Certification Report
EAL 2 Evaluation of SurfControl
E-mail Filter for SMTP
Version 5.0, Service Pack 2
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2005 Government of Canada, Communications Security Establishment
Evaluation number: 383-4-39
Version: 1.0
Date: 16 September 2005
Pagination: i to iv, 1 to 10
CCS Certification Report SurfControl plc
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DISCLAIMER
The Information Technology (IT) product identified in this certification report has been
evaluated 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. The evaluation was conducted by an approved evaluation facility established under the
Canadian Common Criteria Evaluation and Certification Scheme (CCS). 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 (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 (CSE).
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 Electronic Warfare Associates-Canada, Ltd.
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) that the product satisfies the
security requirements.
This certification report is associated with the certificate of product evaluation dated 16
September 2005, 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/en/services/common_criteria/trusted_products.html
This certification report makes reference to the following trademarked names: Windows
XP®
, Windows 2000®
, and Windows Server 2003®
which are registered trademarks of
Microsoft®
Corporation; and SurfControl®
which is a registered trademark of SurfControl plc
in the U.S.A. and other countries.
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
6.1 DISCRETIONARY ACCESS CONTROL POLICY .............................................................. 3
6.2 DISCRETIONARY INFORMATION FLOW CONTROL 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 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 5
10 Documentation ...................................................................................................................... 6
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSMENT OF DEVELOPER TESTS.......................................................................... 7
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
12.4 CONDUCT OF TESTING ............................................................................................... 8
12.5 TESTING RESULTS...................................................................................................... 9
13 Results of the Evaluation...................................................................................................... 9
14 Evaluator Comments, Observations and Recommendations ........................................... 9
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15 Glossary ................................................................................................................................. 9
15.1 ACRONYMS, ABBREVIATIONS AND INITIALIZATIONS ................................................. 9
References.................................................................................................................................... 10
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Executive Summary
The SurfControl E-mail Filter for SMTP, Version 5.0, Service Pack 2 from SurfControl plc,
is the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 evaluation.
The E-mail Filter for SMTP is a server-based software application that enforces an
acceptable usage policy for SMTP-based e-mail. The E-mail Filter for SMTP scans the
content, origin, destination, attachments, and size of all SMTP-based e-mail to and from the
Internet, and applies the policy rules established by the E-mail Filter for SMTP
administrator.
Electronic Warfare Associates-Canada, Ltd. is the CCEF that conducted the evaluation. This
evaluation was completed in September 2005 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 the SurfControl E-mail Filter for
SMTP Version 5.0, Service Pack 2, 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 report1
for this product provide sufficient
evidence that it meets the EAL 2 assurance requirements for the evaluated security
functionality. The evaluation was conducted using the Common Methodology for
Information Technology Security Evaluation, Version 2.2 (with applicable final
interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.2.
CSE, as the CCS Certification Body, declares that the SurfControl E-mail Filter for SMTP
Version 5.0, Service Pack 2 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.
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) 2 evaluation is
the SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2, from SurfControl plc.
2 TOE Description
The E-mail Filter for SMTP is a server-based software application that enforces an
acceptable usage policy for SMTP-based e-mail. The E-mail Filter for SMTP scans the
content, origin, destination, attachments, and size of all SMTP-based e-mail to and from the
Internet, and applies the policy rules established by the E-mail Filter for SMTP
administrator.
The E-mail Filter for SMTP comprises three core components: Message Administrator,
Monitor, and Rules Administrator. Additional components that enhance the E-mail Filter for
SMTP capabilities are: Dictionary Management, Scheduler, Web Administrator, and Queue
View.
The E-mail Filter for SMTP components are accessible to administrators through three
management and configuration interfaces:
• The graphical user interface application on the Windows server machine that is hosting
the E-mail Filter for SMTP;
• The graphical user interface application client “SMTP Admin Client” running on a
Windows machine on the protected network; and
• The web-based graphical user interface application which can be accessed from a web
browser on a machine on the protected network.
Administrators are the only direct users of the E-mail Filter for SMTP.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the SurfControl E-mail Filter for
SMTP Version 5.0, Service Pack 2 is identified in Section 5 of the Security Target (ST).
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4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2
Security Target Version: v1.04
Date: 19 September 2005
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.2, for conformance to the Common Criteria for Information
Technology Security Evaluation, version 2.2.
The SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 is:
a. Common Criteria Part 2 conformant, with security functional requirements based
only upon functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 conformant with the security assurance requirements in the
EAL 2 package.
6 Security Policy
The SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 implements a
discretionary access control policy and a discretionary information flow control policy. The
complete policies are identified in the ST. The following statements are representative of the
policies.
6.1 Discretionary Access Control Policy
The E-mail Filter for SMTP implements a discretionary access control policy such that only
administrators can access and perform allowable operations on the SMTP e-mail messages
stored in the various queues of the E-mail Filter for SMTP. The policy is configurable by
administrators who have one or more of the following rights: All Permissions, Message
Administration Permissions, Rules Administration Permissions or Dictionary Management
Permissions.
6.2 Discretionary Information Flow Control Policy
The E-mail Filter for SMTP implements a discretionary information flow policy that is
applied to SMTP-based e-mail as it flows through the E-mail Filter for SMTP. The policy
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filtering rules are defined by the administrators. Flow contol is based on e-mail header
information, attachment type, attachment content, message content, presumed sender,
receiver(s), presumed sending/relaying mail server IP address or domain, and/or time of day
that message was sent/received.
7 Assumptions and Clarification of Scope
Consumers of the SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 product
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 the TOE.
7.1 Secure Usage Assumptions
For purposes of this evaluation, the E-mail Filter for SMTP administrators are assumed to be
trusted not to attack the TOE, intercept network traffic, or open up the trusted network to
untrusted networks. The E-mail Filter for SMTP must be installed and configured using the
guidance specified in the SurfControl plc document entitled SurfControl Email Filter 5.0 for
SMTP Installation Guide.
7.2 Environmental Assumptions
The following assumptions are made about the operating environment of the E-mail Filter for
SMTP:
a. the components of the E-mail Filter for SMTP are located within controlled access
facilities that will prevent unauthorized physical access;
b. administrators are non-hostile and do not attempt to compromise the E-mail Filter for
SMTP functionality; and
c. the E-mail Filter for SMTP will only be managed from within the protected network.
For more information about the E-mail Filter for SMTP security environment, refer to
Section 3 of the ST.
7.3 Clarification of Scope
The administrator responsible for the E-mail Filter for SMTP must ensure that the E-mail
Filter for SMTP is delivered, installed, configured, administered, and operated in a manner
that maintains its security by following proper security procedures. Compromise of the
integrity and/or availability of the E-mail Filter for SMTP may occur as a result of an
administrator not following proper security procedures or unwittingly introducing malicious
code (e.g., virus, trojan horse) into the system.
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The product should be operated within the intended-operating environment as specified in
the ST and guidance documentation.
In order to ensure that the E-mail Filter for SMTP properly enforces the security policies
without leaving vulnerabilities due to rule set processing logic, it is important that
administrators carefully read and understand the applicable administrative guidance
information published by SurfControl plc.
8 Architectural Information
For this evaluation, the SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 is
deployed on a hardened server in a demilitarized zone (DMZ). The E-mail Filter for SMTP
receives SMTP traffic from the unprotected network, filters the e-mail accordingly, and then
routes it to the next host which is typically a mail server, gateway or bridgehead on the
protected network.
The E-mail Filter for SMTP stores all configuration data and filtering policies in an SQL
database called STEMConfig and all logging data in an SQL database called STEMLog. A
dedicated database stores data for a single E-mail Filter for SMTP in a single database. The
SQL database is resident on the protected network and is an essential component in the E-
mail Filter for SMTP environment.
Administrators can access the E-mail Filter for SMTP through three interfaces:
• The graphical user interface application on the Windows server machine that is hosting
the E-mail Filter for SMTP;
• The graphical user interface application client “SMTP Admin Client” running on a
Windows machine on the protected network; and
• The web-based graphical user interface application which can be accessed from a web
browser on a machine on the protected network.
For more information refer to Section 2 of the ST.
9 Evaluated Configuration
The evaluated configuration of the SurfControl E-mail Filter for SMTP Version 5.0, Service
Pack 2 requires a fully licensed version of Microsoft® SQL Server on a separate, dedicated
server.
The essential physical components for the proper operation of the E-mail Filter for SMTP in
the evaluated configuration are Windows workstations (for SMTP Admin Client
administration) and Web browser access (for Web Administration) inside the protected
network.
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The publication SurfControl Email Filter 5.0 for SMTP Administrator’s Guide and
SurfControl Email Filter 5.0 for SMTP Installation Guide describe the procedures necessary
to install and operate the E-mail Filter for SMTP Version 5.0, Service Pack 2 in its evaluated
configuration.
10 Documentation
The complete documentation for the SurfControl E-mail Filter for SMTP Version 5.0,
Service Pack 2 can be obtained from the SurfControl plc public webserver. The SurfControl
plc documents provided to the consumer are as follows:
a. SurfControl Email Filter for SMTP Version 5.0, Service Pack 2 IGS Readme Document
Version 0.2;
b. SurfControl Email Filter for SMTP: Service Pack 2 README file;
c. SurfControl Email Filter v 5.0 for SMTP SurfControl plc README file;
d. SurfControl Email Filter 5.0 for SMTP Administrator’s Guide; and
e. SurfControl Email Filter 5.0 for SMTP Installation Guide.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the SurfControl E-mail
Filter for SMTP Version 5.0, Service Pack 2, including the following areas:
Configuration management: An analysis of the SurfControl E-mail Filter for SMTP
Version 5.0, Service Pack 2 development environment and associated documentation was
performed. The evaluators found that the SurfControl E-mail Filter for SMTP Version 5.0,
Service Pack 2 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 the
SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 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 the SurfControl E-mail Filter for SMTP
Version 5.0, Service Pack 2 functional specification and high-level design; they determined
that the documents were internally consistent, and completely and accurately instantiated all
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interfaces and security functions. The evaluators also independently verified that the
correspondence mappings between the design documents were correct.
Guidance documents: The evaluators examined the SurfControl E-mail Filter for SMTP
Version 5.0, Service Pack 2 user and administrator guidance documentation and determined
that it sufficiently and unambiguously described how to securely use and administer the
product, and that it was consistent with the other documents supplied for evaluation.
Vulnerability assessment: The SurfControl E-mail Filter for SMTP Version 5.0, Service
Pack 2 ST’s strength of function claims were validated through independent evaluator
analysis. The evaluators examined the developer’s vulnerability analysis for the SurfControl
E-mail Filter for SMTP Version 5.0, Service Pack 2 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 conducted an
independent review of public domain vulnerability databases, and all evaluation deliverables
to provide assurance that the developer has considered all potential vulnerabilities.
Penetration testing was conducted by evaluators, which did not expose any residual
vulnerabilities that would be exploitable in the intended operating environment for the TOE.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing (coverage, functional tests, independent testing): The evaluators examined the
developer’s testing activities and verified that the developer has met their testing
responsibilities.
12.1 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 Evaluation
Technical Report (ETR)2
.
SurfControl plc employs a rigorous testing cycle process that tests the changes and fixes in
each release of the SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 .
Comprehensive regression testing is conducted for all releases.
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.
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 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 was the
following list of EWA-Canada test goals:
a. Security Audit;
b. Identification and Authentication;
c. User Data Protection; and
d. Security Management.
Evaluator testing (executing a sample of the developer's test cases) was carried out on 8-12
August 2005 in Chatswood, Australia on the SurfControl E-mail Filter for SMTP Version
5.0, Service Pack 2.
Independent evaluator tests (functional) were conducted using the SurfControl E-mail Filter
for SMTP Version 5.0, Service Pack 2 at the EWA-Canada's Information Technology
Security Evaluation and Testing (ITSET) Facility, Ottawa, Ontario.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis, limited independent
evaluator penetration testing was conducted. This testing confirmed that no exploitable
vulnerabilities exist for the TOE.
12.4 Conduct of Testing
The SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 was subjected to a
comprehensive suite of formally documented, independent functional tests. The testing took
place at the SurfControl plc facility in Chatswood, Australia, and the ITSET facility at
Electronic Warfare Associates-Canada, Ltd. located in Ottawa, Ontario. 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 the ETR and in a separate Test Results
document.
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12.5 Testing Results
The independent functional tests yielded the expected results, giving assurance that the
SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 behaves as specified in its
ST and functional specification.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL 2 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
The complete documentation for the SurfControl E-mail Filter for SMTP Version 5.0,
Service Pack 2 includes comprehensive Installation and Administrator Guides.
The SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 is straightforward to
configure, use and integrate into a corporate network.
The SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 graphical user interface
provided by the E-mail Filter for SMTP is intuitive and easy to use.
SurfControl plc Configuration Management (CM) and Quality Assurance (QA) provide the
requisite controls for managing all CM/QA activities.
15 Glossary
This section expands any acronyms, abbreviations and initializations used in this report.
15.1 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/Initialization Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CM Configuration Management
CSE Communications Security Establishment
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation and
Testing
PALCAN Program for Accreditation of Laboratories Canada
QA Quality Assurance
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SFP Security Function Policy
SMTP Simple Mail Transfer Protocol
ST Security Target
TOE Target of Evaluation
References
This section lists all documentation used as source material for this report:
a. Common Criteria for Information Technology Security Evaluation, Version 2.2,
CCIMB-2004-01-001, -002 and -003.
b. Common Methodology for Information Technology Security Evaluation: Evaluation
Methodology Version 2.2, CCIMB-2004-01-004.
c. CCS #4: Technical Oversight for TOE Evaluation, Canadian Common Criteria
Evaluation and Certification Scheme (CCS), Version 1.0, 3 October 2002.
d. SurfControl E-mail Filter for SMTP Version 5.0, Service Pack 2 Security Target,
Document Version 1.04, 19 September 2005; and
e. Evaluation Technical Report (ETR) SurfControl®
E-mail Filter for SMTP Version
5.0, Service Pack 2, Version 1.1, 9 September 2005.