Certification Report
EAL 2+ Evaluation of Proofpoint Protection Server®
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: 383-4-97
Version: 1.0
Date: 29 September 2008
Pagination: i to iv, 1 to 10
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page i of iv -
DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, have 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, 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 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.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page ii of iv -
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
September 29, 2008, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list at:
http://www.cse-cst.gc.ca/services/common-criteria/trusted-products-e.html and
http://www.commoncriteria.es
This certification report makes reference to the following trademarked names:
• Proofpoint, Proofpoint Protection Server, Proofpoint Messaging Security Gateway,
and PLINX are trademarks of Proofpoint Inc;
• Microsoft and Windows are trademarks of Microsoft Corporation;
• Mozilla and Firefox are trademarks of Mozilla Foundation;
• MySQL is a trademark of MySQL AB; and
• Linux is a trademark of Linus Torvalds.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page iii of iv -
TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation ................................................................................ 3
2 TOE Description ................................................................................................................... 3
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 ............................................................................... 4
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 ASSESSING 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 ........................................... 9
15 Acronyms, Abbreviations and Initializations................................................................... 10
16 References............................................................................................................................ 10
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page iv of iv -
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 1 of 11 -
Executive Summary
The Proofpoint Protection Server® (hereafter referred to as the PPS), from Proofpoint, is the
Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 augmented
evaluation.
PPS is perimeter email gateway software that integrates virus protection, spam detection,
regulatory compliance, and digital asset protection into a comprehensive message
management solution. PPS is designed to defend an Information Technology (IT)
environment from internal and external email-based threats by scanning all inbound and
outbound emails for spam, viruses, connection-level attacks, prohibited text, and other user-
definable data. Customers who deploy PPS are typically concerned with one or more of the
following:
• Preventing the receipt of spam;
• Preventing the sending or receipt of offensive emails;
• Ensuring email compliance with various regulations, such as HIPAA;
• Protecting the privacy and security of customer, company, and employee data, such as
Social Security Numbers; and
• Preventing the loss of intellectual property and trade secrets.
The evaluated version of PPS is delivered to the customer installed on a stand-alone
appliance called the Proofpoint Messaging Security Gateway. The appliance hardware and
proprietary Linux Operating System (PLINX) are part of the IT environment and are outside
the TOE boundary.
EWA-Canada is the Common Criteria Evaluation Facility that conducted the evaluation. This
evaluation was completed on 15 September 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 PPS, 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 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 2.3 (with applicable
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.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 2 of 11 -
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 PPS 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).
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 3 of 11 -
1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 augmented
evaluation is the Proofpoint Protection Server® (hereafter referred to as PPS), from
Proofpoint.
2 TOE Description
PPS is perimeter email gateway software that integrates virus protection, spam detection,
regulatory compliance, and digital asset protection into a comprehensive message
management solution. PPS is designed to defend an Information Technology (IT)
environment from internal and external email-based threats by scanning all inbound and
outbound emails for spam, viruses, connection-level attacks, prohibited text, and other user-
definable data. Customers who deploy PPS are typically concerned with one or more of the
following:
• Preventing the receipt of spam;
• Preventing the sending or receipt of offensive emails;
• Ensuring email compliance with various regulations, such as HIPAA;
• Protecting the privacy and security of customer, company, and employee data, such as
Social Security Numbers; and
• Preventing the loss of intellectual property and trade secrets.
The evaluated version of PPS is delivered to the customer installed on a stand-alone
appliance (called the Proofpoint Messaging Security Gateway). The appliance hardware and
proprietary Linux Operating System (PLINX) are part of the IT environment outside the
TOE boundary.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the PPS is identified in Section 5 of
the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Proofpoint Protection Server® v5.0.4 Security Target
Version: 0.7
Date: 8 September 2008
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 4 of 11 -
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 PPS is:
a. Common Criteria Part 2 conformant, with security functional requirements based only
upon functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, containing all the security assurance requirements
in the EAL 2 package, as well as ALC_FLR.1 - Basic Flaw Remediation.
6 Security Policy
The PPS implements a role-based access control policy to control administrator and user
access to the system, as well as an information flow control policy to control information
passing through the system; details of these security policies can be found in Section 5 of the
ST.
In addition, the PPS implements policies pertaining to security audit, user data protection,
identification and authentication, and security management. Further details on these security
policies may be found in Section 5 of the ST.
7 Assumptions and Clarification of Scope
Consumers of the PPS 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
Personnel authorized to install, configure, and operate the PPS possess appropriate training
and will adhere to the procedures for secure usage of the product described in the ST and
guidance documentation.
7.2 Environmental Assumptions
It is assumed that the PPS appliance resides in a physically secure location and only
authorized individuals are granted physical access to the host.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 5 of 11 -
For more information about the TOE security environment, refer to Section 3 of the ST
(Security Environment).
7.3 Clarification of Scope
The PPS level of protection is appropriate for low robustness environments. It offers
protection against inadvertent or casual attempts to breach system security by
unsophisticated attackers possessing a low attack potential. It is not intended for situations
which involve determined attempts by hostile or well-funded attackers using sophisticated
attack techniques
8 Architectural Information
In the evaluated configuration PPS software version 5.0.4.176 runs on the Proofpoint
Messaging Server Gateway model 840.
PPS scans all incoming email messages for threats against End Users’ workstations or the
trusted network itself. All email messages are filtered by modules configured by the Super-
user to compare each message against specific policies and rules. Once an email message
violates a rule and is assigned to the quarantine, a copy of the email message is sent to the
quarantine while the original message is discarded, re-routed, or rejected. This allows for
Limited Administrators and End Users to review those quarantined email messages and take
action against those emails as the End User sees fit in accordance to company policy.
PPS offers a web-based management interface for reporting, configuration, and management
tasks. Authorized Limited Administrators can access the management functionality remotely
over Secure Hypertext Transfer Protocol (HTTPS). Limited Administrators are given
permission by the Super-user to access specific components within the TOE, such as Digital
Assets or Email Alerts. These Limited Administrators can perform all configuration and
management tasks for the specified components.
The functionality, databases, files, external interfaces, and other components that compose
the PPS software include the following:
• Filtering Agent;
• Reinject Queue;
• Quarantine Consolidation functionality;
• Log Consolidation and Summary functionality;
• Update Utilities;
• Web Servers (e.g., End-user Web Server, Admin Web Server, and API Service Web
Server);
• Log Files; and
• MySQL databases (e.g., Message Queue Database, Quarantine Database, Log
Database, User Database, etc.).
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 6 of 11 -
PPS offers a web-based management interface for reporting, configuration, and management
tasks. Administrators can access the management functionality remotely over HTTPS. End
users can manage their own email messages over HTTPS. In addition, PPS can
automatically retrieve signature updates from Proofpoint-administered servers over HTTPS.
The majority of PPS’s main functionality is performed by the Filtering Agent. This
component includes the following functionality:
• Spam detection: checks for matches with known Spam signatures;
• Regulatory compliance: provides policy-based filtering for violations of privacy-based
or financial transaction regulations
• Digital asset protection: protects confidential information from accidental or deliberate
disclosure via email;
• Email firewall: provides policy-based allow/deny functionality for email traffic; and
• Virus Protection: interacts with third-party Anti-Virus engines to scan emails for
viruses.
9 Evaluated Configuration
The evaluated configuration comprises PPS v5.0.4.176 running on Proofpoint Messaging
Security Gateway model 840. Administrator browsers include Internet Explorer 6, Internet
Explorer 7, and Firefox 2.0.
10 Documentation
The Proofpoint, Inc. documents provided to the consumer are as follows:
a. Proofpoint Administration Guide - Release 5.0.4, Rev A, June 2008;
b. Installation Guide - Release 5.0.4, Revision A, June 2008;
c. Pre-Installation Requirements, Revision A, June 2008;
d. Quick Start Guide - Messaging Security Gateway P-Series and X-Series, Revision A,
June 2008;
e. Proofpoint Protection Server™ Reference Guide - Release 5.0.4, Rev A, June 2008;
f. Proofpoint Release Notes- Release 5.0.4, Rev A, July 30 2008; and
g. Proofpoint Protection Server v5.0.4 Guidance Supplement, 0.3, September 8 2008.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the PPS, including the
following areas:
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 7 of 11 -
Configuration management: An analysis of the PPS development environment and
associated documentation was performed. The evaluators found that the PPS 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
PPS 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 PPS functional specification and high-
level design; they determined that the documents were internally consistent, and 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 PPS 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 reviewed the flaw remediation procedures used by
Proofpoint for PPS. 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 PPS ST’s strength of function claims were validated
through independent evaluator analysis. The evaluators examined the developer’s
vulnerability analysis for PPS 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 at EAL 2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 8 of 11 -
12.1 Assessing 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
.
Proofpoint employs a rigorous testing process that tests the changes and fixes in each release
of the PPS. Comprehensive regression testing is conducted for all releases.
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate.
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. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Identification and Authentication: The objective of this test goal is to ensure that the
identification and authentication requirements have been met;
c. Audit: The objective of this test goal is to ensure that the audit data is recorded and can
be viewed;
d. Users and Roles: The objective of this test goal is to ensure the users and roles
functionality (including security management functions) is correct;
e. User Data Protection: The objective of this test goal is to determine the TOE's ability to
protect user data; and
f. 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.
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.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 9 of 11 -
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's 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.
Due to the intended operating environment the penetration testing focussed on attempting to
bypass authentication and attempting to enter out of erroneous values within the
administrator interface. The independent penetration testing did not uncover any exploitable
vulnerabilities in the anticipated operating environment.
12.4 Conduct of Testing
PPS was subjected to a comprehensive suite of formally documented, independent functional
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 PPS behaves as specified in its ST and functional specification.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL augmented level of assurance. The
overall verdict for the evaluation is PASS. These results are supported by evidence in the
ETR.
14 Evaluator Comments, Observations and Recommendations
The complete documentation for PPS includes comprehensive installation and administration
guides as well as a guidance supplement which provides information specific to the
evaluated configuration. The PPS is straightforward to configure, use and integrate into a
corporate network.
EWA-Canada performed a site visit to review developer processes (ACM, ADO, and ALC).
Proofpoint, Inc. Configuration Management (CM) and Quality Assurance (QA) provide the
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 10 of 11 -
requisite controls for managing all CM/QA activities. Though development security was not
part of the evaluation, the evaluators observed that the developer was exceptionally
conscious of security. The physical, procedural, and personnel security measures meet or
exceed the assurance requirements of higher-level CC evaluations. This is reported on in the
CC Evaluation Site Visit Report. This document contains proprietary and confidential
Proofpoint information.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
Canada
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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. Proofpoint Protection Server® v5.0.4 Security Target, Revision No. 0.7, 8 September
2008.
CCS Certification Report Proofpoint, Inc.
PPS
___________________________________________________________________________
Version 1.0 29 September 2008
- Page 11 of 11 -
e. Evaluation Technical Report (ETR) Proofpoint Protection Server®, EAL 2+
Evaluation, Common Criteria Evaluation Number: 383-4-97, Document No. 1584-
000-D002, Version 1.4, 3 September 2008.