UNCLASSIFIED
© Government of Canada. This document is the property of the Government of Canada. It shall not be altered,
distributed beyond its intended audience, produced, reproduced or published, in whole or in any substantial part
thereof, without the express permission of CSE.
COMMON CRITERIA
CERTIFICATION REPORT
McAfee Data Loss Prevention 11.1 with ePolicy Orchestrator 5.10
14 May 2019
383-4-477
V1.0
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FOREWORD
This certification report is an UNCLASSIFIED publication, issued under the authority of the Chief,
Communications Security Establishment (CSE). Suggestions for amendments should be forwarded through
departmental communications security channels to your Client Services Representative at CSE.
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 Scheme –
using the Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision 5, for
conformance to the Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 5.
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 Canadian CC Scheme, 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, 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, or any other organization that recognizes or gives effect to this report, and its associated
certificate, is either expressed or implied.
If your department has identified a requirement for this certification report based on business needs and would
like more detailed information, please contact:
ITS Client Services
Telephone: (613) 991-7654
E-mail: itsclientservices@cse-cst.gc.ca
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OVERVIEW
The Canadian Common Criteria Scheme 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 Certification Body, which is managed by
the Communications Security Establishment.
A CCEF is a commercial facility that has been approved by the 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.
By awarding a Common Criteria certificate, the 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, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
The certification report, certificate of product evaluation and security target are posted to the Certified Products
list (CPL) for the Canadian CC Scheme and to the Common Criteria portal (the official website of the
International Common Criteria Project).
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TABLE OF CONTENTS
Executive Summary........................................................................................................................................1
1 Identification of Target of Evaluation......................................................................................................2
1.1 Common Criteria Conformance..................................................................................................................2
1.2 TOE Description..........................................................................................................................................2
1.3 TOE Architecture ........................................................................................................................................3
2 Security Policy .......................................................................................................................................4
2.1 Cryptographic Functionality .......................................................................................................................4
3 Assumptions and Clarifications of Scope.................................................................................................5
3.1 Usage and Environmental Assumptions.....................................................................................................5
3.2 Clarification of Scope..................................................................................................................................5
4 Evaluated Configuration.........................................................................................................................6
4.1 Documentation...........................................................................................................................................6
5 Evaluation Analysis Activities .................................................................................................................7
5.1 Development..............................................................................................................................................7
5.2 Guidance Documents .................................................................................................................................7
5.3 Life-cycle Support.......................................................................................................................................7
6 Testing Activities....................................................................................................................................8
6.1 Assessment of Developer Tests..................................................................................................................8
6.2 Conduct of Testing......................................................................................................................................8
6.3 Independent Functional Testing.................................................................................................................8
6.4 Independent Penetration Testing ..............................................................................................................9
7 Results of the Evaluation......................................................................................................................10
7.1 Recommendations/Comments................................................................................................................ 10
8 Supporting Content..............................................................................................................................11
8.1 List of Abbreviations................................................................................................................................ 11
8.2 References............................................................................................................................................... 12
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LIST OF FIGURES
Figure 1 TOE Architecture ....................................................................................................................................3
LIST OF TABLES
Table 1 TOE Identification.......................................................................................................................................2
Table 2 Cryptographic Module(s)............................................................................................................................4
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EXECUTIVE SUMMARY
McAfee Data Loss Prevention 11.1 with ePolicy Orchestrator 5.10 (hereafter referred to as the Target of
Evaluation, or TOE), from McAfee, LLC, was the subject of this Common Criteria evaluation. A description of the
TOE can be found in Section 1.2. The results of this evaluation demonstrate that TOE meets the requirements of
the conformance claim listed in Table 1 for the evaluated security functionality.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed 14 May 2019 and was
carried out in accordance with the rules of the Canadian Common Criteria Scheme.
The scope of the evaluation is defined by the security target, which identifies assumptions made during the
evaluation, the intended environment for TOE, and the security functional/assurance 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.
Communications Security Establishment, as the Certification Body, declares that the TOE evaluation meets all
the conditions of the Arrangement on the Recognition of Common Criteria Certificates and that the product will
be listed on the Canadian Certified Products list (CPL) and the Common Criteria portal (the official website of the
International Common Criteria Project).
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1 IDENTIFICATION OF TARGET OF EVALUATION
The Target of Evaluation (TOE) is identified as follows:
Table 1 TOE Identification
TOE Name and Version McAfee Data Loss Prevention 11.1 with ePolicy Orchestrator 5.10
Developer McAfee, LLC
Conformance Claim EAL 2+ (ALC_FLR.2)
1.1 COMMON CRITERIA CONFORMANCE
The evaluation was conducted using the Common Methodology for Information Technology Security Evaluation,
Version 3.1 Revision 5, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 5.
1.2 TOE DESCRIPTION
The TOE is a Data Loss Prevention (DLP) solution containing a suite of products that identify and protect data
within the network. It provides an understanding of the types of data on a network, how the data is accessed
and transmitted, and if the data contains sensitive or confidential information. Management functions are
provided through a physically separate web-based management console. The TOE is a software TOE and
includes:
• McAfee Data Loss Prevention Endpoint – inspects and controls content and user actions on endpoints,
• McAfee Device Control – controls the use of removable media on endpoints,
• McAfee Data Loss Prevention Discover – scans file, registered document and repositories to identify and
protect sensitive data,
• McAfee Data Loss Prevention Prevent – works with a web proxy or Message Transfer Agent server to
protect web and email traffic,
• McAfee Data Loss Prevention Monitor – passively scans unencrypted network traffic for potential data
loss incidents,
• McAfee DLP Capture – a function within DLP Monitor and DLP Prevent that allows capture of email, web
and network traffic for later analysis,
• McAfee ePolicy Orchestrator (ePO) – provides facilities to manage and monitor DLP,
• McAfee ePO managed extensions related to DLP,
• McAfee Agent on each server and managed system, and
• McAfee Agent ePO policy and reporting extension.
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1.3 TOE ARCHITECTURE
A diagram of the TOE architecture is as follows:
Figure 1 TOE Architecture
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2 SECURITY POLICY
The TOE implements policies pertaining to the following security functional classes:
• Security Audit
• User Data Protection
• Identification and Authentication
• Security Management
• Cryptographic Support
• Protection of the TSF
Complete details of the security functional requirements (SFRs) can be found in the Security Target (ST)
referenced in section 8.2.
2.1 CRYPTOGRAPHIC FUNCTIONALITY
The following cryptographic modules were evaluated by the CMVP and used by the TOE:
Table 2 Cryptographic Module(s)
Cryptographic Module Certificate Number
RSA BSAFE Crypto-C Micro Edition v4.0.1 2097
OpenSSL v1.0.2p with FIPS module v2.0.16 2398
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3 ASSUMPTIONS AND CLARIFICATIONS OF SCOPE
Consumers of the TOE 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.
3.1 USAGE AND ENVIRONMENTAL ASSUMPTIONS
The following assumptions are made regarding the use and deployment of the TOE:
• The TOE has appropriate access to the systems it is intended to manage.
• The MTA is configured to route email traffic via DLP Prevent, and to act on the header strings that DLP
Prevent adds to the email messages.
• Access to the database used by the TOE via mechanisms outside the TOE boundary is restricted to
authorized users.
• The authorized administrators are not careless, willfully negligent, or hostile, and will follow and abide
by the instructions provided by the TOE documentation.
• The hardware on which the TOE and the IT environment software are installed will be protected from
unauthorized physical modification.
• The hardware, operating system, and other software on which the TOE depends, operate correctly.
3.2 CLARIFICATION OF SCOPE
The ePO, server and Prevent must be installed in FIPS mode (as detailed in McAfee Data Loss Prevention 11.1
with ePolicy Orchestrator 5.10.0 Common Criteria Evaluated Configuration Guide and McAfee ePolicy
Orchestrator 5.10.0 Product Guide) to ensure that cryptographic services used by the TOE are FIPS validated.
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4 EVALUATED CONFIGURATION
The evaluated configuration for the TOE comprises:
• McAfee ePolicy Orchestrator 5.10.0.2428 running on Windows Server 2016
• McAfee Agent 5.5.1.388 for Windows Server 2016 and Windows 10
• McAfee Agent 5.5.1.342 for Mac OS 10.14
• McAfee DLP Monitor ISO Image 11.1.0-3525.100 installed on 6600 appliance
• McAfee DLP Prevent ISO Image 11.1.0-3525.100 installed on 6600 appliance
• McAfee DLP Monitor OVA 11.1.0-3525.100 installed on VMware ESXi 6.7
• McAfee DLP Prevent OVA 11.1.0-3525.100 installed on VMware ESXi 6.7
• DLP Endpoint 11.1.100.232 for Windows Server 2016 and Windows 10
• DLP Endpoint 11.1.100.8 for Mac OS 10.14
• DLP Discover/DLP Server 11.1.100.12 running on Windows Server 2016
4.1 DOCUMENTATION
The following documents are provided to the consumer to assist in the configuration and installation of the TOE:
a) McAfee Data Loss Prevention 11.1.x Product Guide, 2018
b) McAfee Data Loss Prevention Monitor 11.1.x Installation Guide, 2018
c) McAfee Data Loss Prevention Monitor 11.1.x Hardware Guide, 2018
d) McAfee Data Loss Prevention Prevent 11.1.x Installation Guide, 2018
e) McAfee Data Loss Prevention Prevent 11.1.x Hardware Guide, 2018
f) McAfee Data Loss Prevention Discover 11.1.x Installation Guide, 2018
g) McAfee Data Loss Prevention Endpoint 11.1.x Installation Guide, 2018
h) McAfee Data Loss Prevention 11.1.x Interface Reference Guide, 2018
i) McAfee ePolicy Orchestrator 5.10.0 Product Guide, 2018
j) McAfee ePolicy Orchestrator 5.10.0 Installation Guide, 2018
k) McAfee Agent 5.5.1 Product Guide, 2018
l) McAfee Data Loss Prevention 11.1 with ePolicy Orchestrator 5.10 Common Criteria Evaluated Configuration
Guide, Revision A, 2019
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5 EVALUATION ANALYSIS ACTIVITIES
The evaluation analysis activities involved a structured evaluation of the TOE. Documentation and process
dealing with Development, Guidance Documents, and Life-Cycle Support were evaluated.
5.1 DEVELOPMENT
The evaluators analyzed the documentation provided by the vendor; they determined that the design
completely and accurately describes the TOE security functionality (TSF) interfaces and how the TSF implements
the security functional requirements (SFRs). The evaluators determined that the initialization process is secure,
that the security functions are protected against tamper and bypass, and that security domains are maintained.
5.2 GUIDANCE DOCUMENTS
The evaluators examined the TOE 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.
Section 4.1 provides details on the guidance documents.
5.3 LIFE-CYCLE SUPPORT
An analysis of the TOE configuration management system and associated documentation was performed. The
evaluators found that the TOE configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of the procedures
required to maintain the integrity of the TOE during distribution to the consumer.
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6 TESTING ACTIVITIES
Testing consists of the following three steps: assessing developer tests, performing independent functional tests,
and performing penetration tests.
6.1 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 ETR. The correspondence between the tests identified in
the developer’s test documentation and the functional specification was complete.
6.2 CONDUCT OF TESTING
The TOE was subjected to a comprehensive suite of formally documented, independent functional and
penetration tests. The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in a separate Test Results document.
6.3 INDEPENDENT FUNCTIONAL TESTING
During this evaluation, the evaluator developed independent functional tests by examining design and guidance
documentation.
All testing was planned and documented to a sufficient level of detail to allow repeatability of the testing
procedures and results. The following testing activities were performed:
a. Repeat of Developer's Tests: The evaluator repeated a subset of the developers tests;
b. Security Management: The objective of this test is to confirm that a deleted user cannot access any of
the management functions, even if logged in while the account is being deleted;
c. Cryptographic Operations: The objective of this test is to confirm that communication between the ePO
and the TOE components is encrypted;
d. USB Block Rule: The objective of this test is to confirm that the TOE blocks access to USB devices on the
managed endpoints;
e. Email Protection Rules: The objective of this test is to confirm that files can be blocked based on their
file name via the enforcement of email protection rules; and
f. Classification of Excel Files, Headers, Discover Scan: The objective of this test is to confirm that files can
be classified based on different file types and conditions.
6.3.1 FUNCTIONAL TEST RESULTS
The developer’s tests and the independent functional tests yielded the expected results, providing assurance
that the TOE behaves as specified in its ST and functional specification.
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6.4 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. Use of automated vulnerability scanning tools to discover potential network, platform and application
layer vulnerabilities such as Heartbleed, Shellshock, FREAK, POODLE, and GHOST;
b. Information Leakage Verification: The objective of this test is to determine if the TOE provides an
attacker useful information during start-up, shutdown, login and other scenarios;
c. Concurrent User Login: The objective of this test is to verify that the TOE can handle concurrent user
sessions appropriately; and
d. Security Bypass: The objective of this test is to uninstall programs and stop running services in an
attempt to bypass the TOE restrictions.
6.4.1 PENETRATION TEST RESULTS
The independent penetration testing did not uncover any exploitable vulnerabilities in the intended operating
environment.
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7 RESULTS OF THE EVALUATION
This evaluation has provided the basis for the conformance claim documented in Table 1. The overall verdict for
this evaluation is PASS. These results are supported by evidence in the ETR.
The IT product identified in this report has been evaluated at an approved evaluation facility established under
the Canadian Common Criteria Scheme using the Common Methodology for IT Security Evaluation, Version 3.1
Revision 5, for conformance to the Common Criteria for IT Security Evaluation, Version 3.1 Revision 5. These
evaluation results apply only to the specific version and release of the product in its evaluated configuration and
in conjunction with the complete certification report.
The evaluation has been conducted in accordance with the provisions of the Canadian Common Criteria Scheme
and the conclusions of the evaluation facility in the evaluation report are consistent with the evidence adduced.
This is not an endorsement of the IT product by CSE or by any other organization that recognizes or gives effect
to this certificate, and no warranty of the IT product by CSE or by any other organization that recognizes or gives
effect to this certificate, is expressed or implied.
7.1 RECOMMENDATIONS/COMMENTS
It is recommended that all guidance outlined in Section 4.1 be followed to configure the TOE in the evaluated
configuration.
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8 SUPPORTING CONTENT
8.1 LIST OF ABBREVIATIONS
Term Definition
CAVP Cryptographic Algorithm Validation Program
CCEF Common Criteria Evaluation Facility
CM Configuration Management
CMVP Cryptographic Module Validation Program
CSE Communications Security Establishment
EAL Evaluation Assurance Level
ePO ePolicy Orchestrator
ETR Evaluation Technical Report
GC Government of Canada
IT Information Technology
ITS Information Technology Security
MTA Mail Transfer Agent
PP Protection Profile
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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8.2 REFERENCES
Reference
Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 5, April 2017.
Common Methodology for Information Technology Security Evaluation, CEM, Version 3.1 Revision 5, April 2017.
McAfee Data Loss Prevention 11.1 with ePolicy Orchestrator 5.10 Security Target, Version 1.0, May 8, 2019.
McAfee Data Loss Prevention 11.1 with ePolicy Orchestrator 5.10 Evaluation Technical Report, Version 1.0, 14 May 2019.