Certification Report
EAL 4 Evaluation of WinMagic Inc.
SecureDoc Disk Encryption
Version 4.3C
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2007 Government of Canada, Communications Security Establishment
Evaluation number: 383-4-58
Version: 1.0
Date: 4 July 2007
Pagination: i to iv, 1 to 10
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, have 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 2.2, for
conformance to the Common Criteria for IT Security Evaluation, Version 2.2. This
certification report, and its associated certificate, applies only to the identified version and
release of the product in its evaluated configuration. The evaluation has been conducted in
accordance with the provisions of the CCS, and the conclusions of the evaluation facility in
the evaluation report are consistent with the evidence adduced. This report, and its
associated certificate, are not an endorsement of the IT product by the Communications
Security Establishment (CSE), 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 CSE, 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.
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 Standard 17025, General requirements for the
accreditation of calibration and testing 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 Laboratory, a division of
NUVO Network Management, located in Ottawa, Ontario.
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) to which the
product satisfies the security requirements.
This certification report is associated with the certificate of product evaluation dated 04 July
2007, 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 at:
http://www.cse-cst.gc.ca/services/common-criteria/trusted-products-e.html and on the
official Common Criteria Program website at http://www.commoncriteriaportal.org/
This certification report makes reference to the following trademarked names: SecureDoc is
a registered trademark of WinMagic Inc.
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...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 2
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 3
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Architectural Information ................................................................................................... 4
9 Evaluated Configuration...................................................................................................... 5
10 Documentation ...................................................................................................................... 5
11 Evaluation Analysis Activities ............................................................................................. 5
12 ITS Product Testing.............................................................................................................. 6
12.1 ASSESSING DEVELOPER TESTS................................................................................... 6
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
12.4 CONDUCT OF TESTING ............................................................................................... 7
12.5 TESTING RESULTS...................................................................................................... 8
13 Results of the Evaluation...................................................................................................... 8
14 Evaluator Comments, Observations and Recommendations ........................................... 8
15 Glossary ................................................................................................................................. 8
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15.1 ACRONYMS, ABBREVIATIONS AND INITIALIZATIONS ................................................. 9
16 References.............................................................................................................................. 9
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Executive Summary
SecureDoc Disk Encryption, Version 4.3C, from WinMagic Inc., (hereafter referred to as
SecureDoc) is the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 4
evaluation.
SecureDoc is a disk encryption product for use in a Windows 2000/XP/2003 environment
running on a PC, workstation platform, or laptop. The SecureDoc product performs disk
encryption using Advanced Encryption Standard (AES) encryption algorithm on hard disks,
logical segments of disks, or removable media such as floppy disks, flash disks, and USB
Drives.
DOMUS IT Security Laboratory, a division of NUVO Network Management, is the
Common Criteria Evaluation Facility that conducted the evaluation. This evaluation was
completed on 25 May 2007, 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 SecureDoc, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the security requirements. Consumers of SecureDoc are advised to verify
that their own 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 assurance requirements for the evaluated security
functionality. The evaluation was conducted using the Common Methodology for IT Security
Evaluation, Version 2.2 r311 (with applicable final interpretations), for conformance to the
Common Criteria for IT Security Evaluation, version 2.2 r311.
The Communications Security Establishment, as the CCS Certification Body, declares that
the SecureDoc 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) http://www.cse-cst.gc.ca/services/common-criteria/trusted-products-
e.html and on the official International Common Criteria Program website at
http://www.commoncriteriaportal.org.
1
The evaluation technical report 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 evaluation is
the SecureDoc Disk Encryption, Version 4.3C, from WinMagic Inc. (hereafter referred to as
SecureDoc).
2 TOE Description
SecureDoc is a disk encryption product for use in a Windows 2000/XP/2003 environment
running on a PC, workstation platform, or laptop. SecureDoc performs disk encryption using
Advanced Encryption Standard (AES) encryption algorithm on hard disks, logical segments
of disks, or removable media such as floppy disks, flash disks and USB Drives.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for SecureDoc is identified in Section 5
of the ST.
The following Government of Canada approved algorithms were evaluated for correct
implementation in SecureDoc: AES; SHA-1,256, 384, 512; HMAC; and RNG. As part of the
CC evaluation effort, the evaluator made use of results generated under the Cryptographic
Module Validation Program (CMVP), namely AES (certificate #359); SHA (certificate
#434); HMAC (certificate #158); and RNG (certificate #172). In addition, the cryptographic
module implemented in the TOE, SecureDoc Cryptographic Engine version 4.5, passed
NIST FIPS 140-2 validation and received certificates #698 for Level 2 and #699 for Level 1.
4 Security Target
The ST associated with this Certification Report (CR) is identified by the following
nomenclature:
Title: SecureDoc Disk Encryption Version 4.3C Security Target
Version: Version 1.11
Date: 14 May 2007
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for IT Security Evaluation,
Version 2.2 r311, for conformance to the Common Criteria for IT Security Evaluation,
version 2.2 r311, incorporating all final CC interpretations. SecureDoc is:
a) Common Criteria Part 2 conformant, with security functional requirements based
only upon functional components in Part 2;
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b) Common Criteria Part 3 conformant, with security assurance requirements based
only upon assurance components in Part 3; and
c) Common Criteria EAL 4 conformant with all the security assurance requirements in
the EAL 4 package.
6 Security Policy
SecureDoc implements the following Security Policies:
• Access Control implements a set of rules that determines what kind of access an
authenticated user has to a security-relevant object;
• Identification and Authentication requires a user to authenticate at pre-boot prior to
any other actions involving encryption/decryption access of protected data;
• Cryptographic Keys Management denies access to cryptographic keys and encrypted
data unless the user is successfully authenticated and has appropriate privileges; and
• Audit Security will track and save security related transactions and save them in a
protected storage area. The audit log is restricted and can only be viewed by
authorized users. The audit information provides a time stamp as to when the
transaction was filed, and the event information of the transaction.
Full details on the SecureDoc security policy can be found in Section 5.1 of the ST.
7 Assumptions and Clarification of Scope
Consumers of SecureDoc should consider assumptions about usage and environmental
settings as requirements for the product’s installation and its operating environment. This
will help to ensure the proper and secure operation of SecureDoc.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
The selection of personnel for administrative roles with respect to the deployment of the
TOE and use in the organization must include a proper background check of the individual or
be justified by mitigating circumstances that provide the organization with the assurance that
administrators will demonstrate competence in their duties and not deliberately misuse or
subvert the TOE for non-secure, fraudulent or other improper purposes.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
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• The sensitivity of information assets under protection by the TOE in its environment
do not exceed that for which electromagnetic emissions countermeasures are
mandatory or recommended by the environment system’s responsible authority;
• The physical environment allows users to enter passwords without being directly
observed by other users or potential threat agents; and
• The sensitivity of information assets under protection by the TOE in its environment
do not exceed that for which the symmetric encryption algorithms supported by the
TOE (256-bit AES) are recommended by the environment system’s responsible
authority.
For more information about the TOE security environment, refer to section 3 of the ST.
7.3 Clarification of Scope
SecureDoc is a disk encryption software product. The TOE relies upon the underlying
operating system, tokens, smart cards, biometrics, and Trusted Platform Module (TPM)
within the IT Environment for the following security functional requirements:
• FPT_STM.1 - Reliable time stamps; and
• FIA_UAU.5 - Multiple authentication mechanisms
8 Architectural Information
SecureDoc is composed of the following functional layers:
• The application layer delivers the functionality to the user and contains all visible
interfaces. All executables belong to this layer, which comprises the following
subsystems:
User Authentication
Disk and File Encryption
Installation and Maintenance
• The low-level components layer incorporates most critical and sensitive functions
like media conversion, encipherment, access control, etc. This layer also manages
interfaces to hardware media: hard drives, floppies, flash drives and tokens.
The subsystems included in this layer are:
Cryptographic Engine
Disk Access
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• The intermediate layer serves as an interface between the application layer and the
low-level component layer. Its goal is to deliver the functionality in the form of
general operations performed by applications. In addition, the intermediate layer
delivers some non-security or supplementary functions shared by applications.
9 Evaluated Configuration
SecureDoc is a disk encryption product for use in a Windows 2000/XP/2003 environment
running on a PC, workstation platform, or laptop. For the purposes of this evaluation, the
evaluated configuration of the TOE consisted of Version 4.3C of the TOE installed on a HP
tablet PC with Windows XP Tablet PC Edition 2005, Service Pack 2.
10 Documentation
SecureDoc documents provided to the consumer are as follows:
• SecureDoc Enterprise Edition Client Manual Version 4.3;
• Readme for SecureDoc Version V4.3C for Windows 2000/XP/2003; and
• SecureDoc Disk Encryption Setup Guide.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of SecureDoc, including
the following areas:
Configuration management: An analysis of the SecureDoc development environment and
associated documentation was performed. The evaluators found that the SecureDoc
configuration items were clearly marked, and could be modified and controlled. The
developer’s configuration management system was observed during a site visit, and it was
found to be mature and well developed.
Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of
SecureDoc during distribution to the consumer. The evaluators examined and tested the
installation, generation and start-up procedures, and determined that they were complete and
sufficiently detailed to result in a secure configuration.
Design documentation: The evaluators analysed SecureDoc functional specification, high-
level design, low-level design, and a subset of the implementation representation; they
determined that the documents were internally consistent, and completely and accurately
instantiated all interfaces and security functions. The evaluators also independently verified
that the correspondence mappings between the design documents were correct.
Guidance documents: The evaluators examined SecureDoc user and administrator guidance
documentation and determined that it sufficiently and unambiguously described how to
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securely use and administer the product, and that it was consistent with the other documents
supplied for evaluation.
Life-cycle support: The evaluators assessed 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 SecureDoc 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.
Vulnerability assessment: The evaluators analyzed the administrator guidance to ensure the
absence of ambiguities that could result in inadvertent misuse of SecureDoc. Meanwhile, the
strength of function claim in the ST was validated through independent evaluator analysis.
Further, the evaluators examined the developer’s vulnerability analysis for SecureDoc and
found that it sufficiently described each of the potential vulnerabilities along with a sound
rationale as to why it was not exploitable in the intended environment. Additionally, the
evaluators performed independent vulnerability analysis, including a review of public
domain vulnerability databases, and all evaluation deliverables to provide assurance that the
developer had considered all potential vulnerabilities.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL4 consists of the following activities: assessing developer tests in terms of
coverage and depth, performing independent functional tests, and performing independent
penetration tests.
12.1 Assessing Developer Tests
The evaluators verified that the developer had met their testing responsibilities by reviewing
the developer’s test plan, test approach, test procedure and test results, and examining their
test evidence, as documented in the Evaluation Technical Report (ETR) 2
.
The evaluator assessed SecureDoc’s test documentation for both coverage and depth. The
evaluator found that the developer’s test documentation was sufficient to demonstrate that
security functions perform as specified, and that the security functionality has been
systematically tested against the functional specification and high-level design.
2
The Evaluation Technical Report 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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12.2 Independent Functional Testing
During the evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a large sample of the developer's test cases, and creating test cases that augmented
the developer tests.
The tests focused on the following areas, based upon the security functional requirements in
the ST and the security functions defined in the functional specification:
• Cryptographic Support;
• Identification and Authentication;
• Session Control;
• Access Control;
• Protection of the TOE Security Functions;
• Audit;
• Fault Tolerance; and
• Security Management.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the test procedures and results. All independent functional tests yielded the expected
results.
12.3 Independent Penetration Testing
During the evaluation, the evaluator developed independent penetration tests based on the
SecureDoc vulnerability analysis, as well as the functional specification, high-level design,
low-level design, implementation representation, guidance documentation, and installation
guidance.
The penetration tests focused on:
• Direct access to underlying data storage for TSF data;
• Bypass attempts by manipulating the configuration file;
• Tampering of crucial TOE components; and
• Network access to data storage under protection.
No exploitable vulnerabilities were uncovered during the independent penetration testing.
12.4 Conduct of Testing
SecureDoc was subjected to a comprehensive suite of formally-documented, independent,
functional and penetration tests. The testing took place at the WinMagic Inc.’s facility in
Mississauga, Ontario, and the ITSET facility at DOMUS IT Security Laboratory located in
Ottawa, Ontario. The CCS Certification Body witnessed a portion of the independent testing.
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The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in the ETR.
12.5 Testing Results
The developer’s tests and independent functional tests yielded the expected results, giving
assurance that SecureDoc behaves as specified in its ST and functional specification. The
penetration testing resulted a PASS verdict, as the evaluators were unable to exploit any of
the identified potential vulnerabilities in SecureDoc Disk in its intended operating
environment.
13 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.
14 Evaluator Comments, Observations and Recommendations
Over the course of the evaluation, the evaluators noted that the TOE is a mature and easy-to-
use product, supported by a well-established development team. The evaluators also
observed that the TOE documentation is complete, accurate and highly professional in
presentation.
The data objects must be configured to reside on the disk/partition/USB-drive under
protection by SecureDoc. If they are situated on another unprotected drive, or exposed in a
network by sharing the encrypted disk/partition, the encryption services of SecureDoc are not
designed to protect them from unauthorized access.
It is also well advised to have a state of the art virus-checking program to ensure viruses are
not introduced and to follow best practices to secure the network to protect against network
attacks. The systems under the protection of SecureDoc should be regularly patched with
latest security updates. Only software approved by the system administrator should be
installed on the platform that SecureDoc is protecting to prevent the importation of Trojan
horses or other destructive software.
Further consultation with specific application user manuals may be necessary to extend this
list for a specific environment.
15 Glossary
This section expands any acronyms, abbreviations and initializations used in this report.
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15.1 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/Initialization Description
AES Advanced Encryption Standard
CB Certification Body
CC Common Criteria for Information Technology
Security Evaluation
CCEF Common Criteria Evaluation Facility
CCRA Common Criteria Recognition Arrangement
CCS Common Criteria Evaluation and Certification
Scheme
CEM Common Methodology for Information Technology
Security Evaluation
CR Certification Report
CSE Communications Security Establishment
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
HMAC Hash Message Authentication Code
ISO International Organisation for Standardisation
IT Information Technology
ITSET Information Technology Security Evaluation and
Testing
PALCAN Program for the Accreditation of Laboratories
Canada
RNG Random Number Generator
SHA Secure Hash Algorithm
ST Security Target
TOE Target of Evaluation
TPM Trusted Platform Module
16 References
This section lists all documentation used as source material for this report:
a) Common Criteria for Information Technology Security Evaluation, Version 2.2,
September 2004.
b) Common Methodology for Information Technology Security Evaluation, Version 2.2,
September 2004 .
c) CCS #4: Technical Oversight for TOE Evaluation, Canadian Common Criteria
Evaluation and Certification Scheme (CCS), Version 1.0, 3 October 2002.
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d) SecureDoc Disk Encryption Version 4.3C Security Target, Version 1.11, 24 April
2007
e) Evaluation Technical Report for EAL4 Evaluation of SecureDoc Disk Encryption
Version 4.3C, Version 0.8, 25 May 2007