Certification Report
Trustwave Secure Web Gateway Version 11.0
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2013
Document number: 383-4-250-CR
Version: 1.0
Date: 17 December 2013
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 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. 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, the 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.
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 17
December 2013, 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).
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.......................................................................................... 2
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 4
10 Evaluation Analysis Activities ............................................................................................. 5
11 ITS Product Testing.............................................................................................................. 6
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 6
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 6
11.4 CONDUCT OF TESTING ............................................................................................... 7
11.5 TESTING RESULTS...................................................................................................... 7
12 Results of the Evaluation...................................................................................................... 7
13 Evaluator Comments, Observations and Recommendations ........................................... 7
14 Acronyms, Abbreviations and Initializations..................................................................... 8
15 References.............................................................................................................................. 9
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Executive Summary
Trustwave Secure Web Gateway Version 11.0 (hereafter referred to as SWG), from
Trustwave Holdings, Inc., is the Target of Evaluation for this Evaluation Assurance Level
(EAL) 2 augmented evaluation.
SWG is a web gateway that protects against next-generation threats from web site access in
real time. By detecting new and targeted attacks, it enables users to access the Internet safely.
SWG protects against dynamic, cross-component malware threats using real-time code
analysis, analyzing the whole composition of a web page.
SWG Real-Time Code Analysis technology provides functionality to detect and block
dynamic malware. As inbound and outbound web communication occurs it is dynamically
analyzed and viewed by multiple malware engines to determine intent. These engines run in
parallel providing the following abilities:
• Detection and blocking of dynamic malware from cross-component attacks
• Detection of malicious code on web pages
• Web page analysis of both single and multiple component attacks
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
7 November 2013 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 SWG, the security requirements,
and the level of confidence (evaluation assurance level) to which it is asserted that the
product satisfies its 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 3.1 Revision 4, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. The following augmentation is claimed: ALC_FLR.2 – Flaw
Reporting.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the SWG 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
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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Products list (CPL) and the Common Criteria portal (the official website of the Common
Criteria Project).
1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) augmented
evaluation is Trustwave Secure Web Gateway Version 11.0 (hereafter referred to as SWG),
from Trustwave Holdings, Inc.
2 TOE Description
SWG is a web gateway that protects against next-generation threats from web site access in
real time. By detecting new and targeted attacks, it enables users to access the Internet safely.
SWG protects against dynamic, cross-component malware threats using real-time code
analysis, analyzing the whole composition of a web page.
SWG Real-Time Code Analysis technology provides functionality to detect and block
dynamic malware. As inbound and outbound web communication occurs it is dynamically
analyzed and viewed by multiple malware engines to determine intent. These engines run in
parallel providing the following abilities:
• Detection and blocking of dynamic malware from cross-component attacks
• Detection of malicious code on web pages
• Web page analysis of both single and multiple component attacks
A detailed description of the SWG architecture is found in 1.6 of the Security Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for SWG is identified in 1.6.2 of the ST.
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Trustwave Secure Web Gateway Security Target
Version: 1.5
Date: 18 September 2013
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
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SWG is:
a. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST:
• IDS_SDC - System Data Collection
• IDS_ANL - Analyser Analysis
• IDS_RCT - Analyser React
• IDS_RDR - Restricted Data Review; and
• IDS_STG - System Data Storage.
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.2 – Flaw Reporting
6 Security Policy
SWG implements a role-based access control policy to control administrator access to the
system, as well as an information flow control policy to control information entering the
system; details of these security policies can be found in Section 7 of the ST.
In addition, SWG implements policies pertaining to security audit, user, identification and
authentication, and security management. Further details on these security policies may be
found in Section 7 of the ST.
7 Assumptions and Clarification of Scope
Consumers of SWG 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 Assumptions are listed in the ST:
• The TOE will be managed in a manner that allows it to appropriately address changes
in the IT System the TOE monitors;
• There will be one or more competent individuals assigned to manage the TOE and the
security of the information it contains;
• The authorized administrators are not careless, willfully negligent, or hostile, and will
follow and abide by the instructions provided by the TOE documentation;
• The TOE can only be accessed by authorized users; and
• The TOE is appropriately scalable to the IT System the TOE monitors.
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7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
• The TOE has access to all the IT System data it needs to perform its functions;
• The processing resources of the TOE will be located within controlled access
facilities, which will prevent unauthorized physical access;
• The TOE components will be interconnected by a segregated management network
that protects the intra-TOE traffic from disclosure to or modification by untrusted
systems or users; and
• The hardware and software critical to TOE security policy enforcement will be
protected from unauthorized physical modification.
8 Evaluated Configuration
The TOE consists of one instance of the SWG software executing on either a dedicated
physical appliance or virtual appliance (two distinct configurations). For the physical
appliance, the hardware is part of the TOE. For the virtual appliance, the hardware and
hypervisor software are provided by the operational environment.
The evaluated configuration for SWG comprises:
• The TOE software running on one of the following SWG appliances;
o SWG3000;
o SWG5000; or
o SWG7000.
Or;
• The TOE deployed as a virtual appliance running on a hardware platform with the
following minimum requirements;
o VMWare ESXi version 4.1;
o IBM X3550 M3 2xQuad-Core Intel E5506 2.1 GHz CPU; and
o 4GB of RAM.
The publication entitled Trustwave Secure Web Gateway Common Criteria Supplement
describes the procedures necessary to install and operate SWG in its evaluated configuration.
9 Documentation
The Trustwave Holdings, Inc. documents provided to the consumer are as follows:
a. Trustwave Secure Web Gateway Common Criteria Supplement-April 29, 2013;
b. Secure Web Gateway Version 11.0 Quick Start Guide - v2.0, December 2012;
c. Secure Web Gateway Version 11.0 Setup Guide - v2.0, October 2012; and
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d. Secure Web Gateway Management Console Reference Guide Version 11.0, 1.0
December 2012.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of SWG, including the
following areas:
Development: The evaluators analyzed the SWG 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 SWG security
architectural description and determined that the initialization process is secure, 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 are correct.
Guidance Documents: The evaluators examined the SWG preparative user guidance and
operational user guidance and determined that it sufficiently and unambiguously describes
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 are complete and sufficiently detailed to result in a secure
configuration.
Life-cycle support: An analysis of the SWG configuration management system and
associated documentation was performed. The evaluators found that the SWG 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 SWG during distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the SWG.
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.
All these evaluation activities resulted in PASS verdicts.
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11 ITS Product Testing
Testing 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 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.
11.2 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 is 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. Concurrent login: The objective of this test goal is to confirm the use of concurrent logins
and that they don't interfere with each other;
c. Creating and deleting of user groups: The objective of this test goal is confirm the ability
of an admin to create and delete user groups;
d. Creating and deleting of user accounts: The objective of this test goal is to confirm the
ability of an admin to create and delete user accounts; and
e. IP address based Management Console access control: The objective of this test goal is to
confirm that the TOE will only accept management connection from a specific IP range.
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:
a. Port scan: The objective of this test goal is to scan the TOE using a port scanner to reveal
a potential avenue of attack;
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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b. Automated vulnerability tool scanning: The objective of this test goal is to scan the TOE
for vulnerabilities using automated tools; and
c. Information leakage verification: The objective of this test goal is to monitor the TOE for
leakage during start-up, shutdown, login, and other scenarios using a packet sniffer.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
SWG 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.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that SWG 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 evaluator found some intermittent display issues when using Internet Explorer to access
the TOE Management Console. Firefox was found to perform without any issues for the
display of the TOE Management Console.
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14 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
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
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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 3.1
Revision 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. Trustwave Secure Web Gateway Security Target,v1.5, 18 September 2013.
e. Evaluation Technical Report for EAL 2+ Common Criteria Evaluation of Trustwave
Holdings, Inc. Trustwave Secure Web Gateway Version 11.0, v1.1, 7 November
2013.