Certification Report
FortiMail Appliances running FortiMail Firmware
Version 5.2.6
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2016
Document number: 383-4-314-CR
Version: 1.0
Date: 15 January 2016
Pagination: i to iii, 1 to 9
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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Version 1.0 15 January 2016
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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.
FortiMail Version 5.2.6
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Version 1.0 15 January 2016
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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 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, 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 15
January 2016, 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).
Reproduction of this report is authorized provided the report is reproduced in its entirety.
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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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....................................................................................................................... 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 3
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
6.3 CLARIFICATION OF SCOPE.......................................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 5
10 ITS Product Testing.............................................................................................................. 7
10.1 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
10.2 INDEPENDENT PENETRATION TESTING....................................................................... 7
10.3 CONDUCT OF TESTING ............................................................................................... 7
10.4 TESTING RESULTS...................................................................................................... 7
11 Results of the Evaluation...................................................................................................... 7
12 Acronyms, Abbreviations and Initializations..................................................................... 8
13 References.............................................................................................................................. 9
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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Version 1.0 15 January 2016
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Executive Summary
FortiMail Appliances running FortiMail Firmware Version 5.2.6, (hereafter referred to as
FortiMail Version 5.2.6), from Fortinet, Inc., is the Target of Evaluation. The results of this
evaluation demonstrate that FortiMail Version 5.2.6 is conformant with the Protection Profile
for Network Devices, v1.1, June 8, 2012, with Errata #3 (hereafter referred to as the NDPP).
FortiMail Version 5.2.6 appliances are email security systems that provide multi-layered
protection against blended threats comprised of spam, viruses, worms and spyware.
FortiMail’s inbound filtering engine blocks spam and malware before it can impact networks
and affect users. Its outbound inspection technology prevents other antispam gateways from
blacklisting users by blocking outbound spam and malware, including mobile traffic. The
FortiMail appliance, together with the Fortinet Entropy Token, is a stand-alone unit that does
not require supporting hardware.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
15 January 2016 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 FortiMail Version 5.2.6, 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
TOE short name 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.
FortiMail Version 5.2.6
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1 Identification of Target of Evaluation
FortiMail Appliances running FortiMail Firmware Version 5.2.6, (hereafter referred to as
FortiMail Version 5.2.6), from Fortinet, Inc., is the Target of Evaluation. FortiMail Version
5.2.6 is conformant with the Protection Profile for Network Devices, v1.1, June 8, 2012, with
Errata #3 (hereafter referred to as the NDPP).
2 TOE Description
FortiMail Version 5.2.6 appliances are email security systems that provide multi-layered
protection against blended threats comprised of spam, viruses, worms and spyware.
FortiMail’s inbound filtering engine blocks spam and malware before it can impact networks
and affect users. Its outbound inspection technology prevents other antispam gateways from
blacklisting users by blocking outbound spam and malware, including mobile traffic. Each
FortiMail appliance, together with the Fortinet Entropy Token, is a stand-alone unit that does
not require supporting hardware.
3 Security Policy
FortiMail Version 5.2.6 implements a role-based access control policy to control
administrative access to the system. In addition, FortiMail Version 5.2.6 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
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in FortiMail Version 5.2.6:
Cryptographic Algorithm Standard Certificate #
Advanced Encryption Standard (AES) FIPS 197 3500
Rivest Shamir Adleman (RSA) FIPS 186-3 1801
Secure Hash Algorithm (SHA-1) FIPS 180-3 2239
Keyed-Hash Message Authentication Code
(HMAC)
FIPS 198-1 2892
Deterministic Random Bit Generator (DRBG) NIST SP 800-90 873
4 Security Target
The ST associated with this Certification Report is identified below:
FortiMail Appliances Security Target, Version 1.13, January 12, 2016.
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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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.
FortiMail Version 5.2.6 is:
a. Conformant to the Protection Profile for Network Devices, v1.1, June 8, 2012, with
Errata #3,
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
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
6 Assumptions and Clarification of Scope
Consumers of FortiMail Version 5.2.6 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; and
 TOE Administrators are trusted to follow and apply all administrator guidance in a
trusted manner.
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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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
FortiMail Version 5.2.6 incorporates CAVP-validated cryptography and was not subjected to
CMVP (FIPS-140) validation.
The scope of the evaluation is limited to secure management functionality only.
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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7 Evaluated Configuration
The evaluated configuration for FortiMail Version 5.2.6 comprises the following:
 FortiMail 200D running FortiMail Version 5.2.6 (build 460) firmware with Fortinet
Entropy Token V1;
 FortiMail 1000D running FortiMail Version 5.2.6 (build 460) firmware with Fortinet
Entropy Token V1; and
 FortiMail 3000D running FortiMail Version 5.2.6 (build 460) firmware with Fortinet
Entropy Token V1.
The publication entitled FIPS 140-2 and Common Criteria Compliant Operation for
FortiMail 5.2.6, January 15, 2016 describes the procedures necessary to install and operate
FortiMail Version 5.2.6 in its evaluated configuration.
8 Documentation
The Fortinet, Inc. documents provided to the consumer are as follows:
a. FortiMail Secure Messaging Platform 5.2.4 Administration Guide, July 29, 2015;
b. FortiMail Secure Messaging Platform 5.2.4 CLI Reference, August 27, 2015;
c. FortiMail Secure Messaging Platform 5.2.0 Log Message Reference, August 22, 2014;
d. FortiMail-200D QuickStart Guide, July 25, 2012;
e. FortiMail-1000D QuickStart Guide, September 24, 2013;
f. FortiMail-3000D QuickStart Guide, September 24, 2013; and
g. FIPS 140-2 and Common Criteria Compliant Operation for FortiMail 5.2.6, January 15,
2016.
9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of FortiMail Version 5.2.6,
including the following areas:
Development: The evaluators analyzed the FortiMail Version 5.2.6 functional specification
and determined that the functional specification describes the purpose and method of use for
each TSF interface and that the FortiMail Version 5.2.6 functional specification is an
accurate and complete instantiation of the SFRs.
Guidance Documents: The evaluators examined the FortiMail Version 5.2.6 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.
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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Life-cycle support: An analysis of the FortiMail Version 5.2.6 configuration management
system and associated documentation was performed. The evaluators found that the TOE
short name configuration items were clearly marked.
All these evaluation activities resulted in PASS verdicts.
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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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
FortiMail Version 5.2.6 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 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 FortiMail
Version 5.2.6 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.
FortiMail Version 5.2.6
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12 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CAVP Cryptographic Algorithm Validation
Program
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CM Configuration Management
CMVP Cryptographic Module Validation Program
CPL Certified Products list
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
CCS Certification Report Fortinet, Inc.
FortiMail Version 5.2.6
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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, with Errata #3.
e. FortiMail Appliances Security Target, Version 1.13, January 12, 2016.
f. Evaluation Technical Report for NDPP v1.1 Common Criteria Evaluation of Fortinet,
Inc. FortiMail Appliances with FortiMail firmware V5.2.6,Version 1.4, 15 January
2016.