Certification Report
EAL 2+ Evaluation of
Blue Coat ProxySG Operating System
Version 4.2.5.1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2007 Government of Canada, Communications Security Establishment
Document number: 383-4-74-CR
Version: 1.0
Date: 14 November 2007
Pagination: i to iv, 1 to 10
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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 (CSE), 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 CSE, 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.
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 DOMUS IT Security Laboratory, a division of
NUVO Network Management, 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) to which the
product satisfies the security requirements.
This certification report is associated with the certificate of product evaluation dated 14
November 2007, 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.commoncriteriaportal.org.
This certification report makes reference to the following trademarked or registered
trademarks:
• ProxySG is a registered trademark of Blue Coat Systems, Inc.
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........................................................................................ 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 5
10 Documentation ...................................................................................................................... 5
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
12.3 INDEPENENT PENETRATION TESTING......................................................................... 8
12.4 CONDUCT OF TESTING ............................................................................................... 8
12.5 TESTING RESULTS...................................................................................................... 8
13 Results of the Evaluation...................................................................................................... 8
14 Evaluator Comments, Observations and Recommendations ........................................... 8
15 Acronyms, Abbreviations and Initializations..................................................................... 9
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16 References.............................................................................................................................. 9
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Executive Summary
The Blue Coat ProxySG Operating System v4.2.5.1 (hereafter referred to as the ProxySG OS
v4.2.5.1), from Blue Coat Systems, Inc. is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 2 augmented.
The ProxySG OS v4.2.5.1 is a proprietary operating system that runs on appliances
manufactured by Blue Coat Systems. The ProxySG OS v4.2.5.1 provides a layer of security
between an internal network and an external network (typically an office network and the
Internet) by enforcing information flow rules on selected traffic protocols.
DOMUS IT Security Laboratory, a division of NUVO Network Management, is the
Common Criteria Evaluation Facility that conducted the evaluation. This evaluation was
completed on 30 October 2007, 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 ProxySG OS v4.2.5.1, 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 Report1
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 IT Security Evaluation, Version 2.3 (with applicable final interpretations),
for conformance to the Common Criteria for IT Security Evaluation, version 2.3. The
following augmentation is claimed: ALC_FLR.1 – Basic flaw remediation
CSE, as the CCS Certification Body, declares that the ProxySG OS v4.2.5.1 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 evaluation technical report 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 the ProxySG Operating System, Version 4.2.5.1 (hereafter referred to as the
ProxySG OS v4.2.5.1), from Blue Coat Systems, Incorporated.
2 TOE Description
The ProxySG OS v4.2.5.1 is a proprietary operating system that runs on appliances
manufactured by Blue Coat Systems. The ProxySG OS v4.2.5.1 provides a layer of security
between an internal network and an external network (typically an office network and the
Internet) by acting as a proxy, and enforcing information flow rules on selected protocol
traffic.
In order to act as a proxy and enforce information flow rules on protocol traffic, all of the
targeted traffic must flow through the appliance. Arranging for controlled protocol traffic to
flow through the appliance requires configuration of the organization’s network
environment.
There are two kinds of network deployments: explicit and transparent. In an explicit
deployment, the users’ client software (e.g. web browser) is configured to access the external
network via the ProxySG OS v4.2.5.1. The client software presents the traffic to the internal
network port of the ProxySG OS v4.2.5.1 for service. In a transparent deployment, the
network and ProxySG OS v4.2.5.1 are configured so that the ProxySG OS v4.2.5.1
intercepts controlled protocol traffic intended for the external network. In this configuration,
the users’ software is not changed and the user is unaware that controlled protocol traffic is
passing through the ProxySG OS v4.2.5.1.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the ProxySG OS v4.2.5.1 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: Blue Coat Systems, Inc. ProxySG Operating System v4.2.5.1 Security Target
Version: Version 0.94
Date: 19 October 2007
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5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for IT Security Evaluation,
Version 2.3, for conformance to the Common Criteria for IT Security Evaluation, version
2.3.
The ProxySG OS v4.2.5.1 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 security assurance requirements
in the EAL 2 package, as well as the following: ALC_FLR.1 – Basic flaw
remediation
6 Security Policy
The ProxySG OS v4.2.5.1 implements a Proxy SFP (Security Functional Policy) and an
Administrative Access SFP.
After initial installation and configuration, the ProxySG OS v4.2.5.1 is operational and
behaves as a proxy that, by default, denies all traffic. To enable controlled protocol traffic
flow, the authorized administrator must define the Proxy SFP information flow policy rules.
The information flow policy rules can include the requirement for end user authentication.
The authorized administrator defines the end users to be authenticated by using the ProxySG
OS v4.2.5.1 management interface to create unique user accounts in a local user list.
The policy rules that define the Proxy SFP and Administrative Access SFP are expressed
using the syntax and rules described in the Blue Coat Systems, Inc. ProxySG Content Policy
Language Guide, 4.2.5 (Document Number 231-02780).
The ProxySG OS v4.2.5.1 security policy detail can be found in Section 2.2.1 and Section
5.1 of the ST.
7 Assumptions and Clarification of Scope
Consumers of the ProxySG OS v4.2.5.1 should consider assumptions about usage and
environmental settings as requirements for the product’s installation and its operating
environment. This will help to ensure the proper and secure operation of the ProxySG OS
v4.2.5.1.
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7.1 Secure Usage Assumptions
Administrators are non-hostile and follow all administrator guidance. Administration is
competent and ongoing.
The ProxySG OS v4.2.5.1 is installed and configured according to the installation guide.
Administrator and end user passwords are at least eight characters in length and comprise at
least one letter (from a set of 26 upper-case letters and 26 lower-case letters), one special
character or symbol (from a set of 32), and one number (from a set of 10).
7.2 Environmental Assumptions
The ProxySG OS v4.2.5.1 is located in an environment that provides physical security,
uninterruptible power, air conditioning, and all other conditions required for reliable
operation of the hardware.
Physical access to the appliance running the ProxySG OS v4.2.5.1 is restricted to authorized
persons.
All plaintext-controlled protocol traffic between the internal and external networks traverses
the ProxySG OS v4.2.5.1 appliance; there is no other connection between the internal and
external networks for plaintext-controlled protocol traffic.
For more information about the TOE security environment, refer to Section 3 of the ST.
7.3 Clarification of Scope
The ProxySG OS v4.2.5.1 was designed and intended for use in a structured corporate
environment. In this type of environment, users will not typically be allowed to install
programs on their machines or change system settings. Administrators will set policy that
controls what users are, and are not allowed, to do.
The ProxySG OS v4.2.5.1 is designed to control only specific protocols on specific ports. It
is not intended to protect user data or sessions flowing through the ProxySG OS v4.2.5.1, but
rather to prevent users from accessing specific protocol and port combinations, and web
content.
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Protection against attacks such as Session Hijacking 2
and Traffic Interception fall outside
the ProxySG OS v4.2.5.1 intended use, and should be addressed by other security
mechanisms such as firewalls and Intrusion Detection Systems.
8 Architectural Information
The ProxySG OS v4.2.5.1 is a proprietary operating system that runs on custom, purpose-
built hardware. The ProxySG OS v4.2.5.1 comprises a kernel, that provides the basic
operating system functions, and the following four subsystem groups: Proxy, Administration,
Policy, and Support. The Support subsystem is further decomposed into the four modules:
Authentication Subsystem, Content Filtering Subsystem, Logging Subsystem, and Registry
Subsystem. Further details about the system architecture are proprietary to the vendor, and
are not provided in this report.
9 Evaluated Configuration
The ProxySG OS v4.2.5.1 evaluated configuration comprises the ProxySG OS v4.2.5.1
running on the following Blue Coat Systems appliances: SG200, SG510, SG810, and
SG8100. All appliances run the same ProxySG OS v4.2.5.1 binary image.
Protocols controlled by the ProxySG OS v4.2.5.1 that are included in the evaluated
configuration are: Hypertext Transfer Protocol (HTTP); File Transfer Protocol (FTP);
SOCKS (abbreviation for SOCKetS) and Instant Messaging (AOL, Microsoft Network, and
Yahoo!)
10 Documentation
The ProxySG Operating System v4.2.5.1 documents provided to the consumer are as
follows:
• Blue Coat Systems SG200, SG510, SG810, and SG8100 Series Installation Guide;
• Blue Coat Systems, Inc. ProxySG Operating System v4.2.5.1 Readme: Installation,
Generation, Startup, and Administrative Guidance;
• Blue Coat Systems ProxySG Command Line Interface Reference;
• Blue Coat Systems ProxySG Configuration and Management Guide;
• Blue Coat SGOS 4.2.x Release Notes;
• Blue Coat Systems ProxySGTM Content Policy Language Guide;
• Blue Coat Systems ProxySG SGOS 4.x Upgrade Guide; and
• Blue Coat Systems Deployment Guide.
2
Session Hijacking refers to the exploitation of a valid computer session to gain unauthorised access to
information or services in a computer system.
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11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the ProxySG OS
v4.2.5.1, including the following areas:
Configuration management: An analysis of the ProxySG OS v4.2.5.1 CM system and
associated documentation was performed. The evaluators found that the ProxySG OS
v4.2.5.1 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
ProxySG OS v4.2.5.1 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 ProxySG OS v4.2.5.1 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 ProxySG OS v4.2.5.1 administrator and
user guidance documentation and determined that it sufficiently and unambiguously
described how to securely administer and use 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 Blue
Coat Systems, Inc. for the ProxySG OS v4.2.5.1. 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 ProxySG OS v4.2.5.1 ST’s strength of function claims were
validated through independent evaluator analysis. The evaluators examined the developer’s
vulnerability analysis for the ProxySG OS v4.2.5.1 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.
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12 ITS Product Testing
Testing at EAL2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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 ETR 3
.
The evaluators analyzed the developer’s test coverage analysis and found it 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 all 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 DOMUS IT Security Laboratory test goals:
The tests focused on the following areas, based upon the security functional requirements in
the ST and the security functions defined in the functional specification:
• Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
• Audit: The objective of this test goal is to ensure that the System Event Logging and
Access Logging requirements have been met;
• Identification and Authentication: The objective of this test goal is to ensure that
access to the management capability was restricted to authorized administrators;
• User Data Protection: The objective of this test goal is to ensure that the security
policy rules are enforced; and
3
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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• Security Management: The objective of this test goal is to ensure that authorized
administrators are able to manage and configure the ProxySG OS v4.2.5.1.
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:
• Reconnaissance;
• Port Scanning;
• Bypassing;
• Monitoring the network traffic; and
• Denial-of-service attack
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
12.4 Conduct of Testing
The ProxySG OS v4.2.5.1 was subjected to a comprehensive suite of formally-documented,
independent, functional and penetration tests. The testing took place at the developer’s
facility in Sunnyvale, California, USA, and at the ITSET facility at DOMUS IT Security
Laboratory located in Ottawa, Ontario, 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 separate Test
Results document.
12.5 Testing Results
The developer’s tests and independent functional tests yielded the expected results, giving
assurance that the ProxySG OS v4.2.5.1 behaves as specified in its ST and functional
specification.
13 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.
14 Evaluator Comments, Observations and Recommendations
Consumers should review the security aspects of the intended environment defined in
Section 3 of the ST when deploying the ProxySG OS v4.2.5.1.
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15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/Initialization Description
CB Certification Body
CC Common Criteria for Information Technology
Security Evaluation
CCEF Common Criteria Evaluation Facility
CCRA Common Criteria Recognition Arrangement
CCS Common Criteria Evaluation and Certification
Scheme
CEM Common Methodology for Information Technology
Security Evaluation
CPL Certified Products List
CR Certification Report
CSE Communications Security Establishment
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FTP File Transfer Protocol
HTTP Hypertext Transfer Protocol
ISO International Organisation for Standardisation
IT Information Technology
ITSET Information Technology Security Evaluation and
Testing
OS Operating System
PALCAN Program for the Accreditation of Laboratories
Canada
SOCKS Abbreviation for SOCKetS
SFP Security Functional Policy
ST Security Target
TOE Target of Evaluation
16 References
This section lists all documentation used as source material for this report:
a) Canadian Common Criteria Evaluation and Certification Scheme (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.
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d) Blue Coat Systems, Inc. ProxySG Operating System v4.2.5.1 Security Target,
Version 0.94, 19 October 2007.
e) Evaluation Technical Report for EAL2+ Evaluation of ProxySG Operating System
v4.2.5.1, Version 0.7, 30 October 2007.