Certification Report
EAL 4+ Evaluation of SonicOS v5.0.1 on NSA Series and
TZ Series Appliances
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2008 Government of Canada, Communications Security Establishment Canada
Document number: 383-4-85-CR
Version: 1.0
Date: 16 May 2008
Pagination: i to iv, 1 to 12
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using
the Common Methodology for Information Technology Security Evaluation, Version 2.3, for
conformance to the Common Criteria for IT Security Evaluation, Version 2.3. This
certification report, and its associated certificate, apply only to the identified version and
release of the product in its evaluated configuration. The evaluation has been conducted in
accordance with the provisions of the CCS, and the conclusions of the evaluation facility in
the evaluation report are consistent with the evidence adduced. This report, and its
associated certificate, are not an endorsement of the IT product by the Communications
Security Establishment Canada, or any other organization that recognizes or gives effect to
this report, and its associated certificate, and no warranty for the IT product by the
Communications Security Establishment Canada, or any other organization that recognizes
or gives effect to this report, and its associated certificate, is either expressed or implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment Canada.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO 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 EWA-Canada 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 May
2008, and the security target identified in Section 0 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
http://www.commoncriteriaportal.org/
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........................................................................................ 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 4
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 5
8 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 6
10 Documentation ...................................................................................................................... 6
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 9
12.4 CONDUCT OF TESTING ............................................................................................... 9
12.5 TESTING RESULTS...................................................................................................... 9
13 Results of the Evaluation...................................................................................................... 9
14 Evaluator Comments, Observations and Recommendations ......................................... 10
15 Acronyms, Abbreviations and Initializations................................................................... 11
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16 References............................................................................................................................ 12
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Executive Summary
The SonicOS v5.0.1 on NSA Series and TZ Series Appliances (hereafter referred to as the
SonicOS v5.0.1), from SonicWALL, Inc., is the Target of Evaluation (TOE) for this
Evaluation Assurance Level (EAL) EAL 4 Augmented evaluation.
The SonicOS v5.0.1 combines Unified Threat Management (UTM) protection, enterprise-
class networking, and IPSec Virtual Private Networking, within a single management
interface. These solutions include gateway anti-virus, anti-spyware, intrusion prevention, and
when combined provide real-time, granular protection against a multitude of network and
data attacks. By combining multiple technologies into one appliance, the SonicWALL
solutions reduce deployment time, automate ongoing operation and increase the reliability of
the client’s network.
EWA-Canada is the Common Criteria Evaluation Facility that conducted the evaluation. This
evaluation was completed on 25 April 2008 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 SonicOS v5.0.1, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the security requirements. Consumers are advised to verify that their
operating environment is consistent with that specified in the security target, and to give due
consideration to the comments, observations and recommendations in this certification
report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 4 augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using the Common
Methodology for Information Technology Security Evaluation, Version 2.3 (with applicable
final interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3. The following augmentation is claimed: ALC_FLR.1 –
Basic flaw remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the SonicOS v5.0.1 evaluation meets all the conditions of the Arrangement on the
Recognition of Common Criteria Certificates and that the product will be listed on the CCS
Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 4 augmented
evaluation is the SonicOS v5.0.1 on NSA Series and TZ Series Appliances (hereafter
referred to as SonicOS v5.0.1), from SonicWALL, Inc.
2 TOE Description
The SonicOS v5.0.1 is custom software running on purpose built hardware appliances that
combine to form a Unified Threat Management (UTM) device. UTMs are network firewalls
that provide additional features such as anti-virus capabilities, anti-spyware, and intrusion
prevention systems (IPS). The appliances provide firewall, UTM, Virtual Private Network
(VPN), and traffic management capabilities that can be managed using an intuitive web-
based Graphical User Interface (GUI) which facilitates deployment and management.
SonicOS v5.0.1’s firewall capabilities include stateful packet inspection. Stateful packet
inspection keeps track of the state of network connections, such as Transmission Control
Protocol (TCP) streams and User Datagram Protocol (UDP) communication, traveling across
the firewall. The firewall distinguishes between legitimate packets and illegitimate packets
for the given network deployment. Only packets adhering to the administrator-configured
access rules are allowed to pass through the firewall; all others are rejected.
SonicOS’s UTM capabilities include IPS, Gateway Anti Virus (GAV), and Gateway Anti-
Spyware (SPY) and Application Firewall (AppFW). All UTM services employ stream-based
analysis wherein traffic traversing the product is parsed and interpreted so that its content
might be matched against sets of signatures to determine the acceptability of the traffic. The
parsing and interpretation engines allow for the reliable handling of various protocols (such
as Simple Mail Transfer Protocol (SMTP), Hypertext Transfer Protocol (HTTP), File
Transfer Protocol (FTP), Post Office Protocol (POP), Internet Access Protocol (IMAP), as
well as Generic TCP), encodings (Multipurpose Internet Mail Extensions (MIME), Base64,
Unix-to-Unix Encode (UUEncode)), and types of compression (Compressed File (ZIP), Gnu
Compressed File (GZIP), Lempel-Ziv Coding 1977 (LZ77)). In the event a certain flow of
traffic is found to match an IPS/GAV/SPY signature meeting or exceeding the configured
threshold, the event is logged, and the offending flow is terminated.
SonicOS supports VPN functionality, which provides a secure connection between two or
more computers or protected networks over the public internet. It provides authentication to
ensure that the information is going to and from the correct parties, and protects the
information from viewing or tampering en route. SonicOS supports the creation and
management of Internet Protocol Security (IPSec) VPNs. IPSec is a suite of protocols that
operate on network traffic to secure Internet Protocol (IP) communications by authenticating
and encrypting packets. Cryptographic key establishment is also possible through IPSec. For
this, SonicOS supports Internet Key Exchange (IKE), which is the protocol used to set up a
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security association (SA) in the IPSec protocol suite. SonicOS enables VPN policy creation
to provide the configuration of multiple VPN tunnels. VPN policy definitions include the IP
address of the remote gateway appliance with which the product will communicate, the IP
address of the destination network, the type of encryption used for the policy, and other
configuration information.
(Note: SonicOS 5.0.1 supports IKEv2, the next version of the Internet Key Exchange
protocol)
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the SonicOS v5.0.1 is identified in
Section 5 of the Security Target (ST).
The following Government of Canada approved algorithms were evaluated for correct
implementation in the SonicOS v5.0.1:
Algorithm Standard Certificate #
Cryptographic module FIPS 140-2 Pending
Random Number Generator
(RNG)
FIPS 186-2 413, 414, 415, 416
Digital Signature Algorithm
(DSA)
FIPS 186-2 266, 267, 268, 269, 270
Rivest Shamir Adleman
(RSA)
FIPS 186-2 327, 327, 329, 330, 331
Advanced Encryption
Standard (AES)
FIPS 197 701, 702, 703, 704, 705
Triple-DES (3DES) FIPS 46-3 632, 633, 634, 635, 636
Secure Hash Algorithm
(SHA-1)
FIPS 180-2 729, 730, 731, 732, 733
Keyed-Hash Message
Authentication Code
(HMAC)
FIPS 198 379, 380, 381, 382, 383
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: SonicWALL, Inc. SonicOS v5.0.1 on NSA Series and TZ Series Appliances
Version: 0.7
Date: 28 April 2008
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5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, Version 2.3.
The SonicOS v5.0.1 is:
a. Common Criteria Part 2 extended, with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirement defined in
the ST;
• FCS_FIPS.1,
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 4 Augmented, containing all the security assurance requirements
in the EAL 4 package, as well as the following: ALC_FLR.1 – Basic Flaw Remediation.
6 Security Policy
The SonicOS v5.0.1 implements a Traffic Information Flow Control Policy which controls
the flow of data through the TOE from external entities, as well as a Diffie-Hellman
Information Flow Control Policy to control the Diffie-Hellman public parameter for key
exchange; details of these security policies can be found in Section 5 of the ST.
In addition, the SonicOS v5.0.1 implements other policies pertaining to security audit, user
data protection, identification and authentication, TSF protection, TOE access, and security
management. Further details on these security policies may be found in Sections 2 and 6 of
the ST.
7 Assumptions and Clarification of Scope
Consumers of the SonicOS v5.0.1 product should consider assumptions about usage and
environmental settings as requirements for the product’s installation and its operating
environment. This will ensure the proper and secure operation of the TOE.
7.1 Secure Usage Assumptions
The following are the assumptions about the environment of use of the TOE:
a. Personnel authorized to install, configure, and operate the SonicOS v5.0.1 possess
appropriate training and will adhere to the procedures for secure usage of the product
described in the ST.
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b. Personnel authorized to install, configure, and operate SonicOS v5.0.1 will adhere to all
organizational policies including standards regarding secure usage of computer resources
including physical, network, and password complexity policies.
c. The TOE Administrator will operate the TOE in FIPS Enabled mode and only on
SonicWALL appliances that have been Federal Information Processing Standard (FIPS)
140-2 validated.
d. Authorized administrators will only access the TOE with a management console that is
directly connected via crossover cable.
7.2 Environmental Assumptions
The following assumptions are made about the operating environment of the TOE:
a. The host machine upon which SonicOS v5.0.1 is installed resides in a physically
secure location and only authorized individuals are granted physical access to the
host.
b. Prior to audit storage exhaustion on the TOE, the audit records will be exported to an
external server for persistent storage.
For more information about the TOE security environment, refer to Section 3 of the ST (TOE
Security Environment).
7.3 Clarification of Scope
While the TOE may monitor a hostile environment, it is expected to be in a non-hostile
position and embedded in or protected by other products designed to address threats that
correspond with the intended environment.
The TOE is intended for use by non-hostile and well trained network administrators that have
followed the installation and configuration guidance provided in;
• SonicOS Enhanced 5.0 Administrator’s Guide
• SonicOS v5.0.1 on NSA Series and TZ Series Appliances Installation and Administrative
Guidance Supplement.
8 Architectural Information
The SonicOS v5.0.1 is composed of firmware running on purpose built hardware that
combine to form a UTM device which provide consolidated threat-management services
such as network firewall, spam filtering, anti-virus, intrusion prevention systems, traffic
management, and virtual private networking capabilities.
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The TOE architecture comprises the following subsystems: Command and Configuration,
Access Control, Network Traffic, Cryptography, Audit, and Hardware. Further details about
the system architecture are proprietary to the vendor, and are not provided in this report.
9 Evaluated Configuration
The TOE is a software-only TOE consisting of SonicOS firmware version 5.0.1.0-11e for the
TZ platforms and 5.0.1.0-6o for the NSA platforms. The purpose built FIPS 140-2 validated
hardware appliance models are as follows: TZ180, TZ180W, TZ190, TZ190W, NSA 3500,
NSA 4500, NSA 5000, NSA E5500, NSA E6500, and NSA E7500.
The SonicWALL appliance must be running in FIPS enable mode. This is specified in the
SonicOS v5.0.1 on NSA and TZ Series Appliances Installation and Administrative Guidance
Supplement.
10 Documentation
The SonicWALL, Inc. documents provided to the consumer are as follows:
a. SonicWALL Getting Started Guide;
b. SonicOS Enhanced 5.0 Administrator’s Guide; and
c. SonicOS v5.0.1 on NSA and TZ Series Appliances Installation and Administrative
Guidance Supplement.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the SonicOS v5.0.1,
including the following areas:
Configuration management: An analysis of the SonicOS v5.0.1 configuration management
system and associated documentation was performed. The evaluators found that the SonicOS
v5.0.1 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
SonicOS v5.0.1 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 SonicOS v5.0.1 functional
specification, high-level design, low-level design, and a subset of the implementation
representation; they determined that the documents were internally consistent, and
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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 the SonicOS v5.0.1 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.
Life-cycle support: The evaluators examined the development security procedures during a
site visit and determined that they detailed sufficient security measures for the development
environment to protect the confidentiality and integrity of the SonicOS v5.0.1 design and
implementation. The evaluators determined that the developer has used a documented model
of the TOE life-cycle and well-defined development tools that yield consistent and
predictable results.
The evaluators reviewed the flaw remediation procedures used by SonicWALL, Inc. for the
SonicOS v5.0.1. During a site visit, the evaluators also examined the evidence generated by
adherence to the procedures. The evaluators concluded that the procedures are adequate to
track and correct security flaws, and distribute the flaw information and corrections to
consumers of the product.
Vulnerability assessment: The SonicOS v5.0.1 STs strength of function claims were
validated through independent evaluator analysis. The evaluators examined the developer’s
vulnerability analysis for the SonicOS v5.0.1 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.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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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 ETR2
.
SonicWALL, Inc. employs a rigorous testing process that tests the changes and fixes in each
release of the SonicOS v5.0.1, a portion of this is fully automated. Comprehensive regression
testing is conducted for a General Availability (GA) targeted release.
The evaluators analyzed the developer’s test coverage and depth analysis and found them to
be complete and accurate. The correspondence between the tests identified in the developer’s
test documentation and the functional specification was complete.
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. Initialization: The objective of this test goal is to provide procedures for determining the
system configuration in order to ensure that the TOE that is tested is correct;
b. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
c. Firewall: The objective of this test goal is to ensure that the network segregation, flow
control, and protection requirements have been met with the firewall functionality;
d. Data Protection: The objective of this test goal is to determine the TOE’s VPN capability
for protecting its data;
e. Basic Product Functionality: The objective of this test goal is to exercise the TOE’s
functionality to ensure that the security claims may not be inadvertently compromised;
and
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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f. Vulnerability Testing: The objective of this test goal is to perform penetration tests on the
TOE, and to determine that the guidance is not misleading and facilitates the prevention
and detection of insecure TOE states.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis, independent
vulnerability analysis, and the independent review of public domain vulnerability databases
and all evaluation deliverables, limited independent evaluator penetration testing was
conducted. The penetration tests focused on:
.
• Generic vulnerabilities;
• Bypassing;
• Tampering; and
• Direct attacks
The evaluator conducted a leakage verification test and found that no valuable information
was disclosed during start-up and shutdown procedures. The evaluator used publicly
available tools to scan the SonicOS v5.0.1 for generic vulnerabilities, and none were found.
In addition, the evaluator performed direct attacks on the SonicOS v5.0.1, attempting to
disrupt the services offered by the TOE. The independent penetration testing, and subsequent
ad-hoc testing, did not uncover any exploitable vulnerabilities in the anticipated operating
environment.
12.4 Conduct of Testing
The SonicOS v5.0.1 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the Information
Technology Security Evaluation and Test (ITSET) Facility at EWA-Canada. The CCS
Certification Body witnessed a portion of the independent testing. The detailed testing
activities, including configurations, procedures, test cases, expected results and observed
results are documented in a separate Test Results document.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the SonicOS v5.0.1 behaves as specified in its ST and functional
specification.
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.
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14 Evaluator Comments, Observations and Recommendations
The complete documentation for the SonicOS v5.0.1 includes a comprehensive Installation,
Configuration and Security Guide.
The SonicWALL UTM Appliance is straightforward to configure, use and integrate into a
corporate network. The Web GUI is intuitive and provides the administrator with a one stop
tool for management.
SonicWALL Inc. Configuration Management (CM) and Quality Assurance (QA) provide the
requisite controls for managing all CM/QA activities.
EWA-Canada performed a site visit to review the developer’s processes, product life-cycle
and site security, and to repeat a sample of the developer’s tests. The evaluator found the
company was well established and practising sound and documented processes in order to
develop their products. SonicWALL, Inc. demonstrated a strong commitment to the Common
Criteria evaluation and its completion.
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15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
ACLs Access Control Lists
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CIAC Computer Incident Advisory Capability
CPL Certified Products list
CM Configuration Management
CVE Common Vulnerabilities and Exposures
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FTP File Transfer Protocol
GA General Availability
GAV Gateway Anti-virus
IPS Intrusion Prevention System
IKE Internet Key Exchange
ITSET Information Technology Security Evaluation
and Testing
MIME Multipurpose Internet Mail Extension
NIST National Institute of Standards and
Technology
OS Operating System
PALCAN Program for the Accreditation of Laboratories
Canada
QA Quality Assurance
SANS SysAdmin, Audit, Network, Security
SFP Security Function Policy
SNMP Simple Network Management Protocol
SPY Gateway Anti-Spyware
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Acronym/Abbreviation/
Initialization
Description
ST Security Target
TCP Transmission Control Protocol
TOE Target of Evaluation
TSF TOE Security Function
UDP User Datagram Protocol
UTM Unified Threat Management
VPN Virtual Private Network
16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) and CCS
Publication #4, Technical Oversight, Version 1.0.
b. Common Criteria for Information Technology Security Evaluation, Version 2.3,
August 2005.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 2.3, August 2005.
d. SonicWALL, Inc. SonicOS v5.0.1 on NSA Series and TZ Series Appliances, Security
Target Revision No. 0.7, 28 April 2008.
e. Evaluation Technical Report (ETR) SonicOS v5.0.1 on NSA Series and TZ Series
Appliances, EAL 4+ Evaluation, Common Criteria Evaluation Number: 383-4-85,
Document No. 1564-000-D002, Version 1.3, 29 April 2008.