E-Series & EF-Series with SANtricity OS 11.70 Security Target Version 1.0 November 2021 Document prepared by www.lightshipsec.com NetApp, Inc. Security Target Page 2 of 45 Document History Version Date Author Description 1.0 03 Nov 2021 G Nickel Release for certification NetApp, Inc. Security Target Page 3 of 45 Table of Contents 1 Introduction ........................................................................................................................... 5 1.1 Overview ........................................................................................................................ 5 1.2 Identification ................................................................................................................... 5 1.3 Conformance Claims...................................................................................................... 5 1.4 Terminology.................................................................................................................... 6 2 TOE Description.................................................................................................................... 8 2.1 Type ............................................................................................................................... 8 2.2 Usage ............................................................................................................................. 8 2.3 Security Functions / Logical Scope................................................................................ 9 2.4 Physical Scope............................................................................................................. 10 3 Security Problem Definition............................................................................................... 12 3.1 Threats ......................................................................................................................... 12 3.2 Assumptions................................................................................................................. 13 3.3 Organizational Security Policies................................................................................... 15 4 Security Objectives............................................................................................................. 15 5 Security Requirements....................................................................................................... 16 5.1 Conventions ................................................................................................................. 16 5.2 Extended Components Definition................................................................................. 16 5.3 Functional Requirements ............................................................................................. 16 5.4 Assurance Requirements............................................................................................. 30 6 TOE Summary Specification.............................................................................................. 32 6.1 Security Audit ............................................................................................................... 32 6.2 Cryptographic Support ................................................................................................. 32 6.3 Identification and Authentication .................................................................................. 35 6.4 Security Management .................................................................................................. 37 6.5 Protection of the TSF ................................................................................................... 39 6.6 TOE Access ................................................................................................................. 41 6.7 Trusted Path/Channels ................................................................................................ 41 7 Rationale.............................................................................................................................. 41 7.1 Conformance Claim Rationale ..................................................................................... 41 7.2 Security Objectives Rationale ...................................................................................... 42 7.3 Security Requirements Rationale................................................................................. 42 Annex A: Extended Components Definition............................................................................. 45 List of Tables Table 1: Evaluation identifiers ......................................................................................................... 5 Table 2: NIAP Technical Decisions ................................................................................................. 5 Table 3: Terminology....................................................................................................................... 6 Table 4: CAVP Certificates.............................................................................................................. 9 Table 5: TOE models..................................................................................................................... 11 Table 6: Threats............................................................................................................................. 12 Table 7: Assumptions .................................................................................................................... 13 Table 8: Organizational Security Policies...................................................................................... 15 Table 9: Security Objectives for the Operational Environment ..................................................... 15 Table 10: Summary of SFRs ......................................................................................................... 16 Table 11: Audit Events .................................................................................................................. 18 NetApp, Inc. Security Target Page 4 of 45 Table 12: Assurance Requirements .............................................................................................. 30 Table 13: HMAC Characteristics ................................................................................................... 33 Table 14: Private Keys .................................................................................................................. 39 Table 15: Passwords ..................................................................................................................... 39 Table 16: NDcPP SFR Rationale .................................................................................................. 42 NetApp, Inc. Security Target Page 5 of 45 1 Introduction 1.1 Overview 1 This Security Target (ST) defines the NetApp E-Series & EF-Series with SANtricity OS 11.70 Target of Evaluation (TOE) for the purposes of Common Criteria (CC) evaluation. 1.2 Identification Table 1: Evaluation identifiers Target of Evaluation NetApp E-Series & EF-Series with SANtricity OS 11.70 Build (Management software version): R2 08.70.00.02 Security Target NetApp E-Series & EF-Series with SANtricity OS 11.70 Security Target, v1.0 1.3 Conformance Claims 2 This ST supports the following conformance claims: a) CC Version 3.1 Revision 5 b) CC Part 2 extended c) CC Part 3 conformant d) collaborative Protection Profile for Network Devices, v2.2e e) NIAP Technical Decisions per Table 2 Table 2: NIAP Technical Decisions TD # Name Applicability Exclusion Rationale TD0527 Updates to Certificate Revocation Testing (FIA_X509_EXT.1) Yes TD0528 NIT Technical Decision for Missing EAs for FCS_NTP_EXT.1.4 No FCS_NTP not claimed TD0536 NIT Technical Decision for Update Verification Inconsistency Yes TD0537 NIT Technical Decision for Incorrect reference to FCS_TLSC_EXT.2.3 No FCS_TLSC_EXT.2 not claimed TD0538 NIT Technical Decision for Outdated link to allowed-with list No Only applicable to Protection Profile TD0546 NIT Technical Decision for DTLS – Clarification of Application Note 63 No FCS_DTLS not claimed NetApp, Inc. Security Target Page 6 of 45 TD # Name Applicability Exclusion Rationale TD0547 NIT Technical Decision for Clarification on Developer Disclosure of AVA_VAN Yes TD0555 NIT Technical Decision for RFC Reference Incorrect in TLSS Test Yes TD0556 NIT Technical Decision for RFC 5077 Question Yes TD0563 NiT Technical Decision for Clarification of audit date information Yes TD0564 NiT Technical Decision for Vulnerability Analysis Search Criteria Yes TD0569 NiT Technical Decision for Session ID Usage Conflict in FCS_DTLSS_EXT.1.7 No FCS_DTLSS not claimed TD0570 NiT Technical Decision for Clarification about FIA_AFL.1 Yes TD0571 NiT Technical Decision for Guidance on how to handle FIA_AFL.1 Yes TD0572 NiT Technical Decision for Restricting FTP_ITC.1 to only IP address identifiers Yes TD0580 NiT Technical Decision for clarification about use of DH14 in NDcPPv2.2e Yes TD0581 NiT Technical Decision for Elliptic curve- based key establishment and NIST SP 800-56A rev3 Yes TD0591 NIT Technical Decision for Virtual TOEs and hypervisors No TOE is not a virtual TOE or Hypervisor TD0592 NIT Technical Decision for Local Storage of Audit Records No Affected SFRs not claimed 1.4 Terminology Table 3: Terminology Term Definition CC Common Criteria EAL Evaluation Assurance Level NetApp, Inc. Security Target Page 7 of 45 Term Definition JVM Java Virtual Machine NDcPP collaborative Protection Profile for Network Devices PP Protection Profile SAN Storage Area Network TOE Target of Evaluation TSF TOE Security Functionality NetApp, Inc. Security Target Page 8 of 45 2 TOE Description 2.1 Type 3 The TOE is a network device that provides networked storage for dedicated, high- bandwidth applications like data analytics, video surveillance, and disk-based backup that need simple, fast, reliable SAN storage. 2.2 Usage 4 Figure 1 shows an E-Series hardware device (front, open front, rear). Figure 1: TOE hardware 5 The TOE deployment is shown in Figure 2 with the focus of evaluation activities being the management plane of the TOE. Figure 2: TOE Deployment NetApp, Inc. Security Target Page 9 of 45 6 The TOE interfaces are as follows: a) CLI. Administrative CLI via direct serial connection. b) Web / REST. Administrator access via Web GUI or REST API1 over HTTPS. c) Logs. Logs are transmitted to a Syslog server via TLS. d) Authentication (auth). The TOE communicates with an LDAP server via TLS. 7 Each hardware device contains two redundant controllers which provide the TOE security functions. The controller management interfaces are separately addressable on the network however configuration data is shared for redundancy. 2.3 Security Functions / Logical Scope 8 The TOE provides the following security functions: a) Protected Communications. The TOE protects the integrity and confidentiality of communications as noted in section 2.2 above. b) Secure Administration. The TOE enables secure management of its security functions, including: i) Administrator authentication with passwords ii) Configurable password policies iii) Role Based Access Control iv) Access banners v) Management of critical security functions and data vi) Protection of cryptographic keys and passwords c) Trusted Update. The TOE ensures the authenticity and integrity of software updates. d) System Monitoring. The TOE generates logs of security relevant events. The TOE stores logs locally and is capable of sending log events to a remote audit server. e) Self-Test. The TOE performs a suite of self-tests to ensure the correct operation and enforcement of its security functions. f) Cryptographic Operations. The TOE makes use of cryptographic functions performed by the NetApp SANtricity System Manager. Relevant Cryptographic Algorithm Validation Program (CAVP) certificates are shown in Table 4. Table 4: CAVP Certificates Algorithm Capability Certificate AES GCM C1977 SHA-1, SHA-256, SHA-384 1 RESTful API can be used directly or via NetApp’s SMcli client application. The Web GUI also makes use of the RESTful API. NetApp, Inc. Security Target Page 10 of 45 Algorithm Capability Certificate HMAC-SHA-1, HMAC-SHA-256, HMAC-SHA-384 RSA KeyGen (186-4) RSA SigGen (186-4) RSA SigVer (186-4) ECDSA KeyGen (186-4) ECDSA KeyVer (186-4) ECDSA SigGen (186-4) ECDSA SigVer (186-4) KAS ECC Hash DRBG 2.3.1 Functions not included in the TOE Evaluation 9 For the TOE to be in the evaluated configuration, the following functions must not be enabled/used: a) SSH b) File Disk Encryption (FDE) c) High Availability between controllers. 2.4 Physical Scope 10 The physical boundary of the TOE includes the models (and disk shelves where applicable) shown in Table 5. The TOE hardware is delivered to the customer via commercial courier. NetApp, Inc. Security Target Page 11 of 45 Table 5: TOE models Model CPU Max Capacity Max Drives E2812 (DE212C)* Intel Xeon D-15xx (Broadwell) 576TB 48 HDD/SSD E2824 (DE224C) Intel Xeon D-15xx (Broadwell) 173TB 96 HDD/SSD E2860 (DE460C) Intel Xeon D-15xx (Broadwell) 2.16PB 180 HDD/SSD E5724 (DE224C) Intel Xeon D-15xx (Broadwell) 345TB 192 HDDs / 120 SSDs E5760 (DE460C) Intel Xeon D-15xx (Broadwell) 4.8PB 480 HDDs / 120 SSDs EF280 Intel Xeon D-15xx (Broadwell) 1.5PB 96 SSDs EF570 Intel Xeon D-15xx (Broadwell) 1.8PB 120 SSDs EF600 Intel Xeon D-21xx (Skylake) 368TB 24 SSDs EF300 Intel Xeon D-21xx (Skylake) 368TB 24 SSDs * Disk shelf shown in parentheses. The disk shelf is an enclosure that contains the system shelf (E-series controller) and hot-serviceable drive trays. 2.4.1 Guidance Documents 11 The TOE includes the following guidance documents (PDF) which may be downloaded from https://mysupport.netapp.com/info/web/ECMP1658252.html: a) NetApp E-Series & EF-Series with SANtricity OS 11.70 Common Criteria Guidance Supplement, v0.8 September 2021 b) NetApp Installation and Setup Instructions for E-Series E5724, EF570, E2812, E2824, and EF280, 215-15129_2020-10_en-us c) NetApp Installation and Setup Instructions for E-Series E5760 and E2860, 215-15129_2020-10_en-us d) NetApp Installation and Setup Instructions for E-Series EF600, 210- 06791_2020-10_en-us e) NetApp SANtricity 11.7 Help Dashboard for System Manager, 215- 15130_2020-10_en-us f) NetApp SANtricity 11.7 Help Dashboard for Embedded Command Line Interface, 215-13131_2020-10_en-us 2.4.2 Non-TOE Components 12 The TOE operates with the following components in the environment: a) Audit Server. The TOE is capable of sending audit events to a Syslog server. b) LDAP Server. The TOE is capable of utilizing an LDAP server for authentication. NetApp, Inc. Security Target Page 12 of 45 3 Security Problem Definition 13 The Security Problem Definition is reproduced from section 4 of the NDcPP. 3.1 Threats Table 6: Threats Identifier Description T.UNAUTHORIZED_ ADMINISTRATOR_ ACCESS Threat agents may attempt to gain Administrator access to the Network Device by nefarious means such as masquerading as an Administrator to the device, masquerading as the device to an Administrator, replaying an administrative session (in its entirety, or selected portions), or performing man-in-the-middle attacks, which would provide access to the administrative session, or sessions between Network Devices. Successfully gaining Administrator access allows malicious actions that compromise the security functionality of the device and the network on which it resides T.WEAK_ CRYPTOGRAPHY Threat agents may exploit weak cryptographic algorithms or perform a cryptographic exhaust against the key space. Poorly chosen encryption algorithms, modes, and key sizes will allow attackers to compromise the algorithms, or brute force exhaust the key space and give them unauthorized access allowing them to read, manipulate and/or control the traffic with minima l effort. T.UNTRUSTED_ COMMUNICATION_ CHANNELS Threat agents may attempt to target Network Devices that do not use standardized secure tunnelling protocols to protect the critical network traffic. Attackers may take advantage of poorly designed protocols or poor key management to successfully perform man-in-the-middle attacks, replay attacks, etc. Successful attacks will result in loss of confidentiality and integrity of the critical network traffic, and potentially could lead to a compromise of the Network Device itself. T.WEAK_ AUTHENTICATION_ ENDPOINTS Threat agents may take advantage of secure protocols that use weak methods to authenticate the endpoints, e.g. a shared password that is guessable or transported as plaintext. The consequences are the same as a poorly designed protocol, the attacker could masquerade as the Administrator or another device, and the attacker could insert themselves into the network stream and perform a man-in-the-middle attack. The result is the critical network traffic is exposed and there could be a loss of confidentiality and integrity, and potentially the Network Device itself could be compromised. T.UPDATE_ COMPROMISE Threat agents may attempt to provide a compromised update of the software or firmware which undermines the security functionality of the device. Non-validated updates or updates validate d using non-secure or weak cryptography leave the update firmware vulnerable to surreptitious alteration. T.UNDETECTED_ ACTIVITY Threat agents may attempt to access, change, and/or modify the security functionality of the Network Device without Administrator awareness. This could result in the attacker finding an avenue (e.g., misconfiguration, flaw in the product) to compromise the device and NetApp, Inc. Security Target Page 13 of 45 Identifier Description the Administrator would have no knowledge that the device has been compromised. T.SECURITY_ FUNCTIONALITY_ COMPROMISE Threat agents may compromise credentials and device data enabling continued access to the Network Device and its critical data. The compromise of credentials includes replacing existing credentials with an attacker’s credentials, modifying existing credentials, or obtaining the Administrator or device credentials for use by the attacker. T.PASSWORD_ CRACKING Threat agents may be able to take advantage of weak administrative passwords to gain privileged access to the device. Having privileged access to the device provides the attacker unfettered access to the network traffic and may allow them to take advantage of any trust relationships with other Network Devices. T.SECURITY_ FUNCTIONALITY_ FAILURE An external, unauthorized entity could make use of failed or compromised security functionality and might therefore subsequently use or abuse security functions without prior authentication to access, change or modify device data, critical network traffic or security functionality of the device. 3.2 Assumptions Table 7: Assumptions Identifier Description A.PHYSICAL_ PROTECTION The Network Device is assumed to be physically protected in its operational environment and not subject to physical attacks that compromise the security or interfere with the device’s physical interconnections and correct operation. This protection is assumed to be sufficient to protect the device and the data it contains. As a result, the cPP does not include any requirements on physical tamper protection or other physical attack mitigations. The cPP does not expect the product to defend against physical access to the device that allows unauthorize d entities to extract data, bypass other controls, or otherwise manipulate the device. For vNDs, this assumption applies to the physical platform on which the VM runs. A.LIMITED_ FUNCTIONALITY (Modified by TD0591) The device is assumed to provide networking functionality as its core function and not provide functionality/services that could be deemed as general purpose computing. For example, the device should not provide a computing platform for general purpose applications (unrelated to networking functionality). If a virtual TOE evaluated as a pND, following Case 2 vNDs as specified in Section 1.2, the VS is considered part of the TOE with only one vND instance for each physical hardware platform. The exception being where components of a distributed TOE run inside more than one virtual machine (VM) on a single VS. In Case 2 vND, no non-TOE guest VMs are allowed on the platform. NetApp, Inc. Security Target Page 14 of 45 Identifier Description A.NO_THRU_ TRAFFIC_ PROTECTION A standard/generic Network Device does not provide any assurance regarding the protection of traffic that traverses it. The intent is for the Network Device to protect data that originates on or is destined to the device itself, to include administrative data and audit data. Traffic that is traversing the Network Device, destined for another network entity, is not covered by the ND cPP. It is assumed that this protection will be covered by cPPs and PP-Modules for particular types of Network Devices (e.g., firewall). A.TRUSTED_ ADMINISTRATOR The Security Administrator(s) for the Network Device are assumed to be trusted and to act in the best interest of security for the organization. This includes appropriately trained, following policy, and adhering to guidance documentation. Administrators are trusted to ensure passwords/credentials have sufficient strength and entropy and to lack malicious intent when administering the device. The Network Device is not expected to be capable of defending against a malicious Administrator that actively works to bypass or compromise the security of the device. For TOEs supporting X.509v3 certificate-based authentication, the Security Administrator(s ) are expected to fully validate (e.g. offline verification) any CA certificate (root CA certificate or intermediate CA certificate) loaded into the TOE’s trust store (aka 'root store', ' trusted CA Key Store', or similar) as a trust anchor prior to use (e.g. offline verification). A.REGULAR_ UPDATES The Network Device firmware and software is assumed to be updated by an Administrator on a regular basis in response to the release of product updates due to known vulnerabilities. A.ADMIN_ CREDENTIALS_ SECURE The Administrator’s credentials (private key) used to access the Network Device are protected by the platform on which they reside. A.RESIDUAL_ INFORMATION The Administrator must ensure that there is no unauthorized access possible for sensitive residual information (e.g. cryptographic keys, keying material, PINs, passwords etc.) on networking equipment when the equipment is discarded or removed from its operational environment. NetApp, Inc. Security Target Page 15 of 45 3.3 Organizational Security Policies Table 8: Organizational Security Policies Identifier Description P.ACCESS_BANNER The TOE shall display an initial banner describing restrictions of use, legal agreements, or any other appropriate information to which users consent by accessing the TOE. 4 Security Objectives 14 The security objectives are reproduced from section 5 of the NDcPP. Table 9: Security Objectives for the Operational Environment Identifier Description OE.PHYSICAL Physical security, commensurate with the value of the TOE and the data it contains, is provide d by the environment. OE.NO_GENERAL_ PURPOSE There are no general-purpose computing capabilities (e.g., compilers or user applications) available on the TOE, other than those services necessary for the operation, administration and support of the TOE. Note: For vNDs the TOE includes only the contents of the its own VM, and does not include other VMs or the VS. OE.NO_THRU_ TRAFFIC_ PROTECTION The TOE does not provide any protection of traffic that traverses it. It is assumed that protection of this traffic will be covered by other security and assurance measures in the operational environment. OE.TRUSTED_ADMIN Security Administrators are trusted to follow and apply all guidance documentation in a trusted manner. For vNDs, this includes the VS Administrator responsible for configuring the VMs that implement ND functionality. For TOEs supporting X.509v3 certificate-based authentication, the Security Administrator(s ) are assumed to monitor the revocation status of all certificates in the TOE's trust store and to remove any certificate from the TOE’s trust store in case such certificate can no longer be trusted. OE.UPDATES The TOE firmware and software is updated by an Administrator on a regular basis in response to the release of product updates due to known vulnerabilities. OE.ADMIN_ CREDENTIALS_ SECURE The Administrator’s credentials (private key) used to access the TOE must be protected on any other platform on which they reside. OE.RESIDUAL_ INFORMATION The Security Administrator ensures that there is no unauthorized access possible for sensitive residual information (e.g. cryptographic keys, keying material, PINs, passwords etc.) on networking equipment when the equipment is discarded or removed from its operational environment. For vNDs, this applies when the physical platform on which the VM runs is removed from its operational environment. NetApp, Inc. Security Target Page 16 of 45 5 Security Requirements 5.1 Conventions 15 The conventions used in descriptions of the SFRs are as follows: • Unaltered SFRs are stated in the form used in [CC2] or their extended component definition (ECD); • Refinement made in the PP: the refinement text is indicated with bold text and strikethroughs; • Selection wholly or partially completed in the PP: the selection values (i.e. the selection values adopted in the PP or the remaining selection values available for the ST) are indicated with underlined text; • Assignment wholly or partially completed in the PP: indicated with italicized text; • Assignment completed within a selection in the PP: the completed assignment text is indicated with italicized and underlined text; • Iteration: indicated by adding a string starting with ‘/’(e.g.‘FCS_COP.1/Hash’); 16 Extended SFRs are identified by having a label ‘EXT’ at the end of the SFR name. 17 Where compliance to RFCs is referred to in SFRs, this is intended to be demonstrated by completing the corresponding evaluation activities in [SD] for the relevant SFR. 18 Note: Operations performed within the Security Target are denoted within brackets []. Operations shown without brackets are reproduced from the NDcPP. 5.2 Extended Components Definition 19 Refer to Annex A: Extended Components Definition. 5.3 Functional Requirements Table 10: Summary of SFRs Requirement Title FAU_GEN.1 Audit Data Generation FAU_GEN.2 User Identity Association FAU_STG_EXT.1 Protected Audit Event Storage FCS_CKM.1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_CKM.4 Cryptographic Key Destruction FCS_COP.1/DataEncryption Cryptographic Operation (AES Data Encryption/Decryption) NetApp, Inc. Security Target Page 17 of 45 Requirement Title FCS_COP.1/SigGen Cryptographic Operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic Operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic Operation (Keyed Hash Algorithm) FCS_HTTPS_EXT.1 HTTPS Protocol FCS_RBG_EXT.1 Random Bit Generation FCS_TLSC_EXT.1 TLS Client Protocol FCS_TLSS_EXT.1 TLS Server Protocol FIA_AFL.1 Authentication Failure Management FIA_PMG_EXT.1 Password Management FIA_UIA_EXT.1 User Identification and Authentication FIA_UAU_EXT.2 Password-based Authentication Mechanism FIA_UAU.7 Protected Authentication Feedback FIA_X509_EXT.1/Rev X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FIA_X509_EXT.3 X.509 Certificate Requests FMT_MOF.1/ManualUpdate Management of security functions behaviour FMT_MOF.1/Functions Management of security functions behaviour FMT_MTD.1/CoreData Management of TSF Data FMT_MTD.1/CryptoKeys Management of TSF Data FMT_SMF.1 Specification of Management Functions FMT_SMR.2 Restrictions on Security Roles FPT_SKP_EXT.1 Protection of TSF Data (for reading of all pre-shared, symmetric and private keys) FPT_APW_EXT.1 Protection of Administrator Passwords FPT_TST_EXT.1 TSF Testing (Extended) FPT_TUD_EXT.1 Trusted Update NetApp, Inc. Security Target Page 18 of 45 Requirement Title FPT_STM_EXT.1 Reliable Time Stamps FTA_SSL_EXT.1 TSF-initiated Session Locking FTA_SSL.3 TSF-initiated Termination FTA_SSL.4 User-initiated Termination FTA_TAB.1 Default TOE Access Banners FTP_ITC.1 Inter-TSF trusted channel FTP_TRP.1/Admin Trusted Path 5.3.1 Security Audit (FAU) FAU_GEN.1 Audit Data Generation FAU_GEN.1.1 The TSF shall be able to generate an audit record of the following auditable events: a) Start-up and shutdown of the audit functions; b) All auditable events for the not specified level of audit; and c) All administrative actions comprising: o Administrative login and logout (name of user account shall be logged if individual user accounts are required for Administrators). o Changes to TSF data related to configuration changes (in addition to the information that a change occurred it shall be logged what has been changed). o Generating/import of, changing, or deleting of cryptographic keys (in addition to the action itself a unique key name or key reference shall be logged). o Resetting passwords (name of related user account shall be logged). o no other actions; d) Specifically defined auditable events listed in Table 2 Table 11. Table 11: Audit Events Requirement Auditable Events Additional Audit Record Contents FAU_GEN.1 None. None. FAU_GEN.2 None. None. NetApp, Inc. Security Target Page 19 of 45 Requirement Auditable Events Additional Audit Record Contents FAU_STG_EXT.1 None. None. FCS_CKM.1 None. None. FCS_CKM.2 None. None. FCS_CKM.4 None. None. FCS_COP.1/DataEncryption None. None. FCS_COP.1/SigGen None. None. FCS_COP.1/Hash None. None. FCS_COP.1/KeyedHash None. None. FCS_HTTPS_EXT.1 Failure to establish a HTTPS Session. Reason for failure FCS_RBG_EXT.1 None. None. FCS_TLSC_EXT.1 Failure to establish a TLS Session Reason for failure FCS_TLSS_EXT.1 Failure to establish a TLS Session Reason for failure FIA_AFL.1 Unsuccessful login attempts limit is met or exceeded. Origin of the attempt (e.g., IP address). FIA_PMG_EXT.1 None. None. FIA_UIA_EXT.1 All use of identification and authentication mechanism. Origin of the attempt (e.g., IP address). FIA_UAU_EXT.2 All use of identification and authentication mechanism. Origin of the attempt (e.g., IP address). FIA_UAU.7 None. None. FIA_X509_EXT.1/Rev • Unsuccessful attempt to validate a certificate. • Any addition, replacement, or removal of trust anchors in the TOE’s trust store. • Reason for failure of certificate validation. • Identification of certificates added, replaced, or removed as trust anchor in the TOE’s trust store. FIA_X509_EXT.2 None. None. NetApp, Inc. Security Target Page 20 of 45 Requirement Auditable Events Additional Audit Record Contents FIA_X509_EXT.3 None. None. FMT_MOF.1/ManualUpdate Any attempt to initiate a manual update None. FMT_MOF.1/Functions None. None. FMT_MTD.1/CoreData None. None. FMT_MTD.1/CryptoKeys None. None. FMT_SMF.1 All management activities of TSF data. None. FMT_SMR.2 None. None. FPT_SKP_EXT.1 None. None. FPT_APW_EXT.1 None. None. FPT_TST_EXT.1 None. None. FPT_TUD_EXT.1 Initiation of update; result of the update attempt (success or failure) None. FPT_STM_EXT.1 Discontinuous changes to time - either Administrator actuated or changed via an automated process. (Note that no continuous changes to time need to be logged. See also application note on FPT_STM_EXT.1) For discontinuous changes to time: The old and new values for the time. Origin of the attempt to change time for success and failure (e.g., IP address). FTA_SSL_EXT.1 (if “lock the session” is selected) Any attempts at unlocking of an interactive session None. FTA_SSL_EXT.1 (if “terminate the session” is selected) The termination of a local session by the session locking mechanism None. FTA_SSL.3 The termination of a remote session by the session locking mechanism. None. FTA_SSL.4 The termination of an interactive session. None. FTA_TAB.1 None. None. NetApp, Inc. Security Target Page 21 of 45 Requirement Auditable Events Additional Audit Record Contents FTP_ITC.1 • Initiation of the trusted channel. • Termination of the trusted channel. • Failure of the trusted channel functions. Identification of the initiator and target of failed trusted channels establishment attempt. FTP_TRP.1/Admin • Initiation of the trusted path. • Termination of the trusted path. • Failure of the trusted path functions. None. FAU_GEN.1.2 The TSF shall record within each audit record at least the following information: a) Date and time of the event, type of event, subject identity, and the outcome (success or failure) of the event; and b) For each audit event type, based on the auditable event definitions of the functional components included in the cPP/ST, information specified in column three of Table 2 Table 11. FAU_GEN.2 User Identity Association FAU_GEN.2.1 For audit events resulting from actions of identified users, the TSF shall be able to associate each auditable event with the identity of the user that caused the event. FAU_STG_EXT.1 Protected Audit Event Storage FAU_STG_EXT.1.1 The TSF shall be able to transmit the generated audit data to an external IT entity using a trusted channel according to FTP_ITC.1. FAU_STG_EXT.1.2 The TSF shall be able to store generated audit data on the TOE itself. In addition [ • TOE shall consist of a single standalone component that stores audit data locally] FAU_STG_EXT.1.3 The TSF shall [overwrite previous audit records according to the following rule: [overwrite oldest record first], [no other action]] when the local storage space for audit data is full. 5.3.2 Cryptographic Support (FCS) FCS_CKM.1 Cryptographic Key Generation NetApp, Inc. Security Target Page 22 of 45 FCS_CKM.1.1 The TSF shall generate asymmetric cryptographic keys in accordance with a specified cryptographic key generation algorithm: [ • RSA schemes using cryptographic key sizes of 2048-bit or greater that meet the following: FIPS PUB 186-4, “Digital Signature Standard (DSS)”, Appendix B.3; • ECC schemes using “NIST curves” [P-256, P-521] that meet the following: FIPS PUB 186-4, “Digital Signature Standard (DSS)”, Appendix B.4; ]and specified cryptographic key sizes [assignment: cryptographic key sizes] that meet the following: [assignment: list of standards]. FCS_CKM.2 Cryptographic Key Establishment FCS_CKM.2.1 The TSF shall perform cryptographic key establishment in accordance with a specified cryptographic key establishment method: [ • Elliptic curve-based key establishment schemes that meet the following: NIST Special Publication 800-56A Revision 3, “Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm Cryptography”; ] that meets the following: [assignment: list of standards]. FCS_CKM.4 Cryptographic Key Destruction FCS_CKM.4.1 The TSF shall destroy cryptographic keys in accordance with a specified cryptographic key destruction method [ • For plaintext keys in volatile storage, the destruction shall be executed by a [destruction of reference to the key directly followed by a request for garbage collection]; • For plaintext keys in non-volatile storage, the destruction shall be executed by the invocation of an interface provided by a part of the TSF that [ o instructs a part of the TSF to destroy the abstraction that represents the key]; ] that meets the following: No Standard. FCS_COP.1/DataEncryption Cryptographic Operation (AES Data Encryption/Decryption) FCS_COP.1.1/DataEncryption The TSF shall perform encryption/decryption in accordance with a specified cryptographic algorithm AES used in [GCM] mode and cryptographic key sizes [128 bits, 256 bits] that meet the following: AES as specified in ISO 18033-3, [GCM as specified in ISO 19772]. FCS_COP.1/SigGen Cryptographic Operation (Signature Generation and Verification) NetApp, Inc. Security Target Page 23 of 45 FCS_COP.1.1/SigGen The TSF shall perform cryptographic signature services (generation and verification) in accordance with a specified cryptographic algorithm [ • RSA Digital Signature Algorithm and cryptographic key sizes (modulus) [2048 bits or greater], • Elliptic Curve Digital Signature Algorithm and cryptographic key sizes [256 bits or greater] ] that meet the following: [ • For RSA schemes: FIPS PUB 186-4, “Digital Signature Standard (DSS)”, Section 5.5, using PKCS #1 v2.1 Signature Schemes RSASSA-PSS and/or RSASSA-PKCS1v1_5; ISO/IEC 9796-2, Digital signature scheme 2 or Digital Signature scheme 3, • For ECDSA schemes: FIPS PUB 186-4, “Digital Signature Standard (DSS)”, Section 6 and Appendix D, Implementing “NIST curves” [P- 256, P-521]; ISO/IEC 14888-3, Section 6.4 ] FCS_COP.1/Hash Cryptographic Operation (Hash Algorithm) FCS_COP.1.1/Hash The TSF shall perform cryptographic hashing services in accordance with a specified cryptographic algorithm [SHA-1, SHA-256, SHA-384] and cryptographic key sizes [assignment: cryptographic key sizes] and message digest sizes [160, 256, 384] bits that meet the following: ISO/IEC 10118-3:2004. FCS_COP.1/KeyedHash Cryptographic Operation (Keyed Hash Algorithm) FCS_COP.1.1/KeyedHash The TSF shall perform keyed-hash message authentication in accordance with a specified cryptographic algorithm [HMAC-SHA-1, HMAC-SHA-256, HMAC-SHA-384] and cryptographic key sizes [160, 256, 384] and message digest sizes [160, 256, 384] bits that meet the following: ISO/IEC 9797-2:2011, Section 7 “MAC Algorithm 2”. FCS_HTTPS_EXT.1 HTTPS Protocol FCS_HTTPS_EXT.1.1 The TSF shall implement the HTTPS protocol that complies with RFC 2818. FCS_HTTPS_EXT.1.2 The TSF shall implement the HTTPS protocol using TLS. FCS_HTTPS_EXT.1.3 If a peer certificate is presented, the TSF shall [not require client authentication] if the peer certificate is deemed invalid. NetApp, Inc. Security Target Page 24 of 45 FCS_RBG_EXT.1 Random Bit Generation FCS_RBG_EXT.1.1 The TSF shall perform all deterministic random bit generation services in accordance with ISO/IEC 18031:2011 using [Hash_DRBG (SHA-256)]. FCS_RBG_EXT.1.2 The deterministic RBG shall be seeded by at least one entropy source that accumulates entropy from [[one] platform based noise source] with a minimum of [256 bits] of entropy at least equal to the greatest security strength, according to ISO/IEC 18031:2011 Table C.1 “Security Strength Table for Hash Functions”, of the keys and hashes that it will generate. FCS_TLSC_EXT.1 TLS Client Protocol FCS_TLSC_EXT.1.1 The TSF shall implement [TLS 1.2 (RFC 5246)] and reject all other TLS and SSL versions. The TLS implementation will support the following ciphersuites: [ • TLS_DHE_RSA_WITH_AES_128_GCM_SHA256 as defined in RFC 5288 • TLS_DHE_RSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5288 • TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256 as defined in RFC 5289 • TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5289 • TLS_ECDHE_ECDSA_WITH_AES_128_GCM_SHA256 as defined in RFC 5289 • TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5289 • ] and no other ciphersuites. FCS_TLSC_EXT.1.2 The TSF shall verify that the presented identifier matches [the reference identifier per RFC 6125 section 6, IPv4 address in SAN]. FCS_TLSC_EXT.1.3 When establishing a trusted channel, by default the TSF shall not establish a trusted channel if the server certificate is invalid. The TSF shall also [not implement any administrator override mechanism]. FCS_TLSC_EXT.1.4 The TSF shall [present the Supported Elliptic Curves/Supported Groups Extension with the following curves/groups: [secp256r1, secp521r1] and no other curves/groups] in the Client Hello. FCS_TLSS_EXT.1 TLS Server Protocol FCS_TLSS_EXT.1.1 The TSF shall implement [TLS 1.2 (RFC 5246)] and reject all other TLS and SSL versions. The TLS implementation will support the following ciphersuites:[ • TLS_DHE_RSA_WITH_AES_128_GCM_SHA256 as defined in RFC 5288 NetApp, Inc. Security Target Page 25 of 45 • TLS_DHE_RSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5288 • TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256 as defined in RFC 5289 • TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5289 • ] and no other ciphersuites. FCS_TLSS_EXT.1.2 The TSF shall deny connections from clients requesting SSL 2.0, SSL 3.0, TLS 1.0 and [TLS 1.1]. FCS_TLSS_EXT.1.3 The TSF shall perform key establishment for TLS using [Diffie-Hellman parameters with size [2048 bits], ECDHE curves [secp256r1, secp521r1] and no other curves]. FCS_TLSS_EXT.1.4 The TSF shall support [no session resumption or session tickets] 5.3.3 Identification and Authentication (FIA) FIA_AFL.1 Authentication Failure Management FIA_AFL.1.1 The TSF shall detect when an Administrator configurable positive integer within [1 - 2,147,483,647] unsuccessful authentication attempts occur related to Administrators attempting to authenticate remotely using a password. FIA_AFL.1.2 When the defined number of unsuccessful authentication attempts has been met, the TSF shall [prevent the offending Administrator from successfully establishing remote session using any authentication method that involves a password until an Administrator defined time period has elapsed]. Application Note: The above limit is tracked separately for each of the two controllers within a TOE appliance. FIA_PMG_EXT.1 Password Management FIA_PMG_EXT.1.1 The TSF shall provide the following password management capabilities for administrative passwords: a) Passwords shall be able to be composed of any combination of upper and lower case letters, numbers, and the following special characters: [ “!”, “@”, “#”, “$”, “%”, “^”, “&”, “*”, “(“, “)”]; b) Minimum password length shall be configurable to between [1] and [30] characters. FIA_UIA_EXT.1 User Identification and Authentication FIA_UIA_EXT.1.1 The TSF shall allow the following actions prior to requiring the non-TOE entity to initiate the identification and authentication process: • Display the warning banner in accordance with FTA_TAB.1; NetApp, Inc. Security Target Page 26 of 45 • [[storage services]] FIA_UIA_EXT.1.2 The TSF shall require each administrative user to be successfully identified and authenticated before allowing any other TSF-mediated actions on behalf of that administrative user. FIA_UAU_EXT.2 Password-based Authentication Mechanism FIA_UAU_EXT.2.1 The TSF shall provide a local [password-based] authentication mechanism to perform local administrative user authentication. FIA_UAU.7 Protected Authentication Feedback FIA_UAU.7.1 The TSF shall provide only obscured feedback to the administrative user while the authentication is in progress at the local console. FIA_X509_EXT.1/Rev X.509 Certificate Validation FIA_X509_EXT.1.1/Rev The TSF shall validate certificates in accordance with the following rules: • RFC 5280 certificate validation and certification path validation supporting a minimum path length of three certificates. • The certification path must terminate with a trusted CA certificate designated as a trust anchor. • The TSF shall validate a certification path by ensuring that all CA certificates in the certification path contain the basicConstraints extension with the CA flag set to TRUE. • The TSF shall validate the revocation status of the certificate using [the Online Certificate Status Protocol (OCSP) as specified in RFC 6960] • The TSF shall validate the extendedKeyUsage field according to the following rules: o Certificates used for trusted updates and executable code integrity verification shall have the Code Signing purpose (id- kp 3 with OID 1.3.6.1.5.5.7.3.3) in the extendedKeyUsage field. o Server certificates presented for TLS shall have the Server Authentication purpose (id-kp 1 with OID 1.3.6.1.5.5.7.3.1) in the extendedKeyUsage field. o Client certificates presented for TLS shall have the Client Authentication purpose (id-kp 2 with OID 1.3.6.1.5.5.7.3.2) in the extendedKeyUsage field. o OCSP certificates presented for OCSP responses shall have the OCSP Signing purpose (id-kp 9 with OID 1.3.6.1.5.5.7.3.9) in the extendedKeyUsage field. FIA_X509_EXT.1.2/Rev The TSF shall only treat a certificate as a CA certificate if the basicConstraints extension is present and the CA flag is set to TRUE. NetApp, Inc. Security Target Page 27 of 45 FIA_X509_EXT.2 X.509 Certificate Authentication FIA_X509_EXT.2.1 The TSF shall use X.509v3 certificates as defined by RFC 5280 to support authentication for [TLS], and [no additional uses]. FIA_X509_EXT.2.2 When the TSF cannot establish a connection to determine the validity of a certificate, the TSF shall [not accept the certificate]. FIA_X509_EXT.3 X.509 Certificate Requests FIA_X509_EXT.3.1 The TSF shall generate a Certificate Request as specified by RFC 2986 and be able to provide the following information in the request: public key and [device-specific information, Common Name, Organization, Organizational Unit, Country]. FIA_X509_EXT.3.2 The TSF shall validate the chain of certificates from the Root CA upon receiving the CA Certificate Response. 5.3.4 Security Management (FMT) FMT_MOF.1/ManualUpdate Management of Security Functions Behaviour FMT_MOF.1.1/ManualUpdate The TSF shall restrict the ability to enable the functions to perform manual updates to Security Administrators. FMT_MOF.1/Functions Management of Security Functions Behaviour FMT_MOF.1.1/Functions The TSF shall restrict the ability to [modify the behaviour of] the functions [transmission of audit data to an external IT entity] to Security Administrators. FMT_MTD.1/CoreData Management of TSF Data FMT_MTD.1.1/CoreData The TSF shall restrict the ability to manage the TSF data to Security Administrators. FMT_MTD.1/CryptoKeys Management of TSF data FMT_MTD.1.1/CryptoKeys The TSF shall restrict the ability to manage the cryptographic keys to Security Administrators. FMT_SMF.1 Specification of Management Functions FMT_SMF.1.1 The TSF shall be capable of performing the following management functions: • Ability to administer the TOE locally and remotely; • Ability to configure the access banner; • Ability to configure the session inactivity time before session termination or locking; NetApp, Inc. Security Target Page 28 of 45 • Ability to update the TOE, and to verify the updates using [hash comparison] capability prior to installing those updates; • Ability to configure the authentication failure parameters for FIA_AFL.1; • [ o Ability to configure audit behaviour; o Ability to modify the behavior of the transmission of audit data to an external IT entity; o Ability to manage the cryptographic keys; o Ability to set the time which is used for time-stamps; o Ability to manage the TOE’s trust store and designate X509v3 certificates as trust anchors; o Ability to import X509v3 certificates to the TOE’s trust store; o No other capabilities]. FMT_SMR.2 Restrictions on Security Roles FMT_SMR.2.1 The TSF shall maintain the roles: • Security Administrator. FMT_SMR.2.2 The TSF shall be able to associate users with roles. FMT_SMR.2.3 The TSF shall ensure that the conditions • The Security Administrator role shall be able to administer the TOE locally; • The Security Administrator role shall be able to administer the TOE remotely are satisfied. 5.3.5 Protection of the TSF (FPT) FPT_SKP_EXT.1 Protection of TSF Data (for reading of all pre-shared, symmetric and private keys) FPT_SKP_EXT.1.1 The TSF shall prevent reading of all pre-shared keys, symmetric keys, and private keys. FPT_APW_EXT.1 Protection of Administrator Passwords FPT_APW_EXT.1.1 The TSF shall store administrative passwords in non-plaintext form. FPT_APW_EXT.1.2 The TSF shall prevent the reading of plaintext administrative passwords. FPT_TST_EXT.1 TSF testing NetApp, Inc. Security Target Page 29 of 45 FPT_TST_EXT.1.1 The TSF shall run a suite of the following self-tests [during initial start-up (on power on)] to demonstrate the correct operation of the TSF: [ • Software integrity tests • Configuration integrity tests • Cryptographic algorithm tests • DRBG tests • BIOS tests]. FPT_TUD_EXT.1 Trusted update FPT_TUD_EXT.1.1 The TSF shall provide Security Administrators the ability to query the currently executing version of the TOE firmware/software and [no other TOE firmware/software version]. FPT_TUD_EXT.1.2 The TSF shall provide Security Administrators the ability to manually initiate updates to TOE firmware/software and [no other update mechanism]. FPT_TUD_EXT.1.3 The TSF shall provide means to authenticate firmware/software updates to the TOE using a [published hash] prior to installing those updates. FPT_STM_EXT.1 Reliable Time Stamps FPT_STM_EXT.1.1 The TSF shall be able to provide reliable time stamps for its own use. FPT_STM_EXT.1.2 The TSF shall [allow the Security Administrator to set the time]. 5.3.6 TOE Access (FTA) FTA_SSL_EXT.1 TSF-initiated Session Locking FTA_SSL_EXT.1.1 The TSF shall, for local interactive sessions, [ • terminate the session] after a Security Administrator-specified time period of inactivity. FTA_SSL.3 TSF-initiated Termination FTA_SSL.3.1 The TSF shall terminate a remote interactive session after a Security Administrator-configurable time interval of session inactivity. FTA_SSL.4 User-initiated Termination FTA_SSL.4.1 Refinement: The TSF shall allow Administrator-initiated termination of the Administrator’s own interactive session. FTA_TAB.1 Default TOE Access Banners NetApp, Inc. Security Target Page 30 of 45 FTA_TAB.1.1 Before establishing an administrative user session the TSF shall display a Security Administrator-specified advisory notice and consent warning message regarding use of the TOE. 5.3.7 Trusted path/channels (FTP) FTP_ITC.1 Inter-TSF trusted channel FTP_ITC.1.1 The TSF shall be capable of using [TLS] to provide a trusted communication channel between itself and authorized IT entities supporting the following capabilities: audit server, [authentication server, no other capabilities] that is logically distinct from other communication channels and provides assured identification of its end points and protection of the channel data from disclosure and detection of modification of the channel data. FTP_ITC.1.2 The TSF shall permit the TSF or the authorized IT entities to initiate communication via the trusted channel. FTP_ITC.1.3 The TSF shall initiate communication via the trusted channel for [syslog and LDAP authentication]. FTP_TRP.1 /Admin Trusted Path FTP_TRP.1.1/Admin The TSF shall be capable of using [HTTPS] to provide a communication path between itself and authorized remote Administrators that is logically distinct from other communication paths and provides assured identification of its end points and protection of the communicated data from disclosure and provides detection of modification of the channel data. FTP_TRP.1.2 /Admin The TSF shall permit remote Administrators to initiate communication via the trusted path. FTP_TRP.1.3 /Admin The TSF shall require the use of the trusted path for initial Administrator authentication and all remote administration actions. 5.4 Assurance Requirements 20 The TOE security assurance requirements are summarized in Table 12. Table 12: Assurance Requirements Assurance Class Assurance Components Security Target (ASE) Conformance Claims (ASE_CCL.1) Extended Components Definition (ASE_ECD.1) ST Introduction (ASE_INT.1) Security Objectives for the Operational Environment (ASE_OBJ.1) NetApp, Inc. Security Target Page 31 of 45 Assurance Class Assurance Components Stated Security Requirements (ASE_REQ.1) Security Problem Definition (ASE_SPD.1) TOE Summary Specification (ASE_TSS.1) Development (ADV) Basic Functional Specification (ADV_FSP.1) Guidance Documents (AGD) Operational User Guidance (AGD_OPE.1) Preparative Procedures (AGD_PRE.1) Life Cycle Support (ALC) Labelling of the TOE (ALC_CMC.1) TOE CM Coverage (ALC_CMS.1) Tests (ATE) Independent Testing – Conformance (ATE_IND.1) Vulnerability Assessment (AVA) Vulnerability Survey (AVA_VAN.1) 21 In accordance with section 7.1 of the NDcPP, the following refinement is made to ASE: a) ASE_TSS.1.1C Refinement: The TOE summary specification shall describe how the TOE meets each SFR. In the case of entropy analysis, the TSS is used in conjunction with required supplementary information on Entropy. NetApp, Inc. Security Target Page 32 of 45 6 TOE Summary Specification 22 The following describes how the TOE fulfils each SFR included in section 5.3. 6.1 Security Audit 6.1.1 FAU_GEN.1 23 The TOE generates the audit records specified in Table 11. 24 The following information is logged as a result of the Security Administrator generating/importing or deleting cryptographic keys: a) Generate CSR. Action and key reference. b) Add/Remove Certificates. Action and key reference. c) Add/Remove Cryptographic Keys. Action and key reference. 6.1.2 FAU_GEN.2 25 The TOE includes the user identity in audit events resulting from actions of identified users. 6.1.3 FAU_STG_EXT.1 26 The Security Administrator can configure the TOE to send logs to a Syslog server. Log events are sent in real-time. Logs are sent via TLS as described by FCS_TLSC_EXT.1. 27 The TOE is a standalone TOE that stores audit data locally. The number of audit events that may be stored locally is configurable by the administrator. When the number of events is exceeded (there may be additional events recorded beyond the set limit, i.e. < 100, this is expected), the TOE will overwrite audit records starting with the oldest audit record. 28 Only authorized administrators may view audit records and no capability to modify the audit records is provided. An administrator may delete audit logs. 6.2 Cryptographic Support 6.2.1 FCS_CKM.1 29 The TOE supports key generation for the following asymmetric schemes: a) RSA 2048-bit. Used in TLS RSA authentication. b) ECC P-256/P-521. Used in TLS ECDSA authentication. 6.2.2 FCS_CKM.2 30 The TOE supports the following key establishment schemes: a) ECC schemes. Used in TLS ciphersuites with ECDHE key exchange. TOE is both sender and receiver. Scheme SFR Service ECC FCS_TLSS_EXT.1 Web/REST Trusted Path NetApp, Inc. Security Target Page 33 of 45 Scheme SFR Service FCS_TLSC_EXT.1 Syslog and LDAP 6.2.3 FCS_CKM.4 31 Cryptographic keys and their related destruction method are identified in Table 14. 6.2.4 FCS_COP.1/DataEncryption 32 The TOE provides symmetric encryption and decryption capabilities using 128 and 256 bit AES in GCM mode for TLS. 33 The relevant NIST CAVP certificate numbers are listed Table 4. 6.2.5 FCS_COP.1/SigGen 34 The TOE provides cryptographic signature generation and verification services using: a) RSA Signature Algorithm with key size of 2048 bit, b) ECDSA Signature Algorithm with NIST curves P-256 and P-521. 35 These RSA and ECDSA signature verification services are used in the TLS protocols. 36 The relevant NIST CAVP certificate numbers are listed in Table 4. 6.2.6 FCS_COP.1/Hash 37 The TOE provides cryptographic hashing services using SHA-1, SHA-256 and SHA- 384. 38 SHS is implemented in the following parts of the TSF: a) TLS; and b) Hashing of passwords in non-volatile storage. 39 The relevant NIST CAVP certificate numbers are listed in Table 4. 6.2.7 FCS_COP.1/KeyedHash 40 The TOE provides keyed-hashing message authentication services using HMAC- SHA-1, HMAC-SHA-256, and HMAC-SHA-384. 41 HMAC is implemented in the following protocols: TLS. 42 The characteristics of the HMACs used in the TOE are given in Table 13. Table 13: HMAC Characteristics Algorithm Block Size Key Size Digest Size HMAC-SHA-1 512 bits 160 bits 160 bits HMAC-SHA-256 512 bits 256 bits 256 bits NetApp, Inc. Security Target Page 34 of 45 Algorithm Block Size Key Size Digest Size HMAC-SHA-384 1024 bits 384 bits 384 bits 43 The relevant NIST CAVP certificate numbers are listed in Table 4. 6.2.8 FCS_HTTPS_EXT.1 44 The TOE Web / REST interface is accessed via an HTTPS connection using the TLS implementation described by FCS_TLSS_EXT.1. The TOE does not use HTTPS in a client capacity. The TOE’s HTTPS protocol complies with RFC 2818. 45 RFC 2818 specifies HTTP over TLS. The majority of RFC 2818 is spent on discussing practices for validating endpoint identities and how connections must be setup and torn down. The TOE web GUI operates on an explicit port designed to natively speak TLS: it does not attempt STARTTLS or similar multi-protocol negotiation which is described in section 2.3 of RFC 2818. The web services API attempts to send closure Alerts prior to closing a connection in accordance with section 2.2.2 of RFC 2818. 6.2.9 FCS_RBG_EXT.1 46 The TOE contains a Hash(SHA-256)_DRBG that is seeded from the hardware entropy source (Intel RDRAND). Entropy from the noise source is extracted, conditioned and used to seed the DRBG with 256 bits of full entropy. 47 Additional detail is provided the proprietary Entropy Description. 6.2.10 FCS_TLSC_EXT.1 48 The TOE operates as a TLS client for the trusted channel with Syslog and LDAP servers. 49 TLS 1.2 is allowed and ciphersuites are restricted to those listed at FCS_TLSC_EXT.1.1. Ciphersuites are not user-configurable. 50 The reference identifier for Syslog and LDAP is configured by the administrator using the Web GUI or REST API. The reference identifiers must be an IPv4 address or DNS name. 51 When the TLS client receives an X.509 certificate from the server, the client will compare the reference identifier with the established Subject Alternative Names (SANs) in the certificate. If an IPv4 address is used in the X.509 certificate, then a SAN is required. If a SAN is available and does not match the reference identifier, then the verification fails and the channel is terminated. If there are no SANs of the correct type (IPv4 address or DNS name) in the certificate, then the TOE will compare the reference identifier to the Common Name (CN) in the certificate Subject. If there is no CN, then the verification fails and the channel is terminated. If the CN exists and does not match, then the verification fails and the channel is terminated. Otherwise, the reference identifier verification passes and additional verification actions can proceed. 52 The TLS client does not support certificate pinning however it does support wildcards. 53 The TLS client will transmit the Supported Elliptic Curves extension in the Client Hello message by default with support for the following NIST curves: P256 and P512. The non-TOE server can choose to negotiate the elliptic curve from this set for any of the mutually negotiable elliptic curve ciphersuites. NetApp, Inc. Security Target Page 35 of 45 6.2.11 FCS_TLSS_EXT.1 54 The TOE operates as a TLS server for the Web / REST trusted path. 55 The server only allows TLS protocol version 1.2 (rejecting any other protocol version) and is restricted to the ciphersuites identified at FCS_TLSS_EXT.1.1. Ciphersuites are not user-configurable. 56 The TLS server is capable of negotiating ciphersuites that include ECDHE key agreement schemes. 6.3 Identification and Authentication 6.3.1 FIA_PMG_EXT.1 57 The TOE supports the local definition of users with corresponding passwords. The passwords can be composed of any combination of upper and lower case letters, numbers, and special characters “!”, “@”, “#”, “$”, “%”, “^”, “&”, “*”, “(“, “)”. 58 The password length is configurable to between 1 and 30 characters by the Administrator. 6.3.2 FIA_UIA_EXT.1 59 Administrative access to the TOE is facilitated through one of several interfaces: a) Directly connecting to the TOE appliance via console for CLI (local user accounts only) b) Remotely connecting to the TOE Web GUI via HTTPS (local and LDAP user accounts) c) Remotely submitting requests to the TOE REST API via HTTPS (local and LDAP user accounts) 60 No administrative access is permitted until an administrator is successfully identified and authenticated. 61 The TOE warning banner is displayed prior to authentication (only applicable to the CLI and Web GUI) and TOE storage services are available. 6.3.3 FIA_UAU_EXT.2 62 The TOE prompts the user to enter a username and password when accessing the CLI or Web GUI. 63 Each request submitted to the REST API must include a valid username and password. 64 For local user accounts, the TOE compares submitted passwords to the stored representation for the provided username. If there is a match and the user account is not locked (per FIA_AFL.1) a successful logon occurs. 65 For LDAP user accounts, the TOE offloads authentication to the external authentication server. If the user account is not locked and the authentication server authenticates the user, a successful logon occurs. 6.3.4 FIA_UAU.7 66 The TOE obscures passwords entered at the CLI. NetApp, Inc. Security Target Page 36 of 45 6.3.5 FIA_AFL.1 67 The TOE tracks authentication failures of remote administrators. This tracking occurs separately for each of the two controllers in the TOE appliance. 68 When a user account has sequentially failed the configured number of authentication attempts, the account will be locked for a Security Administrator defined time period. 69 The administrator can configure the maximum number of failed attempts using the REST API or CLI. 70 The local console does not implement the lockout mechanism. 6.3.6 FIA_X509_EXT.1/Rev 71 The TOE performs X.509 certificate validation at the following points: a) TOE TLS client validation of server X.509 certificates; b) When certificates are loaded into the TOE, such as when importing CAs, certificate responses and other device-level certificates (such as the web server certificate presented by the TOE TLS web GUI). 72 In all scenarios, certificates are checked for several validation characteristics: a) If the certificate ‘notAfter’ date is in the past, then this is an expired certificate which is considered invalid; b) The certificate chain must terminate with a trusted CA certificate; c) Server certificates consumed by the TOE TLS client must have a ‘serverAuthentication’ extendedKeyUsage purpose; d) A trusted CA certificate is defined as any certificate loaded into the TOE trust store that has, at a minimum, a basicConstraints extension with the CA flag set to TRUE. 73 Certificate revocation checking for the above scenarios is performed using OCSP. 74 As X.509 certificates are not used for trusted updates, firmware integrity self-tests or client authentication, the code-signing and clientAuthentication purpose is not checked in the extendedKeyUsage for related certificates. 75 The X.509 certificates for each of the given scenarios are validated using the certificate path validation algorithm defined in RFC 5280, which can be summarized as follows: a) The public key algorithm and parameters are checked b) The current date/time is checked against the validity period revocation status is checked c) Issuer name of X matches the subject name of X+1 d) Name constraints are checked e) Policy OIDs are checked f) Policy constraints are checked; issuers are ensured to have CA signing bits g) Path length is checked h) Critical extensions are processed 76 If, during the entire trust chain verification activity, any certificate under review fails a verification check, then the entire trust chain is deemed untrusted. NetApp, Inc. Security Target Page 37 of 45 6.3.7 FIA_X509_EXT.2 77 The TOE has a trust store where root CA and intermediate CA certificates can be stored. The TOE restricts the ability to access trust store to Security Administrators. The trust store is not cached: if a certificate is deleted, it is immediately untrusted. If a certificate is added to the trust store, it is immediately trusted for its given scope. 78 Instructions for configuring the trusted IT entities (LDAP and Syslog servers) to supply appropriate X.509 certificates are captured in the guidance documents. 79 As part of the verification process, OCSP is used to determine whether the certificate is revoked or not. If the OCSP responder cannot be contacted, then the TOE will choose to not accept the certificate in this case. 80 There are two ways in which an OCSP responder can be invoked: a) By default, the TOE will extract the OCSP responder URI from the Authority Information Access field. b) If configured, the TOE will use a single centralized OCSP responder for all revocation checks. 6.3.8 FIA_X509_EXT.3 81 The TOE can generate Certificate Signing Requests (CSR) with 2048-bit RSA keys for the web server certificates. The CSR may contain: a) Device-specific information: i) Subject Alternative Name – IP or DNS ii) Locality iii) State b) Common Name – IP, DNS or other user defined name c) Organization d) Organizational Unit e) Country 6.4 Security Management 6.4.1 FMT_MOF.1/ManualUpdate 82 The TOE restricts the ability to perform software updates to Security Administrators. 6.4.2 FMT_MOF.1/Functions 83 The TOE restricts the ability to modify (enable/disable) transmission of the following audit records to an external audit server to Security Administrators: a) Start-up and shut-down of the audit functions; b) All auditable events for the not specified level of audit; c) Administrative login and logout (name of user account shall be logged if individual user accounts are required for Administrators); d) Changes to TSF data related to configuration changes (in addition to the information that a change occurred it shall be logged what has been changed); NetApp, Inc. Security Target Page 38 of 45 e) Generating/import of, changing, or deleting of cryptographic keys (in addition to the action itself a unique key name or key reference shall be logged); f) Resetting passwords (name of related user account shall be logged); and g) Specifically defined auditable events listed in Table 11. 6.4.3 FMT_MTD.1/CoreData 84 The TOE restricts the ability to manage TSF data to Security Administrators. 6.4.4 FMT_MTD.1/CryptoKeys 85 The TOE restricts the ability to modify, delete, generate, import or otherwise manage TLS and any configured X.509 certificates or private keys to Security Administrators via the Web GUI. 6.4.5 FMT_SMF.1 86 The TOE may be managed via Web GUI, REST API or CLI. The specific management capabilities include: a) Ability to administer the TOE locally (CLI) and remotely (Web GUI, REST API) b) Ability to configure the access banner (via Web GUI & REST API) c) Ability to configure the session inactivity time before session termination or locking (via Web GUI & REST API) d) Ability to update the TOE and to verify the updates (via Web GUI or REST API) e) Ability to configure the authentication failure parameters (via REST API) f) Ability to configure audit behavior (enable/disable remote logging via Web GUI or REST API) g) Ability to modify the behavior of the transmission of audit data to an external IT entity using syslog (via Web GUI or REST API) h) Ability to manage the cryptographic keys (via Web GUI or REST API) i) Ability to set the time which is used for time-stamps (via Web GUI or REST API) j) Ability to manage the TOE’s trust store and designate X509v3 certificates as trust anchors (via Web GUI or REST API) k) Ability to import X509v3 certificates to the TOE’s trust store (via Web GUI or REST API) 6.4.6 FMT_SMR.2 87 The TOE implements role based access control based on pre-defined roles that are assigned when creating a user. 88 All TOE users are administrative users who may be assigned the following user roles (which may collectively be considered the ‘Security Administrator’): a) Storage Monitor. Has read-only access to storage related configuration data. b) Storage Administrator. Has read-write access to storage related configuration data. NetApp, Inc. Security Target Page 39 of 45 c) Support Administrator. Has read-write access to support related management data. d) Security Administrator. Has read-write access to all TOE management data. 6.5 Protection of the TSF 6.5.1 FPT_SKP_EXT.1 89 Keys are protected as described in Table 14. In all cases, plaintext keys cannot be viewed through an interface designed specifically for that purpose. Table 14: Private Keys Key Generation/ Algorithm Storage Zeroization TLS Private Key RSA (2048 bits) Persistent – Java Keystore The TLS private key is deleted when a new certificate is imported or when certificates are removed. The TOE will destroy the abstraction that represents the key via the JVM garbage collector. DH Parameters used for TLS ECDH (secp256r1, secp512r1) RAM - plaintext JVM garbage collector when no longer required. AES key used for TLS AES-128 AES-256 RAM - plaintext JVM garbage collector when no longer required. 6.5.2 FPT_APW_EXT.1 90 Passwords are protected as describe in Table 15. In all cases plaintext passwords cannot be viewed through an interface designed specifically for that purpose. Table 15: Passwords Key/Password Generation/ Algorithm Storage Locally stored administrator passwords User generated Persistent – Salted SHA-256 hash 6.5.3 FPT_TST_EXT.1 91 At startup, the TOE undergoes the following tests: a) Software Integrity using HMAC-SHA256 b) AES known answer tests c) DRBG known answer tests d) ECDSA known answer tests e) HMAC known answer tests f) RSA known answer tests g) SHS known answer tests NetApp, Inc. Security Target Page 40 of 45 h) Central Processing Unit (CPU) and Memory Basic Input/Output System (BIOS) self-tests – CPU and memory are initialized by exercising a set of known answer tests and the BIOS is compared against a known checksum of the image. The memory is zeroized and then a random pattern is written to and read from the memory. 92 These tests ensure the correct operation of the cryptographic functionality of the TOE, the CPU and BIOS and verify that the correct TOE image is being used. The cryptographic functionality will not be available if the tests fail, and any operation of the TOE supported by this functionality will not be available. If the CPU, or BIOS tests fail, the device will not complete the boot up operation. If the boot loader image verification fails, the boot up operation will fail. When the device completes the boot up operation, this is evidence that the self-tests have passed, and that the TOE, and the cryptographic functions are operating correctly. 93 The cryptographic module executes the following conditional tests when the related service is invoked: a) DH Pairwise Consistency Test performed on every DH key pair generation. b) DRBG Continuous Test performed when a random value is requested from the DRBG. c) ECDSA Pairwise Consistency Test performed on every EC key pair generation. d) RSA Pairwise Consistency Test performed on every RSA key pair generation. e) DRBG Health Checks 94 If a self-test fails, the device enters error mode and halts system operation. All data output and cryptographic services are inhibited when in the error state. Continued operation indicates that the tests have passed, and the TOE is operating correctly. 6.5.4 FPT_TUD_EXT.1 95 The administrator manually downloads and installs firmware updates. The TOE permits only authenticated administrators to use both the Web GUI interactively as well as using the REST API in a non-interactive manner to deploy firmware upgrades. The use of the API to upgrade the TOE will require a specific API call, along with the admin credentials. 96 At the Web UI, the administrator can view firmware version information by navigating to Home > Support > Upgrade Center” and clicking “Inventory”. 97 The administrator validates the firmware update by generating a SHA-256 hash of the downloaded update file and comparing the resulting hash to the published SHA- 256 hash on the NetApp download portal. 6.5.5 FPT_STM_EXT.1 98 The TOE incorporates an internal clock that is used to maintain date and time. The Security Administrator sets the date and time during initial TOE configuration and may change the time during operation. 99 The TOE makes use of time for the following: a) Audit record timestamps b) Interactive session timeouts c) Account lockout timer NetApp, Inc. Security Target Page 41 of 45 d) Certificate validation 6.6 TOE Access 6.6.1 FTA_SSL_EXT.1 100 The TOE terminates an inactive local interactive session (CLI) following a specified period of time. The timeout value is set to fifteen minutes by default but may be configured by the Security Administrator. 6.6.2 FTA_SSL.3 101 The TOE terminates an inactive remote interactive session (Web UI) following a specified period of time. The timeout value is set to thirty minutes by default but may be configured by the Security Administrator. 6.6.3 FTA_SSL.4 102 Administrative users may terminate their own sessions at any time. 6.6.4 FTA_TAB.1 103 The TOE displays an administrator configurable message to users prior to login at the CLI and Web GUI. 6.7 Trusted Path/Channels 6.7.1 FTP_ITC.1 104 The TOE supports secure communication with the following IT entities: a) Syslog server per FCS_TLSC_EXT.1 b) LDAP server per FCS_TLSC_EXT.1 6.7.2 FTP_TRP.1/Admin 105 The TOE provides the following trusted paths for remote administration: a) Web GUI over HTTPS per FCS_HTTPS_EXT.1.1 b) REST API over HTTPS per FCS_HTTPS_EXT.1.1 7 Rationale 7.1 Conformance Claim Rationale 106 The following rationale is presented with regard to the PP conformance claims: a) TOE type. As identified in section 2.1, the TOE is network device, consistent with the NDcPP. b) Security problem definition. As shown in section 3, the threats, OSPs and assumptions are reproduced directly from the NDcPP. c) Security objectives. As shown in section 4, the security objectives are reproduced directly from the NDcPP. NetApp, Inc. Security Target Page 42 of 45 d) Security requirements. As shown in section 5, the security requirements are reproduced directly from the NDcPP. No additional requirements have been specified. 7.2 Security Objectives Rationale 107 All security objectives are drawn directly from the NDcPP. 7.3 Security Requirements Rationale 108 All security requirements are drawn directly from the NDcPP. Table 16 presents a mapping between threats and SFRs as presented in the NDcPP. Table 16: NDcPP SFR Rationale Identifier SFR Rationale T.UNAUTHORIZED_ ADMINISTRATOR_ACCESS • The Administrator role is defined in FMT_SMR.2 and the relevant administration capabilities are defined in FMT_SMF.1 and FMT_MTD.1/CoreData, with optional additional capabilities in FMT_MOF.1/Services and FMT_MOF.1/Functions • The actions allowed before authentication of an Administrator are constrained by FIA_UIA_EXT.1, and include the advisory notice and consent warning message displayed according to FTA_TAB.1 • The requirement for the Administrator authentication process is described in FIA_UAU_EXT.2 • Locking of Administrator sessions is ensured by FTA_SSL_EXT.1 (for local sessions), FTA_SSL.3 (for remote sessions), and FTA_SSL.4 (for all interactive sessions) • The secure channel used for remote Administrator connections is specified in FTP_TRP.1/Admin • (Malicious actions carried out from an Administrator session are separately addressed by T.UNDETECTED_ACTIVITY) • (Protection of the Administrator credentials is separately addressed by T.PASSWORD_CRACKING). T.WEAK_CRYPTOGRAPHY • Requirements for key generation and key distribution are set in FCS_CKM.1 and FCS_CKM.2 respectively • Requirements for use of cryptographic schemes are set in FCS_COP.1/DataEncryption, FCS_COP.1/SigGen, FCS_COP.1/Hash, and FCS_COP.1/KeyedHash • Requirements for random bit generation to support key generation and secure protocols (see SFRs resulting from T.UNTRUSTED_COMMUNICATION_CHANNELS) are set in FCS_RBG_EXT.1 • Management of cryptographic functions is specified in FMT_SMF.1 NetApp, Inc. Security Target Page 43 of 45 Identifier SFR Rationale T.UNTRUSTED_ COMMUNICATION_ CHANNELS • The general use of secure protocols for identified communication channels is described at the top level in FTP_ITC.1 and FTP_TRP.1/Admin; for distributed TOEs the requirements for inter-component communications are addressed by the requirements in FPT_ITT.1 • Requirements for the use of secure communication protocols are set for all the allowed protocols in FCS_DTLSC_EXT.1, FCS_DTLSC_EXT.2, FCS_DTLSS_EXT.1, FCS_DTLSS_EXT.2, FCS_HTTPS_EXT.1, FCS_IPSEC_EXT.1, FCS_SSHC_EXT.1, FCS_SSHS_EXT.1, FCS_TLSC_EXT.1, FCS_TLSC_EXT.2, FCS_TLSS_EXT.1, FCS_TLSS_EXT.2 • Optional and selection-based requirements for use of public key certificates to support secure protocols are defined in FIA_X509_EXT.1, FIA_X509_EXT.2, FIA_X509_EXT.3 T.WEAK_ AUTHENTICATION_ ENDPOINTS • The use of appropriate secure protocols to provide authentication of endpoints (as in the SFRs addressing T.UNTRUSTED_COMMUNICATION_CHANNELS) are ensured by the requirements in FTP_ITC.1 and FTP_TRP.1/Admin; for distributed TOEs the authentication requirements for endpoints in inter-component communications are addressed by the requirements in FPT_ITT.1 • Additional possible special cases of secure authentication during registration of distributed TOE components are addressed by FCO_CPC_EXT.1 and FTP_TRP.1/Join. T.UPDATE_COMPROMISE • Requirements for protection of updates are set in FPT_TUD_EXT.1 • Additional optional use of certificate-based protection of signatures can be specified using FPT_TUD_EXT.2, supported by the X.509 certificate processing requirements in FIA_X509_EXT.1, FIA_X509_EXT.2 and FIA_X509_EXT.3 • Requirements for management of updates are defined in FMT_SMF.1 and (for manual updates) in FMT_MOF.1/ManualUpdate, with optional requirements for automatic updates in FMT_MOF.1/AutoUpdate T.UNDETECTED_ACTIVITY • Requirements for basic auditing capabilities are specified in FAU_GEN.1 and FAU_GEN.2, with timestamps provided according to FPT_STM_EXT.1 • Requirements for protecting audit records stored on the TOE are specified in FAU_STG.1 • Requirements for secure transmission of local audit records to an external IT entity via a secure channel are specified in FAU_STG_EXT.1 NetApp, Inc. Security Target Page 44 of 45 Identifier SFR Rationale • Optional additional requirements for dealing with potential loss of locally stored audit records are specified in FAU_STG_EXT.2/LocSpace, and FAU_STG.3/LocSpace • If (optionally) configuration of the audit functionality is provided by the TOE then this is specified in FMT_SMF.1, and confining this functionality to Security Administrators is required by FMT_MOF.1/Functions. T.SECURITY_ FUNCTIONALITY_ COMPROMISE • Protection of secret/private keys against compromise is specified in FPT_SKP_EXT.1 • Secure destruction of keys is specified in FCS_CKM.4 • If (optionally) management of keys is provided by the TOE then this is specified in FMT_SMF.1, and confining this functionality to Security Administrators is required by FMT_MTD.1/CryptoKeys • (Protection of passwords is separately covered under T.PASSWORD_CRACKING) T.PASSWORD_CRACKING • Requirements for password lengths and available characters are set in FIA_PMG_EXT.1 • Protection of password entry by providing only obscured feedback is specified in FIA_UAU.7 • Actions on reaching a threshold number of consecutive password failures are specified in FIA_AFL.1 • Requirements for secure storage of passwords are set in FPT_APW_EXT.1. T.SECURITY_ FUNCTIONALITY_FAILURE • Requirements for running self-test(s) are defined in FPT_TST_EXT.1 NetApp, Inc. Security Target Page 45 of 45 Annex A: Extended Components Definition 109 Refer to the below extended components definition as reproduced from the NDcPP v2.2e. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 129 of 174 C. Extended ComponentDefinitions This appendix contains the definitions for the extended requirements that are used in the cPP, including those used in Appendices A and B. (Note: formatting conventions for selections and assignments in this Appendix are those in [CC2].) C.1 Security Audit (FAU) C.1.1 Security Audit Data Generation (FAU_GEN_EXT) Family Behaviour This component defines the requirements for components in a distributed TOE to generate security audit data. Component levelling FAU_GEN_EXT.1 Security audit data shall be generated by all components in a distributed TOE Management: FAU_GEN_EXT.1 The following actions could be considered for the management functions in FMT: a) The TSF shall have the ability to configure the cryptographic functionality. Audit: FAU_GEN_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) No audit necessary. C.1.1.1 FAU_ GEN_EXT.1 Security Audit Data Generation for Distributed TOE Components FAU_GEN_EXT.1 Security Audit Data Generation Hierarchical to: No other components. Dependencies: None. FAU_GEN_EXT Security Audit Data Generation 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 130 of 174 FAU_GEN_EXT.1.1. The TSF shall be able to generate audit records for each TOE component. The audit records generated by the TSF of each TOE component shall include the subset of security relevant audit events which can occur on the TOE component. C.1.2 Protected Audit Event Storage (FAU_STG_EXT) Family Behaviour This component defines the requirements for the TSF to be able to securely transmit audit data between the TOE and an external IT entity. Component levelling FAU_STG_EXT.1 Protected audit event storage requires the TSF to use a trusted channel implementing a secure protocol. FAU_STG_EXT.2 Counting lost audit data requires the TSF to provide information about audit records affected when the audit log becomes full. FAU_STG_EXT.3 Action in case of possible audit data loss requires the TSF to generate a warning before the audit trail exceeds the local storage capacity. FAU_STG_EXT.4 Protected Local audit event storage for distributed TOEs requires the TSF to use a trusted channel to protect audit transfer to another TOE component. FAU_STG_EXT.5 ProtectedRemote audit event storage for distributed TOEs requires the TSF to use a trusted channel to protect audit transfer to another TOE component. Management: FAU_STG_EXT.1, FAU_STG_EXT.2, FAU_STG_EXT.3, FAU_STG_EXT.4, FAU_STG_EXT.5 The following actions could be considered for the management functions in FMT: a) The TSF shall have the ability to configure the cryptographic functionality. FAU_STG_EXT Protected Audit Event Storage 1 2 3 4 5 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 131 of 174 Audit: FAU_STG_EXT.1, FAU_STG_EXT.2, FAU_STG_EXT.3, FAU_STG_EXT.4. FAU_STG_EXT.5 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) No audit necessary. C.1.2.1 FAU_ STG_EXT.1 Protected Audit Event Storage FAU_STG_EXT.1 Protected Audit Event Storage Hierarchical to: No other components. Dependencies: FAU_GEN.1 Audit data generation FTP_ITC.1 Inter-TSF Trusted Channel FAU_STG_EXT.1.1 The TSF shall be able to transmit the generated audit data to an external IT entity using a trusted channel according to FTP_ITC.1 FAU_STG_EXT.1.2 The TSF shall be able to store generated audit data on the TOE itself. In addition [selection: • The TOE shall consist of a single standalone component that stores audit data locally, • The TOE shall be a distributed TOE that stores audit data on the following TOE components: [assignment: identification of TOE components], • The TOE shall be a distributed TOE with storage of audit data provided externally for the following TOE components: [assignment: list of TOE components that do not store auditdata locally and the otherTOEcomponentsto which they transmittheirgenerated audit data]. FAU_STG_EXT.1.3 The TSF shall [selection: drop new audit data, overwrite previous audit records according to the following rule: [assignment: rule for overwriting previous audit records], [assignment: other action]] when the local storage space for audit data is full. C.1.2.2 FAU_ STG_EXT.2 Counting Lost Audit Data FAU_STG_EXT.2 Counting Lost Audit Data Hierarchical to: No other components. Dependencies: FAU_GEN.1 Audit data generation FAU_STG_EXT.1 External Audit Trail Storage FAU_STG_EXT.2.1 The TSF shall provide information about the number of [selection: dropped, overwritten, [assignment: other information]] audit records in the case where the local storage has been filled and the TSF takes one of the actions defined in FAU_STG_EXT.1.3. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 132 of 174 C.1.2.3 FAU_ STG_EXT.3 Action in Case ofPossible Audit Data Loss FAU_STG_EXT.3 Action in Case ofPossible Audit Data Loss Hierarchical to: No other components. Dependencies: FAU_GEN.1 Audit data generation FAU_STG_EXT.1 External Audit Trail Storage FAU_STG_EXT.3.1/LocSpace The TSF shall generate a warning to inform the Administrator before the audit trail exceeds the local audit trail storage capacity. C.1.2.4 FAU_ STG_EXT.4 Protected Local Audit Event Storage for Distributed TOEs FAU_STG_EXT.4 Protected Audit Event Storage Hierarchical to: No other components. Dependencies: FAU_GEN_EXT.1 Security Audit data generation for Distributed TOE Components [FPT_ITT.1 Intra-TSF Trusted Channel or FTP_ITC.1 Inter-TSF Trusted Channel] FAU_STG_EXT.4.1 The TSF of eachTOE component which stores security audit data locally shall perform the following actions when the local storage space for audit data is full: [assignment: table of components and for each component its action chosen according to the following: [selection: drop new audit data, overwrite previous audit records according to the following rule: [assignment: rule for overwriting previous audit records], [assignment: other action]]]. C.1.2.5 FAU_ STG_EXT.5 Protected Remote Audit Event Storage for Distributed TOEs FAU_STG_EXT.5 Protected Audit Event Storage Hierarchical to: No other components. Dependencies: FAU_GEN_EXT.1 Security Audit data generation for Distributed TOE Components [FPT_ITT.1 Intra-TSF Trusted Channel or FTP_ITC.1 Inter-TSF Trusted Channel] FAU_STG_EXT.5.1 Each TOE component which does not store security audit data locally shall be able to buffer security audit data locally until it has been transferred to another TOE component that stores or forwards it. All transfer of audit records between TOE components shall use a protected channel according to [selection: FPT_ITT.1, FTP_ITC.1]. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 133 of 174 C.2 Cryptographic Support (FCS) C.2.1 Random Bit Generation (FCS_RBG_EXT) C.2.1.1 FCS_RBG_EXT.1 Random Bit Generation Family Behaviour Components in this family address the requirements for random bit/number generation. This is a new family defined for the FCS class. Component levelling FCS_RBG_EXT.1 Random Bit Generation requires random bit generation to be performed in accordance with selected standards and seeded by an entropy source. Management: FCS_RBG_EXT.1 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen Audit: FCS_RBG_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) Minimal: failure of the randomization process FCS_RBG_EXT.1 Random Bit Generation Hierarchical to: No other components Dependencies: No other components FCS_RBG_EXT.1.1 The TSF shall perform all deterministic random bit generation services in accordance with ISO/IEC 18031:2011 using [selection: Hash_DRBG (any), HMAC_DRBG (any), CTR_DRBG (AES)]. FCS_RBG_EXT.1.2 The deterministic RBG shall be seeded by at least one entropy source that accumulates entropy from [selection: [assignment: number of software-based sources] software-based noise source, [assignment: numberof platform-based sources] platform-based noise source] with a minimum of [selection: 128 bits, 192 bits, 256 bits] of entropy at least FCS_RBG_EXT RandomBit Generation 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 134 of 174 equal to the greatest security strength, according to ISO/IEC 18031:2011 Table C.1 “Security Strength Table for Hash Functions”, of the keys and hashes that it will generate. C.2.2 Cryptographic Protocols (FCS_DTLSC_EXT, FCS_DTLSS_EXT, FCS_HTTPS_EXT, FCS_IPSEC_EXT, FCS_NTP_EXT, FCS_SSHC_EXT, FCS_SSHS_EXT, FCS_TLSC_EXT, FCS_TLSS_EXT) C.2.2.1 FCS_DTLSC_EXT DTLS Client Protocol Family Behaviour The component in this family addresses the ability for a client to use DTLS to protect data between the client and a server using the DTLS protocol. Component levelling FCS_DTLSC_EXT.1 DTLS Client requires that the client side of DTLS be implemented as specified. FCS_DTLSC_EXT.2 DTLS Client requires that the client side of the DTLS implementation include mutual authentication. Management: FCS_DTLSC_EXT.1, FCS_DTLSC_EXT.2 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FCS_DTLSC_EXT.1, FCS_DTLSC_EXT.2 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Failure of DTLS session establishment b) DTLS session establishment c) DTLS session termination FCS_DTLSC_EXT.1 DTLS Client Protocol Hierarchical to: No other components Dependencies: FCS_CKM. 1DataEncryption1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_DTLSC_EXT DTLS Client Protocol 1 2 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 135 of 174 FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen1SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_DTLSC_EXT.1.1 The TSF shall implement [selection: DTLS 1.2 (RFC 6347),DTLS 1.0 (RFC 4347)] supporting the following ciphersuites: ● [assignment: List of optional ciphersuites and reference to RFC in which each is defined]. FCS_DTLSC_EXT.1.2 The TSF shall verify that the presented identifier matches [selection: the reference identifier per RFC 6125 section 6, IPv4 address in CN or SAN, IPv6 address in the CN or SAN, IPv4 address in SAN, IPv6 address in the SAN, the identifier per RFC 5280 Appendix A using [selection: id-at-commonName, id-at-countryName, id-at-dnQualifier, id- at-generationQualifier, id-at-givenName, id-at-initials, id-at-localityName, id-at-name, id-at- organizationalUnitName, id-at-organizationName, id-at-pseudonym, id-at-serialNumber, id- at-stateOrProvinceName, id-at-surname, id-at-title] and no other attribute types]. FCS_DTLSC_EXT.1.3 When establishing a trusted channel, by default the TSF shall not establish a trusted channel if the server certificate is invalid. The TSF shall also [selection: • Not implement any administrator override mechanism • require administrator authorization to establish the connection if the TSF fails to [selection: match the reference identifier, validate certificate path,validate expiration date, determine the revocation status] of the presented server certificate ]. FCS_DTLSC_EXT.1.4 The TSF shall [selection: not present the Supported Elliptic Curves/Supported Groups Extension, present the Supported Elliptic Curves/Supported Groups Extension with the following curves/groups: [selection: secp256r1, secp384r1, secp521r1, ffdhe2048, ffdhe3072, ffdhe4096, ffdhe6144, ffdhe8192] and no other curves/groups] in the Client Hello. FCS_DTLSC_EXT.2 DTLS Client Support for Mutual Authentication Hierarchical to: No other components Dependencies: FCS_CKM.1/DataEncryption Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 136 of 174 FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_DTLSC_EXT.1 DTLS Client Protocol FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_DTLSC_EXT.2.1 The TSF shall support mutual authentication using X.509v3 certificates. FCS_DTLSC_EXT.2.2 The TSF shall [selection: terminate the DTLS session,silently discard the record] if a message received contains an invalid MAC. FCS_DTLSC_EXT.2.3 The TSF shall detect and silently discard replayed messages for: • DTLS records previously received; • DTLS records too old to fit in the sliding window. C.2.2.2 FCS_DTLSS_EXT DTLS Server Protocol Family Behaviour The component in this family addresses the ability for a server to use DTLS to protect data between a client and the server using the DTLS protocol. Component levelling FCS_DTLSS_EXT.1 DTLS Server requires that the server side of TLS be implemented as specified. FCS_DTLSS_EXT.2: DTLS Server requires that mutual authentication be included in the DTLS implementation. Management: FCS_DTLSS_EXT.1, FCS_DTLSS_EXT.2 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. FCS_DTLSS_EXT DTLS ServerProtocol 1 2 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 137 of 174 Audit: FCS_DTLSS_EXT.1, FCS_DTLSS_EXT.2 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Failure of DTLS session establishment. b) DTLS session establishment c) DTLS session termination FCS_DTLSS_EXT.1 DTLS Server Protocol Hierarchical to: No other components Dependencies: FCS_CKM.1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1//DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1//SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_DTLSS_EXT.1.1 The TSF shall implement [selection: DTLS 1.2 (RFC 6347), DTLS 1.0 (RFC 4347)] supporting the following ciphersuites: ● [assignment: List of optional ciphersuites and reference to RFC in which each is defined] FCS_DTLSS_EXT.1.2 The TSF shall deny connections from clients requesting [assignment: list of protocol versions]. FCS_DTLSS_EXT.1.3 The TSF shall not proceed with a connection handshake attempt if the DTLS Client fails validation. FCS_DTLSS_EXT.1.4 The TSF shall perform key establishment for TLS using [selection: RSA with key size [selection: 2048 bits, 3072 bits, 4096 bits], Diffie-Hellman parameters with size [selection: 2048 bits, 3072 bits, 4096 bits, 6144 bits, 8192 bits], Diffie-Hellman groups [selection: ffdhe2048, ffdhe3072,ffdhe4096, ffdhe6144, ffdhe8192, no othergroups],ECDHE curves [selection: secp256r1, secp384r1, secp521r1] and no other curves]. FCS_DTLSS_EXT.1.5 The TSF shall [selection: terminate the DTLS session, silently discard the record] if a message received contains an invalid MAC. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 138 of 174 FCS_DTLSS_EXT.1.6 The TSF shall detect and silently discard replayed messages for: • DTLS records previously received. • DTLS Records too old to fit in the sliding window. FCS_DTLSS_EXT.1.7 The TSF shall support [selection: no session resumption or session tickets,session resumption based on session IDsaccordingto RFC4346 (TLS1.1)orRFC5246 (TLS1.2), session resumption based on session tickets according to RFC 5077]. FCS_DTLSS_EXT.2 DTLS Server Support for Mutual Authentication Hierarchical to: No other components Dependencies: FCS_CKM.1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_DTLSS_EXT.1 DTLS Server Protocol FCS_DTLSS_EXT.2.1 The TSF shall support mutual authentication of DTLS clients using X.509v3 certificates. FCS_DTLSS_EXT.2.2 When establishing a trusted channel, by default the TSF shall not establish a trusted channel if the client certificate is invalid. The TSF shall also [selection: • Not implement any administrator override mechanism • require administrator authorization to establish the connection if the TSF fails to [selection: match the reference identifier,validate certificate path, validate expiration date, determine the revocation status] of the presented client certificate ]. FCS_DTLSS_EXT.2.3 The TSF shall not establish a trusted channel if the distinguished name (DN) or Subject Alternative Name (SAN) contained in a certificate does not match the expected identifier for the client. C.2.2.3FCS_HTTPS_EXT.1 HTTPS Protocol Family Behaviour collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 139 of 174 Components in this family define the requirements for protecting remote management sessions between the TOE and a Security Administrator. This family describes how HTTPS will be implemented. This is a new family defined for the FCS Class. Component levelling FCS_HTTPS_EXT.1 HTTPS requires that HTTPS be implemented according to RFC 2818 and supports TLS. Management: FCS_HTTPS_EXT.1 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FCS_HTTPS_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) There are no auditable events foreseen. FCS_HTTPS_EXT.1 HTTPS Protocol Hierarchical to: No other components Dependencies: [FCS_TLSC_EXT.1 TLS Client Protocol, or FCS_TLSS_EXT.1 TLS Server Protocol] FCS_HTTPS_EXT.1.1 The TSF shall implement the HTTPSprotocol that complies with RFC 2818. FCS_HTTPS_EXT.1.2 The TSF shall implement the HTTPS protocol using TLS. FCS_HTTPS_EXT.1.3 If a peer certificate is presented, the TSF shall [selection: notestablish the connection, request authorization to establish the connection, [assignment: other action]] if the peer certificate is deemed invalid. C.2.2.4 FCS_IPSEC_EXT.1 IPsec Protocol Family Behaviour Components in this family address the requirements for protecting communications using IPsec. FCS_HTTPS_EXT HTTPSProtocol 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 140 of 174 Component levelling FCS_IPSEC_EXT.1 IPsec requires that IPsec be implemented as specified. Management: FCS_IPSEC_EXT.1 The following actions could be considered for the management functions in FMT: a) Maintenance of SA lifetime configuration Audit: FCS_IPSEC_EXT.1 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Decisions to DISCARD, BYPASS, PROTECT network packets processed by the TOE. b) Failure to establish an IPsec SA c) IPsec SA establishment d) IPsec SA termination e) Negotiation “down” from an IKEv2 to IKEv1 exchange. FCS_IPSEC_EXT.1 Internet Protocol Security (IPsec) Communications Hierarchical to: No other components Dependencies: FCS_CKM.1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_IPSEC_EXT.1.1 The TSF shall implement the IPsec architecture as specified in RFC 4301. FCS_IPSEC_EXT.1.2 The TSF shall have a nominal, final entry in the SPD that matches anything that is otherwise unmatched and discards it. FCS_IPSEC_EXT.1.3 The TSF shall implement [selection: tunnel mode, transport mode]. FCS_IPSEC_EXT IPsec Protocol 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 141 of 174 FCS_IPSEC_EXT.1.4 The TSF shall implement the IPsec protocol ESP as defined by RFC 4303 using the cryptographic algorithms [selection: AES-CBC-128 (RFC 3602),AES-CBC-192 (RFC 3602), AES-CBC-256 (RFC 3602), AES-GCM-128 (RFC 4106), AES-GCM-192 (RFC 4106), AES-GCM-256 (RFC 4106),] together with a Secure Hash Algorithm (SHA)-based HMAC [selection: HMAC-SHA-1, HMAC-SHA-256, HMAC-SHA-384, HMAC-SHA-512, no HMAC algorithm]. FCS_IPSEC_EXT.1.5 The TSF shall implement the protocol: [selection: • IKEv1, using Main Mode for Phase 1 exchanges, as defined in RFCs 2407, 2408, 2409, RFC 4109, [selection: no other RFCs for extended sequence numbers, RFC 4304 for extended sequence numbers], and [selection: no other RFCs for hash functions,RFC 4868 for hash functions]; • IKEv2 as defined in RFCs 5996 [selection: with no support for NAT traversal, with mandatory support for NAT traversal as specified in RFC 5996, section 2.23)], and [selection: no other RFCs for hash functions,RFC 4868 forhash functions]]. FCS_IPSEC_EXT.1.6 The TSF shall ensure the encrypted payload in the [selection: IKEv1, IKEv2] protocol uses the cryptographic algorithms [selection: AES-CBC-128, AES_CBC-192 AES-CBC-256 (specified in RFC 3602), AES-GCM-128, AES-GCM-192, AES-GCM-256 (specified in RFC 5282)]. FCS_IPSEC_EXT.1.7 The TSF shall ensure that [selection: • IKEv1 Phase 1 SA lifetimes can be configured by a Security Administrator based on [selection: o number of bytes; o length of time, where the time values can be configured within [assignment: integer range including 24] hours; ]; • IKEv2 SA lifetimes can be configured by a Security Administrator based on [selection: o number of bytes; o length of time, where the time values can be configured within [assignment: integer range including 24] hours ] ]. FCS_IPSEC_EXT.1.8 The TSF shall ensure that [selection: • IKEv1 Phase 2 SA lifetimes can be configured by a Security Administrator based on [selection: o number of bytes; o length of time, where the time values can be configured within [assignment: integer range including 8] hours; collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 142 of 174 ]; • IKEv2 Child SA lifetimes can be configured by a Security Administrator based on [selection: o number of bytes; o length of time, where the time values can be configured within [assignment: integer range including 8] hours; ] ]. FCS_IPSEC_EXT.1.9 The TSF shall generate the secret value x used in the IKE Diffie- Hellman key exchange (“x” in gx mod p) using the random bit generator specified in FCS_RBG_EXT.1, and having a length of at least [assignment: (one or more) number(s) of bits that is at least twice the security strength of the negotiated Diffie-Hellman group] bits. FCS_IPSEC_EXT.1.10 The TSF shall generate nonces used in [selection: IKEv1, IKEv2] exchanges of length [selection: • according to the security strength associated with the negotiated Diffie-Hellman group; • at least 128 bits in size and at least half the output size of the negotiated pseudorandomfunction (PRF) hash ]. FCS_IPSEC_EXT.1.11 The TSF shall ensure that IKE protocols implement DH Group(s) [selection: • [selection: 14 (2048-bit MODP), 15 (3072-bit MODP), 16 (4096-bit MODP), 17 (6144-bit MODP), 18 (8192-bit MODP)] according to RFC 3526, • [selection: 19 (256-bit RandomECP), 20 (384-bit RandomECP), 21 (521-bit Random ECP), 24 (2048-bit MODP with 256-bit POS)] according to RFC 5114. ]. FCS_IPSEC_EXT.1.12 The TSF shall be able to ensure by default that the strength of the symmetric algorithm (in terms of the number of bits in the key) negotiated to protect the [selection: IKEv1 Phase 1, IKEv2 IKE_SA] connection is greater than or equal to the strength of the symmetric algorithm (in terms of the number of bits in the key) negotiated to protect the [selection: IKEv1 Phase 2, IKEv2 CHILD_SA] connection. FCS_IPSEC_EXT.1.13 The TSF shall ensure that all IKE protocols perform peer authentication using [selection: RSA, ECDSA] that use X.509v3 certificates that conform to RFC 4945 and [selection: Pre-shared Keys, no other method]. FCS_IPSEC_EXT.1.14 The TSF shall only establish a trusted channel if the presented identifier in the received certificate matches the configured reference identifier, where the presented and reference identifiers are of the following fields and types: [selection: SAN: IP address,SAN:Fully Qualified Domain Name (FQDN),SAN: userFQDN, CN: IP address,CN: collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 143 of 174 Fully Qualified Domain Name (FQDN), CN: user FQDN, Distinguished Name (DN)] and [selection: no other reference identifier type, [assignment: other supported reference identifier types]]. C.2.2.5 FCS_NTP_EXT.1 NTP Protocol Family Behaviour The component in this family addresses the ability for a TOE to protect NTP time synchronization traffic. Component levelling FCS_NTP_EXT.1 Requires NTP to be implemented as specified Management: FCS_NTP_EXT.1 The following actions could be considered for the management functions in FMT: a) Ability to configure NTP Audit: FCS_NTP_EXT.1 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) No audit requirements are specified. FCS_NTP_EXT.1 NTP Protocol Hierarchical to: No other components Dependencies: FCS_COP.1 Cryptographic operation [FCS_DTLSC_EXT.1 DTLSC Client Protocol or FCS_IPSEC_EXT.1 IPsec Protocol] FCS_NTP_EXT.1.1 The TSF shall use only the following NTP version(s) [selection: NTP v3 (RFC 1305), NTP v4 (RFC 5905)]. FCS_NTP_EXT.1.2 The TSF shall update its system time using [selection: • Authentication using [selection: SHA1, SHA256, SHA384, SHA512, AES-CBC-128, AES-CBC-256] as the message digest algorithm(s); FCS_NTP_EXT NTP Protocol 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 144 of 174 • [selection: IPsec, DTLS] to provide trusted communication between itself and an NTP time source. ]. FCS_NTP_EXT.1.3 The TSF shall not update NTP timestamp from broadcast and/or multicast addresses. FCS_NTP_EXT.1.4 The TSF shall support configuration of at least three (3) NTP time sources in the Operational Environment. C.2.2.6 FCS_SSHC_EXT.1 SSH Client Family Behaviour The component in this family addresses the ability for a client to use SSH to protect data between the client and a server using the SSH protocol. Component levelling FCS_SSHC_EXT.1 SSH Client requires that the client side of SSH be implemented as specified. Management: FCS_SSHC_EXT.1 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FCS_SSHC_EXT.1 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Failure of SSH session establishment b) SSH session establishment c) SSH session termination FCS_SSHC_EXT.1 SSH Client Protocol Hierarchical to: No other components Dependencies: FCS_CKM.1Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_SSHC_EXT SSH Client Protocol 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 145 of 174 FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_SSHC_EXT.1.1 The TSF shall implement the SSH protocol in accordance with: RFCs 4251, 4252, 4253, 4254, [selection: 4256, 4344, 5647, 5656, 6187,6668, 8268, 8308 section 3.1, 8332]. FCS_SSHC_EXT.1.2 The TSF shall ensure that the SSH protocol implementation supports the following authentication methods as described in RFC 4252: public key-based, [selection: password-based,no othermethod]. FCS_SSHC_EXT.1.3 The TSF shall ensure that, as described in RFC 4253, packets greater than [assignment: number of bytes] bytes in an SSH transport connection are dropped. FCS_SSHC_EXT.1.4 The TSF shall ensure that the SSH transport implementation uses the following encryption algorithms and rejects all other encryption algorithms: [assignment: list of encryption algorithms]. FCS_SSHC_EXT.1.5 The TSF shall ensure that the SSH public-key based authentication implementation uses [selection: ssh-rsa, rsa-sha2-256,rsa-sha2-512, ecdsa-sha2-nistp256, x509v3-ssh-rsa,ecdsa-sha2-nistp384, ecdsa-sha2-nistp521, x509v3-ecdsa-sha2-nistp256, x509v3-ecdsa-sha2-nistp384, x509v3-ecdsa-sha2-nistp521, x509v3-rsa2048-sha256] as its public key algorithm(s) and rejects all other public key algorithms FCS_SSHC_EXT.1.6 The TSF shall ensure that the SSH transport implementation uses [assignment: list of data integrity MAC algorithms] as its data integrity MAC algorithm(s) and rejects all other MAC algorithm(s). FCS_SSHC_EXT.1.7 The TSF shall ensure that [assignment: list of key exchange methods] are the only allowed key exchange methods used for the SSH protocol. FCS_SSHC_EXT.1.8 The TSF shall ensure that within SSH connections, the same session keys are used for a threshold of no longer than one hour, and each encryption key is used to protect no more than one gigabyte of data. After any of the thresholds are reached, a rekey needs to be performed. FCS_SSHC_EXT.1.9 The TSF shall ensure that the SSH client authenticates the identity of the SSH server using a local database associating each host name with its corresponding public key and [selection: a list of trusted certification authorities, no other methods] as described in RFC 4251 section 4.1. C.2.2.7 FCS_SSHS_EXT.1 SSH Server Protocol Family Behaviour The component in this family addresses the ability for a server to offer SSH to protect data between a client and the server using the SSH protocol. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 146 of 174 Component levelling FCS_SSHS_EXT.1 SSH Server requires that the server side of SSH be implemented as specified. Management: FCS_SSHS_EXT.1 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FCS_SSHS_EXT.1 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Failure of SSH session establishment b) SSH session establishment c) SSH session termination FCS_SSHS_EXT.1 SSH Server Protocol Hierarchical to: No other components Dependencies: FCS_CKM.1Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_SSHS_EXT.1.1 The TSF shall implement the SSH protocol in accordance with: RFCs 4251, 4252, 4253, 4254, [selection: 4256, 4344, 5647, 5656, 6187,6668, 8268, 8308 section 3.1, 8332]. FCS_SSHS_EXT.1.2 The TSF shall ensure that the SSH protocol implementation supports the following authentication methods as described in RFC 4252: public key-based, [selection: password-based,no othermethod]. FCS_SSHS_EXT.1.3 The TSF shall ensure that, as described in RFC 4253, packets greater than [assignment: number of bytes] bytes in an SSH transport connection are dropped. FCS_SSHS_EXT SSH ServerProtocol 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 147 of 174 FCS_SSHS_EXT.1.4 The TSF shall ensure that the SSH transport implementation uses the following encryption algorithms and rejects all other encryption algorithms: [assignment: encryption algorithms]. FCS_SSHS_EXT.1.5 The TSF shall ensure that the SSH public-key based authentication implementation uses [selection: ssh-rsa, rsa-sha2-256,rsa-sha2-512, ecdsa-sha2-nistp256, x509v3-ssh-rsa,ecdsa-sha2-nistp384, ecdsa-sha2-nistp521, x509v3-ecdsa-sha2-nistp256, x509v3-ecdsa-sha2-nistp384, x509v3-ecdsa-sha2-nistp521, x509v3-rsa2048-sha256] as its public key algorithm(s) and rejects all other public key algorithms. FCS_SSHS_EXT.1.6 The TSF shall ensure that the SSH transport implementation uses [assignment: list of MAC algorithms] as its MAC algorithm(s) and rejects all other MAC algorithm(s). FCS_SSHS_EXT.1.7 The TSF shall ensure that [assignment: list of key exchange methods] are the only allowed key exchange methods used for the SSH protocol. FCS_SSHS_EXT.1.8 The TSF shall ensure that within SSH connections, the same session keys are used for a threshold of no longer than one hour, and each encryption key is used to protect no more than one gigabyte of data. After any of the thresholds are reached, a rekey needs to be performed. C.2.2.8 FCS_TLSC_EXT TLS Client Protocol Family Behaviour The component in this family addresses the ability for a client to use TLS to protect data between the client and a server using the TLS protocol. Component levelling FCS_TLSC_EXT.1 TLS Client requires that the client side of TLS be implemented as specified. FCS_TLSC_EXT.2 TLS Client requires that the client side of the TLS implementation include mutual authentication. Management: FCS_TLSC_EXT.1, FCS_TLSC_EXT.2 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FCS_TLSC_EXT.1, FCS_TLSC_EXT.2 FCS_TLSC_EXT TLS Client Protocol 1 2 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 148 of 174 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Failure of TLS session establishment b) TLS session establishment c) TLS session termination FCS_TLSC_EXT.1 TLS Client Protocol without Mutual Authentication Hierarchical to: No other components Dependencies: FCS_CKM. 1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_TLSC_EXT.1.1 The TSF shall implement [selection: TLS 1.2 (RFC 5246), TLS 1.1 (RFC 4346)] and reject all other TLS and SSL versions. The TLS implementation will support the following ciphersuites: ● [assignment: list of optional ciphersuites and reference to RFC in which each is defined] and no other ciphersuites. FCS_TLSC_EXT.1.2 The TSF shall verify that the presented identifier matches [selection: the reference identifier per RFC 6125 section 6, IPv4 address in CN or SAN, IPv6 address in the CN or SAN, IPv4 address in SAN, IPv6 address in the SAN, the identifier per RFC 5280 Appendix A using [selection: id-at-commonName, id-at-countryName, id-at-dnQualifier, id- at-generationQualifier, id-at-givenName, id-at-initials, id-at-localityName, id-at-name, id-at- organizationalUnitName, id-at-organizationName, id-at-pseudonym, id-at-serialNumber, id- at-stateOrProvinceName, id-at-surname, id-at-title] and no other attribute types]. FCS_TLSC_EXT.1.3 When establishing a trusted channel, by default the TSF shall not establish a trusted channel if the server certificate is invalid. The TSF shall also [selection: • Not implement any administrator override mechanism • require administrator authorization to establish the connection if the TSF fails to [selection: match the reference identifier, validate certificate path,validate expiration date, determine the revocation status] of the presented server certificate collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 149 of 174 ]. FCS_TLSC_EXT.1.4 The TSF shall [selection: not present the Supported Elliptic Curves/Supported Groups Extension, present the Supported Elliptic Curves/Supported Groups Extension with the following curves/groups: [selection: secp256r1, secp384r1, secp521r1, ffdhe2048, ffdhe3072, ffdhe4096, ffdhe6144, ffdhe8192] and no other curves/groups] in the Client Hello. FCS_TLSC_EXT.2 TLS Client Support for Mutual Authentication Hierarchical to: No other components Dependencies: FCS_CKM.1Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_TLSC_EXT.1 TLS Client Protocol without mutual authentication FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_TLSC_EXT.2.1 The TSF shall support TLS communication with mutual authentication using X.509v3 certificates. C.2.2.9 FCS_TLSS_EXT TLS Server Protocol Family Behaviour The component in this family addresses the ability for a server to use TLS to protect data between a client and the server using the TLS protocol. Component levelling FCS_TLSS_EXT.1 TLS Server requires that the server side of TLS be implemented as specified. FCS_TLSS_EXT TLS ServerProtocol 1 2 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 150 of 174 FCS_TLSS_EXT.2: TLS Server requires the mutual authentication be included in the TLS implementation. Management: FCS_TLSS_EXT.1, FCS_TLSS_EXT.2 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FCS_TLSS_EXT.1, FCS_TLSS_EXT.2 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Failure of TLS session establishment b) TLS session establishment c) TLS session termination FCS_TLSS_EXT.1 TLS Server Protocol without Mutual Authentication Hierarchical to: No other components Dependencies: FCS_CKM.1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_TLSS_EXT.1.1 The TSF shall implement [selection: TLS 1.2 (RFC 5246),TLS 1.1 (RFC 4346)] and reject all other TLS and SSL versions. The TLS implementation will support the following ciphersuites: ● [assignment: list of optional ciphersuites and reference to RFC in which each is defined] and no other ciphersuites. FCS_TLSS_EXT.1.2 The TSF shall deny connections from clients requesting SSL 2.0, SSL 3.0, TLS 1.0 and [selection: TLS 1.1, TLS 1.2, none]. FCS_TLSS_EXT.1.3 The TSF shall perform key establishment for TLS using [selection: RSA with key size [selection: 2048 bits, 3072 bits, 4096 bits], Diffie-Hellman parameters with size [selection: 2048 bits, 3072 bits, 4096 bits, 6144 bits, 8192 bits], Diffie-Hellman groups collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 151 of 174 [selection: ffdhe2048, ffdhe3072, ffdhe4096,ffdhe6144, ffdhe8192, no other groups],ECDHE curves [selection: secp256r1,secp384r1,secp521r1]and no other curves]]. FCS_TLSS_EXT.1.4 The TSF shall support [selection: no session resumption or session tickets,session resumption based on session IDsaccording to RFC 4346 (TLS1.1) or RFC 5246 (TLS1.2), session resumption based on session tickets according to RFC 5077]. FCS_TLSS_EXT.2 TLS Server Support for Mutual Authentication Hierarchical to: No other components Dependencies: FCS_CKM.1 Cryptographic Key Generation FCS_CKM.2 Cryptographic Key Establishment FCS_COP.1/DataEncryption Cryptographic operation (AES Data encryption/decryption) FCS_COP.1/SigGen Cryptographic operation (Signature Generation and Verification) FCS_COP.1/Hash Cryptographic operation (Hash Algorithm) FCS_COP.1/KeyedHash Cryptographic operation (Keyed Hash Algorithm) FCS_RBG_EXT.1 Random Bit Generation FCS_TLSS_EXT.1 TLS Server Protocol without mutual authentication FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2 X.509 Certificate Authentication FCS_TLSS_EXT.2.1 The TSF shall support TLS communication with mutual authentication of TLS clients using X.509v3 certificates. FCS_TLSS_EXT.2.2 When establishing a trusted channel, by default the TSF shall not establish a trusted channel if the client certificate is invalid. The TSF shall also [selection: • Not implement any administrator override mechanism • require administrator authorization to establish the connection if the TSF fails to [selection: match the reference identifier,validate certificate path, validate expiration date, determine the revocation status] of the presented client certificate ]. FCS_TLSS_EXT.2.3 The TSF shall not establish a trusted channel if the identifier contained in a certificate does not match an expected identifier for the client. If the identifier is a Fully Qualified Domain Name (FQDN), then the TSF shall match the identifiers according to RFC 6125, otherwise the TSF shall parse the identifier from the certificate and match the identifier against the expected identifier of the client as described in the TSS. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 152 of 174 C.3 Identification and Authentication (FIA) C.3.1 Password Management (FIA_PMG_EXT) Family Behaviour The TOE defines the attributes of passwords used by administrative users to ensure that strong passwords and passphrases can be chosen and maintained. Component levelling FIA_PMG_EXT.1 Password management requires the TSF to support passwords with varying composition requirements, minimum lengths, maximum lifetime, and similarity constraints. Management: FIA_PMG_EXT.1 No management functions. Audit: FIA_PMG_EXT.1 No specific audit requirements. C.3.1.1 FIA_PMG_EXT.1 Password Management FIA_PMG_EXT.1 Password Management Hierarchical to: No other components. Dependencies: No other components. FIA_PMG_EXT.1.1 The TSF shall provide the following password management capabilities for administrative passwords: a) Passwords shall be able to be composed of any combination of upper and lower case letters, numbers, and the following special characters: [selection: “!”, “@”, “#”, “$”, “%”, “^”, “&”, “*”, “(“, “)”, [assignment: other characters]]; b) Minimum password length shall be configurable to between [assignment: minimum number of characters supported by the TOE] and [assignment: number of characters greater than or equal to 15] characters. C.3.2 User Identification and Authentication (FIA_UIA_EXT) Family Behaviour The TSF allows certain specified actions before the non-TOE entity goes through the identification and authentication process. FIA_PMG_EXT PasswordManagement 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 153 of 174 Component levelling FIA_UIA_EXT.1 User Identification and Authentication requires Administrators (including remote Administrators) to be identified and authenticated by the TOE, providing assurance for that end of the communication path. It also ensures that every user is identified and authenticated before the TOE performs any mediated functions Management: FIA_UIA_EXT.1 The following actions could be considered for the management functions in FMT: a) Ability to configure the list of TOE services available before an entity is identified and authenticated Audit: FIA_UIA_EXT.N The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) All use of the identification and authentication mechanism b) Provided user identity, origin of the attempt (e.g. IP address) C.3.2.1 FIA_UIA_EXT.1 User Identification and Authentication FIA_UIA_EXT.1 User Identification and Authentication Hierarchical to: No other components. Dependencies: FTA_TAB.1 Default TOE Access Banners FIA_UIA_EXT.1.1 The TSF shall allow the following actions prior to requiring the non-TOE entity to initiate the identification and authentication process: • Display the warning banner in accordance with FTA_TAB.1; • [selection: no other actions, automated generation of cryptographic keys, [assignment: list of services, actions performed by the TSF in response to non-TOE requests]]. FIA_UIA_EXT.1.2 The TSF shall require each administrative user to be successfully identified and authenticated before allowing any other TSF-mediated actions on behalf of that administrative user. C.3.3 User authentication (FIA_UAU_EXT) Family Behaviour Provides for a locally based administrative user authentication mechanism FIA_UIA_EXT UserIdentificationand Authentication 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 154 of 174 Component levelling FIA_UAU_EXT.2 The password-based authentication mechanism provides administrative users a locally based authentication mechanism. Management: FIA_UAU_EXT.2 The following actions could be considered for the management functions in FMT: a) None Audit: FIA_UAU_EXT.2 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) Minimal: All use of the authentication mechanism C.3.3.1 FIA_UAU_EXT.2 Password-based Authentication Mechanism FIA_UAU_EXT.2 Password-based Authentication Mechanism Hierarchical to: No other components. Dependencies: No other components. FIA_UAU_EXT.2.1 The TSF shall provide a local [selection: password-based, SSH public key-based, certificate-based, [assignment: otherauthentication mechanism(s)]] authentication mechanism to perform local administrative user authentication. C.3.4 Authentication using X.509 certificates (FIA_X509_EXT) Family Behaviour This family defines the behaviour, management, and use of X.509 certificates for functions to be performed by the TSF. Components in this family require validation of certificates according to a specified set of rules, use of certificates for authentication for protocols and integrity verification, and the generation of certificate requests. FIA_UAU_EXT Password-based AuthenticationMechanism 2 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 155 of 174 Component levelling FIA_X509_EXT.1 X509 Certificate Validation, requires the TSF to check and validate certificates in accordance with the RFCs and rules specified in the component. FIA_X509_EXT.2 X509 Certificate Authentication, requires the TSF to use certificates to authenticate peers in protocols that support certificates, as well as for integrity verification and potentially other functions that require certificates. FIA_X509_EXT.3 X509 Certificate Requests, requires the TSF to be able to generate Certificate Request Messages and validate responses. Management: FIA_X509_EXT.1, FIA_X509_EXT.2, FIA_X509_EXT.3 The following actions could be considered for the management functions in FMT: a) Remove imported X.509v3 certificates b) Approve import and removal of X.509v3 certificates c) Initiate certificate requests Audit: FIA_X509_EXT.1, FIA_X509_EXT.2, FIA_X509_EXT.3 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) Minimal: No specific audit requirements are specified. C.3.4.1 FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.1 X.509 Certificate Validation Hierarchical to: No other components Dependencies: FIA_X509_EXT.2 X.509 Certificate Authentication FIA_X509_EXT.1.1 The TSF shall validate certificates in accordance with the following rules: • RFC 5280 certificate validation and certification path validation. • The certification path must terminate with a trusted CA certificate designated as a trust anchor. FIA_X509_EXT X509 Certificate 1 2 3 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 156 of 174 • The TSF shall validate a certification path by ensuring that all CA certificates in the certification path contain the basicConstraints extension with the CA flag set to TRUE. • The TSF shall validate the revocation status of the certificate using [selection: the Online Certificate Status Protocol (OCSP) as specified in RFC 6960, a Certificate Revocation List (CRL) as specified in RFC 5280 Section 6.3, Certificate Revocation List (CRL) as specified in RFC 5759 Section 5, no revocation method] • The TSF shall validate the extendedKeyUsage field according to the following rules: [assignment: rules that govern contents of the extendedKeyUsage field that need to be verified]. FIA_X509_EXT.1.2 The TSF shall only treat a certificate as a CA certificate if the basicConstraints extension is present and the CA flag is set to TRUE. C.3.4.2 FIA_X509_EXT.2 X509 Certificate Authentication FIA_X509_EXT.2 X.509 Certificate Authentication Hierarchical to: No other components Dependencies: FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.2.1 The TSF shall use X.509v3 certificates as defined by RFC 5280 to support authentication for [selection: DTLS, HTTPS, IPsec, TLS, SSH, [assignment: other protocols], no protocols], and [selection: code signing for system software updates [assignment: other uses], no additional uses]. FIA_X509_EXT.2.2 When the TSF cannot establish a connection to determine the validity of a certificate, the TSF shall [selection: allow the Administrator to choose whether to accept the certificate in these cases, accept the certificate, not accept the certificate]. C.3.4.3FIA_X509_EXT.3 X.509 Certificate Requests FIA_X509_EXT.3 X.509 Certificate Requests Hierarchical to: No other components Dependencies: FCS_CKM.1 Cryptographic Key Generation FIA_X509_EXT.1 X.509 Certificate Validation FIA_X509_EXT.3.1 The TSF shall generate a Certificate Request as specified by RFC 2986 and be able to provide the following information in the request: public key and [selection: device-specific information, Common Name, Organization, Organizational Unit, Country, [assignment: other information]]. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 157 of 174 FIA_X509_EXT.3.2 The TSF shall validate the chain of certificates from the Root CA upon receiving the CA Certificate Response. C.4 Protection of the TSF (FPT) C.4.1 Protection of TSF Data (FPT_SKP_EXT) Family Behaviour Components in this family address the requirements for managing and protecting TSF data, such as cryptographic keys. This is a new family modelled after the FPT_PTD Class. Component levelling FPT_SKP_EXT.1 Protection of TSF Data (for reading all symmetric keys), requires preventing symmetric keys from being read by any user or subject. It is the only component of this family. Management: FPT_SKP_EXT.1 The following actions could be considered for the management functions in FMT: a) There are no management activities foreseen. Audit: FPT_SKP_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) There are no auditable events foreseen. C.4.1.1 FPT_SKP_EXT.1 Protection of TSF Data (for reading of all symmetric keys) FPT_SKP_EXT.1 Protection of TSF Data (for reading of all symmetric keys) Hierarchical to: No other components. Dependencies: No other components. FPT_SKP_EXT.1.1 The TSF shall prevent reading of all pre-shared keys, symmetric keys, and private keys. FPT_SKP_EXT ProtectionofTSFData 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 158 of 174 C.4.2 Protection of Administrator Passwords (FPT_APW_EXT) C.4.2.1 FPT_APW_EXT.1 Protection of Administrator Passwords Family Behaviour Components in this family ensure that the TSF will protect plaintext credential data such as passwords from unauthorized disclosure. Component levelling FPT_APW_EXT.1 Protection of Administrator passwords requires that the TSF prevent plaintext credential data from being read by any user or subject. Management: FPT_APW_EXT.1 The following actions could be considered for the management functions in FMT: a) No management functions. Audit: FPT_APW_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) No audit necessary. FPT_APW_EXT.1 Protection of Administrator Passwords Hierarchical to: No other components Dependencies: No other components. FPT_APW_EXT.1.1 The TSF shall store administrative passwords in non-plaintext form. FPT_APW_EXT.1.2 The TSF shall prevent the reading of plaintext administrative passwords. C.4.3 TSF Self-Test (FPT_TST_EXT) C.4.3.1 FPT_TST_EXT.1 TSF Testing Family Behaviour Components in this family address the requirements for self-testing the TSF for selected correct operation. FPT_APW_EXT Protection ofAdministratorPasswords 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 159 of 174 Component levelling FPT_TST_EXT.1 TSF Self-Test requires a suite of self-tests to be run during initial start-up in order to demonstrate correct operation of the TSF. Management: FPT_TST_EXT.1 The following actions could be considered for the management functions in FMT: a) No management functions. Audit: FPT_TST_EXT.1 The following actions should be considered for audit if FAU_GEN Security audit data generation is included in the PP/ST: a) Indication that TSF self-test was completed b) Failure of self-test FPT_TST_EXT.1 TSF Testing Hierarchical to: No other components. Dependencies: No other components. FPT_TST_EXT.1.1 The TSF shall run a suite of the following self-tests [selection: during initial start-up (on power on), periodically during normal operation, at the request of the authorised user, at the conditions [assignment: conditions under which self-tests should occur]] to demonstrate the correct operation of the TSF: [assignment: list of self-tests run by the TSF]. C.4.4 Trusted Update (FPT_TUD_EXT) Family Behaviour Components in this family address the requirements for updating the TOE firmware and/or software. Component levelling FPT_TUD_EXT.1 Trusted Update requires management tools be provided to update the TOE firmware and software, including the ability to verify the updates prior to installation. FPT_TST_EXT TSFSelf Test 1 FPT_TUD_EXT TrustedUpdate 1 2 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 160 of 174 FPT_TUD_EXT.2 Trusted update based on certificates applies when using certificates as part of trusted update and requires that the update does not install if a certificate is invalid. Management: FPT_TUD_EXT.1, FPT_TUD_EXT.2 The following actions could be considered for the management functions in FMT: a) Ability to update the TOE and to verify the updates b) Ability to update the TOE and to verify the updates using the digital signature capability (FCS_COP.1/SigGen) and [selection: no other functions, [assignment: other cryptographic functions (or other functions) used to support the update capability]] c) Ability to update the TOE, and to verify the updates using [selection: digital signature, published hash,no othermechanism] capability prior to installing those updates Audit: FPT_TUD_EXT.1, FPT_TUD_EXT.2 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: a) Initiation of the update process. b) Any failure to verify the integrity of the update C.4.4.1 FPT_TUD_EXT.1 Trusted Update FPT_TUD_EXT.1 Trusted Update Hierarchical to: No other components Dependencies: FCS_COP.1/SigGen Cryptographic operation (for Cryptographic Signature and Verification), or FCS_COP.1/Hash Cryptographic operation (for cryptographic hashing) FPT_TUD_EXT.1.1 The TSF shall provide [assignment: Administrators] the ability to query the currently executing version of the TOE firmware/software and [selection: the most recently installed version of the TOE firmware/software; no other TOE firmware/software version]. FPT_TUD_EXT.1.2 The TSF shall provide [assignment: Administrators] the ability to manually initiate updates to TOE firmware/software and [selection: support automatic checking for updates, support automatic updates, no otherupdate mechanism]. FPT_TUD_EXT.1.3 The TSF shall provide means to authenticate firmware/software updates to the TOE using a [selection: X.509 certificate, digital signature, published hash] prior to installing those updates. collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 161 of 174 C.4.4.2 FPT_TUD_EXT.2 Trusted Update Based on Certificates FPT_TUD_EXT.2 Trusted Update Based on Certificates Hierarchical to: No other components Dependencies: FPT_TUD_EXT.1 FPT_TUD_EXT.2.1 The TSF shall check the validity of the code signing certificate before installing each update. FPT_TUD_EXT.2.2 If revocation information is not available for a certificate in the trust chain that is not a trusted certificate designated as a trust anchor, the TSF shall [selection: not install the update, allow the Administrator to choose whether to accept the certificate in these cases]. FPT_TUD_EXT.2.3 If the certificate is deemed invalid because the certificate has expired, the TSF shall [selection: allow the Administrator to choose whether to install the update in these cases, not accept the certificate]. FPT_TUD_EXT.2.4 If the certificate is deemed invalid for reasons other than expiration or revocation information being unavailable, the TSF shall not install the update. C.4.5 Time stamps (FPT_STM_EXT) Family Behaviour Components in this family extend FPT_STM requirements by describing the source of time used in timestamps. Component levelling FPT_STM_EXT.1 Reliable Time Stamps is hierarchic to FPT_STM.1: it requires that the TSF provide reliable time stamps for TSF and identifies the source of the time used in those timestamps. Management: FPT_STM_EXT.1 The following actions could be considered for the management functions in FMT: a) Management of the time b) Administrator setting of the time. Audit: FTA_SSL_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: FPT_STM_EXT Time Stamps 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 162 of 174 a) Discontinuous changes to the time. C.4.5.1FPT_STM_EXT.1 Reliable Time Stamps FPT_STM_EXT.1 Reliable Time Stamps Hierarchical to: No other components Dependencies: No other components. FPT_STM_EXT.1.1 The TSF shall be able to provide reliable time stamps for its own use. FPT_STM_EXT.1.2 The TSF shall [selection: allow the Security Administrator to set the time, synchronise time with an NTP server]. C.5 TOE Access (FTA) C.5.1 TSF-initiated Session Locking (FTA_SSL_EXT) Family Behaviour Components in this family address the requirements for TSF-initiated and user-initiated locking, unlocking, and termination of interactive sessions. The extended FTA_SSL_EXT family is based on the FTA_SSL family. Component levelling FTA_SSL_EXT.1 TSF-initiated session locking, requires system initiated locking of an interactive session after a specified period of inactivity. It is the only component of this family. Management: FTA_SSL_EXT.1 The following actions could be considered for the management functions in FMT: c) Specification of the time of user inactivity after which lock-out occurs for an individual user. Audit: FTA_SSL_EXT.1 The following actions should be auditable if FAU_GEN Security audit data generation is included in the PP/ST: b) Any attempts at unlocking an interactive session. FTA_SSL_EXT TSF-initiated sessionlocking 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 163 of 174 C.5.1.1 FTA_SSL_EXT.1 TSF-initiated Session Locking FTA_SSL_EXT.1 TSF-initiated Session Locking Hierarchical to: No other components Dependencies: FIA_UAU.1 Timing of authentication FTA_SSL_EXT.1.1 The TSF shall, for local interactive sessions, [selection: • lock the session -disable any activity of the Administrator’sdata access/displaydevices other than unlocking the session, and requiring that the Administrator re-authenticate to the TSF prior to unlocking the session; • terminate the session] after a Security Administrator-specified time period of inactivity. C.6 Communication (FCO) C.6.1 Communication Partner Control (FCO_CPC_EXT) Family Behaviour This family is used to define high-level constraints on the ways that partner IT entities communicate. For example, there may be constraints on when communication channels can be used, how they are established, and links to SFRs expressing lower-level security properties of the channels. Component levelling FCO_CPC_EXT.1 Component Registration Channel Definition, requires the TSF to support a registration channel for joining together components of a distributed TOE, and to ensure that the availability of this channel is under the control of an Administrator. It also requires statement of the type of channel used (allowing specification of further lower-level security requirements by reference to other SFRs). Management: FCO_CPC_EXT.1 No separate management functions are required. Note that elements of the SFR already specify certain constraints on communication in order to ensure that the process of forming a distributed TOE is a controlled activity. Audit: FCO_CPC_EXT.1 The following actions should be auditable if FCO_CPC_EXT.1 is included in the PP/ST: FCO_CPC_EXT Communication PartnerControl 1 collaborative Protection Profile for Network Devices v2.2e, 23-March-2020 Page 164 of 174 a) Enabling communications between a pair of components as in FCO_CPC_EXT.1.1 (including identities of the endpoints). b) Disabling communications between a pair of components as in FCO_CPC_EXT.1.3 (including identity of the endpoint that is disabled). If the required types of channel in FCO_CPC_EXT.1.2 are specified by using other SFRs then the use of the registration channel may be sufficiently covered by the audit requirements on those SFRs: otherwise a separate audit requirement to audit the use of the channel should be identified for FCO_CPC_EXT.1. C.6.1.1FCO_CPC_EXT.1 Component Registration Channel Definition FCO_CPC_EXT.1 Component Registration Channel Definition Hierarchical to: No other components. Dependencies: No other components. FCO_CPC_EXT.1.1 The TSF shall require a Security Administrator to enable communications between any pair of TOE components before such communication can take place. FCO_CPC_EXT.1.2 The TSF shall implement a registration process in which components establish and use a communications channel that uses [assignment: list of different types of channel given in the form of a selection] for at least [assignment: type of data for which the channel must be used]. FCO_CPC_EXT.1.3 The TSF shall enable a Security Administrator to disable communications between any pair of TOE components.