Certification Report
SonicWALL SonicOS Enhanced v5.9.0 on NSA Series and
TZ Series Appliances
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2014
Document number: 383-4-224-CR
Version: 1.1
Date: 2 July 2014
Pagination: i to iii, 1 to 11
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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
3, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 3. This certification report, and its associated certificate, apply only to
the identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment Canada, 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 Canada, or any other organization that
recognizes or gives effect to this report, and its associated certificate, is either expressed or
implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment Canada.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, its security requirements,
and the level of confidence (i.e., the evaluation assurance level) that the product satisfies the
security requirements.
This certification report is associated with the certificate of product evaluation dated 5
February 2014, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation................................................................................. 2
2 TOE Description ................................................................................................................... 2
3 Evaluated Security Functionality........................................................................................ 2
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 6
10 Evaluation Analysis Activities ............................................................................................. 7
11 ITS Product Testing.............................................................................................................. 8
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
11.4 CONDUCT OF TESTING ............................................................................................... 9
11.5 TESTING RESULTS...................................................................................................... 9
12 Results of the Evaluation...................................................................................................... 9
13 Acronyms, Abbreviations and Initializations................................................................... 10
14 References............................................................................................................................ 11
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Executive Summary
SonicWALL SonicOS Enhanced v5.9.0 on NSA Series and TZ Series Appliances (hereafter
referred to as SonicOS 5.9.0), from Dell SonicWALL, Inc., is the Target of Evaluation.
SonicOS 5.9.0 is conformant with the Protection Profile for Network Devices version 1.1, 8
June 2012 (NDPP v1.1).
SonicOS 5.9.0 is custom software running on purpose built hardware platforms that combine
to form a UTM (Unified Threat Management) device. UTMs are network firewalls that
provide additional features, such as anti-virus capabilities and IPS (Intrusion Prevention
System). The product is managed using a web-based GUI, accessed through a permitted
device running a supported web browser connected directly to the appliance over a network
cable and communicating via hypertext transfer protocol – secure (HTTPS). For the purpose
of this evaluation, only the functionality covered by the NDPP (Network Device Protection
Profile) has been evaluated; as a result, the UTM functionality has not been evaluated.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
28 November 2013 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 SonicOS 5.9.0, the security
requirements, and the level of confidence (evaluation assurance level) to which it is asserted
that the product satisfies its security requirements. Consumers are advised to verify that their
operating environment is consistent with that specified in the security target, and to give due
consideration to the comments, observations and recommendations in this certification
report.
The results documented in the Evaluation Technical Report (ETR)1
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the SonicOS 5.9.0 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).
for this product provide
sufficient evidence that it meets the requirements of the claimed protection profile. The
evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 3, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 3.
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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1 Identification of Target of Evaluation
SonicWALL SonicOS Enhanced v5.9.0 on NSA Series and TZ Series Appliances (hereafter
referred to as SonicOS 5.9.0), from Dell SonicWALL, Inc. is the Target of Evaluation. The
SonicOS 5.9.0 is conformant with the
2 TOE Description
Protection Profile for Network Devices version 1.1, 8
June 2011 (NDPP v1.1).
SonicOS 5.9.0 is custom software running on purpose built hardware platforms that combine
to form a UTM (Unified Threat Management) device. UTMs are network firewalls that
provide additional features, such as anti-virus capabilities and IPS (Intrusion Prevention
System). The product is managed using a web-based GUI, accessed through a permitted
device running a supported web browser connected directly to the appliance over a network
cable and communicating via hypertext transfer protocol – secure (HTTPS).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for SonicOS 5.9.0 is identified in
Section 6 of the ST.
The following cryptographic modules were evaluated to the FIPS 140-2 standard:
Cryptographic Module Certificate #
NSA 4500 and NSA E5500
#2189
NSA E8500 and NSA E8510 #2191
NSA E7500 #2104
NSA E10000 Series #2192
NSA 3500 #2188
NSA 250M and NSA 250MW #2193
NSA 2400 and NSA 2400MX #2186
NSA 220, NSA 220W and NSA 240 #2187
NSA E6500 #2185
TZ 105, TZ 105W, TZ 205, TZ 205W, TZ 210, TZ 210W, TZ
215 and TZ 215W
#2190
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The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in SonicOS 5.9.0:
Cryptographic Algorithm Standard Certificate #
Advanced Encryption Standard (AES) FIPS 197 2015
Rivest Shamir Adleman (RSA) FIPS 186-3 640
Secure Hash Algorithm (SHA-1) FIPS 180-3 1765
Keyed-Hash Message Authentication
(HMAC)
FIPS 198 1219
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: SonicWall SonicOS Enhanced v5.9.0 on NSA Series and TZ Series
Appliances Security Target
Version: 2.5
Date: 27 June 2014
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 3, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 3.
SonicOS 5.9.0 is:
a. Conformant to the Protection Profile for Network Devices, v1.1, June 8, 2012.
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 Destruction;
• FCS_HTTPS_EXT.1 – Extended: HTTPS;
• FCS_IPSEC_EXT.1 – Extended: IPSEC;
• FCS_RBG_EXT.1 – Extended: Cryptographic Operation (random bit generator);
• FCS_TLS_EXT.1 – Extended: TLS;
• FIA_PMG_EXT.1 – Password Management;
• FIA_UAU_EXT.2 – Extended: Password-based authentication mechanism;
• FIA_UIA_EXT.1 – User Identification and Authentication;
• FPT_APW_EXT.1 – Extended: Protection of Administrator Passwords;
• FPT_SKP_EXT.1 – Extended: Management of TSF Data (for reading symmetric
keys);
• FPT_TST_EXT.1 – TSF Self Test;
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• FPT_TUD_EXT.1 – Extended: Trusted Update; and
• FTA_SSL_EXT.1 – TSF-Initiated Locking.
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
6 Security Policy
SonicOS 5.9.0 implements a role-based access control policy to control user access to the
system; details of this security policy can be found in Section 6 of the ST.
In addition, SonicOS 5.9.0 implements polices pertaining to security audit, user data
protection, identification and authentication, cryptographic support, security management,
protection of the TOE Security Function (TSF), TOE access and trusted path. Further details
on these security policies may be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of SonicOS 5.9.0 should consider assumptions about usage and environmental
settings as requirements for the product’s installation and its operating environment. This
will ensure the proper and secure operation of the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
• There are 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;
• TOE Administrators are trusted to follow and apply all administrator guidance in a
trusted manner;
7.2 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.
8 Evaluated Configuration
The evaluated configuration for SonicOS 5.9.0 comprises:
SonicOS Enhanced v5.9.0 running on one of the following hardware appliances:
• TZ 105;
• TZ 105W;
• TZ 205;
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• TZ 205W;
• TZ 215;
• TZ 215W;
• NSA 220;
• NSA 220W;
• NSA 240;
• NSA 250M;
• NSA 250MW;
• NSA 2400;
• NSA 2400MX;
• NSA 3500;
• NSA 4500;
• NSA E5500;
• NSA E6500;
• NSA E7500;
• NSA E8500;
• NSA E8510;
• NSA E1040;
• NSA E10800; and
• NSA E10200.
The following publications describe the procedures necessary to install and operate SonicOS
5.9.0 in its evaluated configuration:
• Dell SonicWALL, Inc. SonicOS Enhanced 5.9 Administrator’s Guide Rev A
• Dell SonicWALL, Inc. SonicOS 5.5.1.2 FIPS/Common Criteria Release Notes 232-
001907-00 Rev A 07/10
• Dell SonicWALL, Inc. SonicOS 5.9.0.0 Release Notes 232-000925-00 Rev D 08/13
• Dell SonicWALL, Inc. SonicOS 5.9.0.0 SuperMassive 10000 Series Release Notes
232-002305-00 Rev A
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9 Documentation
The Dell SonicWALL, Inc. documents provided to the consumer are as follows:
• Dell SonicWALL, Inc. NSA 220 Series Quick Start Poster P/N 232-002003-50 Rev A
09/11;
• Dell SonicWALL, Inc. NSA 240 Getting Started Guide P/N 232-001580-00 Rev A
2/2010;
• Dell SonicWALL, Inc. NSA 250M or 250MW Quick Start Poster P/N 232-001924-
51 Rev A 01/12;
• Dell SonicWALL, Inc. NSA 2400 Getting Started Guide P/N 232-001276-52 Rev A
04/10;
• Dell SonicWALL, Inc. NSA 2400MX Getting Started Guide P/N 232-001475-51 Rev
A 3/10;
• Dell SonicWALL, Inc. NSA 5000/4500/3500 Getting Started Guide P/N 232-001265-
52 Rev A 01/11;
• Dell SonicWALL, Inc. NSA E5500 Getting Started Guide P/N 232-001052-55 Rev A
3/13;
• Dell SonicWALL, Inc. NSA E6500 Getting Started Guide P/N 232-001051-54 Rev A
03/13;
• Dell SonicWALL, Inc. NSA E7500 Getting Started Guide P/N 232-001050-55 Rev A
04/13;
• Dell SonicWALL, Inc. NSA E8500 Getting Started Guide P/N 232-001891-53 Rev A
04/13;
• Dell SonicWALL, Inc. NSA E8510 Getting Started Guide P/N 232-001858-51 Rev A
04/13;
• Dell SonicWALL, Inc. TZ 105 Series Quick Start Poster P/N 232-002038-50 Rev A
03/12;
• Dell SonicWALL, Inc. TZ 205 Series Quick Start Poster P/N 232-002114-51 Rev A
04/12;
• Dell SonicWALL, Inc. TZ 215 Series Quick Start Poster P/N 232-002037-51 Rev A
11/11;
• Dell SonicWALL, Inc. SuperMassive Series Datasheet;
• Dell SonicWALL, Inc. SonicOS Enhanced 5.9 Administrator’s Guide Rev A;
• Dell SonicWALL, Inc. SonicOS 5.5.1.2 FIPS/Common Criteria Release Notes 232-
001907-00 Rev A 07/10;
• Dell SonicWALL, Inc. SonicOS 5.9.0.0 Release Notes 232-000925-00 Rev D 08/13;
and
• Dell SonicWALL, Inc. SonicOS 5.9.0.0 SuperMassive 10000 Series Release Notes
232-002305-00 Rev A.
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10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of SonicOS 5.9.0,
including the following areas:
Development: The evaluators analyzed the SonicOS 5.9.0 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
SonicOS 5.9.0 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.
Guidance Documents: The evaluators examined the SonicOS 5.9.0 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 SonicOS 5.9.0 configuration management system and
associated documentation was performed. The evaluators found that the SonicOS 5.9.0
configuration items were clearly marked. The developer’s configuration management system
was observed during a site visit, and it was found to be mature and well-developed.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of SonicOS 5.9.0 during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the SonicOS
5.9.0. 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.
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11 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
11.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR2
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification was complete.
.
11.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a sample of the developer's test cases, and creating test cases that augmented the
developer tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach is the
following list of EWA-Canada test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Protection Profile required assurance activities: The objective of this test goal is to
perform the assurance activities mandated by the protection profile to which the TOE
is claiming conformance.
11.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
a. Protection Profile 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.
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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11.4 Conduct of Testing
SonicOS 5.9.0 was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place at the Information Technology
Security Evaluation and Test (ITSET) Facility at EWA-Canada. The CCS Certification Body
witnessed a portion of the independent testing. The detailed testing activities, including
configurations, procedures, test cases, expected results and observed results are documented
in a separate Test Results document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that SonicOS 5.9.0 behaves as specified in its ST and functional
specification.
12 Results of the Evaluation
This evaluation has provided the basis for an NDPP v1.1 conformance claim. The overall
verdict for the evaluation is PASS. These results are supported by evidence in the ETR.
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13 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
AES Advanced Encryption Standard
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
GUI Graphical User interface
HMAC Keyed-Hash Message Authentication
HTTPS Hypertext transfer protocol
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
- Canada
RSA Rivest, Shamir, Adleman
SHA Secure Hash Algorithm
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
UTM Unified Threat Management
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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 3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 3, July 2009.
d. SonicWall SonicOS Enhanced v5.9.0 on NSA Series and TZ Series Appliances
Security Target, 2.5, Security Target, 27 June 2014.
e. Evaluation Technical Report for SonicOS Enhanced v5.9.0 on NSA Series and TZ
Series Applances,version 1.0 28 November 2013.