiGate-5001SX Status LEDs LED State Description IPM Blue The Fortinet is ready to be hot-swapped (removed from the chassis). If the IPM light is blue and no other LEDs are lit the Fortinet module has lost power, possibly because of a loose or incorrectly aligned left extraction lever. Flashing The Fortinet is changing from hot swap to running mode Blue or from running mode to hot swap. Off Normal operation. The Fortinet module is in contact with the chassis backplane. 1, 2, 3, 4 Green The correct cable is connected to the gigabit SFP interface. Flashing Network activity at the gigabit SFP interface. 5, 6, Link Green The correct cable is inserted into this interface and the connected equipment has power. 7, 8 LED Flashing Network activity at this interface. Speed Green The interface is connected at 1000 Mbps. LED Amber The interface is connected at 100 Mbps. Unlit The interface is connected at 10 Mbps. Table 3: FortiGate-5001SX Front Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces 1, 2, 3, 4 LC-SFP 1000BaseSX Data input, data Gigabit SFP interfaces output, control input that can accept fiber or and status output copper gigabit transceivers. These interfaces only operate at 1000Mbps. 5, 6, 7, 8 RJ-45 10/100/1000 Data input, data Copper gigabit output, control input connection to BaseT and status output 10/100/1000Base-T copper networks. Console DB-9 9600 bps Control input, status Optional connection to Port output the management computer. Provides access to the command line interface (CLI). USB Ports USB N/A Key loading and Optional connection archiving for FortiUSB token. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 9 Cryptographic Module Ports and Interfaces FortiGate-5001FA2 Blade Figure 2: FortiGate-5001FA2 Front Panel Flash Disk Link/Traffic Module Access Position USB Ports Power Status USB 1 2 3 4 5 6 7 8 CONSOLE STA IPM PWR ACC Mounting Extraction 3 4 SPF Gigabit Extraction Mounting Knot Lever Fiber or Copper Lever Knot Console 1 2 SPF Gigabit 5678 Port Fiber or Copper Gigabit Copper Accelerated Table 4: FortiGate-5001SX Status LEDs LED State Description PWR Green The FortiGate-50012FA2 module is powered on. ACC Off or The ACC LED flashes red when the Fortinet module accesses Flashing the FortiOS flash disk. The FortiOS flash disk stores the red current FortiOS firmware build and configuration files. The system accesses the flash disk when starting up, during a firmware upgrade, or when an administrator is using the CLI or GUI to change the FortiOS configuration. Under normal operating conditions this LED flashes occasionally, but is mostly off. STA Green Normal operation. Red The Fortinet is booting or a fault condition exists. IPM Blue The Fortinet is ready to be hot-swapped (removed from the chassis). If the IPM light is blue and no other LEDs are lit the Fortinet module has lost power, possibly because of a loose or incorrectly aligned left extraction lever. Flashing The Fortinet is changing from hot swap to running mode or Blue from running mode to hot swap. Off Normal operation. The Fortinet module is in contact with the chassis backplane. 1, 2, 3, 4 Green The correct cable is connected to the gigabit SFP interface. Flashing Network activity at the gigabit SFP interface. 5, 6, Link Green The correct cable is inserted into this interface and the connected equipment has power. 7, 8 LED Flashing Network activity at this interface. Speed Green The interface is connected at 1000 Mbps. LED Amber The interface is connected at 100 Mbps. Unlit The interface is connected at 10 Mbps. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 10 01-00000-0382-20061201 Cryptographic Module Ports and Interfaces Table 5: FortiGate-5001FA2 Front Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces 1, 2 LC-SFP 1000BaseSX Data input, data Accelerated gigabit SFP output, control input interfaces that can and status output accept fiber or copper gigabit transceivers. These interfaces only operate at 1000Mbps. 3, 4 LC-SFP 1000BaseSX Data input, data Gigabit SFP interfaces output, control input that can accept fiber or and status output copper gigabit transceivers. These interfaces only operate at 1000Mbps. 5, 6, 7, 8 RJ-45 10/100/1000 Data input, data Copper gigabit output, control input connection to BaseT and status output 10/100/1000Base-T copper networks. Console RJ-45 9600 bps Control input, status Optional connection to Port output the management computer. Provides access to the command line interface (CLI). USB Ports USB N/A Key loading and Optional connection for archiving FortiUSB token. FortiGate-5050 Chassis Figure 3: FortiGate-5050 Front Panel USB 1 2 3 4 5 6 7 8 CONSOLE 5 STA IPM PWR ACC USB 1 2 3 4 5 6 7 8 CONSOLE 4 STA IPM PWR ACC USB 1 2 3 4 5 6 7 8 CONSOLE 3 STA IPM PWR ACC Hot-swappable cooling fan tray USB 1 2 3 4 5 6 7 8 CONSOLE 2 STA IPM PWR ACC POWER Power LED USB 1 2 3 4 5 6 7 8 1 CONSOLE STA IPM PWR ACC ShMC ShMC Critical Hot Swap Major Status 1 Minor 2 Alarm Alarm Console Ethernet Reset FortiGate-5050 ESD socket Shelf Manager FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 11 Cryptographic Module Ports and Interfaces Figure 4: FortiGate-5050 Rear Panel 5 4 3 2 RTN RTN 1 INPUT A INPUT B Ground DC VOLTAGE RANGE DC VOLTAGE RANGE -48V -48V -48V TO -58V -48V TO -58V RTN (-DC IN) RTN (-DC IN) Connector GND 25 25 AMP AMP (green) -48V to -58V -48V to -58V Positive Positive (-DC in) (-DC in) (RTN) (RTN) (black) (black) Power (red) (red) wire ESD socket fixture DC Power DC Power Input A Input B FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 12 01-00000-0382-20061201 Cryptographic Module Ports and Interfaces FortiGate-5140 Chassis Figure 5: FortiGate-5140 Front Panel ESD socket Shelf alarm 5140 5140SAP panel (SAP) SERIAL 1 SERIAL 2 ALARM AL R R R1 R2 R3 T ITIC MAJO MINO USE USE USE SE CR RE 13 11 9 7 5 3 1 2 4 6 8 10 12 14 Slot numbers PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE USB USB USB USB USB USB USB USB USB USB USB USB USB USB 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 2 2 5000SM ETH0 ETH1 10/100 10/100 link/Act link/Act 3 3 3 3 3 3 3 Primary 3 3 3 3 3 3 3 ETH0 Service RESET shelf manager 4 4 4 4 4 4 4 STATUS 4 4 4 4 4 4 4 Hot Swap 5 5 5 5 5 5 5 5 5 5 5 5 5 5 12 6 6 6 6 6 6 6 6 6 6 6 6 6 6 5000SM 7 7 ETH0 ETH1 7 7 7 7 7 7 7 7 7 7 7 7 10/100 10/100 link/Act link/Act 8 8 8 8 8 8 8 8 8 8 8 8 8 8 ETH0 Service STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM RESET STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STATUS Hot Swap Front accessible air filter FILTER Front cable tray Cooling fan trays 0, 1, 2 0 1 2 FAN TRAY FAN TRAY FAN TRAY FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 13 Cryptographic Module Ports and Interfaces Figure 6: FortiGate-5140 Rear Panel Backplane slot filler panels Backplane Back cable 14 12 10 8 6 4 2 1 3 5 7 9 11 13 slot numbers tray A PEM B PEM ESD -48V/-60 VDC nom RETURN -48V/-60 VDC nom RETURN socket -48V 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 RTN Chassis TERMINAL BLOCK COVER ground Remove terminal block cover and decable before removing PEM. 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 connector A PEM B PEM (green) GND -48V/-60 VDC RTN -48V/-60 VDC RTN nom (black) (red) nom (black) (red) Power Power TERMINAL BLOCK COVER Entry Module B Entry Module A Remove terminal block cover and decable before removing PEM. (terminal block cover removed) 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 modules and the management computer. A web-browser that supports Transport Layer Security (TLS) 1.0 is required for remote access to the web-based manager when the modules are operating in FIPS-CC mode. HTTP access to the web-based manager is not allowed in FIPS- CC mode and is disabled. The web browser is not part of the validated module boundary. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 14 01-00000-0382-20061201 Roles, Services and Authentication Figure 7: The FortiGate web-based manager Command Line Interface The FortiGate Command Line Interface (CLI) is a full-featured, text based management tool for the FortiGate modules. The CLI provides access to all of the possible services and configuration options in the modules. The CLI uses a console connection or a network (Ethernet) connection between the FortiGate module 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). The Telnet or SSH client is not part of the validated module boundaries. Roles, Services and Authentication Roles When configured in FIPS-CC mode, the modules provide three roles for Crypto Officers (hereafter referred to as operators): Security Administrator, Crypto Administrator and Audit Administrator. These roles, or combinations of these roles, are assumed by an operator after authenticating to the modules remotely or through the console connection using a username/password combination. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 15 Roles, Services and Authentication An operator assuming the Security Administrator role has read/write access to all of the administrative functions and services of the modules, including resetting or shutting down the modules. An operator with the Security Administrator role can also create accounts for additional operators and assign roles to those operators. However, the Security Administrator role has read only access to crypto and audit related functions and services. An operator assuming the Crypto Administrator role has read/write access to crypto related functions and services and read only access to all other functions and services. An operator assuming the Audit Administrator role has read/write access to audit related functions and services and read only access to all other functions and services. Operators can be assigned more than one role. An operator that assumes all three administrative roles has complete administrative access to the module. Multiple operator accounts can be created. Operator accounts are differentiated by the username during authentication. More than one operator can be connected to the module at any given time, however each operator session is authenticated separately. The modules 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. Refer to the next section on Services for detailed information on what functions and services each role has access to. The modules do not provide a Maintenance role. FIPS Approved Services The following tables detail the types of FIPS approved services available to each role, the types of access for each role and the Keys or CSPs they affect. The role names are abbreviated as follows: Security Administrator SA Crypto Administrator CA Audit Administrator AA Network User NU The access types are abbreviated as follows: FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 16 01-00000-0382-20061201 Roles, Services and Authentication Read Access R Write Access W Execute Access E Table 6: FIPS approved services available by role via the CLI (console or SSH) Service SA CA AA Key/CSP authenticate to module E E E Operator Username, Operator Password show system status R N/A N/A N/A show FIPS mode R N/A N/A N/A enabled/disabled enable FIPS mode of operation WE N/A N/A FIPS-CC Mode Key (console only) set/reset operator passwords WE N/A N/A Operator Password execute factory reset (zeroize E N/A N/A All keys stored in Flash RAM keys, disable FIPS mode) execute FIPS-CC on-demand E E E N/A self-tests (console only) add/delete operators RWE N/A N/A Operator Username, Operator Password set/reset own password WE N/A N/A Operator Password execute firmware download E N/A N/A N/A execute system reboot E N/A N/A N/A execute system shutdown E N/A N/A N/A backup configuration file WE N/A N/A All keys stored in Flash RAM restore system configuration RWE N/A N/A All keys stored in Flash RAM execute system diagnostics E E E N/A change system time WE N/A N/A N/A read/set/delete/modify RWE N/A N/A N/A system/network configuration read/set/delete/modify firewall RWE N/A N/A N/A policies. enable/disable alternating bypass mode read/set/delete/modify AV RWE N/A N/A N/A configuration read/set/delete/modify AS RWE N/A N/A N/A configuration read/set/delete/modify Web RWE N/A N/A N/A Filter configuration read/set/delete/modify IM/P2P RWE N/A N/A N/A configuration read/set/delete/modify VPN N/A RWE N/A IPSec Manual Authentication configuration Key, IPSec Manual Encryption Key, IKE Pre-Shared Key, IKE RSA Key read/set/delete/modify IPS RWE N/A N/A N/A configuration FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 17 Roles, Services and Authentication Table 6: FIPS approved services available by role via the CLI (console or SSH) Service SA CA AA Key/CSP read/set/delete/modify logging RWE N/A N/A N/A configuration read log data R R R N/A delete log data N/A N/A WE N/A Table 7: FIPS approved services available by role via the web-manager Service SA CA AA Key/CSP authenticate to module E E E Operator Username, Operator Password show system status R N/A N/A N/A set/reset operator passwords WE N/A N/A Operator Password add/delete operators RWE N/A N/A Operator Username, Operator Password set/reset own password WE N/A N/A Operator Password execute firmware download E N/A N/A N/A execute system reboot E N/A N/A N/A execute system shutdown E N/A N/A N/A backup configuration file WE N/A N/A All keys stored in Flash RAM restore system configuration RWE N/A N/A All keys stored in Flash RAM change system time WE N/A N/A N/A read/set/delete/modify RWE N/A N/A N/A system/network configuration read/set/delete/modify firewall RWE N/A N/A N/A policies. enable/disable alternating bypass mode read/set/delete/modify AV RWE N/A N/A N/A configuration read/set/delete/modify AS RWE N/A N/A N/A configuration read/set/delete/modify Web Filter RWE N/A N/A N/A configuration read/set/delete/modify IM/P2P RWE N/A N/A N/A configuration read/set/delete/modify VPN N/A RWE N/A IPSec Manual Authentication configuration Key, IPSec Manual Encryption Key, IKE Pre- Shared Key, IKE RSA Key read/set/delete/modify NIPS RWE N/A N/A N/A configuration read/set/delete/modify logging RWE N/A N/A N/A configuration read log data R R R N/A manual AV/IPS signature E N/A N/A N/A download/update FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 18 01-00000-0382-20061201 Physical Security Table 8: VPN Cryptographic Services available to Network Users Service NU Key/CSP authenticate to module WE Network User Username, Network User Password encrypt/decrypt controlled by firewall E N/A policies 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 or SSH. 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 for operator authentication using the Web-based manager and Network User authentication over HTTPS are subject to a limit of 3 failed authentication attempts in 1 minute. Operator authentication using the console is not subject to a failed authentication limit, but the number of authentication attempts per minute is limited by the bandwidth available over the serial connection. The minimum password length is 8 characters when in FIPS-CC mode (maximum password length is 32 characters). Using a strong password policy, where operator and network user passwords are at least 8 characters in length and use a mix of alphanumeric (printable) characters from the ASCII character set, the odds of guessing a password are 1 in 968. For Network Users invoking the IPSec 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 Preshared Key (based on an 8 character, ASCII printable • key) 1 in 21024 for the IKE RSA Key (based on a 1024bit RSA key size) • Therefore the minimum odds of guessing the authentication key for IPSec is 1 in 948, based on the IKE Preshared key. Physical Security The modules meet FIPS 140-2 Security Level 2 requirements by using production grade components with passivation coating (where applicable) and an opaque, sealed enclosure. Access to the enclosure is restricted through the use of tamper- evident seals to secure the overall enclosure. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 19 Physical Security The seals are blue wax/plastic with white lettering that reads “Fortinet Inc. Security Seal”. The tamper seals are not applied at the factory prior to shipping. The required number of seals to secure each unit are included in the product packaging. It is the responsibility of the customer to apply the seals before use to ensure full FIPS compliance. Once the seals have been applied, the customer 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. The modules, consisting of the FortiGate-5050 or FortiGate 5140 chassis with the FortiGate-5001SX and 5001FA2 blades, use multiple seals to secure the external enclosure. Each blade, blank faceplate or access panel must be sealed. The placement of the tamper seals for the FortiGate-5050 is shown in Figure 8, Figure 9 and Figure 10. The placement of the tamper seals for the FortiGate-5050 is shown in Figure 11 and Figure 12. Figure 8: FortiGate-5050 front panel tamper seal placement USB 1 2 3 4 5 6 7 8 CONSOLE Security Seal 5 Fortinet Inc. STA IPM PWR ACC USB 1 2 3 4 5 6 7 8 CONSOLE 4 STA IPM PWR ACC USB 1 2 3 4 5 6 7 8 CONSOLE Security Seal Fortinet Inc. 3 STA IPM PWR ACC USB 1 2 3 4 5 6 7 8 CONSOLE 2 STA IPM PWR ACC POWER USB 1 2 3 4 5 6 7 8 Security Seal Fortinet Inc. CONSOLE 1 STA IPM PWR ACC Fortinet Inc. Fortinet Inc. Security Seal Security Seal ShMC ShMC Critical Hot Swap Major Status 1 2 Minor Alarm Alarm Console Ethernet Reset Figure 9: FortiGate-5050 rear panel tamper seal placement Fortinet Inc. Security Seal 5 4 3 2 1 Fortinet Inc. Security Seal INPUT A INPUT B DC VOLTAGE RANGE DC VOLTAGE RANGE -48V TO -58V -48V TO -58V RTN (-DC IN) RTN (-DC IN) 25 25 AMP AMP FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 20 01-00000-0382-20061201 Physical Security Figure 10: FortiGate-5050 top panel tamper seal placement Fortinet Inc. Fortinet Inc. Security Seal Security Seal Figure 11: FortiGate-5140 front panel tamper seal placement 5140 5140SAP Security Seal Security Seal Security Seal Security Seal Security Seal SERIAL 1 SERIAL 2 ALARM Fortinet Inc. Fortinet Inc. Fortinet Inc. Fortinet Inc. Fortinet Inc. AL R1 R2 R3 R R T ITIC MAJO MINO USE USE USE SE CR RE Fortinet Inc. Fortinet Inc. Fortinet Inc. Fortinet Inc. 13 11 9 7 5 3 1 2 4 6 8 10 12 14 Security Seal Security Seal Security Seal Security Seal PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC Security Seal Fortinet Inc. PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC PWR ACC CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE CONSOLE USB USB USB USB USB USB USB USB USB USB USB USB USB USB 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 2 2 5000SM ETH0 ETH1 10/100 10/100 link/Act link/Act 3 3 3 3 3 3 3 3 3 3 3 3 3 3 ETH0 Service RESET 4 4 4 4 4 4 4 STATUS Fortinet Inc. 4 4 4 4 4 4 4 Security Seal Hot Swap 5 5 5 5 5 5 5 5 5 5 5 5 5 5 12 6 6 6 6 6 6 6 6 6 6 6 6 6 6 5000SM 7 7 ETH0 ETH1 7 7 7 7 7 7 7 7 7 7 7 7 10/100 10/100 link/Act link/Act 8 8 8 8 8 8 8 8 8 8 8 8 8 8 ETH0 Service STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM RESET STA IPM STA IPM STA IPM STA IPM STA IPM STA IPM STATUS Hot Swap FILTER 0 1 2 FA N TR AY FAN TR AY FA N TR AY FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 21 Operational Environment Figure 12: FortiGate-5140 rear panel tamper seal placement Fortinet Inc. Fortinet Inc. Security Seal Security Seal 14 12 10 8 6 4 2 1 3 5 7 9 11 13 A PEM B PEM Fortinet Inc. Fortinet Inc. -48V/-60 VDC nom RETURN Security Seal -48V/-60 VDC nom RETURN Security Seal 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 4 3 2 1 A PEM B PEM Operational Environment This section is not applicable to the modules. The modules utilize a firmware based, proprietary and non-modifiable operating system that does not provide a programming environment. Cryptographic Key Management Random Number Generation The modules use a firmware based, deterministic random number generator that conforms to ANSI X9.31 Appendix A.2.4. Key Zeroization All keys and CSPs except the ANSI X9.31 RNG AES Key are zeroized when the operator executes a factory reset via the web-manager, CLI or console and when enabling or disabling the FIPS-CC mode of operation via the console. The ANSI X9.31 RNG AES Key is zeroized by executing a factory reset followed by a firmware update. See Table 11 on page 23 for a complete list of keys and CSPs. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 22 01-00000-0382-20061201 Cryptographic Key Management Algorithms Table 9: FIPS Approved or Allowed Algorithms Algorithm NIST Certificate Number RNG (ANSI X9.31 Appendix A) 530 Triple-DES 742, 743, 490 AES 925, 926, 476 SHA-1 909, 910, 544 HMAC SHA-1 516, 517, 233 Diffie-Hellman (key agreement; key establishment methodology provides between 80 and 201 bits of encryption strength; non- compliant less than 80-bits of encryption strength) RSA ANSI X9.31 (key generation, signature 449 generation/verification) RSA PKCS1 (digital signature creation and 449 verification, key wrapping; key establishment method provides 112 bits of encryption strength - only 2048 bit certificates are supported) Table 10: Non-FIPS Approved Algorithms Algorithm DES (disabled in FIPS-CC mode) MD5 (disabled in FIPS-CC mode except for use in the TLS protocol) HMAC MD5 (disabled in FIPS-CC mode) 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: Key or CSP The key or CSP description. Storage Where and how the keys are stored Usage How the keys are used Table 11: FIPS Approved Cryptographic Keys and Critical Security Parameters Key or CSP Storage Usage Diffie-Hellman Keys SDRAM Key agreement and key establishment Plaintext IPSEC Manual Authentication Flash RAM Used as IPSec Session Authentication Key Key AES encrypted IPSec Manual Encryption Key Flash RAM Used as IPSec Session Encryption Key AES encrypted IPSec Session Authentication SDRAM IPSec peer-to-peer authentication using Key HMAC SHA-1 Plain-text IPSEC Session Encryption SDRAM VPN traffic encryption/decryption using Key Triple-DES or AES Plain-text FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 23 Cryptographic Key Management Table 11: FIPS Approved Cryptographic Keys and Critical Security Parameters Key or CSP Storage Usage IKE Pre-Shared Key Flash RAM Used to derive IKE protocol keys AES encrypted IKE Authentication Key SDRAM IKE peer-to-peer authentication using HMAC SHA-1 (SKEYID_A) Plain-text IKE Key Generation Key SDRAM IPSEC SA keying material (SKEYID_D) Plain-text IKE Session Encryption Key SDRAM Encryption of IKE peer-to-peer key negotiation using Triple-DES or AES Plain-text (SKEYID_E) IKE RSA Key Flash Ram X.509 certificate used to derive IKE protocol keys Plain text RNG Seed (ANSI X9.31 SDRAM Seed used for initializing the RNG Appendix A.2.4) Plain-text RNG AES Key (ANSI X9.31 SDRAM AES Seed key used with the RNG Appendix A.2.4) Plain-text Firmware Download Public Flash RAM Verification of firmware integrity for Key download of new firmware versions Plain-text using RSA public key TLS/SSH/SSL-VPN Flash RAM Remote Web manager and CLI Server/Host Key authentication using HMAC SHA-1. Plain-text Also used for encrypting TLS session key using RSA method. HTTPS Session Key SDRAM Remote Web manager session encryption and authentication using Plain-text AES or Triple-DES SSH Session Key SDRAM Remote CLI session encryption and authentication using AES or Triple-DES Plain-text SSL-VPN Session Key SDRAM SSL-VPN session encryption and authentication using AES or Triple-DES Plain-text Operator Username Flash RAM Used during operator authentication to identify and assign roles to operators Plain-text Operator Password Flash RAM Used to authenticate operator access to the module SHA-1 hash FIPS-CC Mode Key Flash RAM HMAC SHA-1 key used for configuration, firmware and VPN Plain-text integrity (bypass) test Configuration Encryption Key Flash RAM AES key used to encrypt CSPs on the flash RAM and in the backup Plain-text configuration file (except for operator passwords in the backup configuration file) Configuration Backup Key Flash RAM HMAC SHA-1 key used to encrypt operator passwords in the backup Plain-text configuration file Network User Name Flash RAM Used during network user authentication Plaintext Network User Password Flash RAM Used during network user authentication SHA-1 hash FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 24 01-00000-0382-20061201 Alternating Bypass Feature Alternating Bypass Feature The primary cryptographic function of the FortiGate modules is as a firewall and VPN device. Encrypt/decrypt operations are performed on outgoing/incoming traffic based on firewall policies. 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 accordingly. Firewall policies with an action of allow mean that the firewall is accepting/sending plaintext data for the specified source/destination addresses. The FortiGate implements an alternating bypass feature that is based on the firewall policies. A firewall policy with an action of accept means that the modules are operating in a bypass state for that policy. A firewall policy with an action of IPSec or SSL-VPN means that the modules are operating in a non-bypass state for that policy. Two independent actions must be taken by an SA to create bypass firewall policies: the SA must create the bypass policy and then specifically enable that policy. Key Archiving The modules support key archiving to a management computer or USB token as part of a module configuration file backup. Operator entered keys are archived as part of the module configuration file. By default, the configuration file is stored in plain text, but keys in the configuration file are either AES encrypted with the configuration encryption key or stored as a SHA-1 hash. Note that while the modules also support encrypting the entire configuration file using AES, doing so is considered a non-FIPS Approved service. Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) The modules comply with EMI/EMC requirements for Class A (business use) devices as specified by Part 15, Subpart B, of the FCC rules. The following table lists the specific lab and FCC report information for the modules. Table 12: FCC Report Information Module Lab Information FCC Report Number FG-5050 Compliance Certification Services 05U3590-1 Inc. 561F Monterey Road. Morgan Hill, CA, 95037, USA (408) 463-0885 FG-5140 Compliance Certification Services 06U10772-1 47173 Benicia Street Fremont, CA 94538 (510) 771-1000 FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 25 IPS Signature Protection Mitigation of Other Attacks The FortiGate modules include a real-time Intrusion Prevention System (IPS) as well as antivirus protection, antispam and content filtering. Use of these capabilities is optional. The FortiGate IPS has two components: a signature based component for detecting attacks passing through the FortiGate modules 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. FortiGate 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. FortiGate 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. FortiGate 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. FortiGate web filtering can be configured to provide web (HTTP) content filtering. FortiGate 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. The rest of this section provides additional information on the IPS, antivirus, antispam and web and email filtering capabilities of the FortiGate module and the FortiGuard Service. For complete information refer to the FortiGate Installation Guide for the specific module in question, the FortiGate Administration Guide, and the FortiGate IPS Guide. This section contains the following information: • IPS Signature Protection • IPS Attack Protection • Antivirus Protection • Antispam Protection • Web Filtering • FortiGuard Services IPS Signature Protection The FortiGate IPS can detect a wide variety of suspicious network traffic and network-based attacks aimed at systems behind the FortiGate modules. Attack signatures are the core of the FortiGate IPS signature protection component. Signatures are transmission patterns and other codes that indicate that a system might be under attack. Functionally, signatures are similar to virus signatures, with each signature designed to detect a particular type of attack. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 26 01-00000-0382-20061201 IPS Attack Protection The FortiGate modules can be configured to automatically check for and download updated IPS packages from the FortiGuard servers, or they can be downloaded manually by the operator. Verification of the IPS download package is done using RSA. The IPS package is signed with the FortiGuard server’s private key and verified by the FortiGuard module using the FortiGuard server’s public key. User defined attack signatures are also supported. IPS Attack Protection The FortiGate IPS can also protect the modules themselves from direct attacks, such as TCP, ICMP, UDP, and IP attacks. Access is denied or packets are dropped when an attack is detected. Attack parameters can be modified by the operator to ensure that normal network traffic is not considered an attack. Antivirus Protection FortiGate antivirus protection scans for infected files in the protocols for which antivirus protection as been enabled. Supported protocols include HTTP, FTP, SMTP, POP3, IMAP, and IM. If a file is found to contain a virus it is removed from the content stream and replaced with a replacement message. FortiGate antivirus protection can also be configured to quarantine infected files. The quarantined files are stored on the module’s hard disk. An operator can delete quarantined files from the hard disk or download them. Downloaded quarantine files can be submitted to Fortinet as virus samples for analysis. FortiGate antivirus protection is transparent to the end user. The FortiGate modules can be configured to automatically check for and download updated AV packages from the FortiGuard servers, or they can be downloaded manually by the operator. Verification of the AV download package is done using RSA. The AV package is signed with the FortiGuard server’s private key and verified by the FortiGuard module using the FortiGuard server’s public key. FortiGate antivirus protection also detects and removes grayware such as adware, spyware, etc. Antispam Protection FortiGuard antispam protection can detect spam in SMTP, POP3 or IMAP traffic. Spam email is tagged or discarded. Spam detection methods include banned words, black/white lists, return email DNS check and the FortiGuard antispam service. The FortiGuard Antispam Service provides IP checking, URI address checking and email checksum analysis. To prevent unintentional tagging of email from legitimate senders, an operator can add sender address patterns to an exempt list that overrides the email block and banned word lists. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 27 Web Filtering Web Filtering FortiGate web filtering can be configured to scan HTTP protocol streams for banned URLs or web page content. Web filtering methods include banned words, URLs and the FortiGuard web filtering service. The FortiGuard web filtering service is a managed service that uses a database of URLs to block access to banned web sites and URLs based on content categories. If a match is found between a URL in the URL block list, the FortiGuard web filtering service, or if a web page is found to contain a word or phrase in the content block list, the FortiGate module blocks the web page. The blocked web page is replaced with a message that an operator can edit using the web-based manager. An operator can configure URL blocking to block all or just some of the pages on a specific web site. This feature can be used to deny access to parts of a web site without denying access to it completely. To prevent unintentional blocking of legitimate web pages, an operator can add URLs to an Exempt List that overrides the URL blocking and content blocking. Web content filtering also includes a script filter feature that can be configured to block insecure web content such as Java Applets, Cookies, and ActiveX. FortiGuard Services The FortiGuard services are a family of managed services available to Fortinet customers. The FortiGuard services include: • IPS signature and engine updates • AV signature and engine updates • A managed antispam service • A managed web filtering service • Firmware updates Customers can purchase FortiGuard services for their FortiGate modules on a yearly basis. Use of the FortiGuard services is optional, but recommended. Communication between the FortiGate module and the FortiGuard servers is protected using TLS. FIPS 140-2 Compliant Operation To operate a FortiGate module in a FIPs compliant manner, organizations must follow the procedures explained in this section of the Security Policy. This section contains the following information: • Overview of FIPS 140-2 compliant operation • Initial configuration of the FortiGate unit • Enabling FIPS-CC mode • Self-Tests • Effects of FIPS-CC compliant mode • Remote access requirements • Disabling FIPS-CC mode FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 28 01-00000-0382-20061201 Overview of FIPS 140-2 compliant operation Overview of FIPS 140-2 compliant operation FIPS 140-2 compliant operation requires both that you use the FortiGate Multi- Threat Security System in its FIPS-CC mode and that you follow secure procedures for installation and operation of the FortiGate module. You must ensure that: • The FortiGate module is installed in a secure physical location. • Physical access to the FortiGate module is restricted to authorized operators. • Administrative passwords are at least 8 characters long. • Administrative passwords are changed regularly. • Administrator account passwords must have the following characteristics: • One (or more) of the characters should be capitalized. • One (or more) of the characters should be numeric. • One (or more) of the characters should be non alpha-numeric (e.g. punctuation mark). • Administration of the FortiGate module is permitted using only validated administrative methods. These are: • console connection • web-based manager via HTTPS • command line interface (CLI) access via SSH • Web browsers are configured to use TLS 1.0 only for use with the SSL VPN functionality (SSL v3.0 support must be disabled in the browser) • Diffie-Hellman key sizes of less than 1024 bits (Group 5) are not used. The FortiGate module can be used in either of its two operation modes: NAT/Route or Transparent. NAT/Route mode applies security features between two or more different networks (for example, between a private network and the Internet). Transparent mode applies security features at any point in a network. The current operation mode is displayed on the web-based manager Status page and in the output of the get system status CLI command. Also, on LCD- equipped modules, Transparent mode is indicated by “FIPS-CC-TP” and NAT/Route by “FIPS-CC-NAT” on the LCD display. Initial Inspection of the Modules The SA must inspect a module before installation to verify that it has not been tampered with during shipment. The packaging and external enclosure must be inspected for visible signs of damage or tampering. If a module displays signs of damage or tampering, the SA must contact Fortinet or their reseller to obtain a replacement module. Applying the Security Seals After completing the initial inspection of the modules the SA must apply the security seals as explained in the section “Physical Security” on page 19 to ensure full compliance with the FIPS 140-2 standard. Initial configuration of the FortiGate unit This section describes how to configure your FortiGate module in the FIPS-CC mode of operation. Proceed as follows: • Install the module following the procedures in the documentation. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 29 Initial configuration of the FortiGate unit • Register your FortiGate module with Fortinet. • If you are upgrading an existing FortiGate module to FIPS-CC firmware, download the appropriate firmware from Fortinet and install it on your module. • Verify the firmware version of your FortiGate module. • Enable FIPS-CC mode. Verifying the hardware version of the module Check the label on the blade or chassis of the unit to determine the hardware version. Match the first 6 characters of the hardware version to the FIPS validated hardware versions listed in Table 13. Table 13: FIPS 140-2 validated hardware versions FortiGate Model Hardware Version FG-5001SX P4CF76 FG-5001FA2 C5FA26 FG-5050 C4QP38 FG-5140 C4GL51 Installing the unit Both the Quick Start Guide and the Getting Started section of the Installation Guide for your FortiGate module provide instructions on the physical installation and initial configuration of your module. When you have completed these procedures you will be able to access both the web-based manager and Command Line Interface (CLI). Registering the unit For information about registering your FortiGate module, see “Registering a FortiGate unit” in the System Maintenance chapter of the Administration Guide for your module. You need the user name and password Fortinet provides to you to download the FIPS-CC compliant firmware. Downloading and installing FIPS-CC compliant firmware Unless you purchased a FortiGate module with FIPS-CC firmware pre-installed, you need to download and install the appropriate firmware for your FortiGate module. The firmware can be obtained from the Fortinet support site after registering your module. The validated firmware build for the module is listed in Table 14. Table 14: Firmware builds for validated FortiGate models FortiGate Model Firmware Build FG-5001SX FGT_5001-v300-build8931-mr7_fips_cc_lr.out FG-5001FA2 FGT_5001FA2-v300-build8931-mr7_fips_cc_lr.out To download the firmware 1 Determine the appropriate firmware build from Table 14. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 30 01-00000-0382-20061201 Enabling FIPS-CC mode 2 With your web browser, go to https://support.fortinet.com and log in using the name and password you received when you registered with Fortinet Support. 3 Navigate to the version 3.00 FortiOS Images and Notes page. Select Download Page for the FIPS-CC compliant firmware build you need. Save the file on the management computer or on your network where it is accessible from the FortiGate module. Installing the FIPS-CC firmware You install the FIPS-CC compliant firmware as an upgrade from the standard firmware. To install the FIPS-CC firmware 1 Using the management computer, connect to the module’s web-based manager. See the Quick Start Guide or the Installation Guide for information. 2 Type admin in the name field. If you have assigned a password, type it in the Password field. Select Login. 3 Go to System > Status. 4 Under System Information > Firmware version, select Update. 5 Type the path and filename of the firmware image file, or select Browse and locate the file. 6 Select OK. When the module attempts to load the new firmware build, the firmware load test is performed and verifies the integrity of the new firmware using a digital signature. If the load test fails, the firmware update is rejected and the message “File is not an update file” is displayed. If the firmware load test passes, the module uploads the new firmware image file, upgrades to the new firmware version, restarts, and displays the Login page. This process takes a few minutes. Verifying the firmware version of the unit Execute the following command from the command line: get system status The version line of the status display shows the FortiGate model number, firmware version, build number and date: Version:Fortigate-5001 3.00,build8931,081110 Verify that your firmware version, build number and date match those shown above for your specific model. Enabling FIPS-CC mode If you have verified the firmware version, you are ready to enable FIPS-CC mode. As part of enabling FIPS-CC mode, you must define administrator account names and passwords. The default admin account is not available in FIPS-CC mode. You must use a console connection to enable FIPS-CC mode. If you try to use another type of connection, a “check permission failed” error occurs. Note: When you enable FIPS-CC mode, all of the existing configuration is lost. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 31 Enabling FIPS-CC mode To enable FIPS-CC mode 1 Log in to the CLI and enter the following commands: config system fips-cc set status enable end 2 In response to the following prompt, enter the account name for the Security Administrator: Please enter SECURITY administrator name: 3 In response to the following prompt, enter the password for the Security Administrator: Please enter SECURITY administrator password: 4 When prompted, re-enter the Security Administrator password. 5 In response to the following prompt, enter the account name for the Audit Administrator: Please enter AUDIT administrator name: If you want the Security Administrator to also act as the Audit Administrator, enter the Security Administrator account name you defined in step 2. There will be no prompt for a password. (Skip step 6.) 6 In response to the following prompt, enter the password for the Audit Administrator: Please enter AUDIT administrator password: 7 When prompted, re-enter the Audit Administrator password. 8 In response to the following prompt, enter the account name for the Crypto Administrator: Please enter CRYPTO administrator name:CryptoAdmin If you want the Security Administrator to also act as the Crypto Administrator, enter the Security Administrator account name you defined in step 2. There will be no prompt for a password. (Skip step 9.) 9 In response to the following prompt, enter the password for the Cryptographic Administrator: Please enter CRYPTO administrator password: 10 When prompted, re-enter the Crypto Administrator password. The CLI displays the following message: Warning: most configuration will be lost, do you want to continue? (y/n) 11 Enter y. The FortiGate unit restarts and runs in FIPS-CC compliant mode. FIPS-CC mode status indicators There are two status indicators that show whether the FortiGate unit is running in the FIPS 140-2 compliant mode of operation: FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 32 01-00000-0382-20061201 Self-Tests Table 15: FIPS-CC mode status indicators Location Indication Front panel LCD FIPS-CC-NAT or FIPS-CC-TP Output of get system status command FIPS-CC mode: enable Self-Tests The module executes the following self-tests during startup and initialization: • Firmware integrity test using HMAC SHA-1 • VPN bypass test using HMAC SHA-1 (VPN table integrity test) • Triple-DES, CBC mode, encrypt/decrypt known answer test • AES, CBC mode, encrypt/decrypt known answer test • HMAC SHA-1 known answer test • RSA signature generation/verification known answer test • RNG known answer test The results of the startup self-tests are displayed on the console during the startup process. The startup self-tests can also be initiated on demand using the CLI command execute fips kat all (to initiate all self-tests) or execute fips kat (to initiate a specific self-test). The module executes the following conditional tests when the related service is invoked: • Continuous RNG test • RSA pairwise consistency test • VPN bypass test using HMAC SHA-1 (VPN table integrity test) • Firmware download integrity test using RSA public/private keys Self-Test Status Indicators There are two types of self-test status indicators: the startup indicators and the on- demand indicators. The startup self-test status indicators are output through the console connection during the startup process. The on-demand self-test status indicators are output as a the result of a execute fips CLI command. The following output shows the successful completion of the startup self-tests: Initializing firewall... System is started. FIPS-CC mode: Starting self-tests. Running AES test... passed Running 3DES test... passed Running SHA1 HMAC test... passed Running RSA test... passed Running Firmware/VPN config integrity test... passed Running RNG test... passed Self-tests passed FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 33 Effects of FIPS-CC compliant mode The following output shows the successful completion of the on-demand self-tests for all of the algorithm known answer tests: Fortigate-5001 # execute fips kat all Starting self-tests Running AEStest... passed Running 3DES test... passed Running SHA1 HMAC test... passed Running RSA test... passed Running RNG test... passed Self-tests passed Effects of FIPS-CC compliant mode The following list describes, not necessarily in order, the effects of enabling FIPS- CC mode with respect to the normal mode of operation. • All previous configuration settings are lost (cleared or reset to defaults) except for the SA, AA and CA accounts created when enabling FIPS-CC mode. • All network interfaces are down by default. • The get system status CLI command display includes “FIPS-CC mode: enable”. • Memory logging is enabled by default (including traffic logs). • Reaching 95% of the memory log storage capacity results in the FortiGate module entering a CC Error mode that shuts down all of the interfaces until the administrator intervenes. See “CC Error Mode” on page 37. • Failure of a self-test results in the FortiGate module entering a FIPS Error mode that halts the module until the administrator intervenes. See “FIPS Error Mode” on page 36. • Anomaly detection and protection is applied to traffic addressed to the FortiGate module. • TFTP communication is not permitted. • SNMP services are disabled. • Remote access clients must meet security requirements. See “Remote access requirements” on page 35. • All administrators must accept a disclaimer statement at logon. This disclaimer is configured in the Post Login replacement message. • The FortiGate module performs self-tests at startup. Also, the administrator can run some self-tests at any time. If any of these tests fail, the module goes into error mode and shuts down. • There is an alarm capability. • The DES and MD5 algorithms are not available for VPN configurations. • Use of the AES or Triple-DES algorithms is enforced for IPSec and SSL VPN configurations. • The use of TLS is enforced for remote administration over HTTPS. • Support for large Diffie-Hellman groups 14 through 18 is added to IPSec VPN configurations and group 15 is the default. DH groups 15 through 18 use 3072 to 8192-bit keys. • ANSI X9.31 RSA signature is an optional authentication method for IPSec VPNs. This method is supported only on FortiGate modules in FIPS-CC mode. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 34 01-00000-0382-20061201 Remote access requirements • When configuring passwords, the FortiGate module requires you to enter the password a second time as confirmation. • Blocking of spoofed TCP RST packets is enabled by default. • On a CLI session, when an administrator logs out or the session times out, the FortiGate module sends 100 carriage return characters to clear the screen. Remote access requirements In FIPS-CC mode, remote administration is not allowed via HTTP or Telnet, which are not secure. SSH and HTTPS access are permitted but must meet certain security requirements. Setting minimum DH primes size By default, in FIPS-CC mode the FortiGate module requires values at least 3072 bits long to be used in the Diffie-Hellman key exchange when an HTTPS session begins. Using the CLI, you can set this minimum to one of the following safe standard values specified in RFC 3526: 1024, 1536, 2048, 3072, 4096, 6144 or 8192 bits. For example, to use commercially available browsers, you might need to set the key size to 1024, as follows: config system global set dh-params 1024 end SSH client requirements To access the CLI through network interfaces in FIPS-CC mode, your SSH client must support the following: Authentication: • HMAC SHA-1 Encryption: • AES128, AES192, AES256 or Triple-DES Note that only SSH v2 is supported. Web browser requirements To use the web-based manager in FIPS-CC mode, your web browser application must meet the following requirements: • Authentication algorithm (one of the following, in descending order of preference): • RSA X9.31 • PKCS1 RSA • Connection security: • TLS 1.0 FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 35 Disabling FIPS-CC mode Enabling administrative access In FIPS-CC mode, the network interfaces by default do not allow administrative access, preventing you from using the web-based manager. You can re-enable use of the web-based manager using CLI commands on the console. This example enables HTTPS administrative access on the Internal interface to allow use of the web-based manager: config system interface edit internal set allowaccess https end For detailed information about accessing the web-based manager, see “Connecting to the web-based manager” in the Installation Guide for your unit. Disabling FIPS-CC mode The only way that you can return the FortiGate unit to the normal mode of operation is to restore the factory default configuration. Enter the following CLI command: execute factoryreset Disabling FIPS-CC mode erases the current configuration. Error mode In FIPS-CC mode, there are two specific error modes: FIPS Error mode and CC Error mode. FIPS Error Mode The FortiGate module switches to FIPS Error mode when one or more of the self- tests fail. On entering FIPS Error mode the FortiGate module shuts down all interfaces (including the console) and blocks traffic. The module indicates FIPS Error mode by outputting an error message to the console. For example, if the startup AES self-test fails, the following error message would be displayed on the console: FIPS error: AES self-test failed Entering error mode... The system is going down NOW !! The system is halted. To resume normal FIPS-CC mode operation, first attempt a reboot of the FortiGate module by power cycling the module. If the self-tests pass after the reboot, the module will resume normal FIPS-CC compliant operation. If a self-test continues to fail after rebooting, there is likely a serious firmware or hardware problem and the module should be removed from the network until the problem is solved. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 36 01-00000-0382-20061201 CC Error Mode If the self-test failure persists across reboots, you can attempt to reload the firmware after resetting the module to the factory default configuration. If the self- test failure persists after reloading the firmware and re-enabling the FIPS-CC mode of operation, contact Fortinet technical support. CC Error Mode The FortiGate module switches to CC Error mode when the current and rolled log files consume more than 95% (the default setting) of log device capacity. On entering CC Error mode the FortiGate module shuts down the network interfaces and blocks traffic. Administrator access is restricted to the console when the module is in CC Error mode. The FortiGate module indicates CC Error mode by prepending “CC-ERR” to the console prompt: CC-ERR FortiGate-3600A$ To resume normal FIPS-CC mode operation, you must first reduce the logs to below 95% of the disk capacity. Only an Administrator with the Audit Administrator role can do this. Ideally you should reduce the logs to 50% or less of the device capacity. Once you have cleared space on the log device, use the following console command to clear error mode: execute error-mode exit The FortiGate module resumes normal FIPS-CC compliant operation unless there is still too little free space on the log device. Non-FIPS Approved Services The module also provides the following non-FIPS approved services: • Encrypted configuration backups using the backup configuration password • High Availability (HA) in both Active-Active (AA) and Active-Passive (AP) configurations If any of the above services are used, the module is not considered to be operating in the FIPS approved mode of operation. FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 01-00000-0382-20061201 37 CC Error Mode FortiGate-5050 and 5140 Chassis with FortiGate-5001SX and 5001FA2 Blades FIPS 140-2 Security Policy 38 01-00000-0382-20061201