FIPS 140-2 Security Policy FortiGate-1000C/1240B/3140B FSM1 FSM3 FortiGate 3140B FSM2 FSM4 SHUT DOWN CONSOLE 10G SFP+ MGMT 1 1 3 5 7 9 11 13 15 17 STATUS 10G SFP+ ALARM 19 20 HA POWER 2 4 6 8 10 12 14 16 18 MGMT 2 USB NP4-1 NP4-2 FSM1 FSM3 FSM5 FortiGate 1240B SHUT DOWN FSM6 CONSOLE FSM2 FSM4 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 STATUS ALARM HA POWER ASM 14 16 18 20 22 24 26 28 30 32 34 36 38 40 2 6 4 8 10 12 USB 10G SFP+ SHARED INTERFACES SHARED INTERFACES MGMT 1 WAN 1 WAN 2 3 5 7 9 11 13 15 17 15 17 19 21 19 21 23 STATUS CONSOLE USB MGMT ALARM USB HA POWER 4 6 8 10 12 14 16 18 16 18 20 22 20 22 24 MGMT 2 1 2 FAIL OPEN FAIL OPEN FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy Document Version: 2.0 Publication Date: April 16, 2013 Description: Documents FIPS 140-2 Level 2 Security Policy issues, compliancy and requirements for FIPS compliant operation. Firmware Version: FortiOS 4.0, build8963, 121031 Hardware Version: FortiGate-1000C(C4HR40) FortiGate-3140B (C4XC55) FortiGate-1240B (C4CN43) FortiGate-1000C/1240B/3140B: FIPS 140-2 Security Policy 01-436-176271-20120718 for FortiOS 4.0 MR3 © Copyright 2013 Fortinet, Inc. This document may be freely reproduced and distributed whole and intact including this copyright notice. Trademarks Dynamic Threat Prevention System (DTPS), APSecure, FortiASIC, FortiBIOS, FortiBridge, FortiClient, FortiGate®, FortiGate Unified Threat Management System, FortiGuard®, FortiGuard-Antispam, FortiGuard-Antivirus, FortiGuard-Intrusion, FortiGuard-Web, FortiLog, FortiAnalyzer, FortiManager, Fortinet®, FortiOS, FortiPartner, FortiProtect, FortiReporter, FortiResponse, FortiShield, FortiVoIP, and FortiWiFi are trademarks of Fortinet, Inc. in the United States and/or other countries. The names of actual companies and products mentioned herein may be the trademarks of their respective owners. Contents Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Security Level Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Module Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Cryptographic Module Ports and Interfaces . . . . . . . . . . . . . . . . . . . . . 5 FortiGate-1000C . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 FortiGate-1240B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 FortiGate-3140B . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Web-Based Manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Command Line Interface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 Roles, Services and Authentication . . . . . . . . . . . . . . . . . . . . . . . . 11 Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Authentication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Physical Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Operational Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Cryptographic Key Management . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Random Number Generation . . . . . . . . . . . . . . . . . . . . . . . . . 19 Key Zeroization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Cryptographic Keys and Critical Security Parameters . . . . . . . . . . . . . 21 Alternating Bypass Feature . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Key Archiving. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Electromagnetic Interference/Electromagnetic Compatibility (EMI/EMC) . . . . . 23 Mitigation of Other Attacks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 FIPS 140-2 Compliant Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Enabling FIPS-CC mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Self-Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Non-FIPS Approved Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 FortiGate-200B/310B/620B FIPS 140-2 Security Policy 01-430-159494-20111219 1 http://docs.fortinet.com/ • Feedback Overview Overview This document is a FIPS 140-2 Security Policy for Fortinet Incorporated’s FortiGate- 1000C, 1240B and 3140B Multi-Threat Security Systems. This policy describes how the FortiGate-1000C, 1240B and 3140B (hereafter referred to as the ‘modules’) 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 Level 2 FIPS 140-2 validation of the modules. This document contains the following sections: • Introduction • Security Level Summary • Module Description • Mitigation of Other Attacks • FIPS 140-2 Compliant Operation • Self-Tests • Non-FIPS Approved Services The Federal Information Processing Standards Publication 140-2 - Security Requirements for Cryptographic Modules (FIPS 140-2) details the United States Federal Government requirements for cryptographic modules. Detailed information about the FIPS 140-2 standard and validation program is available on the NIST (National Institute of Standards and Technology) website at http://csrc.nist.gov/groups/STM/cmvp/index.html. References This policy deals specifically with operation and implementation of the module in the technical terms of the FIPS 140-2 standard and the associated validation program. Other Fortinet product manuals, guides and technical notes can be found at the Fortinet technical documentation website at http://docs.forticare.com. Additional information on the entire Fortinet product line can be obtained from the following sources: • Find general product information in the product section of the Fortinet corporate website at http://www.fortinet.com/products. • Find on-line product support for registered products in the technical support section of the Fortinet corporate website at http://www.fortinet.com/support • Find contact information for technical or sales related questions in the contacts section of the Fortinet corporate website at http://www.fortinet.com/contact. • Find security information and bulletins in the FortiGuard Center of the Fortinet corporate website at http://www.fortinet.com/FortiGuardCenter. Introduction The FortiGate product family spans the full range of network environments, from SOHO to service provider, offering cost effective systems for any size of application. FortiGate appliances detect and eliminate the most damaging, content-based threats from email and Web traffic such as viruses, worms, intrusions, inappropriate Web content and more in real time — without degrading network performance. In addition to providing application level firewall protection, FortiGate appliances deliver a full range of network-level services — VPN, intrusion prevention, web filtering, antivirus, antispam and traffic shaping — in dedicated, easily managed platforms. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 2 http://docs.fortinet.com/ • Feedback Security Level Summary All FortiGate appliances employ Fortinet’s unique FortiASIC™ content processing chip and the powerful, secure, FortiOS™ firmware achieve breakthrough price/performance. The unique, ASIC-based architecture analyzes content and behavior in real time, enabling key applications to be deployed right at the network edge where they are most effective at protecting enterprise networks. They can be easily configured to provide antivirus protection, antispam protection and content filtering in conjunction with existing firewall, VPN, and related devices, or as complete network protection systems. The modules support High Availability (HA) in both Active-Active (AA) and Active-Passive (AP) configurations. FortiGate appliances support the IPSec industry standard for VPN, allowing VPNs to be configured between a FortiGate appliance and any client or gateway/firewall that supports IPSec VPN. FortiGate appliances also provide SSL VPN services using TLS 1.0 in the FIPS-CC mode of operation. Security Level Summary The modules meet the overall requirements for a FIPS 140-2 Level 2 validation. . Table 1: Summary of FIPS security requirements and compliance levels Security Requirement Compliance Level Cryptographic Module Specification 2 Cryptographic Module Ports and Interfaces 3 Roles, Services and Authentication 3 Finite State Model 2 Physical Security 2 Operational Environment 2 Cryptographic Key Management 2 EMI/EMC 2 Self-Tests 2 Design Assurance 3 Mitigation of Other Attacks 2 Module Description The FortiGate-1000C, 1240B and 3140B are multiple chip, standalone cryptographic modules consisting of production grade components contained in a physically protected enclosure in accordance with FIPS 140-2 Level 2 requirements. The modules have a similar appearance and perform the same functions, but have different numbers and types of network interfaces in order to support different network configurations: • The FortiGate-1000C has 36 network interfaces with a status LED for each network interface(2x 10GB SP+, 16x shared interfaces (1GB SFP or 10/100/1000 Base-T), 18x 10/100/1000 Base-T) • The FortiGate-1240B has 40 network interfaces with a status LED for each network interface (24x 1GB SFP, 16x 10/100/1000 Base-T) FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 3 http://docs.fortinet.com/ • Feedback Module Description • The FortiGate-3140B has 22 network interfaces with a status LED for each network interface (10x 10GB SFP+, 10x 1GB SFP, 2x 10/100/1000 Base-T) The modules have one, quad core, x86 compatible CPU. The modules are 2u rackmount devices. The modules have 3 ventilation fans on the rear panel of the chassis. The FortiGate-1000C module has 16 shared network interfaces that support a 1GB SFP or 10/100/1000Base-T connection. Only one of the shared interface pair can be used at any given time. The FortiGate-1000C module also has 4 paired Bypass interfaces (WAN1/Port1 and WAN2/Port2). If bypass is enabled, these interfaces provide a physical bypass of the paired port if the module fails, hangs or power is lost. The bypass capability is only available if the module is configure for Transparent operation, not NAT operation. Use of the bypass capability is a non-FIPS approved service. The FortiGate-1000C has 2 internal, 128GB solid state drives (SSDs). The FortiGate-1240B module has 6 Fortinet Storage Module (FSM) slots that support removable solid state drives (SSDs). One FSM is installed by default. The module also has one Advanced Mezzanine Card (AMC) slot that can be used to add additional network interfaces. Use of the AMC slot is optional and the AMC slot is excluded from the scope of this FIPS 140-2 validation. The FortiGate-3140B module has 4 Fortinet Storage Module (FSM) slots that support removable solid state drives (SSDs). One FSM is installed by default. The FortiGate-1240B and 3140B modules have a pinhole shutdown button that is used to halt the SSDs so they can be hot swapped. The validated firmware version is FortiOS 4.0, build8963, 121031. Figure 1, Figure 2 and Figure 3, are representative of the modules tested. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 4 http://docs.fortinet.com/ • Feedback Module Description Cryptographic Module Ports and Interfaces FortiGate-1000C Figure 1: FortiGate-1000C Front and Rear Panels Front 10G SFP+ SHARED INTERFACES SHARED INTERFACES MGMT 1 WAN 1 WAN 2 3 5 7 9 11 13 15 17 15 17 19 21 19 21 23 STATUS CONSOLE USB MGMT ALARM USB HA POWER 4 6 8 10 12 14 16 18 16 18 20 22 20 22 24 MGMT 2 1 2 FAIL OPEN FAIL OPEN USB Port Console Port WAN Ports Shared SFP+ Ports Ports 15 - 18 23-24 USB Management Management Ethernet Shared Port Ports Ports 3 -14 Ports 19 - 22 Redundant AC Power Connections Back Table 2: FortiGate-1000C Status LEDs LED State Description Power Green The module is powered on. Off The module is powered off. Status Flashing The module is starting up. Green The module is running normally. Off The module is powered off. HA Green HA is enabled. Red The module is in failover mode. Off The modules in stand-alone mode. Alarm Red The module is indicating a major fault. Amber The module is indicating a minor fault. Off The module is operating normally. MGMT ports, Link Green Port is online. WAN ports, Flashing Port is receiving or sending data. ports 1-22 Activity Green Connected at 1000Mbps. (Ethernet) Amber Connected at 100Mbps. Off Connected at 10Mbps. Ports 15-24 Green Port is online. (SFP) Flashing Port is receiving or sending data. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 5 http://docs.fortinet.com/ • Feedback Module Description Table 3: FortiGate-1000C Front Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces MGMT ports, RJ-45 10/100/1000 Data input, data Copper gigabit Base-T output, control input connection to WAN ports, and status output 10/100/1000 copper ports 1-22 networks. Ports 15-22 SFP 1 Gbps Data input, data Multimode fiber optic output, control input connections to gigabit and status output optical networks. Ports 22-24 SFP+ 10 Gbps Data input, data Multimode fiber optic output, control input connections to gigabit and status output optical networks. CONSOLE RJ-45 9600 bps Control input, status Optional connection to output the management computer. Provides access to the command line interface (CLI). USB Port USB N/A Key loading and Optional connection archiving, for USB token. configuration backup and restore USB MGMT USB N/A Control input, status Optional connection output for management/configur ation using FortiExplorer. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 6 http://docs.fortinet.com/ • Feedback Module Description Table 4: FortiGate-1000C Rear Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces POWER N/A N/A Power 120/240VAC power connection. FortiGate-1240B Figure 2: FortiGate-1240B Front and Rear Panels FSM Slots Console PortPort FSM Slots Console FSM1 FSM3 FSM5 FSM1 FSM3 FSM5 FortiGate 1240B FortiGate 1240B SHUT DOWN SHUT DOWN FSM6 CONSOLE FSM2 FSM4 FSM6 CONSOLE FSM2 FSM4 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 STATUS ALARM STATUS HA ALARM HA POWER POWER ASM 14 16 18 20 22 24 26 28 30 32 34 36 38 40 2 6 4 8 10 12 USB ASM 14 16 18 20 22 24 26 28 30 32 34 36 38 40 2 6 4 8 10 12 USB USB Ports AMC Slot Copper 10/100/1000 Ports 1G SFP Ports USB Ports AMC Slot Copper 10/100/1000 Ports 1G SFP Ports POWER 1 POWER 2 FAN FAN FAN FAN FAN FAN POWER 1 POWER 2 FAN FAN FAN FAN FAN FAN Ventilation Fans Power Supplies Ventilation Fans Power Supplies Table 5: FortiGate-1240B Status LEDs LED State Description Power Green The module is powered on. Off The module is powered off. Status Flashing The module is starting up. Green The module is running normally. Off The module is powered off. HA Yellow HA is enabled. Off The unit is in stand-alone mode. Alarm N/A Future use. Ports 1 to 24 Link Green Port is online. Off Port is offline. Activity Flashing Port is receiving or sending data. Off Port may be on, but is not receiving or sending data. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 7 http://docs.fortinet.com/ • Feedback Module Description Ports 25 to 40 Link Green Port is online. Flashing Port is receiving or sending data. Activity Green Connected at 1000 Mbps. Amber Connected at 100 Mbps. Off Connected at 10Mbps. AC Power Green AC power is connected and has power. Amber AC power is not connected. Fan Green The fan is running and within the speed range. Off The fan is not running or is over the speed range. Table 6: FortiGate-1240B Front Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces Ports 1 to 24 SFP 1 Gbps Data input, data Multimode fiber optic output, control input connections to gigabit and status output optical networks. Ports 25 to 40 RJ-45 10/100/1000 Data input, data Copper gigabit Base-T output, control input connection to and status output 10/100/1000 copper networks. CONSOLE RJ-45 9600 bps Control input, status Optional connection to output the management computer. Provides access to the command line interface (CLI). USB USB N/A Key loading and Optional connection archiving, for USB token. configuration backup and restore Table 7: FortiGate-1240B Rear Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces POWER N/A N/A Power 120/240VAC power connection. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 8 http://docs.fortinet.com/ • Feedback Module Description FortiGate-3140B Figure 3: FortiGate-3140B Front and Rear Panels FSM modules Console Management port ports FSM1 FSM3 FortiGate 3140B FSM2 FSM4 SHUT DOWN CONSOLE 10G SFP+ MGMT 1 1 3 5 7 9 11 13 15 17 STATUS 10G SFP+ ALARM 19 20 HA POWER 2 4 6 8 10 12 14 16 18 MGMT 2 USB NP4-1 NP4-2 10G SFP+ 1G SFP 10G SFP+ USB ports ports ports ports POWER 1 FAN FAN FAN FAN FAN FAN POWER 2 Power Ventilation Fans Supplies Table 8: FortiGate-3140B Status LEDs LED State Description Power Green The module is powered on. Off The module is powered off. Status Flashing The module is starting up. Green The module is running normally. Off The module is powered off. HA Green HA is enabled and in normal mode. Red HA is enabled but in failover mode. Off The unit is in stand-alone mode. Alarm N/A Future use. Ports 1 to 20 Link Green Port is online. Off Port is offline. Activity Flashing Port is receiving or sending data. Off Port may be on, but is not receiving or sending data. Management Link Green Port is online. Ports 1 and 2 Flashing Port is receiving or sending data. Activity Green Connected at 1000 Mbps. Amber Connected at 100 Mbps. Off Connected at 10Mbps. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 9 http://docs.fortinet.com/ • Feedback Module Description AC Power Green AC power is connected and has power. Amber AC power is not connected. Fan Green The fan is running and within the speed range. Off The fan is not running or is over the speed range. Table 9: FortiGate-3140B Front Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces Ports 1 to 8, 19 SFP+ 10 Gbps Data input, data Multimode fiber optic and 20 output, control input connections to gigabit and status output optical networks. Ports 9 to 18 SFP 1Gbps Data input, data Multimode fiber optic output, control input connections to gigabit and status output optical networks. Management 1 RJ-45 10/100/1000 Data input, data Copper gigabit and 2 Base-T output, control input connection to and status output 10/100/1000 copper networks. CONSOLE RJ-45 9600 bps Control input, status Optional connection to output the management computer. Provides access to the command line interface (CLI). USB USB N/A Key loading and Optional connection archiving, for USB token. configuration backup and restore Table 10: FortiGate-3140B Rear Panel Connectors and Ports Connector Type Speed Supported Logical Description Interfaces POWER N/A N/A Power 120/240VAC power connection. Web-Based Manager The FortiGate web-based manager provides GUI based access to the module and is the primary tool for configuring the module. The manager requires a web browser on the management computer and an Ethernet connection between the FortiGate unit and the management computer. A web-browser that supports Transport Layer Security (TLS) 1.0 is required for remote access to the web-based manager when the module is operating in FIPS-CC mode. HTTP access to the web-based manager is not allowed in FIPS-CC mode and is disabled. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 10 http://docs.fortinet.com/ • Feedback Module Description Figure 4: The FortiGate web-based manager 1240B Command Line Interface The FortiGate Command Line Interface (CLI) is a full-featured, text based management tool for the module. The CLI provides access to all of the possible services and configuration options in the module. The CLI uses a console connection or a network (Ethernet) connection between the FortiGate unit and the management computer. The console connection is a direct serial connection. Terminal emulation software is required on the management computer using either method. For network access, a Telnet or SSH client that supports the SSH v2.0 protocol is required (SSH v1.0 is not supported in FIPS- CC mode). Telnet access to the CLI is not allowed in FIPS-CC mode and is disabled. Roles, Services and Authentication Roles When configured in FIPS-CC mode, the module provides the following roles: • Crypto Officer • Network User 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. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 11 http://docs.fortinet.com/ • Feedback Module Description The module provides a Network User role for end-users (Users). Network users can make use of the encrypt/decrypt services, but cannot access the module for administrative purposes. The module does not provide a Maintenance role. FIPS Approved Services The following tables detail the types of FIPS approved services available to each role, the types of access for each role and the Keys or CSPs they affect. The role names are abbreviated as follows: Crypto Officer CO User U The access types are abbreviated as follows: Read Access R Write Access W Execute Access E Table 11: Services available to Crypto Officers Service Access Key/CSP authenticate to module WE Operator Password, Diffie-Hellman Key, HTTP/TLS and SSH Server/Host Keys, HTTPS/TLS and SSH Session Authentication Keys, and HTTPS/TLS Session Encryption Keys, RNG Seed, RNG AES Key show system status WE N/A show FIPS-CC mode WE N/A enabled/disabled (console/CLI only) enable FIPS-CC mode of operation WE Configuration Integrity Key (console only) execute factory reset (zeroize keys, E See “Key Zeroization” on page 19 disable FIPS mode, console/CLI only) execute FIPS-CC on-demand self- E Configuration Integrity Key, Firmware tests (console only) Integrity Key add/delete operators and network WE Operator Password, users Network User Password set/reset operator and network user WE Operator Password, passwords Network User Password backup configuration file WE Configuration Encryption Key, Configuration Backup Key read/set/delete/modify module WE N/A configuration enable/disable alternating bypass WE N/A mode FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 12 http://docs.fortinet.com/ • Feedback Module Description Table 11: Services available to Crypto Officers Service Access Key/CSP read/set/delete/modify IPSec/SSL N/A IPSec: IPSec Manual Authentication VPN configuration 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/delete/modify HA WE HA Password, HA Encryption Key configuration execute firmware update E Firmware Update Key read log data WE N/A delete log data (console/CLI only) N/A N/A execute system diagnostics WE N/A (console/CLI only) Table 12: Services available to Network Users Service/CSP Access Key/CSP authenticate to module E Network User Password, Diffie-Hellman Key, HTTPS/TLS Server/Host Key, HTTPS/TLS Session Authentication Key, HTTPS/TLS Session Encryption Key, RNG Seed, RNG AES Key IPSec VPN controlled by firewall E Diffie-Hellman Key, IKE and IPSec Keys, policies RNG Seed, RNG AES Key SSL VPN controlled by firewall E Network User Password, Diffie-Hellman policies Key, HTTPS/TLS Server/Host Key, HTTPS/TLS Session Authentication Key, HTTPS/TLS Session Encryption Key, RNG Seed, RNG AES Key Authentication The modules implement identity based authentication. Operators must authenticate with a user-id and password combination to access the modules remotely or locally via the console. Remote operator authentication is done over HTTPS (TLS) or SSH. Password entry is obfuscated using asterisks and the module does not provide feedback on the authentication process - i.e. the module does not indicate if the password or the user/operator account is incorrect for a failed authentication attempt. By default, Network User access to the modules is based on firewall policy and authentication by IP address or fully qualified domain names. Network Users can optionally be forced to authenticate to the modules using a username/password combination to enable use of the IPSec VPN encrypt/decrypt or bypass services. For Network Users invoking the SSL-VPN encrypt/decrypt services, the modules support authentication with a user-id/password combination. Network User authentication is done over HTTPS and does not allow access to the modules for administrative purposes. Note that operator authentication over HTTPS/SSH and Network User authentication over HTTPS are subject to a limit of 3 failed authentication attempts in 1 minute. Operator authentication using the console is not subject to a failed authentication limit, but the number of authentication attempts per minute is limited by the bandwidth available over the serial connection. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 13 http://docs.fortinet.com/ • Feedback Module Description 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 24. For Network Users invoking the IPSec VPN encrypt/decrypt services, the module acts on behalf of the Network User and negotiates a VPN connection with a remote module. The strength of authentication for IPSec services is based on the authentication method defined in the specific firewall policy: IPSec manual authentication key, IKE pre-shared key or IKE RSA key (RSA certificate). The odds of guessing the authentication key for each IPSec method is: 1 in 1640 for the IPSec Manual Authentication key (based on a 40 digit, hexadecimal • key) 1 in 948 for the IKE Pre-shared Key (based on an 8 character, ASCII printable key) • 1 in 21024 for the IKE RSA Key (based on a 1024bit RSA key size) • Therefore the minimum odds of guessing the authentication key for IPSec is 1 in 948, based on the IKE Pre-shared key. Physical Security The modules meet FIPS 140-2 Security Level 2 requirements by using production grade components and an opaque, sealed enclosure. Access to the enclosure is restricted through the use of tamper-evident seals to secure the overall enclosure. The seals are either blue wax/plastic with white lettering that reads “Fortinet Inc. Security Seal” (FortiGate-1240B) or serialized red wax/plastic with black lettering that reads “Fortinet Security Seal” (FortiGate-1000C and FortiGate-3140B). The tamper seals are not applied at the factory prior to shipping. It is the responsibility of the Crypto Officer to apply the seals before use to ensure full FIPS 140-2 compliance. Once the seals have been applied, the Crypto Officer must develop an inspection schedule to verify that the external enclosure of the module and the tamper seals have not been damaged or tampered with in any way. The Crypto Officer is also responsible for securing and controlling any unused seals. The surfaces should be cleaned with 99% Isopropyl alcohol to remove dirt and oil before applying the seals. Ensure the surface is completely clean and dry before applying the seals. If a seal needs to be re-applied, completely remove the old seal and clean the surface with an adhesive remover before following the instructions for applying a new seal. Additional seals can be requested through your Fortinet sales contact. Reference the following SKUs when ordering: FIPS-SEAL-RED or FIPS-SEAL-BLUE. Specify the type and number of seals required based on the specific module as described below: The FortiGate-1000C uses 4 red seals to secure: • the external enclosure (2 seals, see Figure 5 and Figure 6) • the power supplies (2 seals, see Figure 7) The FortiGate-1240B uses 5 blue seals to secure: • the external enclosure (2 seals, see Figure 8 and Figure 9) • the blank faceplate covering the AMC slot (one seal, see Figure 10) • the power supplies (2 seals, see Figure 11) FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 14 http://docs.fortinet.com/ • Feedback Module Description The FortiGate-3140B uses 2 red seals to secure: • the external enclosure (2 seals, see Figure 12 and Figure 13) Figure 5: FortiGate-1000C external enclosure seal, top, right side Figure 6: FortiGate-1000C external enclosure seal, top, left side FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 15 http://docs.fortinet.com/ • Feedback Module Description Figure 7: FortiGate-1000C power supply seals, rear, bottom Figure 8: FortiGate-1240B external enclosure seal, top, left side FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 16 http://docs.fortinet.com/ • Feedback Module Description Figure 9: FortiGate-1240B external enclosure seal, top, right side Figure 10: FortiGate-1240B AMC faceplate seal, front, bottom FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 17 http://docs.fortinet.com/ • Feedback Module Description Figure 11: FortiGate-1240B Power Supply Seals, rear, bottom Figure 12: FortiGate-3140B external enclosure seal, top, left side FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 18 http://docs.fortinet.com/ • Feedback Module Description Figure 13: FortiGate-3140B external enclosure seal, top, right side Operational Environment The module consists of the combination of the FortiOS operating system and the FortiGate appliances. The FortiOS operating system can only be installed, and run, on a FortiGate appliance. The FortiOS operating system provides a proprietary and non- modifiable operating system. Cryptographic Key Management Random Number Generation The modules use a firmware based, deterministic random number generator that conforms to ANSI X9.31 Appendix A.2.4. The ANSI X9.31 RNG is seeded using a 128-bit AES key (estimated strength 128 bits) and 64 bytes of entropy (estimated strength 60 bits) gathered from a combination of system data and internal resources such as time, memory addresses, kernel ticks, and module identifiers. As the module's ANSI X9.31 RNG implementation only generates random values of size 16 bytes (128 bits), it would take multiple calls to form a 32 byte (256 bit) key. Each call would add another 16 bytes of entropy (estimated strength 12 bits). The total estimated strength for the two calls required to form a 32 byte (256 bit) key is 200 bits. Key Zeroization The zeroization process must performed under the direct control of the operator. The operator must be present to observe that the zeroization method has completed successfully. All keys except the following are zeroized by executing a factory reset: • ANSI X9.31 RNG AES Key • Firmware Update Key • Firmware Integrity Key FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 19 http://docs.fortinet.com/ • Feedback Module Description • Configuration Integrity Key • Configuration Backup Key • SSH Server/Host Key • HTTPS/TLS Server/Host Key All keys and CSPs are zeroized by formatting the modules’ flash memory storage. To format the flash memory, connect a computer to the modules’ console port and reboot the module. Access the configuration menu by pressing any key when prompted (see example below). Select “F” to format the flash memory (boot device). Press any key to display configuration menu... [G]: Get firmware image from TFTP server. [F]: Format boot device. [B]: Boot with backup firmware and set as default. [I]: Configuration and information. [Q]: Quit menu and continue to boot with default firmware. [H]: Display this list of options. Enter G,F,B,I,Q,or H: Algorithms Table 13: FIPS Approved Algorithms Algorithm NIST Certificate Number RNG (ANSI X9.31 Appendix A) 1131 Triple-DES 1421, 1422, 1425, 1426 AES 2274, 2275, 2278, 2279 SHA-1 1955, 1956, 1959, 1960 SHA-256 1955, 1956, 1959, 1960 HMAC SHA-1 1392, 1393, 1396, 1397 HMAC SHA-256 1392, 1393, 1396, 1397 RSA PKCS1 (digital signature creation and verification) 1167, 1169, 1170 Table 14: FIPS Allowed Algorithms Algorithm RSA (key establishment methodology provides 80 or 112 bits of encryption strength) Diffie-Hellman (key agreement; key establishment methodology provides between 80 and 201bits of encryption strength; non-compliant less than 80-bits of encryption strength) Table 15: 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) FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 20 http://docs.fortinet.com/ • Feedback Module Description Some algorithms may be classified as deprecated, restricted, or legacy-use. Please consult NIST SP 800-131A for details. The vendor makes no conformance claims to any key derivation function specified in SP 800-135rev1. References to the key derivation functions addressed in SP 800-135rev1 including IKE, SSH, and TLS are only listed to clarify the key types supported by the module. Keys related to IKE, SSH, and TLS are only used in the Approved mode under the general umbrella of a non-Approved Diffie-Hellman scheme, with no assurance claims to the underlying key derivation functions. 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: Key or CSP The key or CSP description. Storage Where and how the keys are stored Usage How the keys are used Table 16: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode 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 IKE Pre-Shared Key Flash RAM Used to generate 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 Used to generate IKE protocol keys Plain text RNG Seed (ANSI X9.31 Flash RAM Seed used for initializing the RNG Appendix A.2.4) Plain-text RNG AES Key (ANSI X9.31 Flash RAM AES Seed key used with the RNG Appendix A.2.4) Plain-text Firmware Update Key Flash RAM Verification of firmware integrity when updating to new firmware versions Plain-text using RSA public key Firmware Integrity Key Flash RAM Verification of firmware integrity in the firmware integrity test using RSA public Plain-text key FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 21 http://docs.fortinet.com/ • Feedback Module Description Table 16: Cryptographic Keys and Critical Parameters used in FIPS-CC Mode Key or CSP Storage Usage HTTPS/TLS Server/Host Key Flash RAM RSA private key used in the HTTPS/TLS protocols (key Plain-text establishment) HTTPS/TLS Session SDRAM HMAC SHA-1 key used for HTTPS/TLS Authentication Key session authentication Plain-text HTTPS/TLS Session SDRAM AES or Triple-DES key used for Encryption Key HTTPS/TLS session encryption Plain-text SSH Server/Host Key Flash RAM RSA private key used in the SSH protocol (key establishment) Plain-text SSH Session Authentication SDRAM HMAC SHA-1 key used for SSH Key session authentication Plain-text SSH Session Encryption Key SDRAM AES or Triple-DES key used for SSH session encryption Plain-text Operator Password Flash RAM Used to authenticate operator access to the module SHA-1 hash Configuration Integrity Key Flash RAM SHA-1 hash used for configuration/VPN bypass test Plain-text 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 Password Flash RAM Used during network user authentication AES encrypted HA Password Flash RAM Used to authenticate FortiGate units in an HA cluster AES encrypted HA Encryption Key Flash RAM Encryption of traffic between units in an HA cluster using AES AES encrypted Alternating Bypass Feature The primary cryptographic function of the module is as a firewall and VPN device. The module implements two forms of alternating bypass for VPN traffic: policy based (for IPSec and SSL VPN) and interface based (for IPSec VPN only). Policy Based VPN Firewall policies with an action of IPSec or SSL-VPN mean that the firewall is functioning as a VPN start/end point for the specified source/destination addresses and will encrypt/decrypt traffic according to the policy. Firewall policies with an action of allow mean that the firewall is accepting/sending plaintext data for the specified source/destination addresses. A firewall policy with an action of accept means that the module is operating in a bypass state for that policy. A firewall policy with an action of IPSec or SSL-VPN means that the module is operating in a non-bypass state for that policy. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 22 http://docs.fortinet.com/ • Feedback Mitigation of Other Attacks Interface Based VPN Interface based VPN is supported for IPSec only. A virtual interface is created and any traffic routed to the virtual interface is encrypted and sent to the VPN peer. Traffic received from the peer is decrypted. Traffic through the virtual interface is controlled using firewall policies. However, unlike policy based VPN, the action is restricted to Accept or Deny and all traffic controlled by the policy is encrypted/decrypted. When traffic is routed over the non-virtual interfaced, the module is operating in a bypass state. When traffic is routed over the virtual interface, the module is operating in a non- bypass state. In both cases, two independent actions must be taken by a CO to create bypass firewall policies: the CO must create the bypass policy and then specifically enable that policy. Key Archiving The module supports key archiving to a management computer or USB token as part of a module configuration file backup. Operator entered keys are archived as part of the module configuration file. The configuration file is stored in plain text, but keys in the configuration file are either AES encrypted using the Configuration Encryption Key or stored as a keyed hash using HMAC-SHA-1 using the Configuration Backup Key. 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 17: FCC Report Information Module Lab Information FCC Report Number FG-1000C The module is declared to conform with EMI/EMC requirements for Class B (business use) devices as specified by Part 15, Subpart B, of the FCC rules. FG-1240B Spectrum Research and Testing A10012801 Laboratory, Inc No. 101-10, Ling 8 Shan-Tong Li Chung-Li City Taoyuan, Taiwan 03-498-7684 03-498-6528 FG-3140B Compliance Certification Services Inc. T111129212-F Sindian Lab 163-1 Jhonsheng Road Sindian City, Taiwan 886-2-22170894 886-2-22171029 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. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 23 http://docs.fortinet.com/ • Feedback FIPS 140-2 Compliant Operation The FortiOS IPS has two components: a signature based component for detecting attacks passing through the FortiGate appliance and a local attack detection component that protects the firewall from direct attacks. Functionally, signatures are similar to virus definitions, with each signature designed to detect a particular type of attack. The IPS signatures are updated through the FortiGuard IPS service. The IPS engine can also be updated through the FortiGuard IPS service. FortiOS antivirus protection removes and optionally quarantines files infected by viruses from web (HTTP), file transfer (FTP), and email (POP3, IMAP, and SMTP) content as it passes through the FortiGate modules. FortiOS antivirus protection also controls the blocking of oversized files and supports blocking by file extension. Virus signatures are updated through the FortiGuard antivirus service. The antivirus engine can also be updated through the FortiGuard antivirus service. FortiOS antispam protection tags (SMTP, IMAP, POP3) or discards (SMTP only) email messages determined to be spam. Multiple spam detection methods are supported including the FortiGuard managed antispam service. FortiOS web filtering can be configured to provide web (HTTP) content filtering. FortiOS web filtering uses methods such as banned words, address block/exempt lists, and the FortiGuard managed content service. Whenever a IPS, antivirus, antispam or filtering event occurs, the modules can record the event in the log and/or send an alert email to an operator. For complete information refer to the FortiGate Installation Guide for the specific module in question, the FortiGate Administration Guide and the FortiGate IPS Guide. FIPS 140-2 Compliant Operation FIPS 140-2 compliant operation requires both that you use the module in its FIPS-CC mode of operation and that you follow secure procedures for installation and operation of the FortiGate unit. You must ensure that: • The FortiGate unit is configured in the FIPS-CC mode of operation. • The FortiGate unit is installed in a secure physical location. • Physical access to the FortiGate unit is restricted to authorized operators. • Administrative passwords are at least 8 characters long. • Administrative passwords are changed regularly. • Administrator account passwords must have the following characteristics: • One (or more) of the characters should be capitalized • One (or more) of the characters should be numeric • One (or more) of the characters should be non alpha-numeric (e.g. punctuation mark) • Administration of the module is permitted using only validated administrative methods. These are: • Console connection • Web-based manager via HTTPS • Command line interface (CLI) access via SSH • Diffie-Hellman groups of less than less than 1024 bits (Group 5) are not used. • Client side RSA certificates must use 1024 bit or greater key sizes. • LDAP based authentication must use secure LDAP (LDAPS). • Only approved and allowed algorithms are used (see “Algorithms” on page 20). FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 24 http://docs.fortinet.com/ • Feedback Self-Tests • The tamper evident seals are applied (see “Physical Security” on page 14). 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 set status enable end The Operator is required to supply a password for the admin account which will be assigned to the Crypto Officer role. The supplied password must be at least 8 characters long and correctly verified before the system will restart in FIPS-CC mode. Upon restart, the module will execute self-tests to ensure the correct initialization of the module’s cryptographic functions. After restarting, the Crypto Officer can confirm that the module is running in FIPS-CC mode by executing the following command from the CLI: get system status If the module is running in FIPS-CC mode, the system status output will display the line: FIPS-CC mode: enable Note that enabling/disabling the FIPS-CC mode of operation will automatically invoke the key zeroization service. The key zeroization is performed immediately after FIPS-CC mode is enabled/disabled. Self-Tests The module executes the following self-tests during startup and initialization: • Firmware integrity test using RSA signatures • Configuration/VPN bypass test using HMAC SHA-1 • Triple-DES, CBC mode, encrypt 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 (test as part of HMAC SHA-1 known answer test) • HMAC SHA-256 known answer test • SHA-256 known answer test (test as part of HMAC SHA-256 known answer test) • RSA signature generation known answer test • RSA signature verification known answer test • RNG known answer test FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 25 http://docs.fortinet.com/ • Feedback Non-FIPS Approved Services 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). 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 RNG test • RSA pairwise consistency test • Configuration/VPN bypass test using HMAC SHA-1 • Firmware load test using RSA signatures If any of the self-tests or conditional tests fail, the module enters an error state as shown by the console output below: Self-tests failed Entering error mode... The system is going down NOW !! The system is halted. All data output and cryptographic services are inhibited in the error state. Non-FIPS Approved Services The module also provides the following non-FIPS approved services: • Configuration backups using password protection • LLTP and PPTP VPN • Paired Bypass network interfaces (WAN1/Port1 and WAN2/Port2) If the above services are used, the module is not considered to be operating in the FIPS approved mode of operation. FortiGate-1000C/1240B/3140B FIPS 140-2 Security Policy 01-436-176271-20120718 26 http://docs.fortinet.com/ • Feedback