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Reference: 2015-11-INF-3525- v2
Target: Limitada al expediente
Date: 17.06.2021
Created by: CERT9
Revised by: CALIDAD
Approved by: TECNICO
CERTIFICATION REPORT
Dossier # 2015-11
TOE Positive Technologies Application Firewall 3.6.3.758
Applicant 1077761087117 - Positive Technologies
References
[Tipo-Código] Ref - Description
Certification report of the product Positive Technologies Application Firewall 3.6.3.758, as
requested in [EXT-2781] dated 22/07/2015, and evaluated by DEKRA Testing and Certification
S.A.U., as detailed in the Evaluation Technical Report [Tipo-6562] received on 19/02/2021.
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CONTENTS
EXECUTIVE SUMMARY...........................................................................................................................3
TOE SUMMARY...................................................................................................................................3
SECURITY ASSURANCE REQUIREMENTS.............................................................................................4
SECURITY FUNCTIONAL REQUIREMENTS...........................................................................................5
IDENTIFICATION.....................................................................................................................................5
SECURITY POLICIES.................................................................................................................................5
ASSUMPTIONS AND OPERATIONAL ENVIRONMENT .........................................................................6
CLARIFICATIONS ON NON-COVERED THREATS..................................................................................6
OPERATIONAL ENVIRONMENT FUNCTIONALITY ...............................................................................6
ARCHITECTURE.......................................................................................................................................6
LOGICAL ARCHITECTURE ....................................................................................................................6
PHYSICAL ARCHITECTURE...................................................................................................................8
DOCUMENTS..........................................................................................................................................9
PRODUCT TESTING.................................................................................................................................9
EVALUATED CONFIGURATION .............................................................................................................10
EVALUATION RESULTS .........................................................................................................................11
COMMENTS & RECOMMENDATIONS FROM THE EVALUATION TEAM...............................................11
CERTIFIER RECOMMENDATIONS .........................................................................................................12
GLOSSARY.............................................................................................................................................12
BIBLIOGRAPHY .....................................................................................................................................12
SECURITY TARGET / SECURITY TARGET LITE (IF APPLICABLE)..............................................................12
RECOGNITION AGREEMENTS...............................................................................................................13
European Recognition of ITSEC/CC – Certificates (SOGIS-MRA)......................................................13
International Recognition of CC – Certificates (CCRA).....................................................................13
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EXECUTIVE SUMMARY
This document constitutes the Certification Report for the certification file of the product Positive
Technologies Application Firewall 3.6.3.758.
The PT Application Firewall (TOE) is a self-learning web application firewall designed to reduce the
risks of application attacks if they occur. PT AF applies algorithms to analyze the traffic specifics and
the activity of the users who use the applications. Information about the standard user activity is
applied to detect potential attacks and deviations in typical user behaviour.
Developer/manufacturer: Positive Technologies
Sponsor: Positive Technologies.
Certification Body: Centro Criptológico Nacional (CCN) del Centro Nacional de Inteligencia (CNI).
ITSEF: DEKRA Testing and Certification S.A.U.
Protection Profile: ---.
Evaluation Level: EAL2+ (ALC_FLR.2)
Evaluation end date: 25/05/2021
Expiration Date1
: 18/06/2026
All the assurance components required by the evaluation level EAL2 (augmented with ALC_FLR.2)
have been assigned a “PASS” verdict. Consequently, the laboratory DEKRA Testing and Certification
S.A.U. assigns the “PASS” VERDICT to the whole evaluation due all the evaluator actions are
satisfied for the EAL2+ (ALC_FLR.2)., as defined by the CC v 3.1 R5 and the CEM v 3.1 R5.
Considering the obtained evidences during the instruction of the certification request of the
product Positive Technologies Application Firewall 3.6.3.758, a positive resolution is proposed.
TOE SUMMARY
The PT Application Firewall (TOE) is a self-learning web application firewall designed to reduce the
risks of application attacks if they occur. PT AF applies algorithms to analyze the traffic specifics and
the activity of the users who use the applications. Information about the standard user activity is
applied to detect potential attacks and deviations in typical user behavior.
The TOE can manage network traffic in multiple modes:
 In Sniffer Mode, traffic is analyzed without blocking requests and preventing attacks.
1
This date refers to the expiration date of the certificate recognition within the scope of the mutual recognition
arrangements signed by this Certification Body.
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 In Reverse Proxy Mode, analysis of all requests to a Web application with the possibility of
active prevention attacks is performed. The mode is designed to protect the Web
application as much as possible: requests are possible only after processing them.
 In Transparent Proxy Mode, all HTTP requests to the web application are analyzed with the
ability to actively prevent attacks in transparent mode. The TOE operation in this mode is
similar to the reverse proxy mode, but does not require changes in the settings of the
protected application and network infrastructure.
 Bridge Mode is designed to detect intrusions without interfering with the operation of
applications. When connecting to the bridge scheme, the TCP session does not break, so the
TOE does not affect the functioning of the protected application
SECURITY ASSURANCE REQUIREMENTS
The product was evaluated with all the evidence required to fulfil the evaluation level EAL2 (see
table below) and the evidences required by the additional component ALC_FLR.2, according to
Common Criteria v3.1 R5.
ASSURANCE CLASS ASSURANCE COMPONENT
ADV ADV_ARC.1
ADV_FSP.2
ADV_TDS.1
AGD AGD_OPE.1
AGD_PRE.1
ALC ALC_CMC.2
ALC_CMS.2
ALC_DEL.1
ASE ASE_CCL.1
ASE_ECD.1
ASE_INT.1
ASE_OBJ.2
ASE_REQ.2
ASE_SPD.1
ASE_TSS.1
ATE ATE_COV.1
ATE_FUN.1
ATE_IND.2
AVA AVA_VAN.2
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SECURITY FUNCTIONAL REQUIREMENTS
The product security functionality satisfies the following functional requirements, according to the
Common Criteria v3.1 R5:
IDENTIFICATION
Product: Positive Technologies Application Firewall 3.6.3.758
Security Target: Positive Technologies Application Firewall Common Criteria Certification Security
Target, version 2.9, February 2020.
Protection Profile: N/A
Evaluation Level: EAL2+ (ALC_FLR.2).
SECURITY POLICIES
The use of the product Positive Technologies Application Firewall 3.6.3.758 shall implement a set of
security policies assuring the fulfilment of different standards and security demands.
The detail of these policies is documented in the Security Target, section 3.4 (“Organizational
Security Policies”).
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ASSUMPTIONS AND OPERATIONAL ENVIRONMENT
The following assumptions are constraints to the conditions used to assure the security properties
and functionalities compiled by the security target. These assumptions have been applied during
the evaluation in order to determine if the identified vulnerabilities can be exploited.
In order to assure the secure use of the TOE, it is necessary to start from these assumptions for its
operational environment. If this is not possible and any of them could not be assumed, it would not
be possible to assure the secure operation of the TOE.
The detail of these assumptions is documented in the Security Target, section 3.5 (“Assumptions”).
CLARIFICATIONS ON NON-COVERED THREATS
The following threats do not suppose a risk for the product Positive Technologies Application
Firewall 3.6.3.758, although the agents implementing attacks have the attack potential according to
the basic attack potential of EAL2 and always fulfilling the usage assumptions and the proper
security policies satisfaction.
For any other threat not included in this list, the evaluation results of the product security
properties and the associated certificate, do not guarantee any resistance.
The threats covered by the security properties of the TOE are those defined in the Security Target,
section 3.3 (“Threats”).
OPERATIONAL ENVIRONMENT FUNCTIONALITY
The product requires the cooperation from its operational environment to fulfil some of the
objectives of the defined security problem.
The security objectives declared for the TOE operational environment are those defined in the
Protection Profile and they are documented in the Security Target, section 4.2 (“Security Objectives
for the operational Environment”).
ARCHITECTURE
LOGICAL ARCHITECTURE
The PT Application Firewall (TOE) is a self-learning web application firewall designed to reduce the
risks of application attacks if they occur. PT AF applies algorithms to analyze the traffic specifics and
the activity of the users who use the applications. Information about the standard user activity is
applied to detect potential attacks and deviations in typical user behavior.
The TOE can manage network traffic in multiple modes:
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In Sniffer Mode, traffic is analyzed without blocking requests and preventing attacks.
In Reverse Proxy Mode, analysis of all requests to a Web application with the possibility of active
prevention attacks is performed. The mode is designed to protect the Web application as much as
possible: requests are possible only after processing them.
In Transparent Proxy Mode, all HTTP requests to the web application are analyzed with the ability
to actively prevent attacks in transparent mode. The TOE operation in this mode is similar to the
reverse proxy mode, but does not require changes in the settings of the protected application and
network infrastructure.
Bridge Mode is designed to detect intrusions without interfering with the operation of applications.
When connecting to the bridge scheme, the TCP session does not break, so the TOE does not affect
the functioning of the protected application
PHYSICAL ARCHITECTURE
Depending on the modes explained in the logical architecture, the physical architecture will be
different according to the pictures.
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DOCUMENTS
The product includes the following documents that shall be distributed and made available
together to the users of the evaluated version.
№ Item Description
1 TOE – PT
Application
Firewall virtual
machine
File: pt_application_firewall_3.6.3.758.ova
Hash (SHA256):
20a7ec952a073adc5d7de4f4969758899c69888a4dd4d79f577efa7e2961f5b7
2 PT Application
Firewall
Administrator
Guide
File: PT_AG_1.8.pdf
Hash (SHA256):
dd5851d405bacb3a1726955732a10ebaa477c006c5b72c362618d4dc4ce83b00
3 PT Application
Firewall
Quick Start
Guide
File: PT_QSG_1.5.pdf
Hash (SHA256):
a858e5f7cbfdfc28df96b0cf3bd62dbb80e90e2498cf602e846f6abc46fa294b
4 PT Application
Firewall –
Guidance
Addendum
File: PT_AGD_2.0.pdf
Hash (SHA256):
ce5bf92baf20656e483c8a67f750de0de29bb737b0bad6c88033d4aa37d94b41
PRODUCT TESTING
The developer has executed test for all the security functions. All the tests have been performed by
the developer in its premises, with a satisfactory result.
During the evaluation process it has been verified each unit test checking that the security
functionality that covers is been identified and also that the kind of test is appropriate to the
function that is intended to test.
All the tests have been developed using the testing scenario appropriate to the established
architecture in the security target. It has also been checked that the obtained results during the
tests fit or correspond to the previously estimated results.
To verify the results of the developer tests, the evaluator has repeated all the developer functional
tests in the developer premises. Likewise, he has selected and repeated the developer functional
tests in the testing platform implemented in the evaluation laboratory, selecting one test for each
of the most relevant functional class.
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In addition, the lab has devised a test for each of the security function of the product verifying that
the obtained results are consistent with the results obtained by the developer.
It has been checked that the obtained results conform to the expected results and in the cases
where a deviation in respect to the expected results was present, the evaluator has confirmed that
this variation neither represents any security problem nor a decrease in the functional capacity of
the product.
EVALUATED CONFIGURATION
The software and hardware requirements, as well as the referenced options are indicated below.
Therefore, for the operation of the product Positive Technologies Application Firewall 3.6.3.758 it is
necessary the disposition of the following software components:
№ Item Description
1 TOE – PT
Application
Firewall virtual
machine
File: pt_application_firewall_3.6.3.758.ova
Hash (SHA256):
20a7ec952a073adc5d7de4f4969758899c69888a4dd4d79f577efa7e2961f5b7
2 PT Application
Firewall
Administrator
Guide
File: PT_AG_1.8.pdf
Hash (SHA256):
dd5851d405bacb3a1726955732a10ebaa477c006c5b72c362618d4dc4ce83b00
3 PT Application
Firewall
Quick Start
Guide
File: PT_QSG_1.5.pdf
Hash (SHA256):
a858e5f7cbfdfc28df96b0cf3bd62dbb80e90e2498cf602e846f6abc46fa294b
4 PT Application
Firewall –
Guidance
Addendum
File: PT_AGD_2.0.pdf
Hash (SHA256):
ce5bf92baf20656e483c8a67f750de0de29bb737b0bad6c88033d4aa37d94b41
The TOE is deployed on ESXi 6.0 Hypervisor as a virtual machine.
It has been provisioned with the following hardware and software requirements:
 PTAF – Virtual machine:
o X86-64 Compatible processor
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o 16GB of RAM
o 300GB of persistence storage
o Debian 7.8 “Wheezy” as operating system
o Including PT Application Firewall (version 3.6.3.758)
EVALUATION RESULTS
The product Positive Technologies Application Firewall 3.6.3.758 has been evaluated against the
Security Target “Positive Technologies Application Firewall Common Criteria Certification Security
Target, version 2.9, February 2020”.
All the assurance components required by the evaluation level EAL2+ (ALC_FLR.2) have been
assigned a “PASS” verdict. Consequently, the laboratory DEKRA Testing and Certification S.A.U.
assigns the “PASS” VERDICT to the whole evaluation due all the evaluator actions are satisfied for
the evaluation level EAL2+ (ALC_FLR.2), as defined by the Common Criteria for Information
Technology Security Evaluation Version 3.1 R5 and the Common Criteria for Information
Technology Security Evaluation Methodology Version 3.1 R5.
COMMENTS & RECOMMENDATIONS FROM THE EVALUATION TEAM
Next, recommendations regarding the secure usage of the TOE are provided. These have been
collected along the evaluation process and are detailed to be considered when using the product.
 The TOE usage is recommended given that there are not exploitable vulnerabilities in the
operational environment.
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 The fulfillment of the assumptions indicated in the security target is a key point as it implies
TOE environment configurations that leave some potential vulnerabilities out of the scope
CERTIFIER RECOMMENDATIONS
Considering the obtained evidences during the instruction of the certification request of the
product DEKRA Testing and Certification S.A.U., a positive resolution is proposed.
GLOSSARY
CCN Centro Criptológico Nacional
CNI Centro Nacional de Inteligencia
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
OC Organismo de Certificación
TOE Target Of Evaluation
BIBLIOGRAPHY
The following standards and documents have been used for the evaluation of the product:
[CC_P1] Common Criteria for Information Technology Security Evaluation Part 1: Introduction and
general model, Version 3.1, R5 Final, April 2017.
[CC_P2] Common Criteria for Information Technology Security Evaluation Part 2: Security functional
components, Version 3.1, R5 Final, April 2017.
[CC_P3] Common Criteria for Information Technology Security Evaluation Part 3: Security assurance
components, Version 3.1, R5 Final, April 2017.
[CEM] Common Methodology for Information Technology Security Evaluation: Version 3.1, R5 Final,
April 2017.
SECURITY TARGET / SECURITY TARGET LITE (IF APPLICABLE)
Along with this certification report, the complete security target of the evaluation is available in the
Certification Body: Positive Technologies Application Firewall Common Criteria Certification
Security Target, version 2.9, February 2020
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RECOGNITION AGREEMENTS
In order to avoid multiple certification of the same product in different countries a mutual
recognition of IT security certificates - as far as such certificates are based on ITSEC or CC - under
certain conditions was agreed.
European Recognition of ITSEC/CC – Certificates (SOGIS-MRA)
The SOGIS-Mutual Recognition Agreement (SOGIS-MRA) Version 3 became effective in April 2010. It
defines the recognition of certificates for IT-Products at a basic recognition level and, in addition, at
higher recognition levels for IT-Products related to certain SOGIS Technical Domains only.
The basic recognition level includes Common Criteria (CC) Evaluation Assurance Levels EAL 1 to EAL
4 and ITSEC Evaluation Assurance Levels E1 to E3 (basic). For "Smartcards and similar devices" a
SOGIS Technical Domain is in place. For "HW Devices with Security Boxes" a SOGIS Technical
Domains is in place, too. In addition, certificates issued for Protection Profiles based on Common
Criteria are part of the recognition agreement.
The new agreement has been signed by the national bodies of Austria, Finland, France, Germany,
Italy, The Netherlands, Norway, Spain, Sweden and the United Kingdom. The current list of
signatory nations and approved certification schemes, details on recognition, and the history of the
agreement can be seen on the website at https://www.sogis.org.
The SOGIS-MRA logo printed on the certificate indicates that it is recognised under the terms of this
agreement by the nations listed above.
The certificate of this TOE is recognized under SOGIS-MRA for all assurance components selected.
International Recognition of CC – Certificates (CCRA)
The international arrangement on the mutual recognition of certificates based on the CC (Common
Criteria Recognition Arrangement, CCRA-2014) has been ratified on 08 September 2014. It covers
CC certificates based on collaborative Protection Profiles (cPP) (exact use), CC certificates based on
assurance components up to and including EAL 2 or the assurance family Flaw Remediation
(ALC_FLR) and CC certificates for Protection Profiles and for collaborative Protection Profiles (cPP).
The CCRA-2014 replaces the old CCRA signed in May 2000 (CCRA-2000). Certificates based on CCRA-
2000, issued before 08 September 2014 are still under recognition according to the rules of CCRA-
2000. For on 08 September 2014 ongoing certification procedures and for Assurance Continuity
(maintenance and re-certification)of old certificates a transition period on the recognition of
certificates according to the rules of CCRA-2000 (i.e. assurance components up to and including EAL
4 or the assurance family Flaw Remediation (ALC_FLR)) is defined until 08 September 2017.
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As of September 2014 the signatories of the new CCRA-2014 are government representatives from
the following nations: Australia, Austria, Canada, Czech Republic, Denmark, Finland, France,
Germany, Greece, Hungary, India, Israel, Italy, Japan, Malaysia, The Netherlands, New Zealand,
Norway, Pakistan, Republic of Korea, Singapore, Spain, Sweden, Turkey, United Kingdom, and the
United States.
The current list of signatory nations and approved certification schemes can be seen on the
website: http://www.commoncriteriaportal.org.
The Common Criteria Recognition Arrangement logo printed on the certificate indicates that this
certification is recognised under the terms of this agreement by the nations listed above.
The certificate of this TOE is recognized under SOGIS-MRA for all assurance components selected.