Certification Report
EAL 4 Evaluation of Deep Security 7.5 SP2
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Document number: 383-4-152
Version: 1.0
Date: 2 September 2011
Pagination: i to iii, 1 to 10
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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 DOMUS IT Security Lab located in Ottawa,
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 2
September 2011, 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 trademark of Trend Micro, Inc.;
• Linux is a registered trademark of Linus Torvalds Inc.;
• HP-UX is a trademark of Hewlett Packard Company in the United States;
• VMware is a registered trademark of VMware Incorporated; and
• Oracle is a registered trademark of Oracle Corporation.
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....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 5
11 ITS Product Testing.............................................................................................................. 6
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 9
12 Results of the Evaluation...................................................................................................... 9
13 Evaluator Comments, Observations and Recommendations ........................................... 9
14 Acronyms, Abbreviations and Initializations..................................................................... 9
15 References.............................................................................................................................. 9
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Executive Summary
Deep Security 7.5 SP2 (hereafter referred to as Deep Security 7.5), from Trend Micro, Inc., is
the Target of Evaluation for this Evaluation Assurance Level (EAL) 4 augmented evaluation.
Deep Security 7.5 is an intrusion detection and prevention system that provides anti-
malware, stateful firewall, deep packet inspection, file and system integrity monitoring, and
log inspection and collection capability. Deep Security 7.5 protects itself and its associated
data from unauthorized access and modification, and provides an audit trail to ensure
accountability for authorized actions.
DOMUS IT Security Lab is the CCEF that conducted the evaluation. This evaluation was
completed on 23 August 2011 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 7.5, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the 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
for this product provide
sufficient evidence that it meets the EAL 4 augmented assurance requirements for the
evaluated security functionality. 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. The following augmentation is claimed: ALC_FLR.1 – Basic Flaw
Remediation.
Deep Security 7.5 is conformant with the U.S. Government Protection Profile Intrusion
Detection System System for Basic Robustness, Version 1.7, July 25, 2007.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Deep Security 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).
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
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 4 augmented
evaluation is Deep Security 7.5 SP2 (hereafter referred to as Deep Security 7.5), from Trend
Micro, Inc..
2 TOE Description
Deep Security 7.5 comprises the applications management console Deep Security Manager
and traffic filtering engines called Deep Security Agents. Deep Security Manager is deployed
by downloading and installing the application to a designated management computer. Deep
Security Agents are deployed by downloading and installing the applications to the physical
or virtual machines to be protected.
Deep Security 7.5 provides anti-malware, stateful firewall, deep packet inspection, file and
system integrity monitoring, and log inspection and collection capability. Deep Security 7.5
protects itself and its associated data from unauthorized access and modification, and
provides an audit trail to ensure accountability for authorized actions.
A detailed description of the Deep Security 7.5 architecture and functionality is found in
Section 1.3 of the Security Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Deep Security 7.5 is identified in
Section 1.5.2 of the Security Target (ST).
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in Deep Security:
Cryptographic Algorithm Standard Certificate #
Advanced Encryption Standard (AES) FIPS 197 1754, 1667, 1753
Secure Hash Algorithm
(SHA-1, SHA-256)
FIPS 180-3 1541, 1460, 1540
Rivest, Shamir and Adleman (RSA) FIPS 186-3 873, 828, 872
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4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Trend Micro Deep Security 7.5 Security Target
Version: 1.18
Date: 2 August 2011
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.
Deep Security 7.5 is:
a. 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;
• IDS_STG.1 - Guarantee of System Data Availability;
• IDS_STG.2 - Prevention of System data loss;
• FAV_ACT_(EXT).1 - Anti Virus actions;
• FAV_ALR_(EXT).1 - Anti-Virus Alerts; and
• FAV_SCN_(EXT).1 - Anti-Virus Scanning.
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3;
c. Common Criteria EAL 4 augmented, containing all security assurance requirements in
the EAL 4 package, as well as the following: ALC_FLR.1 – Basic Flaw Remediation; and
d. Deep Security 7.5 is conformant with the U.S. Government Protection Profile Intrusion
Detection System System for Basic Robustness, Version 1.7, July 25, 2007.
6 Security Policy
Deep Security 7.5 implements a role-based access control policy to control user access to the
system; details of this security policy can be found in Section 6.1 of the ST.
In addition, Deep Security 7.5 implements policies pertaining to audit, identification and
authentication, secure intra-TOE communication, intrusion detection and prevention, and
anti-virus. Further details on these security policies may be found in Section 6.1 of the ST.
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7 Assumptions and Clarification of Scope
Consumers of Deep Security 7.5 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 will be one or more competent individuals assigned to manage the TOE and the
security of the information it contains;
• The authorized administrators are not careless, willfully negligent, or hostile, and will
follow and abide by the instructions provided by the TOE documentation; and
• The TOE can only be accessed by authorized users.
7.2 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 will be managed in a manner that allows it to appropriately address changes
in the IT System the TOE monitors;
• The TOE is appropriately scalable to the IT System the TOE monitors;
• The TOE hardware and software critical to security policy enforcement will be
protected from unauthorized physical modification; and
• The processing resources of the TOE will be located within controlled access
facilities, which will prevent unauthorized physical access.
7.3 Clarification of Scope
Deep Security incorporates CAVP-validated cryptography and was not subjected to CMVP
(FIPS-140) validation.
8 Evaluated Configuration
The evaluated configuration for Deep Security 7.5 comprises:
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• Deep Security Manager v7.5.6333 that runs on Windows Server 2008 R2 (64 bit)
with Oracle 10g or 11g Express Edition;
• Deep Security Agent v7.5.0.5535 that runs on Windows Server 2008 R2;
• Deep Security Agent v7.5.0.5531 that runs on Solaris 10, Linux Red Hat Enterprise
Edition 5, Linux SUSE 11, and HP-UX 11i;
• Deep Security Agent v7.5.0.5533 that runs on AIX 6.1; and
• Deep Security Virtual Appliance v7.5.0.34 with Deep Security Filter Driver
v7.5.0.5434 that runs on VMware ESX 4.1.
The publication entitled Trend Micro Deep Security 7.5 Common Criteria Addendum to the
Installation Guide describes the procedures necessary to install Deep Security 7.5 in its
evaluated configuration.
9 Documentation
The Trend Micro, Inc. documents provided to the consumer are as follows:
• Trend Micro Deep Security 7.5 User’s Guide, v1.1, September 2011;
• Trend Micro Deep Security 7.5 Installation Guide, v1.1RC, January 2011; and
• Trend Micro Deep Security 7.5 Common Criteria Addendum to the Installation
Guide, v1.0, January 2011.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Deep Security 7.5,
including the following areas:
Development: The evaluators analyzed the Deep Security 7.5 functional specification,
design documentation, and a subset of the implementation representation; they determined
that the design accurately describes the TOE security functionality (TSF) interfaces and the
TSF subsystems and modules, and how the TSF implements the security functional
requirements (SFRs). The evaluators analyzed the Deep Security 7.5 architectural description
and determined that the initialization process is secure and that the security functions are
protected against tamper and bypass. The evaluators also independently verified that the
correspondence mappings between the design documents are correct.
Guidance Documents: The evaluators examined the Deep Security 7.5 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
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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 7.5 configuration management system
and associated documentation was performed. The evaluators found that the Deep Security
7.5 configuration items were clearly marked and could be modified and controlled by
automated tools. The developer’s configuration management system was observed during a
site visit, and it was found to be mature and well-developed and operated in accordance with
the CM plan. The evaluators confirmed that the access control measures as described in the
CM plan are effective in preventing unauthorised access to the configuration items.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of Deep Security 7.5 during distribution to
the consumer.
The evaluators examined the development security procedures during a site visit and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the Deep Security 7.5 design and
implementation. The evaluators determined that the developer has used a documented model
of the TOE life-cycle and well-defined development tools that yield consistent and
predictable results.
The evaluators reviewed the flaw remediation procedures used by Trend Micro, Inc. for Deep
Security 7.5. 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.
Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of Deep Security 7.5. Additionally, the evaluators conducted a review of public domain
vulnerability databases and a focused search of all evaluation deliverables. The evaluators
identified potential vulnerabilities for testing applicable to the Deep Security 7.5 in its
operational environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 4 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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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 and depth analysis and found them to
be complete and accurate. The correspondence between the tests identified in the developer’s
test documentation and the functional specification, TOE design and security architecture
description 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 DOMUS IT Security Lab test goals:
a. Repeat of Developer's Tests: The evaluators repeated a subset of the developer’s test to
gain assurance of the developer’s overall testing effort. The evaluator chose a subset of
tests that exercised all of the TOE’s security related interfaces and functions;
b. Security Management: The evaluators confirmed that the security parameters are able to
be securely managed by repeating a subset of the developer’s tests as well as a number of
independent tests that exercised the security management interfaces;
c. User Data Protection: The evaluators confirmed the TOE's ability to protect user data by
performing a number of tests against the Role Based Access Control enforcement
functions;
d. Audit: The evaluators ensured that event logging requirements have been met by
confirming the capture of logs and the presence of event details as specified in the ST;
e. Identification and Authentication: The evaluators ensured that access to the TOE is
restricted to authorized administrators only;
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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f. Intrusion detection and prevention: The evaluators confirmed the correct operation of the
Deep Packet Inspection functionality by ensuring detection of attempted exploits of
known vulnerabilities on protected systems;
g. Firewall: The evaluators confirmed the correct operation of the firewall by testing the
enforcement of packet filter and stateful filter policies;
h. Antimalware: The evaluators confirmed that the TOE detected and removed European
Institute for Computer Antivirus (EICAR) test viruses;
i. Integrity monitoring: The evaluators confirmed that the TOE detected changes to
monitored system files; and
j. Log analysis: The evaluators confirmed that the TOE alerted the administrator upon
detection of anomalous logging events.
11.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and a
focused review of all evaluation deliverables, limited independent evaluator penetration
testing was conducted. The penetration tests focused on:
• Reconnaissance and exploratory testing to observe application behaviour including
port scanning, client side script and HTTP packet inspection;
• Use of automated vulnerability scanning tools to discover potential network, platform
and application layer vulnerabilities;
• Testing web application vulnerabilities associated with the management interface
including injection, cross-site scripting and session manipulation attacks;
• Attempting bypass of malware detection through obfuscation; and
• Attempting to bypass audit policies through manipulation of time variables.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
Deep Security 7.5 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 DOMUS IT Security Lab. 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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11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that Deep Security 7.5 behaves as specified in its ST, functional
specification, TOE design and security architecture description.
12 Results of the Evaluation
This evaluation has provided the basis for an EAL 4+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
13 Evaluator Comments, Observations and Recommendations
Deep Security 7.5 provides a comprehensive intrusion detection and prevention system
supported by desirable security functionality. It is recommended that users wishing to deploy
the evaluated configuration follow the guidance provided in the Trend Micro Deep Security
7.5 Common Criteria Addendum to the Installation Guide.
14 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
ST Security Target
TOE Target of Evaluation
15 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.1, August 2005.
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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. U.S. Government Protection Profile Intrusion Detection System System for Basic
Robustness, Version 1.7, July 25, 2007.
e. Trend Micro Deep Security 7.5 Security Target, 1.18, 2 August 2011.
f. Trend Micro Deep Security 7.5 EAL4+ Evaluation Technical Report, v1.0, 23 August
2011.