Certification Report
Trend Micro Deep Security 9.5 SP1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2015
Document number: 383-4-274-CR
Version: 1.0
Date: 27 March 2015
Pagination: i to iii, 1 to 9
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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.
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FORWARD
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 CSC Security Testing/Certification Laboratories.
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 27
March 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:
 Trend Micro is a registered trademark of Trend Micro Inc.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Forward .........................................................................................................................................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.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
6.3 CLARIFICATION OF SCOPE.......................................................................................... 4
7 Evaluated Configuration...................................................................................................... 4
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 5
10 ITS Product Testing.............................................................................................................. 6
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 6
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
10.4 CONDUCT OF TESTING ............................................................................................... 7
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Evaluator Comments, Observations and Recommendations76 ....................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 8
14 References.............................................................................................................................. 9
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Executive Summary
Trend Micro Deep Security 9.5 SP1 (hereafter referred to as Deep Security 9.5 SP1), from
Trend Micro, Inc., is the Target of Evaluation. The results of this evaluation demonstrate that
Deep Security 9.5 SP1 meets the requirements of Evaluation Assurance Level (EAL) 2
augmented for the evaluated security functionality.
Deep Security 9.5 SP1 is a software intrusion detection and prevention software system that
protects customers’ IT system servers and applications. This solution can identify suspicious
activity and behavior, and take proactive or preventive measures to ensure the security of the
machines on which it is deployed. Several protection features are combined in centrally
managed software agents, adding a suite of protection functionality to the intrusion detection
and prevention system.
Deep Security provides the ability to protect itself and associated data from unauthorized
access or modification and provides an audit trail to ensure accountability for authorized
actions.
CSC Security Testing/Certification Laboratories is the CCEF that conducted the evaluation.
This evaluation was completed on 27 March 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 Deep Security 9.5 SP1, 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
Deep Security 9.5 SP1 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).
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this EAL 2+ evaluation is Trend Micro Deep Security
9.5 SP1 (hereafter referred to as Deep Security 9.5 SP1), from Trend Micro, Inc.
2 TOE Description
Deep Security 9.5 SP1 is a software intrusion detection and prevention software system that
protects customers’ IT system servers and applications. This solution can identify suspicious
activity and behavior, and take proactive or preventive measures to ensure the security of the
machines on which it is deployed. Several protection features are combined in centrally
managed software agents, adding a suite of protection functionality to the intrusion detection
and prevention system.
Deep Security provides the ability to protect itself and associated data from unauthorized
access or modification and provides an audit trail to ensure accountability for authorized
actions.
A diagram of the Deep Security 9.5 SP1 architecture is as follows:
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3 Security Policy
Deep Security 9.5 SP1 implements a role-based access control policy to control
administrative access to the system. In addition, Deep Security 9.5 SP1 implements policies
pertaining to the following security functional classes:
Security Audit;
Cryptographic Support;
Security Management;
Identification and Authentication;
Protection of the TSF;
Intrusion Detection and Prevention; and
Anti-virus.
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in Deep Security 9.5 SP1:
Cryptographic Algorithm Standard Certificate #
Advanced Encryption Standard (AES) FIPS 197 3159, 3004, 3005
Rivest Shamir Adleman (RSA) FIPS 186-3 873, 828, 872
Secure Hash Algorithm (SHA-1) FIPS 180-3 2615, 2515, 2516
4 Security Target
The ST associated with this Certification Report is identified below:
Trend Micro Deep Security 9.5 Security Target Version 21.0, 13 March 2015
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.
Deep Security 9.5 SP1 is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following:
 ALC_FLR.1 Basic Flaw Remediation.
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:
 IDS_SDC.1 System Data Collection;
 IDS_ANL.1 Analyser Analysis;
 IDS_RCT.1 Analyser React;
 IDS_RDR.1 Restricted Data Review;
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 IDS_STG.1 Guarantee of System Data Availability;
 IDS_STG.2 Prevention of System Data Loss;
 FAV_ACT.1 Anti-Virus Actions;
 FAV_ALR.1 Anti-Virus Alerts; and
 FAV_SCN.1 Anti-virus Scanning.
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 Deep Security 9.5 SP1 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:
 One or more authorised administrators will be assigned to install, configure and
manage the TOE and the security of the information it contains;
 The TOE can only be assessed by authorized users;
 Administrators and Users of the TOE are not careless, willfully negligent, or hostile
and will follow and abide by the instructions provided by the guidance
documentation; and
 The TOE hardware and software critical to security policy enforcement will be
protected from unauthorized physical modification.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE has access to all the IT System data it needs to perform its functions;
 The TOE is appropriately scalable to the IT systems the TOE monitors; and
 The processing resources of the TOE will be located within facilities providing
controlled access.
6.3 Clarification of Scope
Deep Security 9.5 SP1 incorporates CAVP-validated cryptography and was not subjected to
CMVP (FIPS-140) validation.
7 Evaluated Configuration
The evaluated configuration for Deep Security 9.5 SP1 comprises the following components:
Deep Security Manager version 9.5.5600 installed on Windows Server 2012;
Deep Security Agent version 9.5.3-2754 running on one of the following operating systems:
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 Windows Server 2001; or
 Linux Red Hat Enterprise Edition 6.
Or
Deep Security Virtual Appliance Agent version 9.5.3-2754 and Deep Security Filter Driver
version 9.5.3-2750 on a VMWare ESX5.5 virtual machine.
The publications entitled
 Deep_Security_95_SP1_Install_Guide_basic_EN: Basic installation of DSM and
DSA;
 Deep_Security_95_SP1_Install_Guide_nsx_EN;
 Deep_Security_95_SP1_Install_Guide_vmsafe_EN: Installation for DSVA ; and
 Deep Security 95 Common Criteria Addendum to Install Guide: Special instructions
for CC evaluated configuration.
describe the procedures necessary to install and operate Deep Security 9.5 SP1 in its
evaluated configuration.
8 Documentation
The Trend Micro, Inc. documents provided to the consumer are as follows:
a. Deep_Security_95_SP1_Install_Guide_basic_EN: Basic installation of DSM and DSA;
b. Deep_Security_95_SP1_Install_Guide_nsx_En;
c. Deep_Security_95_SP1_Install_Guide_vmsafe_EN: Installation for DSVA; and
d. Deep Security 95 Common Criteria Addendum to Install Guide: Special instructions for
CC evaluated configuration.
9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Deep Security 9.5 SP1,
including the following areas:
Development: The evaluators analyzed the Deep Security 9.5 SP1 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
Deep Security 9.5 SP1 security architectural description and determined that the initialization
process is secure, that the security functions are protected against tamper and bypass, and that
security domains are maintained. The evaluators also independently verified that the
correspondence mappings between the design documents are correct.
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Guidance Documents: The evaluators examined the Deep Security 9.5 SP1 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 Deep Security 9.5 SP1 configuration management
system and associated documentation was performed. The evaluators found that the Deep
Security 9.5 SP1 configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of Deep Security 9.5 SP1 during distribution
to the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the Deep
Security 9.5 SP1. During a site visit, the evaluators also examined the evidence generated by
adherence to the procedures. The evaluators concluded that the procedures are adequate to
track and correct security flaws, and distribute the flaw information and corrections to
consumers of the product.
All these evaluation activities resulted in PASS verdicts.
10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 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 ETR1
.
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.
10.2 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:
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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a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Assign a policy to a computer; The objective of this test goal is to verify that a policy can
be assigned to a computer;
c. Password policies: The objective of this test goal is to verify that the TOE is exercising
the password rules properly;
d. Authentication: The objective of this test goal is to validate rules on authentication;
e. Access Control: The objective of this test goal is to test role based access control;
f. Retrieval of anti-malware events: The objective of this test goal is to demonstrate the
retrieval of events specified by ID;
g. Identification of Deep Security Manager: The objective of this test goal is to retrieve
information on Deep Security Manager that will verify its identity; and
h. Usage Monitoring: The objective of this test goal is to verify the TOE`s ability to return
data on usage.
10.3 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. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities;
b. Search the Public Domain to discover potential vulnerabilities with the TOE;
c. Monitor Network Traffic: The objective of this test goal is to capture traffic between
parts of the TOE using Wireshark and to verify that such communication is secured by
TLS;
d. TLS Strength: The objective of this test goal is to demonstrate that the TOE is not using
weak ciphers; and
e. Heartbleed, Poodle and Shellshock: The objective of this test goal is to examine if the
TOE is susceptible to any of those vulnerabilities.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
Deep Security 9.5 SP1 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place onsite at the developer’s
location at Trend Micro, Inc, 40 Hines Road, Suite 200, Ottawa, Ontario, Canada, K2K 2M5.
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.
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10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that Deep Security 9.5 SP1 behaves as specified in its ST and functional
specification.
11 Results of the Evaluation
This evaluation has provided the basis for a EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
12 Evaluator Comments, Observations and Recommendations76
The users shall follow the user guidance documentation, installation guides, the addendum to
the installation guides, and the assumptions specified in the Security Target to install and
operate the TOE as specified.
The Deep Security Relay (a separate Trend Micro product) is excluded in the CC evaluation
(see Section 1.5 of ST). The TOE's operational environment includes Deep Security Relay.
This recommendation serves as a reminder to the user of the TOE that Deep Security Relay
has not been evaluated.
13 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
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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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. Trend Micro Deep Security 9.5 Security Target Version 21.0, 13 March 2015
e. Trend Micro Deep Security 9.5 Evaluation Technical Report, version 3, 27
March2015.