BSI-DSZ-CC-0991-2016 for secunet wall packet filter, Version 5.1.0 from secunet Security Networks AG BSI - Bundesamt für Sicherheit in der Informationstechnik, Postfach 20 03 63, D-53133 Bonn Phone +49 (0)228 99 9582-0, Fax +49 (0)228 9582-5477, Infoline +49 (0)228 99 9582-111 Certification Report V1.0 CC-Zert-327 V5.14 BSI-DSZ-CC-0991-2016 (*) Packet Filter secunet wall packet filter, Version 5.1.0 from secunet Security Networks AG PP Conformance: None Functionality: Product specific Security Target Common Criteria Part 2 conformant Assurance: Common Criteria Part 3 conformant EAL 4 augmented by ALC_FLR.2 SOGIS Recognition Agreement The IT Product identified in this certificate has been evaluated at an approved evaluation facility using the Common Methodology for IT Security Evaluation (CEM), Version 3.1 extended by Scheme Interpretations for conformance to the Common Criteria for IT Security Evaluation (CC), Version 3.1. CC and CEM are also published as ISO/IEC 15408 and ISO/IEC 18045. (*) This certificate applies only to the specific version and release of the product in its evaluated configuration and in conjunction with the complete Certification Report and Notification. For details on the validity see Certification Report part A chapter 4. The evaluation has been conducted in accordance with the provisions of the certification scheme of the German Federal Office for Information Security (BSI) and the conclusions of the evaluation facility in the evaluation technical report are consistent with the evidence adduced. This certificate is not an endorsement of the IT Product by the Federal Office for Information Security or any other organisation that recognises or gives effect to this certificate, and no warranty of the IT Product by the Federal Office for Information Security or any other organisation that recognises or gives effect to this certificate, is either expressed or implied. Common Criteria Recognition Arrangement for components up to EAL 2 Bonn, 10 March 2016 For the Federal Office for Information Security Bernd Kowalski L.S. Head of Department Bundesamt für Sicherheit in der Informationstechnik Godesberger Allee 185-189 - D-53175 Bonn - Postfach 20 03 63 - D-53133 Bonn Phone +49 (0)228 99 9582-0 - Fax +49 (0)228 9582-5477 - Infoline +49 (0)228 99 9582-111 Certification Report BSI-DSZ-CC-0991-2016 This page is intentionally left blank. 4 / 32 BSI-DSZ-CC-0991-2016 Certification Report Preliminary Remarks Under the BSIG1 Act, the Federal Office for Information Security (BSI) has the task of issuing certificates for information technology products. Certification of a product is carried out on the instigation of the vendor or a distributor, hereinafter called the sponsor. A part of the procedure is the technical examination (evaluation) of the product according to the security criteria published by the BSI or generally recognised security criteria. The evaluation is normally carried out by an evaluation facility recognised by the BSI or by BSI itself. The result of the certification procedure is the present Certification Report. This report contains among others the certificate (summarised assessment) and the detailed Certification Results. The Certification Results contain the technical description of the security functionality of the certified product, the details of the evaluation (strength and weaknesses) and instructions for the user. 1 Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009, Bundesgesetzblatt I p. 2821 5 / 32 Certification Report BSI-DSZ-CC-0991-2016 Contents A. Certification........................................................................................................................7 1. Specifications of the Certification Procedure.................................................................7 2. Recognition Agreements................................................................................................7 3. Performance of Evaluation and Certification..................................................................9 4. Validity of the Certification Result...................................................................................9 5. Publication....................................................................................................................10 B. Certification Results.........................................................................................................11 1. Executive Summary.....................................................................................................12 2. Identification of the TOE...............................................................................................13 3. Security Policy..............................................................................................................14 4. Assumptions and Clarification of Scope.......................................................................14 5. Architectural Information...............................................................................................15 6. Documentation.............................................................................................................15 7. IT Product Testing.........................................................................................................15 8. Evaluated Configuration...............................................................................................18 9. Results of the Evaluation..............................................................................................18 10. Obligations and Notes for the Usage of the TOE.......................................................18 11. Security Target............................................................................................................19 12. Definitions...................................................................................................................19 13. Bibliography................................................................................................................22 C. Excerpts from the Criteria................................................................................................23 CC Part 1:........................................................................................................................23 CC Part 3:........................................................................................................................24 D. Annexes...........................................................................................................................31 6 / 32 BSI-DSZ-CC-0991-2016 Certification Report A. Certification 1. Specifications of the Certification Procedure The certification body conducts the procedure according to the criteria laid down in the following: ● Act on the Federal Office for Information Security2 ● BSI Certification and Approval Ordinance3 ● BSI Schedule of Costs4 ● Special decrees issued by the Bundesministerium des Innern (Federal Ministry of the Interior) ● DIN EN ISO/IEC 17065 standard ● BSI certification: Scheme documentation describing the certification process (CC-Produkte) [3] ● BSI certification: Scheme documentation on requirements for the Evaluation Facility, its approval and licencing process (CC-Stellen) [3] ● Common Criteria for IT Security Evaluation (CC), Version 3.15 [1] also published as ISO/IEC 15408. ● Common Methodology for IT Security Evaluation (CEM), Version 3.1 [2] also published as ISO/IEC 18045. ● BSI certification: Application Notes and Interpretation of the Scheme (AIS) [4] 2. Recognition Agreements In order to avoid multiple certification of the same product in different countries a mutual recognition of IT security certificates - as far as such certificates are based on ITSEC or CC - under certain conditions was agreed. 2.1. European Recognition of ITSEC/CC – Certificates (SOGIS-MRA) The SOGIS-Mutual Recognition Agreement (SOGIS-MRA) Version 3 became effective in April 2010. It defines the recognition of certificates for IT-Products at a basic recognition level and, in addition, at higher recognition levels for IT-Products related to certain SOGIS Technical Domains only. 2 Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009, Bundesgesetzblatt I p. 2821 3 Ordinance on the Procedure for Issuance of Security Certificates and approval by the Federal Office for Information Security (BSI-Zertifizierungs- und -Anerkennungsverordnung - BSIZertV) of 17 December 2014, Bundesgesetzblatt 2014, part I, no. 61, p. 2231 4 Schedule of Cost for Official Procedures of the Bundesamt für Sicherheit in der Informationstechnik (BSI-Kostenverordnung, BSI-KostV) of 03 March 2005, Bundesgesetzblatt I p. 519 5 Proclamation of the Bundesministerium des Innern of 12 February 2007 in the Bundesanzeiger dated 23 February 2007, p. 3730 7 / 32 Certification Report BSI-DSZ-CC-0991-2016 The basic recognition level includes Common Criteria (CC) Evaluation Assurance Levels EAL 1 to EAL 4 and ITSEC Evaluation Assurance Levels E1 to E3 (basic). For "Smartcards and similar devices" a SOGIS Technical Domain is in place. For "HW Devices with Security Boxes" a SOGIS Technical Domains is in place, too. In addition, certificates issued for Protection Profiles based on Common Criteria are part of the recognition agreement. The new agreement has been signed by the national bodies of Austria, Finland, France, Germany, Italy, The Netherlands, Norway, Spain, Sweden and the United Kingdom. The current list of signatory nations and approved certification schemes, details on recognition, and the history of the agreement can be seen on the website at https://www.sogisportal.eu. The SOGIS-MRA logo printed on the certificate indicates that it is recognised under the terms of this agreement by the nations listed above. This certificate is recognized under SOGIS-MRA for all assurance components selected. 2.2. International Recognition of CC – Certificates (CCRA) The international arrangement on the mutual recognition of certificates based on the CC (Common Criteria Recognition Arrangement, CCRA-2014) has been ratified on 08 September 2014. It covers CC certificates based on collaborative Protection Profiles (cPP) (exact use), CC certificates based on assurance components up to and including EAL 2 or the assurance family Flaw Remediation (ALC_FLR) and CC certificates for Protection Profiles and for collaborative Protection Profiles (cPP). The CCRA-2014 replaces the old CCRA signed in May 2000 (CCRA-2000). Certificates based on CCRA-2000, issued before 08 September 2014 are still under recognition according to the rules of CCRA-2000. For on 08 September 2014 ongoing certification procedures and for Assurance Continuity (maintenance and re-certification) of old certificates a transition period on the recognition of certificates according to the rules of CCRA-2000 (i.e. assurance components up to and including EAL 4 or the assurance family Flaw Remediation (ALC_FLR)) is defined until 08 September 2017. As of September 2014 the signatories of the new CCRA-2014 are government representatives from the following nations: Australia, Austria, Canada, Czech Republic, Denmark, Finland, France, Germany, Greece, Hungary, India, Israel, Italy, Japan, Malaysia, The Netherlands, New Zealand, Norway, Pakistan, Republic of Korea, Singapore, Spain, Sweden, Turkey, United Kingdom, and the United States. The current list of signatory nations and approved certification schemes can be seen on the website: http://www.commoncriteriaportal.org. The Common Criteria Recognition Arrangement logo printed on the certificate indicates that this certification is recognised under the terms of this agreement by the nations listed above. This certificate is recognized according to the rules of CCRA-2014, i.e. up to and including CC part 3 EAL 2 components. The evaluation contained components above EAL 2 that are not mutually recognised in accordance with the provisions of the CCRA-2014, for mutual recognition the EAL 2 components of these assurance families are relevant. 8 / 32 BSI-DSZ-CC-0991-2016 Certification Report 3. Performance of Evaluation and Certification The certification body monitors each individual evaluation to ensure a uniform procedure, a uniform interpretation of the criteria and uniform ratings. The product secunet wall packet filter, Version 5.1.0 has undergone the certification procedure at BSI. The evaluation of the product secunet wall packet filter, Version 5.1.0 was conducted by SRC Security Research & Consulting GmbH. The evaluation was completed on 9 March 2016. SRC Security Research & Consulting GmbH is an evaluation facility (ITSEF)6 recognised by the certification body of BSI. For this certification procedure the sponsor and applicant is: secunet Security Networks AG. The product was developed by: secunet Security Networks AG. The certification is concluded with the comparability check and the production of this Certification Report. This work was completed by the BSI. 4. Validity of the Certification Result This Certification Report only applies to the version of the product as indicated. The confirmed assurance package is only valid on the condition that ● all stipulations regarding generation, configuration and operation, as given in the following report, are observed, ● the product is operated in the environment described, as specified in the following report and in the Security Target. For the meaning of the assurance levels please refer to the excerpts from the criteria at the end of the Certification Report or in the CC itself. The Certificate issued confirms the assurance of the product claimed in the Security Target at the date of certification. As attack methods evolve over time, the resistance of the certified version of the product against new attack methods needs to be re-assessed. Therefore, the sponsor should apply for the certified product being monitored within the assurance continuity program of the BSI Certification Scheme (e.g. by a re-certification). Specifically, if results of the certification are used in subsequent evaluation and certification procedures, in a system integration process or if a user's risk management needs regularly updated results, it is recommended to perform a re-assessment on a regular e.g. annual basis. In order to avoid an indefinite usage of the certificate when evolved attack methods require a re-assessment of the products resistance to state of the art attack methods, the maximum validity of the certificate has been limited. The certificate issued on 10 March 2016 is valid until 09. March 2021. Validity can be re-newed by re-certification. The owner of the certificate is obliged: 1. when advertising the certificate or the fact of the product's certification, to refer to the Certification Report as well as to provide the Certification Report, the Security 6 Information Technology Security Evaluation Facility 9 / 32 Certification Report BSI-DSZ-CC-0991-2016 Target and user guidance documentation mentioned herein to any customer of the product for the application and usage of the certified product, 2. to inform the Certification Body at BSI immediately about vulnerabilities of the product that have been identified by the developer or any third party after issuance of the certificate, 3. to inform the Certification Body at BSI immediately in the case that security relevant changes in the evaluated life cycle, e.g. related to development and production sites or processes, occur, or the confidentiality of documentation and information related to the Target of Evaluation (TOE) or resulting from the evaluation and certification procedure where the certification of the product has assumed this confidentiality being maintained, is not given any longer. In particular, prior to the dissemination of confidential documentation and information related to the TOE or resulting from the evaluation and certification procedure that do not belong to the deliverables according to the Certification Report part B, or for those where no dissemination rules have been agreed on, to third parties, the Certification Body at BSI has to be informed. In case of changes to the certified version of the product, the validity can be extended to the new versions and releases, provided the sponsor applies for assurance continuity (i.e. re-certification or maintenance) of the modified product, in accordance with the procedural requirements, and the evaluation does not reveal any security deficiencies. 5. Publication The product secunet wall packet filter, Version 5.1.0 has been included in the BSI list of certified products, which is published regularly (see also Internet: https://www.bsi.bund.de and [5]). Further information can be obtained from BSI-Infoline +49 228 9582-111. Further copies of this Certification Report can be requested from the developer7 of the product. The Certification Report may also be obtained in electronic form at the internet address stated above. 7 secunet Security Networks AG Kronprinzenstraße 30 45128 Essen Deutschland 10 / 32 BSI-DSZ-CC-0991-2016 Certification Report B. Certification Results The following results represent a summary of ● the Security Target of the sponsor for the Target of Evaluation, ● the relevant evaluation results from the evaluation facility, and ● complementary notes and stipulations of the certification body. 11 / 32 Certification Report BSI-DSZ-CC-0991-2016 1. Executive Summary The target of evaluation (TOE) is the product secunet wall packet filter, Version 5.1.0 provided by secunet Security Networks AG. The secunet wall packet filter 5.1.0 allows the integration of packet filtering capability into a firewall or VPN components which are parts of the SINA product family. Therefore, the packet filter has to be delivered to an application developer. The application developer integrates the secunet wall packet filter 5.1.0 into an application in order to build a network component. The administrator of this application is defined as TOE end-user. The Security Target [6] is the basis for this certification. It is not based on a certified Protection Profile. The TOE Security Assurance Requirements (SAR) are based entirely on the assurance components defined in Part 3 of the Common Criteria (see part C or [1], Part 3 for details). The TOE meets the assurance requirements of the Evaluation Assurance Level EAL 4 augmented by ALC_FLR.2. The TOE Security Functional Requirements (SFR) relevant for the TOE are outlined in the Security Target [6], chapter 5. They are all selected from Common Criteria Part 2. Thus the TOE is CC Part 2 conformant. The TOE Security Functional Requirements are implemented by the following TOE Security Functionality: TOE Security Functionality Addressed issue SF.1 Information Flow Control • Information flow control (as routers) on the network layer (IP) and transport layer (TCP/UDP) is being provided. • IP datagrams are reassembled before further processing is performed, IP datagrams which cannot be reassembled in a predefined span of time are dropped. • Packets with spoofed source- or destination-IP addresses and packets with source routing options are dropped. SF.2 Security Audit • Audit records are generated for start-up and shutdown of the audit functions and for datagrams received or sent through a network components network interfaces if they match configured patterns. SF.3 Management • The TOE is capable of performing the following management functions “Modification of network traffic filter rules” and “Modification of configuration data” • The TOE maintains the role administrator. • The TOE is initialized with a strict packet filter rule set. Table 1: TOE Security Functionalities For more details please refer to the Security Target [6], chapter 6. 12 / 32 BSI-DSZ-CC-0991-2016 Certification Report The assets to be protected by the TOE are defined in the Security Target [6], chapter 3.1. Based on these assets the TOE Security Problem is defined in terms of Assumptions, Threats and Organisational Security Policies. This is outlined in the Security Target [6], chapter 3. This certification covers the configurations of the TOE as outlined in chapter 8. The vulnerability assessment results as stated within this certificate do not include a rating for those cryptographic algorithms and their implementation suitable for encryption and decryption (see BSIG Section 9, Para. 4, Clause 2). The certification results only apply to the version of the product indicated in the certificate and on the condition that all the stipulations are kept as detailed in this Certification Report. This certificate is not an endorsement of the IT product by the Federal Office for Information Security (BSI) or any other organisation that recognises or gives effect to this certificate, and no warranty of the IT product by BSI or any other organisation that recognises or gives effect to this certificate, is either expressed or implied. 2. Identification of the TOE The Target of Evaluation (TOE) is called: secunet wall packet filter, Version 5.1.0 The following table outlines the TOE deliverables: No Type Identifier Release SHA-256 hash sum 1 SW secunet wall packet filter 5.1.0 Identification: lpf-5_1_0/ bzImage fab2e89dcae54f6908f8db02af60a 6e8591d6d5be57291b7d2626ca8 d49eec1d 2 SW secunet wall packet filter 5.1.0 Identification: lpf-5_1_0/ sources.tar.bz2 d82223426c7dbea5d723fc5486cd b4798f4ac79f340a0133f857b5317 d63c173 3 DOC application developer guidance [8] File name: Applikationsentwickler- Handbuch.pdf Version 1.0 09.03.2015 18d280f08122d6c3ad49ce2bb 2d87d35aabff70d6eec7c8bf50 ca5ca49d9404e 4 Release Notes [9] File name: ReleaseNotes.pdf 14.04.2015 fb5abbbbd543638832b9b972b3b 54f3e18679404db279a88734aae 894752f01d 5 public signing key ASCII-encoded PGP public key File name: secuwall-sign.asc N/A, The public key must be identified by the fingerprint (see below). 6 signed hash file A text file that contains hash values of the items 1 to 4 above. It is enclosed in an openPGP block that is signed with the secunet private key. File name: sha256sums.asc N/A Table 2: Deliverables of the TOE 13 / 32 Certification Report BSI-DSZ-CC-0991-2016 The TOE is personally delivered to the application developer on a CD/DVD. The fingerprint of the public key is transferred differently (personally by the project manager). The project manager also provides the application developer with the information on how to verify the authenticity of the TOE. The TOE can be uniquely identified by the SHA-256 checksums in the file sha256sums.asc which also contains a signature that can be verified with the public key in the file secuwall-sign.asc. The authenticity check is divided into two steps: first the user (i.e. the application developer) has to check the authenticity of the delivered public PGP key. Therefore the user asks the project manager in person or via telephone for the fingerprint of the public signing key. To perform the PGP operations a PGP implementation must be used, e.g. the open source tool GnuPG. The delivered public key must be imported to calculate the fingerprint. If this fingerprint does not match the fingerprint from the project manager, the user must cancel the process and repeat the delivery process. Otherwise he can proceed to the second step: verification of the digital signature of the hash sum file (item 6 in table 2). The PGP tool must be used to verify the integrity of the hash sum file. If the hash sum file was signed with the correct key, the SHA256 sums of all files need to be calculated by using a tool that calculates the SHA-256 hash sum from a given file. Then the calculated hash sums must be compared to the values listed in the file sha256sums.asc (item 6 in table 2). If everything is correct, the user can further check if the version numbers of packet filter binary file (item 1 in table 2) and the application developer guidance (item 3 in table 2) match the versions mentioned in the certification report. So the user can ensure that he has received the the certified TOE. The end user, i.e. the administrator of the final application can check the correctness of the image 'bzImage' (item 1 in table 2). Therefore he can use the same sha256 tools as decribed for the application developer. Details about the process will be given to the administrator by the application developer, as described in the application developer guidance [8] in section 5.6.2. 3. Security Policy The Security Policy is expressed by the set of Security Functional Requirements and implemented by the TOE. It covers the following issues: ● Information Flow Protection: The TOE enforces the Packet Filter information flow policy. ● Security Audit: The TOE collects audit data and sends it to a memory buffer in order to identify attempts to violate a policy. ● Management: The TSF is capable of performing the following management functions such as modification of network traffic filter rules and modification of configuration data 4. Assumptions and Clarification of Scope The Assumptions defined in the Security Target and some aspects of Threats and Organisational Security Policies are not covered by the TOE itself. These aspects lead to specific security objectives to be fulfilled by the TOE-Environment. The list of objectives which have to be met by the the environment can be found in the Security Target [6], chapter 4.2. 14 / 32 BSI-DSZ-CC-0991-2016 Certification Report 5. Architectural Information The TOE is a packet filter. The secunet wall packet filter consists of software on machines to implement packet filter functionality for the network components; i.e. the secunet wall packet filter is part of the network components. The secunet wall packet filter relies on information available at OSI layer 3 and layer 4 for policy enforcement. The functionality for packet filtering is part of the operating system (Linux). The secunet wall packet filter supports IPv4 protocol. This chapter gives an overview of the subsystems of the TOE and the corresponding TSF which were objects of this evaluation. The security functions of the TOE are: ● SF.1 Information Flow Control ● SF.2 Security Audit ● SF.3 Management According to the TOE design specification these security functions are enforced by the following subsystems: ● IP Kernel Stack (supports the TSF SF.1) ● Netfilter (supports the TSFs SF.1, SF.2 and SF.3) ● /proc file system (supports the TSF SF.3) ● User-Space I/O (supports the TSF SF.3) 6. Documentation The evaluated documentation as outlined in table 2 is being provided with the product to the customer. This documentation contains the required information for secure usage of the TOE in accordance with the Security Target. Additional obligations and notes for secure usage of the TOE as outlined in chapter 10 of this report have to be followed. 7. IT Product Testing Developer Testing: TOE Test Configuration The TOE was tested on a stand-alone computer with three virtual workstations. The TOE was running in a virtual machine which was configured according to chapter 1.2.2 of the Security Taget [6]. Besides the requirements described in chapter 1.2.2 of the Security Taget [6] the test environment also needed to fulfil the security objectives for the environment. These security objectives were fulfilled by the services which were installed on the virtual machine. The needed components are described in the application developer guidance [6]. The TOE environment and the related test equipment for the tests were consistent with the ones described in the Security Taget [6] and in the application developer guidance [6]. The tests of the TOE were carried out by executing the test environment. The test setup includes three virtual workstations, two standard workstations and one with the TOE installed. The used non-TOE hardware for the test environment were a computer according to the minimum requirements as described in the security target, i.e. with an 15 / 32 Certification Report BSI-DSZ-CC-0991-2016 Intel i686 compatible CPU, PCI bus system, 256 MB RAM, two 1000Mbit Ethernet Interfaces, storage drive, USB Controller, Compact Flash Adapter. Testing Approach The developer specified and implemented test cases for each defined subsystem. The test cases divided into those of the IP Kernel Stack, the Netfilter, the User-Space I/O and Netfilter and the User-Space I/O and /proc file system. Thus all subsystems are covered by several test cases and each SFR-enforcing module is covered by at least one test case. For the tests of the TOE the developer used the test environment with three virtual workstations. This test environment consists of an executable bash script that starts up the virtual machines and initializes the complete test network. Then each test case is located in one bash script. If a test case script is executed the packets are generated and the evidence is written into log files. The developer carried out interactive as well as non-interactive tests. Altogether there are 45 test cases with more than 480 single tests covered by the test specification. Conclusion The results of the TOE tests prove the correct implementation. All test cases were executed successfully and ended up with the expected result. Evaluator independent testing: TOE Test Configuration The TOE can have only one configuration. The TOE separates two networks from another (see chapter 1.2.1 of the Security Target [6]). For testing the TOE the evaluator used the following hardware configuration: Intel Core i7-4600U CPU 2.10 GHz, 8 GB RAM. This configuration is consistent with the one described in the security target. Two virtual machines simulate the different networks and on a third machine the TOE is installed. The virtual host is able to start tests and is used as a management workstation. The evaluator used the same configuration as the developer. Testing Approach The evaluators repeated the developer tests in the evaluator's lab to verify the correct implementation of the security relevant functionality of the TOE and to cover all TSFIs of the TOE. Some newly added independent evaluator tests were done to verify the security provided by the TOE. These tests were to send TCP packets with different ports, UDP packets with different ports, and an ICMP ping packet. Conclusion The test results fulfil the requirements of ATE_IND.2. Evaluator penetration testing: TOE Test Configuration All configurations of the TOE being intended to be covered by the current evaluation were tested. For testing the TOE the evaluator uses a similar configuration as used in the developer tests. The description of the required non-TOE hardware, software and firmware is described in section 1.2.2 of the Security Taget [6]. A stand-alone PC with (Intel(R) Core (TM) i7-4600U clocked with 2.10 GHz, 8GB RAM, operating system (host system) Debian 16 / 32 BSI-DSZ-CC-0991-2016 Certification Report Wheezy 7.9 and additional packages screen, qemu, kqemu, bridgemodules and bridge-utils) was used to virtualize the complete testing network environment including the TOE. Two Debian GNU/Linux systems, 'Source' and 'Destination' were installed and used in the testing network environment, each with three virtual interfaces. The TOE was mounted on a third virtual machine identical to the one used in the independent evaluator functional tests. The TOE has been set up between the virtual systems 'Source' and 'Destination'. The systems are connected using the bridge mode for the network of virtual machines. Testing Approach For the penetration tests the differential Firewall analysis method was used. In this method someone needs to be able to compare the traffic on the “outside” to the traffic on the “inside” in real-time and alert when this contradicts. Therefore two “monitoring” points must be placed logically in front and behind the packet filter. At the two monitoring points a sniffer is placed at which the network traffic is analysed. The sensor is placed on the “inside” to alert if traffic is detected and violating the firewall rules. In the operational environment of the TOE it is also possible that malicious or unintended traffic is coming from the inside of the network passing the TOE. It was tested that the packet filter responds to both network interfaces in the same way. Therefore the extensive testing of one interface was sufficient to prove if the TOE is resistant to penetration tests. Attack Scenarios being tested After the setup of the test environment the different attack scenarios were defined. These attack scenarios were mapped to test cases and executed in the test environment. The following list gives a short overview about the attack scenarios which have been tested: ● Port scan with or without different source ports to detect open ports. ● Bypassing the packet filter with fuzzy generated TCP, UDP or ICMP packets. ● Using the publicly available change log to find vulnerabilities. ● Bypassing the packet filter with a flood attack with “syn” or fragmented packets. ● Bypassing the packet filter with packets with a spoofed source address. ● Manipulation of the log output by sending incorrect payload in packets. ● Bypassing the access rule checks. SFRs penetration tested Only direct attacks against the implementation of SFRs need to be considered. It can be assumed that the SFRs are implemented correctly and that they cannot be bypassed, deactivated or manipulated. The tested SFRs are listed in the following: ● FDP_IFF.1 Simple security attributes ● FAU_GEN.1 Audit data generation ● FMT_SMR.1 Security roles The remaining SFRs were analysed, but not tested through penetration due to non-exploitability of the related attack scenarios in the TOEs operational environment. 17 / 32 Certification Report BSI-DSZ-CC-0991-2016 Conclusion The overall test result is that no deviations were found between the expected and the actual test results; moreover, no attack scenario with the attack potential enhanced basic was actually successful. Therefore the test results fulfil the requirements of AVA_VAN.3. 8. Evaluated Configuration This certification covers the following configurations of the TOE: The TOE configuration is defined by the notation “secunet wall packet filter 5.1.0” with the hash values for the TOE as given in table 2. The TOE has to be configured following the TOE guidance. No other than the kernel modules provided with the TOE may be loaded. The TOE may not be recompiled. 9. Results of the Evaluation 9.1. CC specific results The Evaluation Technical Report (ETR) [7] was provided by the ITSEF according to the Common Criteria [1], the Methodology [2], the requirements of the Scheme [3] and all interpretations and guidelines of the Scheme (AIS) [4] as relevant for the TOE. The Evaluation Methodology CEM [2] was used. As a result of the evaluation the verdict PASS is confirmed for the following assurance components: ● All components of the EAL 4 package including the class ASE as defined in the CC (see also part C of this report) ● The components ALC_FLR.2 augmented for this TOE evaluation. The evaluation has confirmed: ● PP Conformance: None. ● for the Functionality: Product specific Security Target Common Criteria Part 2 conformant ● for the Assurance: Common Criteria Part 3 conformant EAL 4 augmented by ALC_FLR.2 The results of the evaluation are only applicable to the TOE as defined in chapter 2 and the configuration as outlined in chapter 8 above. 9.2. Results of cryptographic assessment The TOE does not include cryptographic mechanisms. Thus, no such mechanisms were part of the assessment. 10. Obligations and Notes for the Usage of the TOE The documents as outlined in table 2 contain necessary information about the usage of the TOE and all security hints therein have to be considered. In addition all aspects of Assumptions, Threats and OSPs as outlined in the Security Target not covered by the TOE itself need to be fulfilled by the operational environment of the TOE. 18 / 32 BSI-DSZ-CC-0991-2016 Certification Report The customer or user of the product shall consider the results of the certification within his system risk management process. In order for the evolution of attack methods and techniques to be covered, he should define the period of time until a re-assessment of the TOE is required and thus requested from the sponsor of the certificate. If available, certified updates of the TOE should be used. If non-certified updates or patches are available the user of the TOE should request the sponsor to provide a re-certification. In the meantime a risk management process of the system using the TOE should investigate and decide on the usage of not yet certified updates and patches or take additional measures in order to maintain system security. The Guidance for the application developer [8] contains guidelines for the administrator of the final application, i.e. the end user, on how to check the integrity and how to securely use the product. Therefore, the instructions in the guidance [8], chapter 5.6 have to be forwarded to the end user of the final product. In addition, the following aspects need to be fulfilled when using the TOE: ● The user must not load any new modules into the kernel. In case a new module is loaded the TOE is no longer certified. 11. Security Target For the purpose of publishing, the Security Target [6] of the Target of Evaluation (TOE) is provided within a separate document as Annex A of this report. 12. Definitions 12.1. Acronyms AIS Application Notes and Interpretations of the Scheme ASCII American Standard Code for Information Interchange BSI Bundesamt für Sicherheit in der Informationstechnik / Federal Office for Information Security, Bonn, Germany BSIG BSI-Gesetz / Act on the Federal Office for Information Security CCRA Common Criteria Recognition Arrangement CC Common Criteria for IT Security Evaluation CEM Common Methodology for Information Technology Security Evaluation CPU Central Processin Unit EAL Evaluation Assurance Level ETR Evaluation Technical Report ICMP Internet Control Message Protocol IP Internet Protocol IPv4 Internet Protocol Version 4 IPv6 Internet Protocol Version 6 IT Information Technology 19 / 32 Certification Report BSI-DSZ-CC-0991-2016 ITSEC Information Technology Security Evaluation Criteria ITSEF Information Technology Security Evaluation Facility NDP Neighbour Discovery Protocol OEM Original Equipment Manufacturer OSI Open Systems Interconnection PGP Pretty Good Privacy, a data encryption and decryption program PP Protection Profile RAM Random Access Memory SAR Security Assurance Requirement SFP Security Function Policy SFR Security Functional Requirement SHA Secure Hash Algorithm SSH Secure Shell ST Security Target TCP Transmission Control Protocol TOE Target of Evaluation TSF TOE Security Functionalities UDP User Datagram Protocol VPN Virtual Private Network 12.2. Glossary Augmentation - The addition of one or more requirement(s) to a package. Collaborative Protection Profile - A Protection Profile collaboratively developed by an International Technical Community endorsed by the Management Committee. Extension - The addition to an ST or PP of functional requirements not contained in CC part 2 and/or assurance requirements not contained in CC part 3. Formal - Expressed in a restricted syntax language with defined semantics based on well-established mathematical concepts. Informal - Expressed in natural language. Object - A passive entity in the TOE, that contains or receives information, and upon which subjects perform operations. Package - named set of either security functional or security assurance requirements Protection Profile - A formal document defined in CC, expressing an implementation independent set of security requirements for a category of IT Products that meet specific consumer needs. Security Target - An implementation-dependent statement of security needs for a specific identified TOE. Semiformal - Expressed in a restricted syntax language with defined semantics. 20 / 32 BSI-DSZ-CC-0991-2016 Certification Report Subject - An active entity in the TOE that performs operations on objects. Target of Evaluation - An IT Product and its associated administrator and user guidance documentation that is the subject of an Evaluation. TOE Security Functionality - Combined functionality of all hardware, software, and firmware of a TOE that must be relied upon for the correct enforcement of the SFRs. 21 / 32 Certification Report BSI-DSZ-CC-0991-2016 13. Bibliography [1] Common Criteria for Information Technology Security Evaluation, Version 3.1, Part 1: Introduction and general model, Revision 4, September 2012 Part 2: Security functional components, Revision 4, September 2012 Part 3: Security assurance components, Revision 4, September 2012 http://www.commoncriteriaportal.org [2] Common Methodology for Information Technology Security Evaluation (CEM), Evaluation Methodology, Version 3.1, Rev. 4, September 2012, http://www.commoncriteriaportal.org [3] BSI certification: Scheme documentation describing the certification process (CC-Produkte) and Scheme documentation on requirements for the Evaluation Facility, approval and licencing (CC-Stellen), https://www.bsi.bund.de/zertifizierung [4] Application Notes and Interpretations of the Scheme (AIS) as relevant for the TOE8 https://www.bsi.bund.de/AIS [5] German IT Security Certificates (BSI 7148), periodically updated list published also on the BSI Website, https://www.bsi.bund.de/zertifizierungsreporte [6] Security Target BSI-DSZ-0991-2016, Version 1.0, 08.03.2016, Secunet Wall packet filter 5.1.0 Security Target, secunet Security Networks AG [7] Evaluation Technical Report, Version 1.0, 09.03.2016, Evaluation Technical Report (ETR) – secunet wall packet filter 5.1.0, SRC Security Research & Consulting GmbH (confidential document) [8] Guidance documentation for the TOE, Applikationsentwicklerhandbuch, Version 1.0, 09.03.2016, secunet Security Networks AG [9] secunet wall packet filter 5.1.0, Release Notes für pf-5_1_0, secunet Security Networks AG, 14.04.2015 8 specifically • AIS 32, Version 7, CC-Interpretationen im deutschen Zertifizierungsschema • AIS 38, Version 2, Reuse of evaluation results 22 / 32 BSI-DSZ-CC-0991-2016 Certification Report C. Excerpts from the Criteria CC Part 1: Conformance Claim (chapter 10.4) “The conformance claim indicates the source of the collection of requirements that is met by a PP or ST that passes its evaluation. This conformance claim contains a CC conformance claim that: ● describes the version of the CC to which the PP or ST claims conformance. ● describes the conformance to CC Part 2 (security functional requirements) as either: – CC Part 2 conformant - A PP or ST is CC Part 2 conformant if all SFRs in that PP or ST are based only upon functional components in CC Part 2, or – CC Part 2 extended - A PP or ST is CC Part 2 extended if at least one SFR in that PP or ST is not based upon functional components in CC Part 2. ● describes the conformance to CC Part 3 (security assurance requirements) as either: – CC Part 3 conformant - A PP or ST is CC Part 3 conformant if all SARs in that PP or ST are based only upon assurance components in CC Part 3, or – CC Part 3 extended - A PP or ST is CC Part 3 extended if at least one SAR in that PP or ST is not based upon assurance components in CC Part 3. Additionally, the conformance claim may include a statement made with respect to packages, in which case it consists of one of the following: ● Package name Conformant - A PP or ST is conformant to a pre-defined package (e.g. EAL) if: – the SFRs of that PP or ST are identical to the SFRs in the package, or – the SARs of that PP or ST are identical to the SARs in the package. ● Package name Augmented - A PP or ST is an augmentation of a predefined package if: – the SFRs of that PP or ST contain all SFRs in the package, but have at least one additional SFR or one SFR that is hierarchically higher than an SFR in the package. – the SARs of that PP or ST contain all SARs in the package, but have at least one additional SAR or one SAR that is hierarchically higher than an SAR in the package. Note that when a TOE is successfully evaluated to a given ST, any conformance claims of the ST also hold for the TOE. A TOE can therefore also be e.g. CC Part 2 conformant. Finally, the conformance claim may also include two statements with respect to Protection Profiles: ● PP Conformant - A PP or TOE meets specific PP(s), which are listed as part of the conformance result. ● Conformance Statement (Only for PPs) - This statement describes the manner in which PPs or STs must conform to this PP: strict or demonstrable. For more information on this Conformance Statement, see Annex D.” 23 / 32 Certification Report BSI-DSZ-CC-0991-2016 CC Part 3: Class APE: Protection Profile evaluation (chapter 10) “Evaluating a PP is required to demonstrate that the PP is sound and internally consistent, and, if the PP is based on one or more other PPs or on packages, that the PP is a correct instantiation of these PPs and packages. These properties are necessary for the PP to be suitable for use as the basis for writing an ST or another PP. Assurance Class Assurance Components Class APE: Protection Profile evaluation APE_INT.1 PP introduction APE_CCL.1 Conformance claims APE_SPD.1 Security problem definition APE_OBJ.1 Security objectives for the operational environment APE_OBJ.2 Security objectives APE_ECD.1 Extended components definition APE_REQ.1 Stated security requirements APE_REQ.2 Derived security requirements APE: Protection Profile evaluation class decomposition” Class ASE: Security Target evaluation (chapter 11) “Evaluating an ST is required to demonstrate that the ST is sound and internally consistent, and, if the ST is based on one or more PPs or packages, that the ST is a correct instantiation of these PPs and packages. These properties are necessary for the ST to be suitable for use as the basis for a TOE evaluation.” Assurance Class Assurance Components Class ASE: Security Target evaluation ASE_INT.1 ST introduction ASE_CCL.1 Conformance claims ASE_SPD.1 Security problem definition ASE_OBJ.1 Security objectives for the operational environment ASE_OBJ.2 Security objectives ASE_ECD.1 Extended components definition ASE_REQ.1 Stated security requirements ASE_REQ.2 Derived security requirements ASE_TSS.1 TOE summary specification ASE_TSS.2 TOE summary specification with architectural design summary ASE: Security Target evaluation class decomposition 24 / 32 BSI-DSZ-CC-0991-2016 Certification Report Security assurance components (chapter 7) “The following Sections describe the constructs used in representing the assurance classes, families, and components.“ “Each assurance class contains at least one assurance family.” “Each assurance family contains one or more assurance components.” The following table shows the assurance class decomposition. Assurance Class Assurance Components ADV: Development ADV_ARC.1 Security architecture description ADV_FSP.1 Basic functional specification ADV_FSP.2 Security-enforcing functional specification ADV_FSP.3 Functional specification with complete summary ADV_FSP.4 Complete functional specification ADV_FSP.5 Complete semi-formal functional specification with additional error information ADV_FSP.6 Complete semi-formal functional specification with additional formal specification ADV_IMP.1 Implementation representation of the TSF ADV_IMP.2 Implementation of the TSF ADV_INT.1 Well-structured subset of TSF internals ADV_INT.2 Well-structured internals ADV_INT.3 Minimally complex internals ADV_SPM.1 Formal TOE security policy model ADV_TDS.1 Basic design ADV_TDS.2 Architectural design ADV_TDS.3 Basic modular design ADV_TDS.4 Semiformal modular design ADV_TDS.5 Complete semiformal modular design ADV_TDS.6 Complete semiformal modular design with formal high-level design presentation AGD: Guidance documents AGD_OPE.1 Operational user guidance AGD_PRE.1 Preparative procedures ALC: Life cycle support ALC_CMC.1 Labelling of the TOE ALC_CMC.2 Use of a CM system ALC_CMC.3 Authorisation controls ALC_CMC.4 Production support, acceptance procedures and automation ALC_CMC.5 Advanced support ALC_CMS.1 TOE CM coverage ALC_CMS.2 Parts of the TOE CM coverage ALC_CMS.3 Implementation representation CM coverage ALC_CMS.4 Problem tracking CM coverage ALC_CMS.5 Development tools CM coverage ALC_DEL.1 Delivery procedures ALC_DVS.1 Identification of security measures ALC_DVS.2 Sufficiency of security measures ALC_FLR.1 Basic flaw remediation ALC_FLR.2 Flaw reporting procedures ALC_FLR.3 Systematic flaw remediation ALC_LCD.1 Developer defined life-cycle model 25 / 32 Certification Report BSI-DSZ-CC-0991-2016 Assurance Class Assurance Components ALC_LCD.2 Measurable life-cycle model ALC_TAT.1 Well-defined development tools ALC_TAT.2 Compliance with implementation standards ALC_TAT.3 Compliance with implementation standards - all parts ATE: Tests ATE_COV.1 Evidence of coverage ATE_COV.2 Analysis of coverage ATE_COV.3 Rigorous analysis of coverage ATE_DPT.1 Testing: basic design ATE_DPT.2 Testing: security enforcing modules ATE_DPT.3 Testing: modular design ATE_DPT.4 Testing: implementation representation ATE_FUN.1 Functional testing ATE_FUN.2 Ordered functional testing ATE_IND.1 Independent testing – conformance ATE_IND.2 Independent testing – sample ATE_IND.3 Independent testing – complete AVA: Vulnerability assessment AVA_VAN.1 Vulnerability survey AVA_VAN.2 Vulnerability analysis AVA_VAN.3 Focused vulnerability analysis AVA_VAN.4 Methodical vulnerability analysis AVA_VAN.5 Advanced methodical vulnerability analysis Assurance class decomposition Evaluation assurance levels (chapter 8) “The Evaluation Assurance Levels (EALs) provide an increasing scale that balances the level of assurance obtained with the cost and feasibility of acquiring that degree of assurance. The CC approach identifies the separate concepts of assurance in a TOE at the end of the evaluation, and of maintenance of that assurance during the operational use of the TOE. It is important to note that not all families and components from CC Part 3 are included in the EALs. This is not to say that these do not provide meaningful and desirable assurances. Instead, it is expected that these families and components will be considered for augmentation of an EAL in those PPs and STs for which they provide utility.” Evaluation assurance level (EAL) overview (chapter 8.1) “Table 1 represents a summary of the EALs. The columns represent a hierarchically ordered set of EALs, while the rows represent assurance families. Each number in the resulting matrix identifies a specific assurance component where applicable. As outlined in the next Section, seven hierarchically ordered evaluation assurance levels are defined in the CC for the rating of a TOE's assurance. They are hierarchically ordered inasmuch as each EAL represents more assurance than all lower EALs. The increase in assurance from EAL to EAL is accomplished by substitution of a hierarchically higher assurance component from the same assurance family (i.e. increasing rigour, scope, and/or depth) and from the addition of assurance components from other assurance families (i.e. adding new requirements). These EALs consist of an appropriate combination of assurance components as described in Chapter 7 of this CC Part 3. More precisely, each EAL includes no more than one 26 / 32 BSI-DSZ-CC-0991-2016 Certification Report component of each assurance family and all assurance dependencies of every component are addressed. While the EALs are defined in the CC, it is possible to represent other combinations of assurance. Specifically, the notion of “augmentation” allows the addition of assurance components (from assurance families not already included in the EAL) or the substitution of assurance components (with another hierarchically higher assurance component in the same assurance family) to an EAL. Of the assurance constructs defined in the CC, only EALs may be augmented. The notion of an “EAL minus a constituent assurance component” is not recognised by the standard as a valid claim. Augmentation carries with it the obligation on the part of the claimant to justify the utility and added value of the added assurance component to the EAL. An EAL may also be augmented with extended assurance requirements. Evaluation assurance level 1 (EAL 1) - functionally tested (chapter 8.3) “Objectives EAL 1 is applicable where some confidence in correct operation is required, but the threats to security are not viewed as serious. It will be of value where independent assurance is required to support the contention that due care has been exercised with respect to the protection of personal or similar information. EAL 1 requires only a limited security target. It is sufficient to simply state the SFRs that the TOE must meet, rather than deriving them from threats, OSPs and assumptions through security objectives. EAL 1 provides an evaluation of the TOE as made available to the customer, including independent testing against a specification, and an examination of the guidance documentation provided. It is intended that an EAL 1 evaluation could be successfully conducted without assistance from the developer of the TOE, and for minimal outlay. An evaluation at this level should provide evidence that the TOE functions in a manner consistent with its documentation.” Evaluation assurance level 2 (EAL 2) - structurally tested (chapter 8.4) “Objectives EAL 2 requires the co-operation of the developer in terms of the delivery of design information and test results, but should not demand more effort on the part of the developer than is consistent with good commercial practise. As such it should not require a substantially increased investment of cost or time. EAL 2 is therefore applicable in those circumstances where developers or users require a low to moderate level of independently assured security in the absence of ready availability of the complete development record. Such a situation may arise when securing legacy systems, or where access to the developer may be limited.” Evaluation assurance level 3 (EAL 3) - methodically tested and checked (chapter 8.5) “Objectives EAL 3 permits a conscientious developer to gain maximum assurance from positive security engineering at the design stage without substantial alteration of existing sound development practises. 27 / 32 Certification Report BSI-DSZ-CC-0991-2016 EAL 3 is applicable in those circumstances where developers or users require a moderate level of independently assured security, and require a thorough investigation of the TOE and its development without substantial re-engineering.” Evaluation assurance level 4 (EAL 4) - methodically designed, tested, and reviewed (chapter 8.6) “Objectives EAL 4 permits a developer to gain maximum assurance from positive security engineering based on good commercial development practises which, though rigorous, do not require substantial specialist knowledge, skills, and other resources. EAL 4 is the highest level at which it is likely to be economically feasible to retrofit to an existing product line. EAL 4 is therefore applicable in those circumstances where developers or users require a moderate to high level of independently assured security in conventional commodity TOEs and are prepared to incur additional security-specific engineering costs.” Evaluation assurance level 5 (EAL 5) - semiformally designed and tested (chapter 8.7) “Objectives EAL 5 permits a developer to gain maximum assurance from security engineering based upon rigorous commercial development practises supported by moderate application of specialist security engineering techniques. Such a TOE will probably be designed and developed with the intent of achieving EAL 5 assurance. It is likely that the additional costs attributable to the EAL 5 requirements, relative to rigorous development without the application of specialised techniques, will not be large. EAL 5 is therefore applicable in those circumstances where developers or users require a high level of independently assured security in a planned development and require a rigorous development approach without incurring unreasonable costs attributable to specialist security engineering techniques.” Evaluation assurance level 6 (EAL 6) - semiformally verified design and tested (chapter 8.8) “Objectives EAL 6 permits developers to gain high assurance from application of security engineering techniques to a rigorous development environment in order to produce a premium TOE for protecting high value assets against significant risks. EAL 6 is therefore applicable to the development of security TOEs for application in high risk situations where the value of the protected assets justifies the additional costs.” Evaluation assurance level 7 (EAL 7) - formally verified design and tested (chapter 8.9) “Objectives EAL 7 is applicable to the development of security TOEs for application in extremely high risk situations and/or where the high value of the assets justifies the higher costs. Practical application of EAL 7 is currently limited to TOEs with tightly focused security functionality that is amenable to extensive formal analysis.” 28 / 32 BSI-DSZ-CC-0991-2016 Certification Report Assurance Class Assurance Family Assurance Components by Evaluation Assurance Level EAL 1 EAL 2 EAL 3 EAL 4 EAL 5 EAL 6 EAL 7 Development ADV_ARC 1 1 1 1 1 1 ADV_FSP 1 2 3 4 5 5 6 ADV_IMP 1 1 2 2 ADV_INT 2 3 3 ADV_SPM 1 1 ADV_TDS 1 2 3 4 5 6 Guidance Documents AGD_OPE 1 1 1 1 1 1 1 AGD_PRE 1 1 1 1 1 1 1 Life cycle Support ALC_CMC 1 2 3 4 4 5 5 ALC_CMS 1 2 3 4 5 5 5 ALC_DEL 1 1 1 1 1 1 ALC_DVS 1 1 1 2 2 ALC_FLR ALC_LCD 1 1 1 1 2 ALC_TAT 1 2 3 3 Security Target Evaluation ASE_CCL 1 1 1 1 1 1 1 ASE_ECD 1 1 1 1 1 1 1 ASE_INT 1 1 1 1 1 1 1 ASE_OBJ 1 2 2 2 2 2 2 ASR_REQ 1 2 2 2 2 2 2 ASE_SPD 1 1 1 1 1 1 ASE_TSS 1 1 1 1 1 1 1 Tests ATE_COV 1 2 2 2 3 3 ATE_DPT 1 1 3 3 4 ATE_FUN 1 1 1 1 2 2 ATE_IND 1 2 2 2 2 2 3 Vulnerability assessment AVA_VAN 1 2 2 3 4 5 5 Table 1: Evaluation assurance level summary” 29 / 32 Certification Report BSI-DSZ-CC-0991-2016 Class AVA: Vulnerability assessment (chapter 16) “The AVA: Vulnerability assessment class addresses the possibility of exploitable vulnerabilities introduced in the development or the operation of the TOE.” Vulnerability analysis (AVA_VAN) (chapter 16.1) “Objectives Vulnerability analysis is an assessment to determine whether potential vulnerabilities identified, during the evaluation of the development and anticipated operation of the TOE or by other methods (e.g. by flaw hypotheses or quantitative or statistical analysis of the security behaviour of the underlying security mechanisms), could allow attackers to violate the SFRs. Vulnerability analysis deals with the threats that an attacker will be able to discover flaws that will allow unauthorised access to data and functionality, allow the ability to interfere with or alter the TSF, or interfere with the authorised capabilities of other users.” 30 / 32 BSI-DSZ-CC-0991-2016 Certification Report D. Annexes List of annexes of this certification report Annex A: Security Target provided within a separate document. 31 / 32 Certification Report BSI-DSZ-CC-0991-2016 This page is intentionally left blank. 32 / 32