Certification Report
EAL 2+ Evaluation of FortiAnalyzer™ v4.0 MR3
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2014
Document number: 383-4-324-CR
Version: 1.0
Date: 11 June 2014
Pagination: i to iii, 1 to 9
CCS Certification Report Fortinet, Incorporated
FortiAnalyzer™ v4.0 MR3
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. This certification report, and its associated certificate, apply only to
the identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, and no warranty for the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, is either expressed or implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a third-
party evaluation service for determining the trustworthiness of Information Technology (IT)
security products. Evaluations are performed by a commercial Common Criteria Evaluation
Facility (CCEF) under the oversight of the CCS Certification Body, which is managed by the
Communications Security Establishment.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, its security requirements,
and the level of confidence (i.e., the evaluation assurance level) that the product satisfies the
security requirements.
This certification report is associated with the certificate of product evaluation dated 11 June
2014, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
This certification report makes reference to the following registered trademark:
• FortiAnalyzer™ is a registered trademark of Fortinet, Incorporated.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer ....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation ................................................................................ 2
2 TOE Description ................................................................................................................... 2
3 Evaluated Security Functionality........................................................................................ 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 2
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS................................................................................ 3
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 4
10 Evaluation Analysis Activities ............................................................................................. 4
11 ITS Product Testing.............................................................................................................. 5
11.1 ASSESSMENT OF DEVELOPER TESTS........................................................................... 6
11.2 INDEPENDENT FUNCTIONAL TESTING......................................................................... 6
11.3 INDEPENDENT PENETRATION TESTING ....................................................................... 7
11.4 CONDUCT OF TESTING................................................................................................ 8
11.5 TESTING RESULTS ...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 8
14 References.............................................................................................................................. 9
CCS Certification Report Fortinet, Incorporated
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Executive Summary
FortiAnalyzer™ v4.0 MR3, from Fortinet, Incorporated, is the Target of Evaluation for this
Evaluation Assurance Level (EAL) 2 augmented evaluation.
FortiAnalyzer™ v4.0 MR3 is a log collection and reporting device. FortiAnalyzer units are
network appliances that provide integrated log collection and reporting tools. Logs for email,
File Transfer Protocol (FTP), web browsing, security events, and other network activity are
analyzed to aid in the identification of security issues.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
3 June 2014 and was carried out in accordance with the rules of the Canadian Common
Criteria Evaluation and Certification Scheme (CCS).
The scope of the evaluation is defined by the security target, which identifies assumptions
made during the evaluation, the intended environment for FortiAnalyzer™ v4.0 MR3, the
security requirements, and the level of confidence (evaluation assurance level) to which it is
asserted that the product satisfies its security requirements. Consumers are advised to verify
that their operating environment is consistent with that specified in the security target, and to
give due consideration to the comments, observations and recommendations in this
certification report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 2 augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using the Common
Methodology for Information Technology Security Evaluation, Version 3.1 Revision 4, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. The following augmentation is claimed: ALC_FLR.1 – Basic Flaw
Remediation.
Communications Security Establishment, as the CCS Certification Body, declares that the
FortiAnalyzer™ v4.0 MR3 evaluation meets all the conditions of the Arrangement on the
Recognition of Common Criteria Certificates and that the product will be listed on the CCS
Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and is
not releasable for public review.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 augmented
evaluation is FortiAnalyzer™ v4.0 MR3, from Fortinet, Incorporated.
2 TOE Description
FortiAnalyzer™ v4.0 MR3 is a log collection and reporting device. FortiAnalyzer units are
network appliances that provide integrated log collection and reporting tools. Logs for email,
File Transfer Protocol (FTP), web browsing, security events, and other network activity are
analyzed to aid in the identification of security issues. The appliances support secure
communication between the TOE and the monitored devices, and between the TOE and its
remote administrators using FIPS 140-2 validated cryptography.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for FortiAnalyzer™ v4.0 MR3 is
identified in Section 6 of the ST.
The following cryptographic modules were evaluated to the FIPS 140-2 standard:
Cryptographic Module Certificate #
FortiAnalyzer 4.0 MR3 2105
FortiAnalyzer-4000B 2115
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target for FortiAnalyzer™ v4.0 MR3 Centralized Reporting
Version: 1.0
Date: 3 June 2014
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
FortiAnalyzer™ v4.0 MR3 is:
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a. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST:
• EXT_DCR_AGG.1 – Aggregation;
• EXT_DCR_COL.1 – Data Collection;
• EXT_DCR_QUA.1 – Quarantine; and
• EXT_DCR_REP.1 – Reporting.
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL augmented, containing all security assurance requirements in the
EAL 2 package, as well as the following ALC_FLR.1 – Basic Flaw Remediation.
6 Security Policy
FortiAnalyzer™ v4.0 MR3 implements access control policies for administrators for devices.
Administrative users are granted access to data based on the permissions in their access
profile. Devices that are monitored by the TOE must first be registered with the TOE in order
to communicate with the TOE. Details of these security policies can be found in Section 6 of
the ST.
In addition, FortiAnalyzer™ v4.0 MR3 implements policies pertaining to security audit,
cryptographic support, identification and authentication, security management, protection of
the TOE Security Functions (TSF), trusted path, and data collection and reporting. Further
details on these security policies may be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of FortiAnalyzer™ v4.0 MR3 should consider assumptions about usage and
environmental settings as requirements for the product’s installation and its operating
environment. This will ensure the proper and secure operation of the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
• There are one or more competent individuals assigned to manage the TOE.
• The authorized administrators are not careless, wilfully negligent, or hostile, are
appropriately trained and will follow the instructions provided by the TOE
documentation.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
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• The TOE will be located within controlled access facilities, which will prevent
unauthorized physical access.
• The TOE is connected to the network in such a way that it is able to access all of the
monitored resources.
8 Evaluated Configuration
The evaluated configuration for FortiAnalyzer™ v4.0 MR3 comprises:
Product Firmware Version Hardware Version
FortiAnalyzer™ Version 4.0 MR3 build 3059, 130918 100C
200D
400B
400C
1000C
2000B
4000B
9 Documentation
The Fortinet, Incorporated documents provided to the consumer are as follows:
a. FortiAnalyzer Administration Guide Version 4.0 MR3;
b. FortiAnalyzer CLI Reference Version 4.0 MR3;
c. FortiAnalyzer Log Message Reference Version 4.0 MR3; and
d. FortiAnalyzer Install Guide Version 4.0 MR3.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of FortiAnalyzer™ v4.0
MR3, including the following areas:
Development: The evaluators analyzed the FortiAnalyzer™ v4.0 MR3 functional
specification and design documentation; they determined that the design completely and
accurately describes the TOE security functionality (TSF) interfaces, the TSF subsystems and
how the TSF implements the security functional requirements (SFRs). The evaluators
analyzed the FortiAnalyzer™ v4.0 MR3 security architectural description and determined
that the initialization process is secure, that the security functions are protected against
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tamper and bypass, and that security domains are maintained. The evaluators also
independently verified that the correspondence mappings between the design documents are
correct.
Guidance Documents: The evaluators examined the FortiAnalyzer™ v4.0 MR3 preparative
user guidance and operational user guidance and determined that it sufficiently and
unambiguously describes how to securely transform the TOE into its evaluated configuration
and how to use and administer the product. The evaluators examined and tested the
preparative and operational guidance, and determined that they are complete and sufficiently
detailed to result in a secure configuration.
Life-cycle support: An analysis of the FortiAnalyzer™ v4.0 MR3 configuration
management system and associated documentation was performed. The evaluators found that
the FortiAnalyzer™ v4.0 MR3 configuration items were clearly marked. The developer’s
configuration management system was observed during a site visit, and it was found to be
mature and well-developed.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of FortiAnalyzer™ v4.0 MR3 during
distribution to the consumer.
Theevaluatorsreviewed theflaw remediation proceduresused by Fortinet, Incorporated for
FortiAnalyzer™ v4.0 MR3. During asitevisit, theevaluatorsalso examined theevidence
generated by adherenceto theprocedures. Theevaluatorsconcluded that theproceduresare
adequateto track and correct security flaws, and distributetheflaw information and
correctionsto consumersof theproduct.
Vulnerability assessment: The evaluators conducted an independent vulnerability analysis
of FortiAnalyzer™ v4.0 MR3. Additionally, the evaluators conducted a search of public
domain vulnerability databases to identify FortiAnalyzer™ v4.0 MR3 potential
vulnerabilities. The evaluators identified potential vulnerabilities for testing applicable to
FortiAnalyzer™ v4.0 MR3 in its operational environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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11.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR2
.
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification was complete.
11.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation, executing
a sample of the developer's test cases, and creating test cases that augmented the developer
tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability of
the testing procedures and results. Resulting from this test coverage approach is the following
list of EWA-Canada test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Identification and Authentication: The objective of this test case is to validate that the
user is authenticated prior to gaining access a TOE service and that no TOE service or
data is available prior to user authentication;
c. Alerts: The objective of this test case is to verify that alerts can be sent to an email
address;
d. Log Data: The objective of this test case is to verify that authorized administrators can
access log data and delete log data;
e. Trusted Path: The objective of this test case is to verify that the TOE uses SSL/TLS 1.0
for the web-based GUI, and SSH with approved algorithms for CLI access to
communicate with remote consoles;
f. Security Roles: The objective of this test case is to verify that administrator accounts and
access profiles can be created, modified, and deleted;
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and is
not releasable for public review.
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g. Data Aggregation: The objective of this test case is to verify that the TOE can aggregate
data from monitored devices for analysis and reporting;
h. Data Collection: The objective of this test case is to verify that the TOE can collect
specified data from remote devices; and
i. Reporting: The objective of this test case is to verify that the TOE can create and run
reports based on specific parameters.
11.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
a. Port Scanning: The objective of this test was to scan the TOE using a port scanner to
determine what ports were open and what services were running;
b. Buffer Overflow: The objective of this test is to determine if TOE is susceptible to a
known vulnerability (CVE-2007-2446) which would allow remote attackers to execute
arbitrary code;
c. SSH version corruption: The objective of this test is to determine if TOE will respond to
SSH requests with corrupted version stings;
d. Key Access: The objective of this test is to attempt to scan, locate and utilize private and
public keys stored on the TOE;
e. Login attacks: The objective of this test is to determine whether the TOE is susceptible to
attacks on SSH, HTTP, and HTTPS logins;
f. Memory Corruption: The objective of this test is to determine whether the TOE is
susceptible to a known memory corruption vulnerability which could allow the execution
of arbitrary code;
g. Denial of Service: The objective of this test is to determine whether the TOE is
susceptible to denial of service attacks;
h. Directory Traversal: The objective of this test is to determine whether the TOE is
susceptible to directory traversal attacks which could allow unauthorized access to
restricted directories and files; and
i. SQL Injection: The objective of this test is to determine whether the TOE is susceptible
to SQL injection attacks.
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The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
FortiAnalyzer™ v4.0 MR3 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the Information
Technology Security Evaluation and Test (ITSET) Facility at EWA-Canada. The CCS
Certification Body witnessed a portion of the independent testing. The detailed testing
activities, including configurations, procedures, test cases, expected results and observed
results are documented in a separate Test Results document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results, giving
assurance that FortiAnalyzer™ v4.0 MR3 behaves as specified in its ST and functional
specification.
12 Results of the Evaluation
This evaluation has provided the basis for an EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
13 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CLI Command Line Interface
CPL Certified Products List
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FTP File Transfer Protocol
GUI Graphical User Interface
HTTP Hypertext Transfer Protocol
HTTPS Hypertext Transfer Protocol Secure
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
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Acronym/Abbreviation/
Initialization
Description
PALCAN Program for the Accreditation of Laboratories
- Canada
SQL Structured Query Language
SSH Secure Shell
SSL Secure Socket Layer
ST Security Target
TLS Transport Layer Security
TOE Target of Evaluation
14 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. Security Target for FortiAnalyzer™ v4.0 MR3 Centralized Reporting, version 1.0, 3
June 2014.
e. Evaluation Technical Report for EAL 2+ Common Criteria Evaluation of Fortinet,
Incorporated FortiAnalyzer™ v4.0 MR3 Centralized Reporting Document No. 1734-
000-D002, Version 1.0, 3 June 2014.