Certification Report
EAL 2+ Evaluation of RSA Adaptive Authentication
System v6.0.2.1 SP3
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Evaluation number: 383-4-166-CR
Version: 1.0
Date: 13 April 2011
Pagination: i to iii, 1 to 9
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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 3.1R3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1R3. 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/IEC 17025:2005, General requirements for the
Competence of Testing and Calibration 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 13 April
2011, 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 (CPL) and the Common Criteria Portal (the official website of
the Common Criteria Project).
This certification report makes reference to the following trademarked or registered
trademark:
 RSA®, which is a registered trademark of RSA, The Security Division of EMC.
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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
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 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 6
11 ITS Product Testing.............................................................................................................. 7
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Evaluator Comments, Observations and Recommendations ........................................... 8
14 Acronyms, Abbreviations and Initializations..................................................................... 8
15 References............................................................................................................................... 9
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Executive Summary
The RSA Adaptive Authentication v6.0.2.1 SP3 (hereafter referred to as RSA Adaptive
Authentication), from RSA, is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 2 augmented evaluation.
RSA Adaptive Authentication is a risk-based authentication platform that provides
additional layers of security to companies with an online presence. RSA Adaptive
Authentication uses positive device identification and risk analysis to ensure that only
genuine online customers can access their accounts. RSA Adaptive Authentication
provides additional authentication measures during login and continuous monitoring of
each transaction. If a single transaction (or series of transactions) exceeds the perceived
risk level, the online customer may be challenged to provide additional authentication, or
the transaction can be flagged for later review.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed
on 15 March 2011 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 RSA Adaptive Authentication,
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 2 augmented assurance requirements
for the evaluated security functionality. The evaluation was conducted using the
Common Methodology for Information Technology Security Evaluation, Version 3.1R3,
for conformance to the Common Criteria for Information Technology Security
Evaluation, version 3.1R3. The following augmentation is claimed:
ALC_FLR.2 – Flaw Reporting procedures.
Communications Security Establishment Canada, as the CCS Certification Body,
declares that the RSA Adaptive Authentication System 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) 2 augmented
evaluation is RSA Adaptive Authentication System v6.0.2.1 SP3 (hereafter referred to as
RSA Adaptive Authentication), from RSA, The Security Division of EMC.
2 TOE Description
RSA Adaptive Authentication is a risk-based authentication platform that provides
additional layers of security to companies with an online presence. RSA Adaptive
Authentication uses positive device identification and risk analysis to ensure that only
genuine online customers can access their accounts. RSA Adaptive Authentication
provides additional authentication measures during login and continuous monitoring of
each transaction. If a single transaction (or series of transactions) exceeds the perceived
risk level, the online customer may be challenged to provide additional authentication, or
the transaction can be flagged for later review.
The TOE includes a robust set of administrative applications that make up its Back Office
Tools set. These tools are used by TOE administrators for configuring and managing
cases, reports, and transaction policies. The Access Management tool provides a single
interface for access to the other tools in the suite, and allows administrators to create and
manage users and user permissions for these applications.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for RSA Adaptive Authentication is
identified in Sections 5 & 6 of the Security Target (ST).
Cryptographic functionality for RSA Adaptive Authentication is provided by a FIPS 140-
2-validated cryptographic module: RSA BSAFE Crypto-J JCE Provider Module v4.0,
certificate # 1048.
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in RSA Adaptive Authentication.
Cryptographic Algorithm Standard Certificate #
Triple-DES (Data Encryption Standard) FIPS 46-3 614
Advanced Encryption Standard (AES) FIPS 197 669
Secure Hash Algorithm (SHA) FIPS 180-3 702
Hash based Message Authentication Code (HMAC) FIPS 198 353
Pseudo Random Number Generator (PRNG) FIPS 186-2 389
Digital Signature Algorithm (DSA) FIPS 186-2 251
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Elliptic Curve Digital Signature Algorithm (ECDSA) FIPS 186-2 72
Rivest, Shamir, and Adleman (RSA) ANSI X9.31 311
4 Security Target
The ST associated with this Certification Report is identified by the following
nomenclature:
Title: RSA Adaptive Authentication System v6.0.2.1 with Service Pack 3 Security
Target
Version: 0.5
Date: 31 March 2011
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information
Technology Security Evaluation, Version 3.1R3, for conformance to the Common
Criteria for Information Technology Security Evaluation, Version 3.1R3.
The RSA Adaptive Authentication is:
 Common Criteria Part 2 extended, with security functional requirements based on
functional components in Part 2, except for the following explicitly stated
requirements defined in the ST;
o EXT_FCR_ARP.1 – Security Alarms;
o EXT_FCR_GEN.1 – Case data generation;
o EXT_FCR_CDA.1 – Potential violation analysis; and
o EXT_FCR_CDA.2 – Simple attack heuristics.
 Common Criteria Part 3 conformant, with security assurance requirements based
on assurance components in Part 3; and
 Common Criteria EAL 2 augmented, with all the security assurance requirements
in the EAL 2, as well as the following: ALC_FLR.2 – Flaw Reporting Procedures.
6 Security Policy
RSA Adaptive Authentication implements a role-based access control policy to control
access to Back Office administrative functions of the TOE, an end user access control
policy for authenticating to a front-end application employing the TOE and an
information flow control policy on end users attempting to perform policy-controlled
transactions. Details of these security policies are found in section 6.2 of the ST.
In addition, RSA Adaptive Authentication implements policies pertaining to user data
protection, identification and authentication, protection of the TOE security functions
(TSF), security management, and case recording and review. Further details on these
security polices may be found in section 6.2 of the ST.
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7 Assumptions and Clarification of Scope
Consumers of RSA Adaptive Authentication 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 Secure Usage Assumption is listed in the ST:
 Personnel authorized to install, configure, and operate RSA Adaptive
Authentication are non-hostile, possess appropriate training, will adhere to the
procedures for secure usage of the product, and are competent to manage the TOE
and the security of the information it contains.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The host machine upon which RSA Adaptive Authentication is installed resides
in a controlled access facility.
 The host machine upon which RSA Adaptive Authentication is installed is
capable of supporting all of its required functionality.
 The IT environment provides a private network which allows the TOE to provide
its security functions to TOE components, the database server, front-end
applications, and the RSA Data Center.
7.3 Clarification of Scope
RSA Adaptive Authentication provides a level of protection that is appropriate for an
assumed non-hostile and well-managed user community. While it is designed to protect
its user community against inadvertent or casual attempts to breach system security, it is
not intended for situations in which determined attempts by hostile and well-funded
attackers use sophisticated attacks to violate system security. The TOE is designed to be
suitable for use in well-protected environments that have effective countermeasures,
particularly in the areas of physical access, personnel and communications security.
RSA Adaptive Authentication provides its services and functionality from the various
components which are included in the evaluated configuration. One component not
included is the eFraudNetwork™ and its connector EFN Agent, which is disabled in the
CC-evaluated configuration.
8 Evaluated Configuration.
The evaluated configuration is RSA Adaptive Authentication v6.0.2.1 with Service Pack
3, a software TOE that requires an application server and underlying operating system to
run. RSA Adaptive Authentication also relies on the presence of a database application
to store data and configurations. For this evaluation, RSA Adaptive Authentication was
tested across an array of host operating systems, application web servers, and back-end
databases. The matrices are composed from the following:
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 Application Web Server: IBM Websphere 7.0, Apache Tomcat 6.0, Red Hat
JBoss 5.1.
 Server Operating System: Oracle Solaris 10, Microsoft Windows Server 2003,
2003 R3, 2008, and 2008 R2.
 Database: Oracle 10g, IBM DB2 9.7, Microsoft SQL Server 2005 & 2008.
The publication entitled RSA Adaptive Authentication System v6.0.2.1 with Service
Pack 3 Guidance Supplement describes the procedures necessary to install and operate
RSA Adaptive Authentication in its evaluated configuration.
9 Documentation
The RSA documents provided to the consumer are as follows:
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3 Access Management
User’s Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 Authentication Plug-In
Developer’s Guide;
 Architectural Overview RSA Adaptive Authentication for the Web v6.0.2.1. rev
1.5;
 Best Practices for Challenge Questions;
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3 Case Management
User’s Guide;
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3 Configuration
Framework Guide;
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3 Customer Services
Representative;
 (CSR) Administration Guide;
 RSA Diagnostics Manager 3.2 User Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 Operations Guide;
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3 Policy Editor User’s
Guide;
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3 Policy Simulator User’s
Guide;
 Release Notes RSA Adaptive Authentication (On-Premise) v6.0.2.1 SP3;
 RSA Adaptive Authentication (On-Premise) v6.0.2.1 Reporting Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 Web Services API
Reference Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 Workflow & Processes
Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 Integration Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 and RSA FraudAction
Bait Credentials;
 Setup and Implementation Guide;
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 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP2 Installation Guide;
 RSA Adaptive Authentication (On-Premise) 6.0.2.1 SP3 Upgrade Guide; and
 RSA Adaptive Authentication System v6.0.2.1 with Service Pack 3 Guidance
Supplement.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of RSA Adaptive
Authentication, including the following areas:
Development: The evaluators analyzed RSA Adaptive Authentication functional
specification and design documentation; they determined that the design completely and
accurately describes the TOE security functionality (TSF) interfaces, the TSF subsystems
and how the TSF implements the security functional requirements (SFRs). The
evaluators analyzed the RSA Adaptive Authentication security architectural description
and determined that the initialization process was secure and that the security functions
are protected against tamper and bypass, and that security domains are maintained. The
evaluators also independently verified that the correspondence mappings between the
design documents were correct.
Guidance Documents: The evaluators examined the RSA Adaptive Authentication
preparative user guidance and operational user guidance and determined that it
sufficiently and unambiguously described 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
were complete and sufficiently detailed to result in a secure configuration.
Life-Cycle Support: An analysis of the RSA Adaptive Authentication configuration
management system and associated documentation was performed. The evaluators found
that the RSA Adaptive Authentication configuration items were clearly marked. The
developer’s configuration management system was observed during a site visit, and it
was found to be mature and well developed.
The evaluators examined the delivery documentation and determined that it described all
of the procedures required to maintain the integrity of RSA Adaptive Authentication
during distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by RSA for RSA
Adaptive Authentication. 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 evaluators conducted an independent vulnerability
analysis of RSA Adaptive Authentication. Additionally, the evaluators conducted a
review of public domain vulnerability databases, and a search of all evaluation
deliverables. The evaluators identified potential vulnerabilities for testing applicable to
RSA Adaptive Authentication in its operational environment.
All these evaluation activities resulted in PASS verdicts.
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11 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developer tests,
performing independent functional tests, and performing penetration tests.
11.1 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
.
The evaluators analyzed the developer’s test coverage and found it to be complete and
accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification, TOE design and security architecture
description was complete.
The evaluators visited the RSA development site and reviewed their test environment.
11.2 Independent Functional Testing
During this evaluation, the evaluators 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:
 Initialization: The objective of this test goal is to confirm that the TOE can be
installed and configured into the evaluated configuration, as identified in the TOE
Description of the Security Target, by following all instructions in the developer’s
Installation and Administrative guidance;
 Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of
the developer's tests on the evaluator’s TOE installation;
 Identification and Authentication: The objective of this test goal is to ensure that
the TOE identification and authentication requirements operate as specified; and
 User Data protection: The objective of this test goal is to ensure the TOE’s data is
protected through the Case Risk Engine.
11.3 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 Port Scanning, Direct Attacks, and misuse.
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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The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
RSA Adaptive Authentication 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 Procedures and Test Results document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that RSA Adaptive Authentication behaves as specified in its ST and
functional specification.
12 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.
13 Evaluator Comments, Observations and Recommendations
The complete documentation for RSA Adaptive Authentication includes comprehensive
Evaluation, Installation, and Users Guides.
The developer has an extensive and robust test suite capable of insuring a proper working
product.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
AES Advanced Encryption Standard
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
DSA Digital Signature Algorithm
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
HMAC Hash based Message Authentication Code
IT Information Technology
PALCAN Program for the Accreditation of Laboratories
Canada
PRNG Pseudo Random Number Generator
SHA Secure Hash Algorithm
SFR Security Functional Requirement
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Acronym/Abbreviation/
Initialization
Description
ST Security Target
TOE Target of Evaluation
Triple-DES Triple Data Encryption Standard
TSF TOE Security Functionality
TSFI TOE Security Functionality Interface
15 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version
3.1R3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1R3, July 2009.
d. RSA Adaptive Authentication System v6.0.2.1 with Service Pack 3 Security
Target, 0.5, 31 March 2011.
e. Evaluation Technical Report (ETR) for EAL 2+ Common Criteria Evaluation of
RSA Adaptive Authentication System v6.0.2.1 SP3, Document No. 1668-000-
D002, Version 1.3, 31 March 2011, Common Criteria Evaluation Number: 383-
4-166.