Certification Report
Fortigate UTM appliances running FortiOS 5.0 Patch
Release 10
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2015
Document number: 383-4-282-CR
Version: 1.0
Date: April 14, 2015
Pagination: i to iii, 1 to 11
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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Version 1.0 April 14, 2015
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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, applies 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.
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provide 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 CGI IT Security Evaluation & Test Facility.
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, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
This certification report is associated with the certificate of product evaluation dated 14 April
2015, 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 trademarks or registered
trademarks:
 FortiOS™
is a trademark of Fortinet, Inc.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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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 Security Policy....................................................................................................................... 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 4
6 Assumptions and Clarification of Scope............................................................................. 5
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 5
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
6.3 CLARIFICATION OF SCOPE.......................................................................................... 5
7 Evaluated Configuration...................................................................................................... 6
8 Documentation ...................................................................................................................... 7
9 Evaluation Analysis Activities ............................................................................................. 8
10 ITS Product Testing.............................................................................................................. 9
10.1 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 9
10.2 INDEPENDENT PENETRATION TESTING....................................................................... 9
10.3 CONDUCT OF TESTING ............................................................................................... 9
10.4 TESTING RESULTS...................................................................................................... 9
11 Results of the Evaluation...................................................................................................... 9
12 Acronyms, Abbreviations and Initializations................................................................... 10
13 References............................................................................................................................ 11
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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Executive Summary
Fortigate UTM appliances running FortiOS 5.0 Patch Release 10 (hereafter referred to as
Fortigate UTM v5.0.10), from Fortinet, Inc., is the Target of Evaluation. The results of this
evaluation demonstrate that Fortigate UTM v5.0.10 is conformant with the Protection Profile
for Network Devices, v1.1, June 8, 2012 with the Stateful Traffic Filter Firewall Version 1.0
extended package (hereafter referred to as the NDPP).
Fortigate UTM v5.0.10 is a series of hardware security systems that are designed to protect
computer networks from abuse. They reside between the network they are protecting and an
external network such as the Internet, restricting the information flow between the networks
to that permitted by a policy (set of rules) defined by an authorized administrator. 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.
The TOE is designed to provide firewall services ensuring network protection for Internet
Protocol version 4 (IPv4) and Internet Protocol version 6 (IPv6) networks. The TOE is
capable of robust filtering based on information contained in IPv4, IPv6, ICMPv4, ICMPv6,
TCP and UDP headers as specified by their respective RFCs. Additionally the TOE is
capable of content inspection of FTP and H.323 protocols to work with the dynamic nature of
these protocols.
CGI IT Security Evaluation & Test Facility is the CCEF that conducted the evaluation. This
evaluation was completed on 14 April 2015 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 Fortigate UTM v5.0.10, and the
security functional/assurance 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.
Communications Security Establishment, as the CCS Certification Body, declares that the
Fortigate UTM v5.0.10 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).
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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1 Identification of Target of Evaluation
Fortigate UTM appliances running FortiOS 5.0 Patch Release 10 (hereafter referred to as
Fortigate UTM v5.0.10), from Fortinet, Inc., is the Target of Evaluation. The Fortigate UTM
v5.0.10 is conformant with the Protection Profile for Network Devices, v1.1, June 8, 2012
with the Stateful Traffic Filter Firewall Version 1.0 extended package (hereafter referred to
as the NDPP).
2 TOE Description
Fortigate UTM v5.0.10 is a series of hardware security systems that are designed to protect
computer networks from abuse. They reside between the network they are protecting and an
external network such as the Internet, restricting the information flow between the networks
to that permitted by a policy (set of rules) defined by an authorized administrator. 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.
The TOE is designed to provide firewall services ensuring network protection for Internet
Protocol version 4 (IPv4) and Internet Protocol version 6 (IPv6) networks. The TOE is
capable of robust filtering based on information contained in IPv4, IPv6, ICMPv4, ICMPv6,
TCP and UDP headers as specified by their respective RFCs. Additionally the TOE is
capable of content inspection of FTP and H.323 protocols to work with the dynamic nature of
these protocols.
A diagram of the Fortigate UTM v5.0.10 architecture is as follows;
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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3 Security Policy
Fortigate UTM v5.0.10 implements a role-based access control policy to control
administrative access to the system. In addition, Fortigate UTM v5.0.10 implements policies
pertaining to the following security functional classes:
 Security Audit
 Cryptographic Support
 User Data Protection
 Identification and Authentication
 Security Management
 Protection of the TOE Security Functionality (TSF)
 TOE Access
 Trusted Path/Channels
 Stateful Traffic Filtering
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in Fortigate UTM v5.0.10:
Cryptographic Algorithm Standard Certificate #
Triple-DES (3DES) FIPS 46-3
#1804, #1805, #1806,
#1807 , #1808
Advanced Encryption Standard (AES) FIPS 197 #3166, #3167, #3168,
#3169, #3171
Rivest Shamir Adleman (RSA) FIPS 186-2 #1604, #1605, #1606,
#1607
Secure Hash Algorithm (SHA-1) FIPS 180-2 #2619, #2620, #2621,
#2622, #2624
Keyed-Hash Message Authentication
Code (HMAC)
FIPS 198 #1994, #1995, #1996,
#1997, #1999
Deterministic Random Bit Generator
(DRBG)
SP 800-90A #652
4 Security Target
The ST associated with this Certification Report is identified below:
Fortigate UTM appliances running FortiOS 5.0 Patch Release 10 Security Target, version
1.7, April 13, 2015.
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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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.
Fortigate UTM v5.0.10 is:
a. Conformant to the Protection Profile for Network Devices, v1.1, June 8, 2012 (Errata #2)
with the Stateful Traffic Filter Firewall Version 1.0 extended package ,
b. 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:
 FAU_STG_EXT.1 - External audit trail storage
 FCS_CKM_EXT.4 - Cryptographic key zeroization
 FCS_RBG_EXT.1 - Cryptographic operation: random bit generation
 FCS_HTTPS_EXT.1 - HTTPS
 FCS_TLS_EXT.1 - TLS
 FIA_PMG_EXT.1 - Password management
 FIA_UIA_EXT.1 - User identification and authentication
 FIA_UAU_EXT.2 - Password-based authentication mechanism
 FPT_SKP_EXT.1 - Protection of TSF data
 FPT_APW_EXT.1 - Protection of administrator passwords
 FPT_TUD_EXT.1 - Trusted update
 FPT_TST_EXT.1 - TSF testing
 FTA_SSL_EXT.1 - TSF-initiated session locking
 FFW_RUL_EXT.1 - Stateful Traffic Filtering
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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6 Assumptions and Clarification of Scope
Consumers of Fortigate UTM v5.0.10 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.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 There are no general-purpose computing capabilities (e.g., compilers or user
applications) available on the TOE, other than those services necessary for the
operation, administration and support of the TOE;
 The TOE is connected to distinct networks in a manner that ensures that the TOE
security policies will be enforced on all applicable network traffic flowing among the
attached networks. and
 TOE Administrators are trusted to follow and apply all administrator guidance in a
trusted manner.
6.2 Environmental Assumptions
The following Environmental Assumption is listed in the ST:
 Physical security, commensurate with the value of the TOE and the data it contains, is
provided by the environment.
6.3 Clarification of Scope
Only the secure management and stateful packet filter firewall functionality of the TOE was
evaluated, the TOE has other functionality that was not included as part of this evaluation.
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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7 Evaluated Configuration
The evaluated configuration for Fortigate UTM v5.0.10 comprises:
 The TOE firmware (FortiOS v5.0.10) running on the following platforms;
FortiGate-20C FortiGate-111C FortiGate-621B
FortiWiFi-20C FortiGate‐100D FortiGate‐800C
FortiGate-30D FortiGate-140D FortiGate-1000C
FortiWiFi-30D FortiGate-140D-PoE FortiGate-1000D
FortiWiFi-30D-PoE FortiGate‐200B FortiGate-1200D
FortiGate-40C FortiGate-200B-PoE FortiGate‐1240B
FortiWiFi-40C FortiGate-200D FortiGate-1500D
FortiGate‐60C FortiGate-240D FortiGate-280D-PoE
FortiGate‐60D FortiGate‐300C FortiGate-3040B
FortiWiFi-60C FortiGate-300D FortiGate‐3140B
FortiGate‐80C FortiGate‐310B FortiGate‐3240C
FortiWiFi-80CM FortiGate-311B FortiGate-3600C
FortiGate-90D FortiGate-500D FortiGate-3700D
FortiGate-90D-PoE FortiGate‐600C FortiGate‐3950B
FortiGate‐110C FortiGate‐620B FortiGate-3951B
The TOE firmware can also be installed one of the following hardware blades;
 FortiGate‐5001A
 FortiGate‐5001B
 FortiGate‐5001C
 FortiGate-5001D
 FortiGate-5101C
 FortiSwitch-5203B
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Fortigate UTM v5.0.10
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The hardware blades themselves run on the following blade servers;
 FortiGate-5020 (2 Blade Slots)
 FortiGate-5060 (6 Blade Slots)
 FortiGate-5140B (14 Blade Slots)
The TOE requires the FTR-ENT1 USB token for the generation of random numbers.
The TOE requires a FortiAnalyzer appliance running FortiAnalyzer 5.0.7 firmware to act as
an audit server in the environment.
The publication entitled FIPS 140-2 and Common Criteria Compliant Operation for
FortiOS™ 5.0.10 01-510-267768-20150206 March 20, 2015 describes the procedures
necessary to install and operate Fortigate UTM v5.0.10 in its evaluated configuration.
8 Documentation
The Fortinet, Inc. documents provided to the consumer are as follows:
a. FortiOS™ Handbook for FortiOS 5.0 01-5010-99686-20150219 February 19, 2015;
b. FortiGate™ Log Message Reference v5.0 Patch Release 10 01-510-112804-20150313
March 13, 2015;
c. FortiOS™ CLI Reference for FortiOS 5.0 01-509-99686-20150226 February 26, 2015;
d. FIPS 140-2 and Common Criteria Compliant Operation for FortiOS™ 5.0.10 01-510-
267768-20150206 March 20, 2015;
e. FortiAnalyzer v5.0 Patch Release 9 Administration Guide 05-509-187572-20141020
October 20, 2014; and
f. FortiGate Appliances with FortiOS 5.0 (NDPP Compliant) Product Architectural
Description 0.3 February 6, 2015.
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Fortigate UTM v5.0.10
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9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Fortigate UTM v5.0.10,
including the following areas:
Development: The evaluators analyzed the Fortigate UTM v5.0.10 functional specification
and determined that the functional specification describes the purpose and method of use for
each TSF interface and that the Fortigate UTM v5.0.10 functional specification is an accurate
and complete instantiation of the SFRs.
Guidance Documents: The evaluators examined the Fortigate UTM v5.0.10 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 Fortigate UTM v5.0.10 configuration management
system and associated documentation was performed. The evaluators found that the Fortigate
UTM v5.0.10 configuration items were clearly marked.
All these evaluation activities resulted in PASS verdicts.
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Fortigate UTM v5.0.10
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10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation.
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 test goals:
a. NDPP required assurance activities: The objective of this test goal is to perform the
assurance activities mandated by the NDPP to which the TOE is claiming conformance.
10.2 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. NDPP required assurance activities. The evaluator performed the assurance activities
mandated by the protection profile to which the TOE is claiming conformance; and
b. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.3 Conduct of Testing
Fortigate UTM v5.0.10 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the Information
Technology Security Evalution and Test Facility. 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.
10.4 Testing Results
The independent tests yielded the expected results, providing assurance that Fortigate UTM
v5.0.10 behaves as specified in its ST and functional specification.
11 Results of the Evaluation
This evaluation has provided the basis for a NDPP conformance claim as claimed in Section
5. The overall verdict for the evaluation is PASS. These results are supported by evidence in
the ETR.
CCS Certification Report Fortinet, Inc.
Fortigate UTM v5.0.10
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12 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
PALCAN Program for the Accreditation of
Laboratories - Canada
NDPP Protection Profile for Network Devices
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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Fortigate UTM v5.0.10
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13 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. Protection Profile for Network Devices, v1.1, June 8, 2012
e. Network Device Protection Profile (NDPP) Extended Package Stateful Traffic Filter
Firewall Version 1.0
f. Fortigate UTM appliances running FortiOS 5.0 Patch Release 10 Security Target,
version 1.7, April 13, 2015
g. Fortinet, Inc. Fortigate UTM appliances running FortiOS 5.0 Common Criteria NDPP
with Errata #2 and Stateful Traffic Firewall Extended Package Evaluation Technical
Report v1.8, April 14, 2015.