Pulse Policy Secure Security Target
16-3624-R-0011
Version: 1.0
September 5, 2017
Prepared For:
Pulse Secure, LLC
2700 Zanker Road
Suite 200
San Jose, CA 95134
Prepared By:
Kenji Yoshino
UL, Transaction Security
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Notices:
©2017 Pulse Secure, LLC All rights reserved. All other brand names are trademarks, registered
trademarks, or service marks of their respective companies or organizations
It is prohibited to copy, reproduce or retransmit the information contained within this documentation
without the express written permission of 2700 Zanker Road, Suite 200, San Jose, CA 95134
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Table of Contents
1. Security Target (ST) Introduction..........................................................................................................6
1.1 Security Target Reference.............................................................................................................6
1.2 Target of Evaluation Reference ....................................................................................................6
1.3 Target of Evaluation Overview......................................................................................................7
1.3.1 TOE Product Type..................................................................................................................7
1.3.2 TOE Usage .............................................................................................................................7
1.3.3 TOE Major Security Features Summary ................................................................................7
1.3.4 TOE IT environment hardware/software/firmware requirements.......................................7
1.4 Target of Evaluation Description ..................................................................................................8
1.4.1 Target of Evaluation Physical Boundaries.............................................................................8
1.4.2 Target of Evaluation Logical Boundaries...............................................................................9
1.5 Notation, formatting, and conventions ......................................................................................11
2. Conformance Claims...........................................................................................................................12
2.1 Common Criteria Conformance Claims.......................................................................................12
2.2 Conformance to Protection Profiles ...........................................................................................12
2.3 Conformance to Security Packages.............................................................................................15
2.4 Conformance Claims Rationale...................................................................................................15
3. Security Problem Definition................................................................................................................16
3.1 Threats ........................................................................................................................................16
3.2 Organizational Security Policies..................................................................................................17
3.3 Assumptions................................................................................................................................17
4. Security Objectives..............................................................................................................................19
4.1 Security Objectives for the Operational Environment................................................................19
5. Extended Components Definition.......................................................................................................20
5.1 Extended Security Functional Requirements Definitions ...........................................................20
5.2 Extended Security Assurance Requirement Definitions .............................................................20
6. Security Requirements........................................................................................................................21
6.1 Security Function Requirements.................................................................................................21
6.1.1 Class FAU: Security Audit ....................................................................................................22
6.1.2 Class FCS: Cryptographic Support .......................................................................................29
6.1.3 Class FIA: Identification and Authentication.......................................................................47
6.1.4 Class FMT: Security Management.......................................................................................54
6.1.5 Class FPT: Protection of the TSF..........................................................................................58
6.1.6 Class FTA: TOE Access .........................................................................................................66
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6.1.7 Class FTP: Trusted Path/Channels.......................................................................................67
6.2 Security Assurance Requirements ..............................................................................................70
6.2.1 Extended Security Assurance Requirements ......................................................................70
6.2.1.1 ASE: Security Target............................................................................................................70
7. TOE Summary Specification................................................................................................................77
7.1 Security Audit..............................................................................................................................77
7.1.1 Audit Generation.................................................................................................................77
7.1.2 Audit Storage ......................................................................................................................77
7.2 Cryptographic Support................................................................................................................78
7.2.1 Cryptographic Key Generation............................................................................................78
7.2.2 Cryptographic Operations...................................................................................................79
7.2.3 HTTPs Protocol....................................................................................................................81
7.2.4 TLS Client Protocol ..............................................................................................................81
7.2.5 TLS Server Protocol .............................................................................................................82
7.3 Identification and Authentication...............................................................................................83
7.3.1 Password Management ......................................................................................................83
7.3.2 User Identification and Authentication ..............................................................................83
7.3.3 Protected Authentication Feedback ...................................................................................83
7.3.4 X.509 Certificate Validation ................................................................................................83
7.3.5 X.509 Certificate Authentication.........................................................................................84
7.3.6 X.509 Certificate Requests..................................................................................................84
7.4 Security Management.................................................................................................................85
7.5 Protection of the TSF ..................................................................................................................85
7.5.1 Protection of Administrator Passwords..............................................................................85
7.5.2 Protection of TSF Data (for reading of all symmetric keys) ................................................86
7.5.3 TSF Testing ..........................................................................................................................86
7.5.4 Trusted Update ...................................................................................................................87
7.5.5 Reliable Time Stamps..........................................................................................................87
7.6 TOE Access ..................................................................................................................................87
7.7 Trusted Path/Channels ...............................................................................................................87
7.7.1 Inter-TSF Trusted Channel ..................................................................................................87
7.7.2 Trusted Path........................................................................................................................88
8. Terms and Definitions.........................................................................................................................89
9. References ..........................................................................................................................................91
Annex A Algorithm Validation Requirements .......................................................................................92
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Table 1: Hardware Details.............................................................................................................................8
Table 2: Threats ..........................................................................................................................................16
Table 3: Organizational Security Policies ....................................................................................................17
Table 4: Assumptions..................................................................................................................................17
Table 5: Security Objectives for the Operational Environment..................................................................19
Table 6: Security Functional Requirements................................................................................................21
Table 7: Auditable Events ...........................................................................................................................23
Table 8: Assurance Requirements ..............................................................................................................70
Table 9: Conformance Claims .....................................................................................................................70
Table 10: Cryptographic Algorithms ...........................................................................................................80
Table 11: Hash Usage..................................................................................................................................80
Table 12: HMAC Usage................................................................................................................................80
Table 13: TOE Abbreviations and Acronyms...............................................................................................89
Table 14: CC Abbreviations and Acronyms.................................................................................................90
Table 15: TOE Guidance Documentation....................................................................................................91
Table 16: TOE Evaluation Evidence.............................................................................................................91
Table 17: Common Criteria v3.1 References ..............................................................................................91
Table 18: Supporting Documentation.........................................................................................................91
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1. Security Target (ST) Introduction
 The ST introduction shall contain an ST reference, a TOE reference, a TOE overview and a TOE
description.
 The ST reference shall uniquely identify the ST.
 The TOE reference shall identify the TOE.
The structure of this document is defined by CC v3.1r4 Part 1 Annex A.2, “Mandatory contents of an ST”:
 Section 1 contains the ST Introduction, including the ST reference, Target of Evaluation (TOE)
reference, TOE overview, and TOE description.
 Section 2 contains conformance claims to the Common Criteria (CC) version, Protection Profile
(PP) and package claims, as well as rationale for these conformance claims.
 Section 3 contains the security problem definition, which includes threats, Organizational Security
Policies (OSP), and assumptions that must be countered, enforced, and upheld by the TOE and its
operational environment.
 Section 4 contains statements of security objectives for the TOE, and the TOE operational
environment as well as rationale for these security objectives.
 Section 5 contains definitions of any extended security requirements claimed in the ST.
 Section 6 contains the security function requirements (SFR), the security assurance requirements
(SAR), as well as the rationale for the claimed SFR and SAR.
 Section 7 contains the TOE summary specification, which includes the detailed specification of the
IT security functions
1.1 Security Target Reference
The Security Target reference shall uniquely identify the Security Target.
ST Title: Pulse Policy Secure Security Target
ST Version: 1.0
ST Author(s): Kenji Yoshino
ST Publication Date: September 5, 2017
Keywords Network Device
1.2 Target of Evaluation Reference
The Target of Evaluation reference shall identify the Target of Evaluation.
TOE Developer Pulse Secure, LLC
2700 Zanker Road
Suite 200
San Jose, CA 95134
TOE Name: Pulse Policy Secure
TOE Hardware: PSA300, PSA3000, PSA5000, PSA7000c, PSA7000f, MAG2600, MAG4610, MAG-
SM160, and MAG-SM360
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TOE Software: Pulse Policy Secure 5.3R4.10
1.3 Target of Evaluation Overview
1.3.1 TOE Product Type
The TOE is classified as a Network Device (a generic infrastructure device that can be connected to a
network).
1.3.2 TOE Usage
The TOE is an infrastructure network device that provides secure remote management, auditing, and
updating capabilities. The TOE provides secure remote management using a HTTPS/TLS web interface.
The TOE generates audit logs and transmits the audit logs to a remote syslog server over a mutually
authenticated TLS channel. The TOE verifies the authenticity of software updates by verifying the digital
signature prior to installing any update.
1.3.3 TOE Major Security Features Summary
 Audit
 Cryptography
 Identification and Authentication
 Security Management
 Protection of the TSF
 TOE Access
 Trusted Path/Channels
1.3.4 TOE IT environment hardware/software/firmware requirements
The TOE’s operational environment must provide the following services to support the secure operation
of the TOE:
 Local Console
o RS-232 Serial Console
 Syslog Server
o Conformant with RFC 5424 (Syslog Protocol)
o Supporting Syslog over TLS (RFC 5425)
o Acting as a TLSv1.1 and/or TLSv1.2 server
o Supporting Client Certificate authentication
o Supporting at least one of the following cipher suites:
 TLS_RSA_WITH_AES_128_CBC_SHA
 TLS_RSA_WITH_AES_256_CBC_SHA
 TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA
 TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA
 TLS_RSA_WITH_AES_128_CBC_SHA256
 TLS_RSA_WITH_AES_256_CBC_ SHA256
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384
 TLS_ECDHE_ECDSA_WITH_AES_128_GCM_SHA256
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 TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384
 TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256
 TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384
 Web Browser
o Internet Explorer 11, Google Chrome 50, or Firefox 38
o Supporting TLSv1.1 and/or TLSv1.2
o Supporting at least one of the following ciphersuites:
 TLS_RSA_WITH_AES_128_CBC_SHA
 TLS_RSA_WITH_AES_256_CBC_SHA
 TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA
 TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA
 TLS_RSA_WITH_AES_128_CBC_SHA256
 TLS_RSA_WITH_AES_256_CBC_ SHA256
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384
 TLS_ECDHE_ECDSA_WITH_AES_128_GCM_SHA256
 TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384
 TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256
 TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384
 CRL Server
o CRL Server conformant with RFC 5280
 [MAG-SM160 and MAG-SM360 only] Chassis, one of:
o MAG6610
o MAG6611
 DNS Server
o Conformant with RFC 1035
The TOE is compatible with an optional Pulse One v2.0 management server.
1.4 Target of Evaluation Description
1.4.1 Target of Evaluation Physical Boundaries
The TOE consists of the following hardware:
 PSA300, PSA3000, PSA5000, PSA7000c, PSA7000f, MAG2600, MAG4610, MAG-SM160, and MAG-
SM360
Running:
 Pulse Policy Secure 5.3R4.10
The Pulse Policy Secure software runs on any one of the TOE hardware platforms. The platforms provide
different amounts of processing power and network connectivity options as described below.
Table 1: Hardware Details
Model Processor Network Options
PSA300 Intel® Celeron® J1900 1 x 1 Gigabit Ethernet External Traffic Port
1 x 1 Gigabit Ethernet Internal Traffic/Management Port
PSA3000 Intel® Celeron® J1900 2 x 1 Gigabit Ethernet Traffic Ports
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Table 1: Hardware Details
Model Processor Network Options
1 x 1 Gigabit Ethernet Management Port
PSA5000 Intel® Pentium® G3420 2 x 1 Gigabit Ethernet Traffic Ports
1 x 1 Gigabit Ethernet Management Port
PSA7000c Intel® Xeon® E3-1275V3 2 x 10 Gigabit Ethernet Traffic Ports
1 x 1 Gigabit Ethernet Management Port
PSA7000f Intel® Xeon® E3-1275V3 2 x 10 Gigabit Ethernet Traffic Ports
1 x 1 Gigabit Ethernet Management Port
MAG2600 Intel® Atom™ N270 1 x 1 Gigabit Ethernet External Traffic Port
1 x 1 Gigabit Ethernet Internal Traffic/Management Port
MAG4610 Intel® Pentium® E2160 2 x 1 Gigabit Ethernet Traffic Ports
1 x 1 Gigabit Ethernet Management Port
MAG-SM160 Intel® Pentium® E2160 2 x 10 Gigabit Ethernet Traffic Ports
1 x 1 Gigabit Ethernet Management Port
MAG-SM360 Intel® Core™2 Quad Q9400 2 x 10 Gigabit Ethernet Traffic Ports
1 x 1 Gigabit Ethernet Management Port
Pulse Policy Secure 5.3R4.10 runs on top of and includes IVE OS 2.0, see Figure 1. IVE OS 2.0 is the
underlying collection of Kernel/Libraries/Cryptographic Module components that comprises the OE of the
cryptographic algorithms. IVE OS 2.0 includes a 32-bit kernel on the MAG2600 (Intel Atom N270) and a
64-bit kernel for all other models.
The guidance documentation that is part of the TOE is listed in Section 9 “References” within Table 15:
TOE Guidance Documentation. Evidence used in this evaluation that is not publically available is listed in
Section 9 “References” within Table 16: TOE Evaluation Evidence.
1.4.2 Target of Evaluation Logical Boundaries
The logical boundary of the TOE includes those security functions implemented exclusively by the TOE.
These security functions are summarized in Section 1.3.3 above and are further described in the following
subsections. A more detailed description of the implementation of these security functions are provided
in Section 7 “TOE Summary Specification”.
1.4.2.1 Audit
The TOE generates audit records for security relevant events. The TOE maintains a local audit log as well
as sending the audit records to a remote Syslog server. Audit records sent to the remote server are
protected by a TLS connection. Each audit record includes identity (username, IP address, or process),
date and time of the event, type of event, and the outcome of the event. The TOE prevents modification
to the local audit log.
1.4.2.2 Cryptographic Operations
The TOE implements CAVP validated cryptographic algorithms for random bit generation,
encryption/decryption, authentication, and integrity protection/verification. These algorithms are used
to provide security for the TLS and HTTPs connections as well as verifying firmware updates.
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1.4.2.3 Identification and Authentication
The TOE authenticates administrative users using a username/password or username/X.509 certificate
combination. The TOE does not allow access to any administrative functions prior to successful
authentication.
The TOE supports passwords consisting of alphanumeric and special characters and enforces minimum
password lengths. The TSF supports and certificates using RSA or ECDSA signature algorithms.
The TOE allows only users to view the login warning banner, send/receive ICMP packets, and send/receive
firewall listening service packets prior to authentication.
1.4.2.4 Security Management
The TOE allows users with the Security Administrator role to administer the TOE over a remote web UI or
a local CLI. These interfaces do not allow the Security Administrator to execute arbitrary commands or
executables on the TOE.
The TOE can also receive configuration updates from an optional Pulse One management server.
1.4.2.5 Protection of the TSF
The TOE implements a number of self-protection mechanisms. It does not provide an interface for the
reading of secret or private keys. The TOE ensures timestamps, timeouts, and certificate checks are
accurate by maintaining a real-time clock as well as requiring the Security Administrator to update the
clock once a month to minimize drift. Upon startup, the TOE runs a suite of self-tests to verify that it is
operating correctly. The TOE also verifies the integrity and authenticity of firmware updates by verifying
a digital signature of the update prior to installing it.
1.4.2.6 TOE Access
The TOE can be configured to display a warning and consent banner when an administrator attempts to
establish an interactive session over the local CLI or remote web UI. The TOE also enforces a configurable
inactivity timeout for remote and local administrative sessions.
1.4.2.7 Trusted Path/Channels
The TOE uses TLS to provide a trusted communication channel between itself and remote Syslog server
and optional Pulse One server. The trusted channel with the Syslog server utilizes X.509 certificates to
perform mutual authentication. The trusted channel with the Pulse One server utilizes HAWK
authentication to perform mutual authentication. The TOE initiates the TLS trusted channel with both
types of remote server.
The TOE uses HTTPs/TLS to provide a trusted path between itself and remote administrative users. The
TOE does not implement any additional methods of remote administration. The remote administrative
users are responsible for initiating the trusted path when they wish to communicate with the TOE.
1.4.2.8 Unevaluated Functionality
The TOE includes the following functionality that is not covered this Security Target and the associated
evaluation:
 Network Security and Application Access Control Integration
 Federation
 Guest Access
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 Anti-Malware Protection and Patch Assessment
 Firewall Listening Service
These features may be used in the evaluated configuration; however, no assurance as to the correct
operation of these features is provided.
1.4.2.9 Excluded Functionality
The TOE includes the following functionality that may not be enabled or used in in the CC evaluated
configuration:
 DMI Agent
 SNMP Traps
 External Authentication Servers for administrator authentication
 [MAG-SM160 and MAG-SM360 only] Chassis Management
1.5 Notation, formatting, and conventions
The notation, formatting, and conventions used in this Security Target are defined below; these styles and
clarifying information conventions were developed to aid the reader.
Where necessary, the ST author has added application notes to provide the reader with additional details
to aid understanding; they are italicized and usually appear following the element needing clarification.
Those notes specific to the TOE are marked “TOE Application Note;” those taken from the collaborative
Protection Profile for Network Devices are marked “Application Note <#>.”
The notation conventions that refer to iterations, assignments, selections, and refinements made in this
Security Target are in reference to SARs and SFRs taken directly from CC Part 2 and Part 3 as well as any
SFRs and SARs taken from a Protection Profile.
The notation used in those PP to indicate iterations, assignments, selections, and refinements of SARs and
SFRs taken from CC Part 2 and Part 3 is not carried forward into this document. Additionally, obvious
errors in the PP are corrected and noted as such.
The CC permits four component operations (assignment, iteration, refinement, and selection) to be
performed on requirement components. These operations are defined in Common Criteria, Part 1;
paragraph 6.4.1.3.2, “Permitted operations on components” as:
 Iteration: allows a component to be used more than once with varying operations;
 Assignment: allows the specification of parameters;
 Selection: allows the specification of one or more items from a list; and
 Refinement: allows the addition of details.
Iterations are indicated by a number in parenthesis following the requirement number, e.g.,
FIA_UAU.1.1(1); the iterated requirement titles are similarly indicated, e.g., FIA_UAU.1(1).
Assignments made by the ST author are identified with bold text.
Selections are identified with underlined text.
Refinements that add text use bold and italicized text to identified the added text. Refinements that
performs a deletion, identifies the deleted text with strikeout, bold, and italicized text.
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2. Conformance Claims
2.1 Common Criteria Conformance Claims
This Security Target is conformant to the Common Criteria Version 3.1r4, CC Part 2 extended [C2], and CC
Part 3 extended [C3].
2.2 Conformance to Protection Profiles
This Security Target claims exact compliance to the collaborative Protection Profile for Network Devices,
Version 1.0, dated February 27, 2015 [NDcPP] and Supporting Document Mandatory Technical Document
Evaluation Activities for Network Device cPP, Version 1.0, dated February 27, 2015 [SD]. This Protection
Profile will be referred to as cPP or PP for convenience throughout this Security Target.
In addition, the following NIAP Technical Decisions (TD) are applicable to the evaluation (a brief
description regarding of the applicability of each TD is provided):
 0228 – NIT Technical Decision for CA certificates - basicConstraints validation
o Assurance Activity: Test Requirement modification/clarification.
o No update to testing methodology required.
 0227 – NIT Technical Decision for TOE acting as a TLS Client and RSA key generation
o ST Application Note text modification.
o No change to testing methodology.
 0226 – NIT Technical Decision for TLS Encryption Algorithms
o ST SFR text and Application Note modification for FCS_TLSC_EXT.1.1, FCS_TLSC_EXT.2.1
and FCS_TLSS_EXT.1.1.
o No change to testing methodology.
 0201 - NIT Technical Decision for Use of intermediate CA certificates and certificate hierarchy
depth
o Assurance Activity: Testing clarification.
o No change to ST
o No change to testing methodology required.
 0199 - NIT Technical Decision for Elliptic Curves for Signatures
o ST SFR text modification.
o No change to testing methodology required.
 0188 – NIT Technical Decision for Optional use of X.509 certificates for digital signatures
o Clarification, no changes to ST or testing methodology
 0187 – NIT Technical Decision for Clarifying FIA_X509_EXT.1 test 1
o Assurance Activity: Testing, text modification
o No change to testing methodology required.
 0185 – NIT Technical Decision for Channel for Secure Update.
o Clarification to Assurance Activity: Testing.
o No change to ST
o No change to testing methodology required.
 0184 – NIT Technical Decision for Mandatory use of X.509 certificates
o Clarification of SFRs
o No change to ST
o No change to testing methodology required.
 0183 – NIT Technical Decision for Use of the Supporting Document
o Clarification of Assurance Activities
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o No change to ST
o No change to testing methodology required.
 0181 – NIT Technical Decision for Self-testing of integrity of firmware and software.
o Clarification.
o No change to ST
o No change to testing methodology required.
 0170 – NIT Technical Decision for SNMPv3 Support
o Clarification.
o No change to ST
o No change to testing methodology required.
 0169 – NIT Technical Decision for Compliance to RFC5759 and RFC5280 for using CRLs
o ST SFR text modification for FIA_X509_EXT.1.1.
o No change to testing methodology required.
 0168 – NIT Technical Decision for Mandatory requirement for CSR generation
o Clarification.
o No change to ST
o No change to testing methodology required.
 0165 – NIT Technical Decision for Sending the ServerKeyExchange message when using RSA
o Assurance Activity: Test, text modification for FCS_TLSC_EXT.1.1 Test 5d.
o No change to testing methodology required.
 0156 – NIT Technical Decision for SSL/TLS Version Testing in the NDcPP v1.0 and FW cPP v1.0
o ST SFR text and test Assurance Activity text modification for FCS_TLSS_EXT.1.2.
o Functional Testing methodology was updated and executed in v1.1 Functional Testing
 0155 – NIT Technical Decision for TLSS tests using ECDHE in the NDcPP v1.0.
o ST Assurance Activity: test, text modification for FCS_TLSS_EXT.1.3
o Functional Testing methodology was updated and executed in v1.1 Functional Testing
 0154 – NIT Technical Decision for Versions of TOE Software in the NDcPP v1.0 and FW cPP v1.0
o ST SFR text and application note modification for FPT_TUD_EXT.1.1
o No change to testing methodology required.
 0153 – NIT Technical Decision for Auditing of NTP Time Changes in the NDcPP v1.0 and FW cPP
v1.0
o Clarification.
o No change to ST
o No change to testing methodology required.
 0152 – NIT Technical Decision for Reference identifiers for TLS in the NDcPP v1.0 and FW cPP
v1.0
o Clarification.
o No change to ST
o No change to testing methodology required.
 0151 – NIT Technical Decision for FCS_TLSS_EXT Testing - Issue 1 in NDcPP v1.0.
o Removed Functional tests as specified in the TD.
o No change to testing methodology required.
 0143 – NIT Technical Decision for Failure testing for TLS session establishment in NDcPP and
FWcPP
o Assurance Activity: Testing text modified for FCS_TLSS_EXT.1.1 Test 3
o No change to testing methodology required.
 0130 – NIT Technical Decision for Requirements for Destruction of Cryptographic Keys
o ST SFR Text modified for FCS_CKM.4.1
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o No change to testing methodology required.
 0126 – NIT Technical Decision for TLS Mutual Authentication
o ST Application Notes for FCS_TLCS_EXT.1 and FTP_ITC.1 were updated.
o No change to testing methodology required.
 0125 – NIT Technical Decision for Checking validity of peer certificates for HTTPS servers
o ST SFR text and application note modified for FCS_HTTPS_EXT.1.3
o No change to testing methodology required.
 0117 – NIT Technical Decision for FIA_X509_EXT.1.1 Requirement in NDcPP
o SFR Application note, Assurance Activity: Test, and Assurance Activity: TSS modified for
FIA_X509_EXT.1.1
o Testing methodology modified to meet changes to ATE requirements
 0116 – NIT Technical Decision for a Typo in reference to RSASSA-PKCS1v1_5 in NDcPP and
FWcPP
o ST SFR Text modified.
o No change to testing methodology required.
 0114 – NIT Technical Decision for Re-Use of FIPS test results in NDcPP and FWcPP
o Clarification.
o No change to testing methodology required.
 0113 – NIT Technical Decision for testing and trusted updates in the NDcPP v1.0 and FW cPP
v1.0
o Clarification.
o No change to testing methodology required.
 0112 – NIT Technical Decision for TLS testing in the NDcPP v1.0 and FW cPP v1.0.
o Clarification of ATE.
o No change to ST
o No change to testing methodology required.
o Functional Test methods were designed to perform test as specified in the TD.
 0111 – NIT Technical Decision for third party libraries and FCS_CKM.1 in NDcPP and FWcPP
o Clarification.
o No change to ST.
o No change to testing methodology required.
 0096 – NIT Technical Interpretation regarding Virtualization
o Clarification.
o No change to ST.
o No change to testing methodology required.
 0095 – NIT Technical Interpretations regarding audit, random bit generation, and entropy in
NDcPP
o Clarification.
o No change to ST.
o No change to testing methodology required.
 0094 – NIT Technical Decision for validating a published hash in NDcPP
o ST Application Notes for FPT_TUD_EXT.1.2, and FPT_TUD_EXT.1.3 were modified.
o Assurance Activity: ASE, ATE and AGD requirements modified for FPT_TUD_EXT.1.
o Guidance Documentation requirements modified
o Assurance Activity: Test text modified.
o No change to testing methodology required.
 0090 – NIT Technical Decision for FMT_SMF.1.1 Requirement in NDcPP
o ST SFR text modification.
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o No change to testing methodology required.
2.3 Conformance to Security Packages
This Security Target does not claim conformance to any security function requirements or security
assurance requirements packages, neither as package-conformant or package-augmented.
2.4 Conformance Claims Rationale
To demonstrate that exact conformance is met, this rationale shows all threats are addressed, all OSP are
satisfied, no additional assumptions are made, all objectives have been addressed, and all SFRs and SARs
have been instantiated.
The following address the completeness of the threats, OSP, and objectives, limitations on the
assumptions, and instantiation of the SFRs and SARs:
 Threats
o All threats defined in the cPP are carried forward to this ST;
o No additional threats have been defined in this ST.
 Organizational Security Policies
o All OSP defined in the cPP are carried forward to this ST;
o No additional OSPs have been defined in this ST.
 Assumptions
o All assumptions defined in the cPP are carried forward to this ST;
o No additional assumptions for the operational environment have been defined in this ST.
 Objectives
o All objectives defined in the cPP are carried forward to this ST.
 All SFRs and SARs defined in the cPP are carried forward to this Security Target.
Rationale presented in the body of this ST shows all assumptions on the operational environment have
been upheld, all the OSP are enforced, all defined objectives have been met and these objectives counter
the defined threats.
Additionally, all SFRs and SARs defined in the cPP have been properly instantiated in this Security Target;
therefore, this ST shows exact compliance to the cPP.
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3. Security Problem Definition
3.1 Threats
The following table defines the security threats for the TOE, characterized by a threat agent, an asset, and
an adverse action of that threat agent on that asset. These threats are taken directly from the PP
unchanged.
Table 2: Threats
Threat Description
T.UNAUTHORIZED_ADMINIST
RATOR_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 minimal
effort.
T.UNTRUSTED_COMMUNICA
TION_CHANNELS
Threat agents may attempt to target network devices that do not use
standardized secure tunneling 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_E
NDPOINTS
Threat agents may take advantage of secure protocols that use weak methods
to authenticate the endpoints – e.g., 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 validated 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 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
include replacing existing credentials with an attacker’s credentials, modifying
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Table 2: Threats
Threat Description
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
A component of the network device may fail during start-up or during operations
causing a compromise or failure in the security functionality of the network
device, leaving the device susceptible to attackers.
3.2 Organizational Security Policies
The following table defines the organizational security policies which are a set of rules, practices, and
procedures imposed by an organization to address its security needs. These threats are taken directly
from the PP unchanged.
Table 3: Organizational Security Policies
OSP 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.
3.3 Assumptions
This section describes the assumptions on the operational environment in which the TOE is intended to
be used. It includes information about the physical, personnel, and connectivity aspects of the
environment. The operational environment must be managed in accordance with the provided guidance
documentation. The following table defines specific conditions that are assumed to exist in an
environment where the TOE is deployed. These assumptions are taken directly from the PP unchanged.
Table 4: Assumptions
Assumption 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 and/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 will not include any
requirements on physical tamper protection or other physical attack
mitigations. The cPP will not expect the product to defend against physical
access to the device that allows unauthorized entities to extract data,
bypass other controls, or otherwise manipulate the device.
A.LIMITED_FUNCTIONALITY 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
computing platform for general purpose Applications (unrelated to
networking functionality).
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
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Table 4: Assumptions
Assumption Description
covered by the ND cPP. It is assumed that this protection will be covered
by cPPs 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 being 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.
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.
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4. Security Objectives
4.1 Security Objectives for the Operational Environment
Table 5: Security Objectives for the Operational Environment
Objective Description
OE.PHYSICAL Physical security, commensurate with the value of the TOE and
the data it contains, is provided 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.
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 TOE Administrators are trusted to follow and apply all guidance
documentation in a trusted manner.
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.
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5. Extended Components Definition
This section provides definition of the extended security functional and assurance requirements; the
components that are CC Part 2 extended, and CC Part 3 extended, i.e., NIAP interpreted requirements,
and extended requirements.
5.1 Extended Security Functional Requirements Definitions
There are no extended Security Functional Requirements defined in this Security Target. All extended SFRs
are defined in the [NDcPP].
5.2 Extended Security Assurance Requirement Definitions
There are no extended Security Assurance Requirements defined in this Security Target. All extended SFRs
are defined in the [NDcPP] and [SD].
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6. Security Requirements
This section describes the security functional and assurance requirements for the TOE; those that are CC
Part 2 conformant, CC Part 2 extended, CC Part 3 conformant, and CC Part 3 extended.
6.1 Security Function Requirements
This section describes the functional requirements for the TOE. The security functional requirement
components in this security target are CC Part 2 conformant or CC Part 2 extended as defined in Section
2, Conformance Claims. Operations that were performed in the cPP are not signified in this section.
Operations performed by the ST are denoted according to the formatting conventions in Section 1.5.
Table 6: Security Functional Requirements
SFR Description
FAU_GEN.1 Audit Data Generation
FAU_GEN.2 User Audit Association
FAU_STG.1 Protected Audit Trail Storage
FAU_STG_EXT.1 Protected Audit Event Storage
FAU_STG_EXT.3 Display Warning for Local Storage Space
FCS_CKM.1 Cryptographic Key Generation (Refined)
FCS_CKM.2 Cryptographic Key Establishment (Refined)
FCS_CKM.4 Cryptographic Key Destruction
FCS_COP.1(1) Cryptographic Operation (AES Data Encryption/Decryption)
FCS_COP.1(2) Cryptographic Operation (Signature Generation and Verification)
FCS_COP.1(3) Cryptographic Operation (Hash Algorithm)
FCS_COP.1(4) 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_TLSC_EXT.2 TLS Client Protocol with Authentication
FCS_TLSS_EXT.1 TLS Server Protocol
FIA_PGM_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 X.509 Certificate Validation
FIA_X509_EXT.2 X.509 Certificate Authentication
FIA_X509_EXT.3 X.509 Certificate Requests
FMT_MOF.1(1)/Trusted
Update
Management of Security Functions Behaviour
FMT_MOF.1(1)/Audit Management of Security Functions Behaviour
FMT_MOF.1(2)/Audit Management of Security Functions Behaviour
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Table 6: Security Functional Requirements
SFR Description
FMT_MOF.1(1)/AdminAct Management of Security Functions Behaviour
FMT_MTD.1 Management of TSF Data
FMT_MTD.1/AdminAct 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 all symmetric keys)
FPT_APW_EXT.1 Protection of Administrator Passwords
FPT_TST_EXT.1 TSF Testing
FPT_TUD_EXT.1 Trusted Update
FPT_STM.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 Trusted Path
6.1.1 Class FAU: Security Audit
6.1.1.1 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 shut-down of the audit functions;
b) All auditable events for the not specified level of audit; and
c) All administrative actions comprising:
 Administrative login and logout (name of user account shall be logged if individual user
accounts are required for administrators).
 Security related configuration changes (in addition to the information that a change occurred
it shall be logged what has been changed).
 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).
 Resetting passwords (name of related user account shall be logged).
 Starting and stopping services (if applicable)
 no other actions;
d) Specifically defined auditable events listed in Table 7.
Application Note 1
If the list of ‘administrative actions’ appears to be incomplete, the assignment in the selection should be
used to list additional administrative actions which are audited.
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The ST author replaces the cross-reference to the table of audit events with an appropriate cross-reference
for the ST. This must also include the relevant parts of Table 3 and Table 4 for optional and selection-based
SFRs included in the ST.
Application Note 2
The ST author can include other auditable events directly in the table; they are not limited to the list
presented.
The TSS should identify what information is logged to identify the relevant key for the administrative task
of generating/import of, changing, or deleting of cryptographic keys.
With respect to FAU_GEN.1.1 the term ‘services’ refers to trusted path and trusted channel
communications, on demand self-tests, trusted update and administrator sessions (that exist under the
trusted path) (e.g. netconf).
FAU_GEN1.2
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 PP/ST, information specified in column three of Table 7.
Application Note 3
The ST author replaces the cross-reference to the table of audit events with an appropriate cross-reference
for the ST. This must also include the relevant parts of cPP Table 3 and cPP Table 4 for optional and
selection-based SFRs included in the ST.
Table 7: Auditable Events
SFR Auditable Events Additional Audit Record Contents
FAU_GEN.1 None. None.
FAU_GEN.2 None. None.
FAU_STG.1 None. None.
FAU_STG_EXT.1 None. None.
FAU_STG_EXT.3
Warning about low storage
space for audit events
None.
FCS_CKM.1 None. None.
FCS_CKM.2 None. None.
FCS_CKM.4 None. None.
FCS_COP.1(1) None. None.
FCS_COP.1(2) None. None.
FCS_COP.1(3) None. None.
FCS_COP.1(4) 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
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Table 7: Auditable Events
SFR Auditable Events Additional Audit Record Contents
FCS_TLSC_EXT.2 Failure to establish a TLS Session Reason for failure
FCS_TLSS_EXT.1 Failure to establish a TLS Session Reason for failure
FCS_PMG_EXT.1 None. None.
FIA_UIA_EXT.1 All use of the identification and
authentication mechanism.
Provided user identity, origin of the attempt (e.g., IP
address).
FIA_UAU_EXT.2 All use of the identification and
authentication mechanism.
Origin of the attempt (e.g., IP address).
FIA_UAU.7 None. None.
FIA_X509_EXT.1 Unsuccessful attempt to validate
a certificate.
Reason for Failure
FIA_X509_EXT.2 None. None.
FIA_X509_EXT.3 None. None.
FMT_MOF.1(1)/
TrustedUpdate
Any attempt to initiate a manual
update.
None.
FMT_MOF.1(1)/
Audit
Modification of the behaviour of
the transmission of audit data to
an external identity.
None.
FMT_MOF.1(2)/
Audit
Modification of the behaviour of
the handling of audit data.
None.
FMT_MOF.1(1)/
AdminAct
Modification of the behavior of
the TSF.
None.
FMT_MTD.1 All management activities of TSF
data.
None.
FMT_MTD.1/
AdminAct
Modification, deletion,
generation/import of
cryptographic keys.
None.
FMT_SMF.1 None. 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)
No additional information.
FPT_STM.1 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 Any attempts at unlocking of an
interactive session.
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.
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Table 7: Auditable Events
SFR Auditable Events Additional Audit Record Contents
FTA_TAB.1 None. None.
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 Initiation of the trusted path.
Termination of the trusted path.
Failure of the trusted path
functions.
Identification of the claimed user identity.
Application Note 4
Additional audit events will apply to the TOE depending on the optional and selection-based requirements
adopted from Appendix A and Appendix B. The ST author must therefore include the relevant additional
events specified in the tables in [NDcPP] Table 3 and [NDcPP] Table 4. The audit event for FIA_X509_EXT.1
is based on the TOE not being able to complete the certificate validation by ensuring the following:
 the presence of the basicConstraints extension and that the CA flag is set to TRUE for all CA
certificates.
 Verification of the digital signature of the trusted hierarchical CA
 read/access the CRL or access the OCSP server.
If any of these checks fails, then an audit event with the failure should be written to the audit log
Assurance Activity:
Guidance
The evaluator shall check the administrative guide and ensure that it lists all of the auditable events and
provides a format for audit records. Each audit record format type must be covered, along with a brief
description of each field. The evaluator shall check to make sure that every audit event type mandated by
the PP is described and that the description of the fields contains the information required in FAU_GEN1.2,
and the additional information specified in the table of auditable events.
The evaluator shall also make a determination of the administrative actions that are relevant in the
context of cPP. The evaluator shall examine the guidance documentation and make a determination of
which administrative commands, including subcommands, scripts, and configuration files, are related to
the configuration (including enabling or disabling) of the mechanisms implemented in the TOE that are
necessary to enforce the requirements specified in the cPP. The evaluator shall document the
methodology or approach taken while determining which actions in the administrative guide are security
relevant with respect to the cPP. The evaluator may perform this activity as part of the activities associated
with ensuring that the corresponding guidance documentation satisfies the requirements related to it.
Test
The evaluator shall test the TOE’s ability to correctly generate audit records by having the TOE generate
audit records for the events listed in the table of audit events and administrative actions listed above. This
should include all instances of an event: for instance, if there are several different I&A mechanisms for a
system, the FIA_UIA_EXT.1 events must be generated for each mechanism. The evaluator shall test that
audit records are generated for the establishment and termination of a channel for each of the
cryptographic protocols contained in the ST. If HTTPS is implemented, the test demonstrating the
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establishment and termination of a TLS session can be combined with the test for an HTTPS session.
Logging of all activities related to trusted update should be tested in detail and with utmost diligence.
When verifying the test results, the evaluator shall ensure the audit records generated during testing
match the format specified in the guidance documentation, and that the fields in each audit record have
the proper entries.
Note that the testing here can be accomplished in conjunction with the testing of the security mechanisms
directly.
6.1.1.2 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.
Assurance Activity
This activity should be accomplished in conjunction with the testing of FAU_GEN.1.1.
6.1.1.3 FAU_STG.1 Protected Audit Trail Storage
FAU_STG.1.1
The TSF shall protect the stored audit records in the audit trail from unauthorised deletion.
FAU_STG.1.2
The TSF shall be able to prevent unauthorised modifications to the stored audit records in the audit trail.
Assurance Activity
TSS
The evaluator shall examine the TSS to ensure it describes the amount of audit data that are stored locally
and how these records are protected against unauthorized modification or deletion. The evaluator shall
ensure that the TSS describes the conditions that must be met for authorized deletion of audit records.
Guidance
The evaluator shall examine the guidance documentation to determine that it describes any configuration
required for protection of the locally stored audit data against unauthorized modification or deletion.
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluator shall access the audit trail as an unauthorized administrator and attempt to
modify and delete the audit records. The evaluator shall verify that these attempts fail.
b) Test 2: The evaluator shall access the audit trail as an authorized administrator and attempt to
delete the audit records. The evaluator shall verify that these attempts succeed. The evaluator
shall verify that only the records authorized for deletion are deleted.
6.1.1.4 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 FTP_ITC.1.
Application Note 5
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For selecting the option of transmission of generated audit data to an external IT entity the TOE relies on
a non-TOE audit server for storage and review of audit records. The storage of these audit records and the
ability to allow the administrator to review these audit records is provided by the operational environment
in that case.
FAU_STG_EXT.1.2
The TSF shall be able to store generated audit data on the TOE itself.
FAU_STG_EXT.1.3
The TSF shall overwrite previous audit records according to the following rule: the oldest log file is
overwritten when the local storage space for audit data is full.
Application Note 6
The external log server might be used as alternative storage space in case the local storage space is full.
The ‘other action’ could in this case be defined as ‘send the new audit data to an external IT entity’.
Assurance Activity
TSS
The evaluator shall examine the TSS to ensure it describes the means by which the audit data are
transferred to the external audit server, and how the trusted channel is provided.
The evaluator shall examine the TSS to ensure it describes the amount of audit data that are stored locally;
what happens when the local audit data store is full; and how these records are protected against
unauthorized access.
If the TOE complies with FAU_STG_EXT.2 the evaluator shall verify that the numbers provided by the TOE
according to the selection for FAU_STG_EXT.2 are correct when performing the tests for
FAU_STG_EXT.1.3.
The evaluator shall examine the TSS to ensure that it details the behaviour of the TOE when the storage
space for audit data is full. When the option ‘overwrite previous audit record’ is selected this description
should include an outline of the rule for overwriting audit data. If ‘other actions’ are chosen such as
sending the new audit data to an external IT entity, then the related behaviour of the TOE shall also be
detailed in the TSS.
Guidance
The evaluator shall also examine the guidance documentation to ensure it describes how to establish the
trusted channel to the audit server, as well as describe any requirements on the audit server (particular
audit server protocol, version of the protocol required, etc.), as well as configuration of the TOE needed
to communicate with the audit server.
The evaluator shall also examine the guidance documentation to determine that it describes the
relationship between the local audit data and the audit data that are sent to the audit log server. For
example, when an audit event is generated, is it simultaneously sent to the external server and the local
store, or is the local store used as a buffer and “cleared” periodically by sending the data to the audit
server.
The evaluator shall also ensure that the guidance documentation describes all possible configuration
options for FAU_STG_EXT.1.3 and the resulting behaviour of the TOE for each possible configuration. The
description of possible configuration options and resulting behaviour shall correspond to those described
in the TSS.
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Test
Testing of the trusted channel mechanism for audit will be performed as specified in the associated
assurance activities for the particular trusted channel mechanism. The evaluator shall perform the
following additional test for this requirement:
a) Test 1: The evaluator shall establish a session between the TOE and the audit server according to
the configuration guidance provided. The evaluator shall then examine the traffic that passes
between the audit server and the TOE during several activities of the evaluator’s choice designed
to generate audit data to be transferred to the audit server. The evaluator shall observe that these
data are not able to be viewed in the clear during this transfer, and that they are successfully
received by the audit server. The evaluator shall record the particular software (name, version)
used on the audit server during testing.
The evaluator shall perform operations that generate audit data and verify that this data is stored locally.
The evaluator shall perform operations that generate audit data until the local storage space is exceeded
and verifies that the TOE complies with the behaviour defined in FAU_STG_EXT.1.3. Depending on the
configuration this means that the evaluator has to check the content of the audit data when the audit
data is just filled to the maximum and then verifies that:
a) The audit data remains unchanged with every new auditable event that should be tracked but
that the audit data is recorded again after the local storage for audit data is cleared (for the option
‘drop new audit data’ in FAU_STG_EXT.1.3).
b) The existing audit data is overwritten with every new auditable event that should be tracked
according to the specified rule (for the option ‘overwrite previous audit records’ in
FAU_STG_EXT.1.3)
c) The TOE behaves as specified (for the option ‘other action’ in FAU_STG_EXT.1.3).
6.1.1.5 FAU_STG_EXT.3 Display Warning for Local Storage Space
FAU_STG_EXT.3.1
The TSF shall generate a warning to inform the user before the local space to store audit data is used up
and/or the TOE will lose audit data due to insufficient local space.
Application Note 42
This option should be chosen if the TOE generates as warning to inform the user before the local storage
space for audit data is used up. This might be useful if auditable events are stored on local storage space
only.
It has to be ensured that the warning message required by FAU_STG_EXT.1.3 can be communicated to the
user. The communication should be done via the audit log itself because it cannot be guaranteed that an
administrative session is active at the time the event occurs.
Assurance Activity
TSS
The evaluator shall examine the TSS to ensure that it details how the user is warned before the local
storage for audit data is full.
Guidance
The evaluator shall also ensure that the guidance documentation describes how the user is warned before
the local storage for audit data is full and how this warning is displayed or stored (since there is no
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guarantee that an administrator session is running at the time the warning is issued, it is probably stored
in the log files). The description in the guidance documentation shall correspond to the description in the
TSS.
Test
The evaluator shall verify that a warning is issued by the TOE before the local storage space for audit data
is full.
6.1.2 Class FCS: Cryptographic Support
6.1.2.1 FCS_CKM.1 Cryptographic Key Generation
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-384 that meet the following: FIPS PUB 186-4,
“Digital Signature Standard (DSS)”, Appendix B.4.
Application Note 7
The ST author selects all key generation schemes used for key establishment and device authentication.
When key generation is used for key establishment, the schemes in FCS_CKM.2.1 and selected
cryptographic protocols must match the selection. When key generation is used for device authentication,
the public key is expected to be associated with an X.509v3 certificate.
If the TOE acts as a receiver in the RSA key establishment scheme, the TOE does not need to implement
RSA key generation.
If the TOE acts as a receiver in the key establishment schemes and is not configured to support mutual
authentication, the TOE does not need to implement key generation.
ST Application Note
FCS_CKM.1 Application Note 7b was updated as specified by TD0227.
Assurance Activity
TSS
The evaluator shall ensure that the TSS identifies the key sizes supported by the TOE. If the ST specifies
more than one scheme, the evaluator shall examine the TSS to verify that it identifies the usage for each
scheme.
Guidance
The evaluator shall verify that the AGD guidance instructs the administrator how to configure the TOE to
use the selected key generation scheme(s) and key size(s) for all uses defined in this PP.
Test
See Annex A for Algorithm Validation Assurance Activities.
6.1.2.2 FCS_CKM.2 Cryptographic Key Establishment
FCS_CKM.2.1
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The TSF shall perform cryptographic key establishment in accordance with a specified cryptographic key
establishment method:
 Elliptic curve-based key establishment schemes that meets the following: NIST Special
Publication 800-56A, “Recommendation for Pair-Wise Key Establishment Schemes Using
Discrete Logarithm Cryptography”.
Application Note 8
This is a refinement of the SFR FCS_CKM.2 to deal with key establishment rather than key distribution.
The ST author selects all key establishment schemes used for the selected cryptographic protocols.
The RSA-based key establishment schemes are described in Section 9 of NIST SP 800-56B; however, Section
9 relies on implementation of other sections in SP 800-56B. If the TOE acts as a receiver in the RSA key
establishment scheme, the TOE does not need to implement RSA key generation.
The elliptic curves used for the key establishment scheme correlate with the curves specified in
FCS_CKM.1.1.
The domain parameters used for the finite field-based key establishment scheme are specified by the key
generation according to FCS_CKM.1.1.
Assurance Activity
TSS
The evaluator shall ensure that the supported key establishment schemes correspond to the key
generation schemes identified in FCS_CKM.1.1. If the ST specifies more than one scheme, the evaluator
shall examine the TSS to verify that it identifies the usage for each scheme.
Guidance
The evaluator shall verify that the AGD guidance instructs the administrator how to configure the TOE to
use the selected key establishment scheme(s).
Test
See Annex A for Algorithm Validation Assurance Activities.
6.1.2.3 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 single overwrite
consisting of zeroes;
 For plaintext keys in non-volatile storage, the destruction shall be executed by the invocation
of an interface provided by the TSF that
o logically addresses the storage location of the key and performs a single, three-pass
overwrite consisting of a new value of the key, a pseudo-random pattern
o instructs a part of the TSF to destroy the abstraction that represents the key
that meets the following: No Standard.
Application Note
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In parts of the selections where keys are identified as being destroyed by “a part of the TSF”, the TSS
identifies the relevant part and the interface involved. The interface referenced in the requirement could
take different forms for different TOEs, the most likely of which is an application programming interface
to an OS kernel. There may be various levels of abstraction visible. For instance, in a given implementation
the application may have access to the file system details and may be able to logically address specific
memory locations. In another implementation the application may simply have a handle to a resource and
can only ask another part of the TSF such as the interpreter or OS to delete the resource.
Where different key destruction methods are used for different keys and/or different destruction situations
then the different methods and the keys/situations they apply to are described in the TSS (and the ST may
use separate iterations of the SFR to aid clarity). The TSS describes all relevant keys used in the
implementation of SFRs, including cases where the keys are stored in a non-plaintext form. In the case of
non-plaintext storage, the encryption method and relevant key-encrypting-key are identified in the TSS.
Some selections allow assignment of “a value that does not contain any CSP”. This means that the TOE
uses some specified data not drawn from an RBG meeting FCS_RBG_EXT requirements, and not being any
of the particular values listed as other selection options. The point of the phrase “does not contain any
CSP” is to ensure that the overwritten data is carefully selected, and not taken from a general pool that
might contain current or residual data that itself requires confidentiality protection.
Key destruction does not apply to the public component of asymmetric key pairs.
ST Application Note
FCS_CKM.4 was updated as specified by TD0130.
Assurance Activity
TSS
The evaluator shall check to ensure the TSS lists each type of plaintext key material and its origin and
storage location.
The evaluator shall verify that the TSS describes when each type of key material is cleared (for example,
on system power off, on wipe function, on disconnection of trusted channels, when no longer needed by
the trusted channel per the protocol, etc.).
The evaluator shall also verify that, for each type of key, the type of clearing procedure that is performed
(cryptographic erase, overwrite with zeros, overwrite with random pattern, or block erase) is listed. If
different types of memory are used to store the materials to be protected, the evaluator shall check to
ensure that the TSS describes the clearing procedure in terms of the memory in which the data are stored
(for example, "secret keys stored on flash are cleared by overwriting once with zeros, while secret keys
stored on the internal persistent storage device are cleared by overwriting three times with a random
pattern that is changed before each write").
6.1.2.4 FCS_COP.1(1) Cryptographic Operation (AES Data Encryption/Decryption)
FCS_COP.1.1(1)
The TSF shall perform encryption/decryption in accordance with a specified cryptographic algorithm AES
used in CBC, GCM mode and cryptographic key sizes 128 bits, 256 bits that meet the following: AES as
specified in ISO 18033-3, CBC as specified in ISO 10116, GCM as specified in ISO 19772.
Application Note 9
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For the first selection of FCS_COP.1.1(1), the ST author should choose the mode or modes in which AES
operates. For the second selection, the ST author should choose the key sizes that are supported by this
functionality. The modes and key sizes selected here correspond to the cipher suite selections made in the
trusted channel requirements.
Assurance Activity
Test
See Annex A for Algorithm Validation Assurance Activities.
6.1.2.5 FCS_COP.1(2) Cryptographic Operation (Signature Generation and Verification)
FCS_COP.1.1(2)
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, 3072 bits
 Elliptic Curve Digital Signature Algorithm and cryptographic key sizes 256 bits, 384 bits
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-384; ISO/IEC 14888-3, Section 6.4.
Application Note 10
The ST Author should choose the algorithm implemented to perform digital signatures. For the algorithm(s)
chosen, the ST author should make the appropriate assignments/selections to specify the parameters that
are implemented for that algorithm.
ST Application Note
FCS_COP.1(2) was updated according to TD0116 and TD0199.
Assurance Activity
Test
See Annex A for Algorithm Validation Assurance Activities.
6.1.2.6 FCS_COP.1(3) Cryptographic Operation (Hash Algorithm)
FCS_COP.1.1(3)
The TSF shall perform cryptographic hashing services in accordance with a specified cryptographic
algorithm SHA-1, SHA-256, SHA-384, SHA-512 that meet the following: ISO/IEC 10118-3:2004.
Application Note 11
Vendors are strongly encouraged to implement updated protocols that support the SHA-2 family; until
updated protocols are supported, this PP allows support for SHA-1 implementations in compliance with SP
800-131A. The hash selection should be consistent with the overall strength of the algorithm used for
FCS_COP.1(1) and FCS_COP.1(2) (for example, SHA 256 for 128-bit keys).
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Assurance Activity
TSS
The evaluator shall check that the association of the hash function with other TSF cryptographic functions
(for example, the digital signature verification function) is documented in the TSS.
Guidance
The evaluator checks the AGD documents to determine that any configuration that is required to
configure the required hash sizes is present.
Test
See Annex A for Algorithm Validation Assurance Activities.
6.1.2.7 FCS_COP.1(4) Cryptographic Operation (Keyed Hash Algorithm)
FCS_COP.1.1(4)
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 128 bits, 160 bits,
192 bits, 256 bits, 352 bits, 384 bits and message digest sizes 160, 256, 384 bits that meet the following:
ISO/IEC 9797-2:2011, Section 7 “MAC Algorithm 2”.
Application Note 12
The key size [k] in the assignment falls into a range between L1 and L2 (defined in ISO/IEC 10118 for the
appropriate hash function). For example, for SHA-256, L1=512, L2=256, where L2<=k<=L1.
Assurance Activity
TSS
The evaluator shall examine the TSS to ensure that it specifies the following values used by the HMAC
function: key length, hash function used, block size, and output MAC length used.
Test
For each of the supported parameter sets, the evaluator shall compose 15 sets of test data. Each set shall
consist of a key and message data. The evaluator shall have the TSF generate HMAC tags for these sets of
test data. The resulting MAC tags shall be compared to the result of generating HMAC tags with the same
key and IV using a known good implementation.
6.1.2.8 FCS_HTTPS_EXT.1 HTTPS Protocol
FCS_HTTPS_EXT.1.1
The TSF shall implement the HTTPS protocol that complies with RFC 2818.
Application Note 50
The ST author must provide enough detail to determine how the implementation is complying with the
standard(s) identified; this can be done either by adding elements to this component, or by additional
detail in the TSS.
FCS_HTTPS_EXT.1.2
The TSF shall implement HTTPS using TLS.
FCS_HTTPS_EXT.1.3
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The TSF shall establish the connection only if the peer presents a valid certificate during handshake, the
peer initiates the handshake.
Application Note 51
Select ‘the peer presents a valid certificate’ if the TOE acts as a client, or if mutual certificate-based
authentication is enforced when the TOE acts as a client or a server. Certificate validity must be determined
according to FIA_X509_EXT.1/Rev if HTTPS is used for FPT_TRP.1/Admin or FTP_ITC.1, and on
FIA_X509_EXT.1/ITT if HTTPS is used for FPT_ITT.1.
Select ‘the peer initiates handshake’ if the TOE acts as a server that does not enforce mutual certificate-
based authentication. It is understood that in such cases peer authentication is achieved by other means.
ST Application Note
FCS_HTTPS_EXT.1.3 was updated as specified by TD0125.
Assurance Activity
TSS
The evaluator shall check that the TSS describes how peer authentication is implemented when HTTPS
protocol is used.
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluator shall attempt to establish an HTTPS connection with a web server, observe
the traffic with a packet analyzer, and verify that the connection succeeds and that the traffic is
identified as TLS or HTTPS.
Other tests are performed in conjunction with the TLS evaluation activities.
If ‘the peer presents a valid certificate during handshake’ is selected in FCS_HTTPS_EXT.1.3, then
certificate validity shall be tested in accordance with testing performed for FIA_X509_EXT.1 if HTTPS is
used for FTP_TRP.1 or FTP_ITC.1.
6.1.2.9 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 CTR_DRBG (AES).
FCS_RBG_EXT.1.2
The deterministic RBG shall be seeded by at least one entropy source that accumulates entropy from 2
hardware-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.
Application Note 13
For the first selection in FCS_RBG_EXT.1.2, the ST selects at least one of the types of noise sources. If the
TOE contains multiple noise sources of the same type, the ST author fills the assignment with the
appropriate number for each type of source (e.g., 2 software-based noise sources, 1 hardware-based noise
source). The documentation and tests required in the Evaluation Activity for this element necessarily cover
each source indicated in the ST.
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ISO/IEC 18031:2011 contains three different methods of generating random numbers; each of these, in
turn, depends on underlying cryptographic primitives (hash functions/ciphers). The ST author will select
the function used, and include the specific underlying cryptographic primitives used in the requirement.
While any of the identified hash functions (SHA-1, SHA-224, SHA-256, SHA-384, SHA-512) are allowed for
Hash_DRBG or HMAC_DRBG, only AES-based implementations for CTR_DRBG are allowed.
If the key length for the AES implementation used here is different than that used to encrypt the user data,
then FCS_COP.1 may have to be adjusted or iterated to reflect the different key length. For the selection in
FCS_RBG_EXT.1.2, the ST author selects the minimum number of bits of entropy that is used to seed the
RBG.
Assurance Activity
Documentation shall be produced—and the evaluator shall perform the activities—in accordance with
Appendix D of [NDcPP].
Test
The evaluator shall perform 15 trials for the RNG implementation. If the RNG is configurable, the evaluator
shall perform 15 trials for each configuration. The evaluator shall also confirm that the guidance
documentation contains appropriate instructions for configuring the RNG functionality.
If the RNG has prediction resistance enabled, each trial consists of (1) instantiate DRBG, (2) generate the
first block of random bits (3) generate a second block of random bits (4) uninstantiate. The evaluator
verifies that the second block of random bits is the expected value. The evaluator shall generate eight
input values for each trial. The first is a count (0 –14). The next three are entropy input, nonce, and
personalization string for the instantiate operation. The next two are additional input and entropy input
for the first call to generate. The final two are additional input and entropy input for the second call to
generate. These values are randomly generated. “generate one block of random bits” means to generate
random bits with number of returned bits equal to the Output Block Length (as defined in NIST SP800-
90A).
If the RNG does not have prediction resistance, each trial consists of (1) instantiate DRBG, (2) generate
the first block of random bits (3) reseed, (4) generate a second block of random bits (5) uninstantiate. The
evaluator verifies that the second block of random bits is the expected value. The evaluator shall generate
eight input values for each trial. The first is a count (0 –14). The next three are entropy input, nonce, and
personalization string for the instantiate operation. The fifth value is additional input to the first call to
generate. The sixth and seventh are additional input and entropy input to the call to reseed. The final
value is additional input to the second generate call.
The following paragraphs contain more information on some of the input values to be generated/selected
by the evaluator.
Entropy input: the length of the entropy input value must equal the seed length.
Nonce: If a nonce is supported (CTR_DRBG with no Derivation Function does not use a nonce), the nonce
bit length is one-half the seed length.
Personalization string: The length of the personalization string must be <= seed length. If the
implementation only supports one personalization string length, then the same length can be used for
both values. If more than one string length is support, the evaluator shall use personalization strings of
two different lengths. If the implementation does not use a personalization string, no value needs to be
supplied.
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Additional input: the additional input bit lengths have the same defaults and restrictions as the
personalization string lengths.
6.1.2.10 FCS_TLSC_EXT.1 TLS Client Protocol
FCS_TLSC_EXT.1.1
The TSF shall implement TLS 1.2 (RFC 5246), TLS 1.1 (RFC 4346) supporting the following ciphersuites:
 TLS_RSA_WITH_AES_128_CBC_SHA as defined in RFC 3268
 TLS_RSA_WITH_AES_256_CBC_SHA256 as defined in RFC 5246
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384 as defined in RFC 5289
 TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5289
 TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384 as defined in RFC 5289
Application Note 74
The ciphersuites to be tested in the evaluated configuration are limited by this requirement. The ST author
should select the ciphersuites that are supported. It is necessary to limit the ciphersuites that can be used
in an evaluated configuration administratively on the server in the test environment. Note that RFC 5246
makes TLS_RSA_WITH_AES_128_CBC_SHA a mandatory ciphersuite, but it is treated as optional for the
purposes of conformance with this cPP (i.e. the selection of ‘TLS 1.2 (RFC 5246)’ will be accepted as
conformant with this SFR even if TLS_RSA_WITH_AES_128_CBC_SHA is not one of the ciphersuites listed
in the ST).
These requirements will be revisited as new TLS versions are standardized by the IETF.
In a future version of this cPP TLS v1.2 will be required for all TOEs.
ST Application Note
FCS_TLSS_EXT.1.1 SFR text and Application Note 83 were updated as specified by TD0226.
FCS_TLSC_EXT.1.1 Test 5d was updated according to TD0165.
Assurance Activity
TSS
The evaluator shall check the description of the implementation of this protocol in the TSS to ensure that
the ciphersuites supported are specified. The evaluator shall check the TSS to ensure that the ciphersuites
specified include those listed for this component.
Guidance
The evaluator shall also check the guidance documentation to ensure that it contains instructions on
configuring the TOE so that TLS conforms to the description in the TSS.
Test
Test 1: The evaluator shall establish a TLS connection using each of the ciphersuites specified by the
requirement. This connection may be established as part of the establishment of a higher-level protocol,
e.g., as part of an HTTPS session. It is sufficient to observe the successful negotiation of a ciphersuite to
satisfy the intent of the test; it is not necessary to examine the characteristics of the encrypted traffic in
an attempt to discern the ciphersuite being used (for example, that the cryptographic algorithm is 128-bit
AES and not 256-bit AES).
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Test 2: The evaluator shall attempt to establish the connection using a server with a server certificate that
contains the Server Authentication purpose in the extendedKeyUsage field and verify that a connection is
established. The evaluator will then verify that the client rejects an otherwise valid server certificate that
lacks the Server Authentication purpose in the extendedKeyUsage field and a connection is not
established. Ideally, the two certificates should be identical except for the extendedKeyUsage field.
Test 3: The evaluator shall send a server certificate in the TLS connection that the does not match the
server-selected ciphersuite (for example, send a ECDSA certificate while using the
TLS_RSA_WITH_AES_128_CBC_SHA ciphersuite).The evaluator shall verify that the TOE disconnects after
receiving the server’s Certificate handshake message.
Test 4: The evaluator shall configure the server to select the TLS_NULL_WITH_NULL_NULL ciphersuite and
verify that the client denies the connection. Test 2 in FCS_TLSS_EXT.1.1 or FCS_TLSS_EXT.2.1 can be used
as a substitute for this test.
Test 5: The evaluator perform the following modifications to the traffic:
a) Change the TLS version selected by the server in the Server Hello to a non-supported TLS version
(for example 1.3 represented by the two bytes 03 04) and verify that the client rejects the
connection.
b) Modify at least one byte in the server’s nonce in the Server Hello handshake message, and verify
that the client rejects the Server Key Exchange handshake message (if using a DHE or ECDHE
ciphersuite) or that the server denies the client’s Finished handshake message.
c) Modify the server’s selected ciphersuite in the Server Hello handshake message to be a
ciphersuite not presented in the Client Hello handshake message. The evaluator shall verify that
the client rejects the connection after receiving the Server Hello.
d) Modify the signature block in the Server’s Key Exchange handshake message, and verify that the
client rejects the connection after receiving the Server Key Exchange message. This test does not
apply to cipher suites using RSA key exchange. If a TOE only supports RSA key exchange in
conjunction with TLS then this test shall be omitted.
e) Modify a byte in the Server Finished handshake message, and verify that the client sends a fatal
alert upon receipt and does not send any application data.
f) Send a garbled message from the Server after the Server has issued the ChangeCipherSpec
message and verify that the client denies the connection.
FCS_TLSC_EXT.1.2
The TSF shall verify that the presented identifier matches the reference identifier according to RFC 6125.
Application Note 75
The rules for verification of identify are described in Section 6 of RFC 6125. The reference identifier is
established by the user (e.g. entering a URL into a web browser or clicking a link), by configuration (e.g.
configuring the name of a mail server or authentication server), or by an application (e.g. a parameter of
an API) depending on the application service. Based on a singular reference identifier’s source domain and
application service type (e.g. HTTP, SIP, LDAP), the client establishes all reference identifiers which are
acceptable, such as a Common Name for the Subject Name field of the certificate and a (case-insensitive)
DNS name, URI name, and Service Name for the Subject Alternative Name field. The client then compares
this list of all acceptable reference identifiers to the presented identifiers in the TLS server’s certificate.
The preferred method for verification is the Subject Alternative Name using DNS names, URI names, or
Service Names. Verification using the Common Name is required for the purposes of backwards
compatibility. Additionally, support for use of IP addresses in the Subject Name or Subject Alternative name
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is discouraged as against best practices but may be implemented. Finally, the client should avoid
constructing reference identifiers using wildcards. However, if the presented identifiers include wildcards,
the client must follow the best practices regarding matching; these best practices are captured in the
assurance activity.
Assurance Activity
TSS
The evaluator shall ensure that the TSS describes the client’s method of establishing all reference
identifiers from the administrator/application-configured reference identifier, including which types of
reference identifiers are supported (e.g. Common Name, DNS Name, URI Name, Service Name, or other
application-specific Subject Alternative Names) and whether IP addresses and wildcards are supported.
The evaluator shall ensure that this description identifies whether and the manner in which certificate
pinning is supported or used by the TOE.
Guidance
The evaluator shall verify that the AGD guidance includes instructions for setting the reference identifier
to be used for the purposes of certificate validation in TLS.
Test
The evaluator shall configure the reference identifier according to the AGD guidance and perform the
following tests during a TLS connection:
a) Test 1: The evaluator shall present a server certificate that does not contain an identifier in either
the Subject Alternative Name (SAN) or Common Name (CN) that matches the reference identifier.
The evaluator shall verify that the connection fails.
b) Test 2: The evaluator shall present a server certificate that contains a CN that matches the
reference identifier, contains the SAN extension, but does not contain an identifier in the SAN
that matches the reference identifier. The evaluator shall verify that the connection fails. The
evaluator shall repeat this test for each supported SAN type.
c) Test 3: The evaluator shall present a server certificate that contains a CN that matches the
reference identifier and does not contains the SAN extension. The evaluator shall verify that the
connection succeeds.
d) Test 4: The evaluator shall present a server certificate that contains a CN that does not match the
reference identifier but does contain an identifier in the SAN that matches. The evaluator shall
verify that the connection succeeds.
e) Test 5: The evaluator shall perform the following wildcard tests with each supported type of
reference identifier:
1) The evaluator shall present a server certificate containing a wildcard that is not in the left-
most label of the presented identifier (e.g. foo.*.example.com) and verify that the
connection fails.
2) The evaluator shall present a server certificate containing a wildcard in the left-most label
(e.g. *.example.com). The evaluator shall configure the reference identifier with a single
left-most label (e.g. foo.example.com) and verify that the connection succeeds. The
evaluator shall configure the reference identifier without a left-most label as in the
certificate (e.g. example.com) and verify that the connection fails. The evaluator shall
configure the reference identifier with two left-most labels (e.g. bar.foo.example.come)
and verify that the connection fails.
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f) Test 6: [conditional] If URI or Service name reference identifiers are supported, the evaluator shall
configure the DNS name and the service identifier. The evaluator shall present a server certificate
containing the correct DNS name and service identifier in the URIName or SRVName fields of the
SAN and verify that the connection succeeds. The evaluator shall repeat this test with the wrong
service identifier (but correct DNS name) and verify that the connection fails.
g) Test 7: [conditional] If pinned certificates are supported the evaluator shall present a certificate
that does not match the pinned certificate and verify that the connection fails.
FCS_TLSC_EXT.1.3
The TSF shall only establish a trusted channel if the peer certificate is valid.
Application Note 76
Validity is determined by the identifier verification, certificate path, the expiration date, and the revocation
status in accordance with RFC 5280. Certificate validity is tested in accordance with testing performed for
FIA_X509_EXT.1.
Assurance Activity
Test
Test 1: The evaluator shall demonstrate that using a certificate without a valid certification path results in
the function failing. Using the administrative guidance, the evaluator shall then load a certificate or
certificates needed to validate the certificate to be used in the function, and demonstrate that the
function succeeds. If the certificate is validated and a trusted channel is established, the test passes. The
evaluator then shall delete one of the certificates, and show that the certificate is not validated and the
trusted channel is not established.
FCS_TLSC_EXT.1.4
The TSF shall present the Supported Elliptic Curves Extension in the Client Hello with the following NIST
curves: secp256r1, secp384r1 and no other curves.
Application Note 77
If ciphersuites with elliptic curves were selected in FCS_TLSC_EXT.1.1, a selection of one or more curves is
required. If no ciphersuites with elliptic curves were selected in FCS_TLS_EXT.1.1, then ‘none’ should be
selected. This requirement limits the elliptic curves allowed for authentication and key agreement to the
NIST curves from FCS_COP.1(2) and FCS_CKM.1 and FCS_CKM.2. This extension is required for clients
supporting Elliptic Curve ciphersuites.
Assurance Activity
TSS
The evaluator shall verify that TSS describes the Supported Elliptic Curves Extension and whether the
required behaviour is performed by default or may be configured.
Guidance
If the TSS indicates that the Supported Elliptic Curves Extension must be configured to meet the
requirement, the evaluator shall verify that AGD guidance includes configuration of the Supported Elliptic
Curves Extension.
Test
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Test 1: The evaluator shall configure the server to perform an ECDHE key exchange in the TLS connection
using a non-supported curve (for example P-192) and shall verify that the TOE disconnects after receiving
the server’s Key Exchange handshake message.
6.1.2.11 FCS_TLSC_EXT.2 Extended: TLS Client Protocol with Authentication
FCS_TLSC_EXT.2.1
The TSF shall implement TLS 1.2 (RFC 5246), TLS 1.1 (RFC 4346) supporting the following ciphersuites:
 TLS_RSA_WITH_AES_128_CBC_SHA as defined in RFC 3268
 TLS_RSA_WITH_AES_256_CBC_SHA as defined in RFC 3268
 TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA as defined in RFC 4492
 TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA as defined in RFC 4492
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA as defined in RFC 4492
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA as defined in RFC 4492
 TLS_RSA_WITH_AES_128_CBC_SHA256 as defined in RFC 5246
 TLS_RSA_WITH_AES_256_CBC_SHA256 as defined in RFC 5246
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256 as defined in RFC 5289
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_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
 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
Application Note 78
The ciphersuites to be tested in the evaluated configuration are limited by this requirement. The ST author
should select the ciphersuites that are supported. It is necessary to limit the ciphersuites that can be used
in an evaluated configuration administratively on the server in the test environment. Note that RFC 5246
makes TLS_RSA_WITH_AES_128_CBC_SHA a mandatory ciphersuite, but it is treated as optional for the
purposes of conformance with this cPP (i.e. the selection of ‘TLS 1.2 (RFC 5246)’ will be accepted as
conformant with this SFR even if TLS_RSA_WITH_AES_128_CBC_SHA is not one of the ciphersuites listed
in the ST).
These requirements will be revisited as new TLS versions are standardized by the IETF.
In a future version of this cPP TLS v1.2 will be required for all TOEs.
ST Application Note
FCS_TLSC_EXT.2.1 SFR text and Application Note 78 were updated as specified by TD0226.
FCS_TLSC_EXT.1.1 Test 5d was updated according to TD0165.
Assurance Activity
TSS
The evaluator shall check the description of the implementation of this protocol in the TSS to ensure that
the ciphersuites supported are specified. The evaluator shall check the TSS to ensure that the ciphersuites
specified include those listed for this component.
Guidance
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The evaluator shall also check the guidance documentation to ensure that it contains instructions on
configuring the TOE so that TLS conforms to the description in the TSS.
Test
Test 1: The evaluator shall establish a TLS connection using each of the ciphersuites specified by the
requirement. This connection may be established as part of the establishment of a higher-level protocol,
e.g., as part of an HTTPS session. It is sufficient to observe the successful negotiation of a ciphersuite to
satisfy the intent of the test; it is not necessary to examine the characteristics of the encrypted traffic in
an attempt to discern the ciphersuite being used (for example, that the cryptographic algorithm is 128-bit
AES and not 256-bit AES).
Test 2: The evaluator shall attempt to establish the connection using a server with a server certificate that
contains the Server Authentication purpose in the extendedKeyUsage field and verify that a connection is
established. The evaluator will then verify that the client rejects an otherwise valid server certificate that
lacks the Server Authentication purpose in the extendedKeyUsage field and a connection is not
established. Ideally, the two certificates should be identical except for the extendedKeyUsage field.
Test 3: The evaluator shall send a server certificate in the TLS connection that the does not match the
server-selected ciphersuite (for example, send a ECDSA certificate while using the
TLS_RSA_WITH_AES_128_CBC_SHA ciphersuite.) The evaluator shall verify that the TOE disconnects after
receiving the server’s Certificate handshake message.
Test 4: The evaluator shall configure the server to select the TLS_NULL_WITH_NULL_NULL ciphersuite and
verify that the client denies the connection. Test 2 in FCS_TLSS_EXT.1.1 or FCS_TLSS_EXT.2.1 can be used
as a substitute for this test.
Test 5: The evaluator perform the following modifications to the traffic:
a) Change the TLS version selected by the server in the Server Hello to a non-supported TLS version
(for example 1.3 represented by the two bytes 03 04) and verify that the client rejects the
connection.
b) Modify at least one byte in the server’s nonce in the Server Hello handshake message, and verify
that the client rejects the Server Key Exchange handshake message (if using a DHE or ECDHE
ciphersuite) or that the server denies the client’s Finished handshake message.
c) Modify the server’s selected ciphersuite in the Server Hello handshake message to be a
ciphersuite not presented in the Client Hello handshake message. The evaluator shall verify that
the client rejects the connection after receiving the Server Hello.
d) Modify the signature block in the Server’s Key Exchange handshake message, and verify that the
client rejects the connection after receiving the Server Key Exchange message. This test does not
apply to cipher suites using RSA key exchange. If a TOE only supports RSA key exchange in
conjunction with TLS then this test shall be omitted.
e) Modify a byte in the Server Finished handshake message, and verify that the client sends a fatal
alert upon receipt and does not send any application data.
f) Send a garbled message from the Server after the Server has issued the ChangeCipherSpec
message and verify that the client denies the connection.
FCS_TLSC_EXT.2.2
The TSF shall verify that the presented identifier matches the reference identifier according to RFC 6125.
Application Note 79
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The rules for verification of identify are described in Section 6 of RFC 6125. The reference identifier is
established by the user (e.g. entering a URL into a web browser or clicking a link), by configuration (e.g.
configuring the name of a mail server or authentication server), or by an application (e.g. a parameter of
an API) depending on the application service. Based on a singular reference identifier’s source domain and
application service type (e.g. HTTP, SIP, LDAP), the client establishes all reference identifiers which are
acceptable, such as a Common Name for the Subject Name field of the certificate and a (case-insensitive)
DNS name, URI name, and Service Name for the Subject Alternative Name field. The client then compares
this list of all acceptable reference identifiers to the presented identifiers in the TLS server’s certificate. The
preferred method for verification is the Subject Alternative Name using DNS names, URI names, or Service
Names. Verification using the Common Name is required for the purposes of backwards compatibility.
Additionally, support for use of IP addresses in the Subject Name or Subject Alternative name is
discouraged as against best practices but may be implemented. Finally, the client should avoid
constructing reference identifiers using wildcards. However, if the presented identifiers include wildcards,
the client must follow the best practices regarding matching; these best practices are captured in the
assurance activity.
Assurance Activity
TSS
The evaluator shall ensure that the TSS describes the client’s method of establishing all reference
identifiers from the administrator/application-configured reference identifier, including which types of
reference identifiers are supported (e.g. Common Name, DNS Name, URI Name, Service Name, or other
application-specific Subject Alternative Names) and whether IP addresses and wildcards are supported.
The evaluator shall ensure that this description identifies whether and the manner in which certificate
pinning is supported or used by the TOE.
Guidance
The evaluator shall verify that the AGD guidance includes instructions for setting the reference identifier
to be used for the purposes of certificate validation in TLS.
Test
The evaluator shall configure the reference identifier according to the AGD guidance and perform the
following tests during a TLS connection:
a) Test 1: The evaluator shall present a server certificate that does not contain an identifier in either
the Subject Alternative Name (SAN) or Common Name (CN) that matches the reference identifier.
The evaluator shall verify that the connection fails.
b) Test 2: The evaluator shall present a server certificate that contains a CN that matches the
reference identifier, contains the SAN extension, but does not contain an identifier in the SAN
that matches the reference identifier. The evaluator shall verify that the connection fails. The
evaluator shall repeat this test for each supported SAN type.
c) Test 3: The evaluator shall present a server certificate that contains a CN that matches the
reference identifier and does not contains the SAN extension. The evaluator shall verify that the
connection succeeds.
d) Test 4: The evaluator shall present a server certificate that contains a CN that does not match the
reference identifier but does contain an identifier in the SAN that matches. The evaluator shall
verify that the connection succeeds.
e) Test 5: The evaluator shall perform the following wildcard tests with each supported type of
reference identifier:
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1) The evaluator shall present a server certificate containing a wildcard that is not in the left-
most label of the presented identifier (e.g. foo.*.example.com) and verify that the connection
fails.
2) The evaluator shall present a server certificate containing a wildcard in the left-most label
(e.g. *.example.com). The evaluator shall configure the reference identifier with a single left-
most label (e.g. foo.example.com) and verify that the connection succeeds. The evaluator
shall configure the reference identifier without a left-most label as in the certificate (e.g.
example.com) and verify that the connection fails. The evaluator shall configure the reference
identifier with two left-most labels (e.g. bar.foo.example.come) and verify that the
connection fails.
f) Test 6: [conditional] If URI or Service name reference identifiers are supported, the evaluator shall
configure the DNS name and the service identifier. The evaluator shall present a server certificate
containing the correct DNS name and service identifier in the URIName or SRVName fields of the
SAN and verify that the connection succeeds. The evaluator shall repeat this test with the wrong
service identifier (but correct DNS name) and verify that the connection fails.
g) Test 7: [conditional] If pinned certificates are supported the evaluator shall present a certificate
that does not match the pinned certificate and verify that the connection fails.
FCS_TLSC_EXT.2.3
The TSF shall only establish a trusted channel if the peer certificate is valid.
Application Note 80
Validity is determined by the identifier verification, certificate path, the expiration date, and the revocation
status in accordance with RFC 5280. Certificate validity shall be tested in accordance with testing
performed for FIA_X509_EXT.1.
Assurance Activity
Test
Test 1: The evaluator shall demonstrate that using a certificate without a valid certification path results in
the function failing. Using the administrative guidance, the evaluator shall then load a certificate or
certificates needed to validate the certificate to be used in the function, and demonstrate that the
function succeeds. If the certificate is validated and a trusted channel is established, the test passes. The
evaluator then shall delete one of the certificates, and show that the certificate is not validated and the
trusted channel is not established.
FCS_TLSC_EXT.2.4
The TSF shall present the Supported Elliptic Curves Extension in the Client Hello with the following NIST
curves: secp256r1, secp384r1 and no other curves.
Application Note 81
If ciphersuites with elliptic curves were selected in FCS_TLSC_EXT.2.1, a selection of one or more curves is
required. If no ciphersuites with elliptic curves were selected in FCS_TLS_EXT.2.1, then ‘none’ should be
selected. This requirement limits the elliptic curves allowed for authentication and key agreement to the
NIST curves from FCS_COP.1(2) and FCS_CKM.1 and FCS_CKM.2. This extension is required for clients
supporting Elliptic Curve ciphersuites.
Assurance Activity
TSS
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The evaluator shall verify that TSS describes the Supported Elliptic Curves Extension and whether the
required behaviour is performed by default or may be configured.
Guidance
If the TSS indicates that the Supported Elliptic Curves Extension must be configured to meet the
requirement, the evaluator shall verify that AGD guidance includes configuration of the Supported Elliptic
Curves Extension.
Test
Test 1: The evaluator shall configure the server to perform an ECDHE key exchange in the TLS connection
using a non-supported curve (for example P-192) and shall verify that the TOE disconnects after receiving
the server’s Key Exchange handshake message.
FCS_TLSC_EXT.2.5
The TSF shall support mutual authentication using X.509v3 certificates.
Application Note 82
The use of X.509v3 certificates for TLS is addressed in FIA_X509_EXT.2.1. This requirement adds that the
client must be capable of presenting a certificate to a TLS server for TLS mutual authentication.
Assurance Activity
TSS
The evaluator shall ensure that the TSS description required per FIA_X509_EXT.2.1 includes the use of
client-side certificates for TLS mutual authentication.
Guidance
The evaluator shall verify that the AGD guidance required per FIA_X509_EXT.2.1 includes instructions for
configuring the client-side certificates for TLS mutual authentication.
Test
Test 1: The evaluator shall perform the following modification to the traffic:
a) Configure the server to require mutual authentication and then modify a byte in a CA field in the
Server’s Certificate Request handshake message. The modified CA field must not be the CA used
to sign the client’s certificate. The evaluator shall verify the connection fails.
6.1.2.12 FCS_TLSS_EXT.1 TLS Server Protocol
FCS_TLSS_EXT.1.1
The TSF shall implement TLS 1.2 (RFC 5246), TLS 1.1 (RFC 4346) supporting the following ciphersuites:
 TLS_RSA_WITH_AES_128_CBC_SHA as defined in RFC 3268
 TLS_RSA_WITH_AES_256_CBC_SHA as defined in RFC 3268
 TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA as defined in RFC 4492
 TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA as defined in RFC 4492
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA as defined in RFC 4492
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA as defined in RFC 4492
 TLS_RSA_WITH_AES_128_CBC_SHA256 as defined in RFC 5246
 TLS_RSA_WITH_AES_256_CBC_ SHA256 as defined in RFC 5246
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 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256 as defined in RFC 5289
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_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
 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.
Application Note 83
The ciphersuites to be tested in the evaluated configuration are limited by this requirement. The ST author
should select the ciphersuites that are supported. It is necessary to limit the ciphersuites that can be used
in an evaluated configuration administratively on the server in the test environment. Note that RFC 5246
makes TLS_RSA_WITH_AES_128_CBC_SHA a mandatory ciphersuite, but it is treated as optional for the
purposes of conformance with this cPP (i.e. the selection of ‘TLS 1.2 (RFC 5246)’ will be accepted as
conformant with this SFR even if TLS_RSA_WITH_AES_128_CBC_SHA is not one of the ciphersuites listed
in the ST).
These requirements will be revisited as new TLS versions are standardized by the IETF.
In a future version of this cPP TLS v1.2 will be required for all TOEs.
ST Application Note
FCS_TLSS_EXT.1.1 SFR text and Application Note 83 were updated as specified by TD0226.
Assurance Activity
TSS
The evaluator shall check the description of the implementation of this protocol in the TSS to ensure that
the ciphersuites supported are specified. The evaluator shall check the TSS to ensure that the ciphersuites
specified are identical to those listed for this component.
Guidance
The evaluator shall also check the guidance documentation to ensure that it contains instructions on
configuring the TOE so that TLS conforms to the description in the TSS (for instance, the set of ciphersuites
advertised by the TOE may have to be restricted to meet the requirements).
Test
Test 1: The evaluator shall establish a TLS connection using each of the ciphersuites specified by the
requirement. This connection may be established as part of the establishment of a higher-level protocol,
e.g., as part of an HTTPS session. It is sufficient to observe the successful negotiation of a ciphersuite to
satisfy the intent of the test; it is not necessary to examine the characteristics of the encrypted traffic in
an attempt to discern the ciphersuite being used (for example, that the cryptographic algorithm is 128-bit
AES and not 256-bit AES).
Test 2: The evaluator shall send a Client Hello to the server with a list of ciphersuites that does not contain
any of the ciphersuites in the server’s ST and verify that the server denies the connection. Additionally,
the evaluator shall send a Client Hello to the server containing only the TLS_NULL_WITH_NULL_NULL
ciphersuite and verify that the server denies the connection.
Test 3: The evaluator shall use a client to send a key exchange message in the TLS connection that does
not match the server-selected ciphersuite (for example, send an ECDHE key exchange while using the
TLS_RSA_WITH_AES_128_CBC_SHA ciphersuite or send a RSA key exchange while using one of the ECDSA
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ciphersuites.) The evaluator shall verify that the TOE either sends an alert after receiving the client’s
ChangeCipherSpec message or Finished message; or terminates the connection after receiving the client's
ChangeCipherSpec message or Finished message.
Test 4: The evaluator shall perform the following modifications to the traffic:
c) Modify a byte in the Client Finished handshake message, and verify that the server rejects the
connection and does not send any application data.
d) After generating a fatal alert by sending a Finished message from the client before the client sends
a ChangeCipherSpec message, send a Client Hello with the session identifier from the previous
test, and verify that the server denies the connection.
e) Send a garbled message from the client after the client has issued the ChangeCipherSpec message
and verify that the Server denies the connection.
ST Application Note
FCS_TLSS_EXT.1.1 Test Assurance Activities were updated as specified by TD143 and TD0151.
FCS_TLSS_EXT.1.2
The TSF shall deny connections from clients requesting SSL 2.0, SSL 3.0, TLS 1.0, and none.
Application Note 84
All SSL versions and TLS v1.0 shall be denied. Any TLS versions not selected in FCS_TLSS_EXT.1.1 should be
selected here.
ST Application Note
FCS_TLSS_EXT.1.2 was updated as specified by TD0143 and TD0156.
Assurance Activity
TSS
The evaluator shall verify that the TSS contains a description of the denial of old SSL and TLS versions.
Guidance
The evaluator shall verify that any configuration necessary to meet the requirement must be contained in
the AGD guidance
Test
The evaluator shall send a Client Hello requesting a connection for all mandatory and selected protocol
versions in the SFR (e.g. by enumeration of protocol versions in a test client) and verify that the server
denies the connection for each attempt.
FCS_TLSS_EXT.1.3
The TSF shall perform RSA key establishment with key size 2048 bits, 3072 bits; generate EC Diffie-Hellman
parameters over NIST curves secp256r1, secp384r1 and no other curves.
Application Note 85
If the ST lists a DHE or ECDHE ciphersuite in FCS_TLSS_EXT.1.1, the ST must include the Diffie-Hellman or
NIST curves selection in the requirement. FMT_SMF.1 requires the configuration of the key agreement
parameters in order to establish the security strength of the TLS connection.
ST Application Note
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FCS_TLSS_EXT.1.3 SFR text was updated as specified by TD0226.
Assurance Activity
TSS
The evaluator shall verify that the TSS describes the key agreement parameters of the server key exchange
message.
Guidance
The evaluator shall verify that any configuration necessary to meet the requirement must be contained in
the AGD guidance.
Test
The evaluator shall attempt establishing connection using each claimed key establishment protocol (RSA,
DH, ECDHE) with each claimed parameter (RSA key size, Diffie-Hellman parameters, supported curves) as
selected in FCS_TLSS_EXT.1.3 (or FCS_TLSS_EXT.2.3). For example, determining that the RSA key size
matches the claimed size is sufficient to satisfy this test. The evaluator shall ensure that each supported
parameter combination is tested.
Note that this testing can be accomplished in conjunction with the other testing activities.
ST Application Note
FCS_TLSS_EXT.1.3 Test Assurance Activities were updated according to TD0155.
6.1.3 Class FIA: Identification and Authentication
6.1.3.1 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 settable by the Security Administrator, and shall support
passwords of 15 characters or greater.
Application Note 14
The ST author selects the special characters that are supported by TOE; they may optionally list additional
special characters supported using the assignment. "Administrative passwords“ refers to passwords used
by administrators at the local console, over protocols that support passwords, such as SSH and HTTPS, or
to grant configuration data that supports other SFRs in the Security Target.
Assurance Activity
Guidance
The evaluator shall examine the guidance documentation to determine that it provides guidance to
security administrators on the composition of strong passwords, and that it provides instructions on
setting the minimum password length.
Test
The evaluator shall perform the following tests.
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a) Test 1: The evaluator shall compose passwords that either meet the requirements, or fail to
meet the requirements, in some way. For each password, the evaluator shall verify that the
TOE supports the password. While the evaluator is not required (nor is it feasible) to test all
possible compositions of passwords, the evaluator shall ensure that all characters, rule
characteristics, and a minimum length listed in the requirement are supported, and justify the
subset of those characters chosen for testing.
6.1.3.2 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;
 Respond to ICMP Echo messages with an ICMP Echo Reply messages;
 Communicate with the Firewall Listening Service (TCP Ports 11122 and 11123).
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.
Application Note 15
This requirement applies to users (administrators and external IT entities) of services available from the
TOE directly, and not services available by connecting through the TOE. While it should be the case that
few or no services are available to external entities prior to identification and authentication, if there are
some available (perhaps ICMP echo) these should be listed in the assignment statement; otherwise “no
other actions” should be selected.
Authentication can be password-based through the local console or through a protocol that supports
passwords (such as SSH), or be certificate based (such as SSH, TLS).
For communications with external IT entities (e.g., an audit server or NTP server, for instance), such
connections must be performed in accordance with FTP_ITC.1, whose protocols perform identification and
authentication. This means that such communications (e.g., establishing the IPsec connection to the
authentication server) would not have to be specified in the assignment, since establishing the connection
“counts” as initiating the identification and authentication process.
Assurance Activity
TSS
The evaluator shall examine the TSS to determine that it describes the logon process for each logon
method (local, remote (HTTPS, SSH, etc.)) supported for the product. This description shall contain
information pertaining to the credentials allowed/used, any protocol transactions that take place, and
what constitutes a “successful logon”.
Guidance
The evaluator shall examine the guidance documentation to determine that any necessary reparatory
steps (e.g., establishing credential material such as pre-shared keys, tunnels, certificates, etc.) to logging
in are described. For each supported the login method, the evaluator shall ensure the guidance
documentation provides clear instructions for successfully logging on. If configuration is necessary to
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ensure the services provided before login are limited, the evaluator shall determine that the guidance
documentation provides sufficient instruction on limiting the allowed services.
Test
The evaluator shall perform the following tests for each method by which administrators access the TOE
(local and remote), as well as for each type of credential supported by the login method:
a) Test 1: The evaluator shall use the guidance documentation to configure the appropriate
credential supported for the login method. For that credential/ login method, the evaluator
shall show that providing correct I&A information results in the ability to access the system,
while providing incorrect information results in denial of access.
b) Test 2: The evaluator shall configure the services allowed (if any) according to the guidance
documentation, and then determine the services available to an external remote entity. The
evaluator shall determine that the list of services available is limited to those specified in the
requirement.
c) Test 3: For local access, the evaluator shall determine what services are available to a local
administrator prior to logging in, and make sure this list is consistent with the requirement.
6.1.3.3 FIA_UAU_EXT.2 Password-based Authentication Mechanism
FIA_UAU_EXT.2.1
The TSF shall provide a local password-based authentication mechanism, none to perform administrative
user authentication.
Application Note 16
The assignment should be used to identify any additional local authentication mechanisms supported.
Local authentication mechanisms are defined as those that occur through the local console; remote
administrative sessions (and their associated authentication mechanisms) are specified in FTP_TRP.1.
Assurance Activity
Evaluation Activities for this requirement are covered under those for FIA_UIA_EXT.1. If other
authentication mechanisms are specified, the evaluator shall include those methods in the activities for
FIA_UIA_EXT.1.
6.1.3.4 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.
Application Note 17
“Obscured feedback” implies the TSF does not produce a visible display of any authentication data entered
by a user (such as the echoing of a password), although an obscured indication of progress may be provided
(such as an asterisk for each character). It also implies that the TSF does not return any information during
the authentication process to the user that may provide any indication of the authentication data.
Assurance Activity
Test
The evaluator shall perform the following test for each method of local login allowed:
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a) Test 1: The evaluator shall locally authenticate to the TOE. While making this attempt, the
evaluator shall verify that at most obscured feedback is provided while entering the
authentication information.
6.1.3.5 FIA_X509_EXT.1 X.509 Certificate Validation
FIA_X509_EXT.1.1
The TSF shall validate certificates in accordance with the following rules:
 RFC 5280 certificate validation and certificate path validation.
 The certificate path must terminate with a trusted CA certificate.
 The TSF shall validate a certificate path by ensuring the presence of the basicConstraints
extension and that the CA flag is set to TRUE for all CA certificates.
 The TSF shall validate the revocation status of the certificate using a Certificate Revocation
List (CRL) as specified in RFC 5280 Section 6.3.
 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.
Application Note 18
FIA_X509_EXT.1.1 lists the rules for validating certificates. The ST author selects whether revocation status
is verified using OCSP or CRLs. The trusted channel/path protocols require that certificates are used; this
use requires that the extendedKeyUsage rules are verified.
The validation is expected to end in a trusted root CA certificate in a root store managed by the platform.
The TSS shall describe when revocation checking is performed. It is expected that revocation checking is
performed when a certificate is used in an authentication step and when performing trusted updates (if
selected). It is not sufficient to verify the status of a X.509 certificate only when it's loaded onto the device.
It is not necessary to verify the revocation status of X.509 certificates during power-up self-tests (if the
option for using X.509 certificates for self-testing is selected).
ST Application Note
Application Note 18 was updated as specified by TD0117.
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.
Application Note 19
This requirement applies to certificates that are used and processed by the TSF and restricts the certificates
that may be added as trusted CA certificates.
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Assurance Activity
TSS
The evaluator shall ensure the TSS describes where the check of validity of the certificates takes place.
The evaluator ensures the TSS also provides a description of the certificate path validation algorithm.
The evaluator shall ensure the TSS describes when the check of validity of the certificates takes place. It
is expected that revocation checking is performed when a certificate is used in an authentication step and
when performing trusted updates (if selected). It is not sufficient to verify the status of a X.509 certificate
only when it's loaded onto the device.
It is not necessary to verify the revocation status of X.509 certificates during power-up self-tests (if the
option for using X.509 certificates for self-testing is selected).
Test
The evaluator shall demonstrate that checking the validity of a certificate is performed when a certificate
is used in an authentication step or when performing trusted updates (if FPT_TUD_EXT.2 is selected). It is
not sufficient to verify the status of a X.509 certificate only when it's loaded onto the device.
It is not necessary to verify the revocation status of X.509 certificates during power-up self-tests (if the
option for using X.509 certificates for self-testing is selected).
The evaluator shall perform the following tests for FIA_X509_EXT.1.1:
a) Test 1a: The evaluator shall load a valid chain of certificates (terminating in a trusted CA
certificate) as needed to validate the certificate to be used in the function, and shall use this
chain to demonstrate that the function succeeds.
Test 1b: The evaluator shall then delete one of the certificates in the chain (i.e. the root CA
certificate or other intermediate certificate, but not the end-entity certificate), and show that the
function fails.
b) Test 2: The evaluator shall demonstrate that validating an expired certificate results in the
function failing.
c) Test 3: The evaluator shall test that the TOE can properly handle revoked certificates-–
conditional on whether CRL or OCSP is selected; if both are selected, then a test shall be
performed for each method. The evaluator shall test revocation of the TOE certificate and
revocation of the TOE intermediate CA certificate i.e. the intermediate CA certificate should
be revoked by the root CA. The evaluator shall ensure that a valid certificate is used, and that
the validation function succeeds. The evaluator then attempts the test with a certificate that
has been revoked (for each method chosen in the selection) to ensure when the certificate is
no longer valid that the validation function fails.
d) Test 4: If OCSP is selected, the evaluator shall configure the OCSP server or use a man-in-the-
middle tool to present a certificate that does not have the OCSP signing purpose and verify
that validation of the OCSP response fails. If CRL is selected, the evaluator shall configure the
CA to sign a CRL with a certificate that does not have the cRLsign key usage bit set, and verify
that validation of the CRL fails.
e) Test 5: The evaluator shall modify any byte in the first eight bytes of the certificate and
demonstrate that the certificate fails to validate. (The certificate will fail to parse correctly.)
f) Test 6: The evaluator shall modify any byte in the last byte of the certificate and demonstrate
that the certificate fails to validate. (The signature on the certificate will not validate.)
g) Test 7: The evaluator shall modify any byte in the public key of the certificate and demonstrate
that the certificate fails to validate. (The hash of the certificate will not validate.)
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The evaluator shall perform the following tests for FIA_X509_EXT.1.2. The tests described must be
performed in conjunction with the other certificate services assurance activities, including the functions
in FIA_X509_EXT.2.1. The tests for the extendedKeyUsage rules are performed in conjunction with the
uses that require those rules.
The goal of the following tests it to verify that the TOE accepts only certificates that have been marked as
CA certificates by using basicConstraints with the CA flag set to True (and implicitly that the TOE correctly
parses the basicConstraints extension as part of X509v3 certificate chain validation).
For each of the following tests the evaluator shall create a chain of at least four certificates: a self-signed
root CA certificate, two intermediate CA certificates, and a leaf (node) certificate. The properties of the
certificates in the chain are adjusted as described in each individual test below (and this modification shall
be the only invalid aspect of the relevant certificate chain).
a) Test 1: The evaluator shall ensure that at least one of the CAs in the chain does not contain
the basicConstraints extension. The evaluator confirms that the TOE rejects such a certificate
at one (or both) of the following points: (i) as part of the validation of the leaf certificate
belonging to this chain; (ii) when attempting to add a CA certificate without the
basicConstraints extension to the TOE’s trust store (i.e. when attempting to install the CA
certificate as one which will be retrieved from the TOE itself when validating future certificate
chains).
b) Test 2: The evaluator shall ensure that at least one of the CA certificates in the chain has a
basicConstraints extension in which the CA flag is set to FALSE. The evaluator confirms that
the TOE rejects such a certificate at one (or both) of the following points: (i) as part of the
validation of the leaf certificate belonging to this chain; (ii) when attempting to add a CA
certificate with the CA flag set to FALSE to the TOE’s trust store (i.e. when attempting to install
the CA certificate as one which will be retrieved from the TOE itself when validating future
certificate chains).
ST Application Note
FIA_X509_EXT.1 Assurance Activities were updated as specified by TD0093, TD0117, TD0187, and TD0228.
6.1.3.6 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, HTTPS,
and no additional uses.
Application Note 20
The ST author’s selection matches the selection of FTP_ITC.1.1. Certificates may optionally be used for
trusted updates of system software (FPT_TUD_EXT.1) and for integrity verification (FPT_TST_EXT.2).
FIA_X509_EXT.2.2
When the TSF cannot establish a connection to determine the validity of a certificate, the TSF shall accept
the certificate.
Application Note 21
Often a connection must be established to check the revocation status of a certificate -either to download
a CRL or to perform a lookup using OCSP. The selection is used to describe the behavior in the event that
such a connection cannot be established (for example, due to a network error). If the TOE has determined
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the certificate valid according to all other rules in FIA_X509_EXT.1, the behavior indicated in the selection
determines the validity. The TOE must not accept the certificate if it fails any of the other validation rules
in FIA_X509_EXT.1. If the administrator-configured option is selected by the ST Author, the ST Author also
selects the corresponding function in FMT_SMF.1.
Assurance Activity
TSS
The evaluator shall check the TSS to ensure that it describes how the TOE chooses which certificates to
use, and any necessary instructions in the administrative guidance for configuring the operating
environment so that the TOE can use the certificates.
The evaluator shall examine the TSS to confirm that it describes the behaviour of the TOE when a
connection cannot be established during the validity check of a certificate used in establishing a trusted
channel. The evaluator shall verify that any distinctions between trusted channels are described. If the
requirement that the administrator is able to specify the default action, then the evaluator shall ensure
that the guidance documentation contains instructions on how this configuration action is performed.
Test
The evaluator shall perform the following test for each trusted channel:
The evaluator shall demonstrate that using a valid certificate that requires certificate validation checking
to be performed in at least some part by communicating with a non-TOE IT entity. The evaluator shall
then manipulate the environment so that the TOE is unable to verify the validity of the certificate, and
observe that the action selected in FIA_X509_EXT.2.2is performed. If the selected action is administrator-
configurable, then the evaluator shall follow the guidance documentation to determine that all supported
administrator-configurable options behave in their documented manner.
6.1.3.7 FIA_X509_EXT.3 X.509 Certificate Requests
FIA_X509_EXT.3.1
The TSF shall generate a Certificate Request Message as specified by RFC 2986 and be able to provide the
following information in the request: public key and Common Name, Organization, Organizational Unit,
Country, Locality, State, additional random data.
Application Note 22
The public key is the public key portion of the public-private key pair generated by the TOE as specified in
FCS_CKM.1(1).
FIA_X509_EXT.3.2
The TSF shall validate the chain of certificates from the Root CA upon receiving the CA Certificate
Response.
Assurance Activity
TSS
If the ST author selects "device-specific information", the evaluator shall verify that the TSS contains a
description of the device-specific fields used in certificate requests.
Guidance
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The evaluator shall check to ensure that the guidance documentation contains instructions on requesting
certificates from a CA, including generation of a Certificate Request Message. If the ST author selects
"Common Name", "Organization", "Organizational Unit", or "Country", the evaluator shall ensure that this
guidance includes instructions for establishing these fields before creating the certificate request
message.
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluator shall use the guidance documentation to cause the TOE to generate a
certificate request message. The evaluator shall capture the generated message and ensure
that it conforms to the format specified. The evaluator shall confirm that the certificate
request provides the public key and other required information, including any necessary user-
input information.
b) Test 2: The evaluator shall demonstrate that validating a certificate response message
without a valid certification path results in the function failing. The evaluator shall then load
a certificate or certificates as trusted CAs needed to validate the certificate response message,
and demonstrate that the function succeeds. The evaluator shall then delete one of the
certificates, and show that the function fails
6.1.4 Class FMT: Security Management
6.1.4.1 FMT_MOF.1(1)/TrustedUpdate Management of Security Functions Behaviour
FMT_MOF.1.1(1)/TrustedUpdate
The TSF shall restrict the ability to enable the functions to perform manual update to Security
Administrators.
Application Note 23
FMT_MOF.1(1)/TrustedUpdate restricts the initiation of manual updates to Security Administrators.
Assurance Activity
Test
The evaluator shall try to perform the update using a legitimate update image without prior
authentication as security administrator (either by authentication as a user with no administrator
privileges or without user authentication at all –depending on the configuration of the TOE). This test
should fail.
The evaluator shall try to perform the update with prior authentication as security administrator using a
legitimate update image. This test should pass. This test case should be covered by the tests for
FPT_TUD_EXT.1 already.
6.1.4.2 FMT_MOF.1(1)/Audit Management of Security Functions Behaviour
FMT_MOF.1.1(1)/Audit
The TSF shall restrict the ability to determine the behaviour of, modify the behaviour of the functions
transmission of audit data to an external IT entity to Security Administrators.
Application Note 43
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FMT_MOF.1(1)/Audit should always be chosen if the transmission protocol for transmission of audit data
to an external IT entity as defined in FAU_STG_EXT.1.1 is configurable.
Assurance Activity
Test
The evaluator shall try to modify all parameters for configuration of the transmission protocol for
transmission of audit data to an external IT entity without prior authentication as security administrator
(either by authentication as a user with no administrator privileges or without user authentication at all –
depending on the configuration of the TOE). This test should fail.
The evaluator shall try to modify all parameters for configuration of the transmission protocol for
transmission of audit data to an external IT entity with prior authentication as security administrator. The
effects of the modifications should be confirmed.
The evaluator does not necessarily have to test all possible values of all parameters for configuration of
the transmission protocol for transmission of audit data to an external IT entity but at least one allowed
value per configurable parameter.
6.1.4.3 FMT_MOF.1(2)/Audit Management of Security Functions Behaviour
FMT_MOF.1.1(2)/Audit
The TSF shall restrict the ability to determine the behaviour of, modify the behaviour of the functions
handling of audit data to Security Administrators.
Application Note 44
FMT_MOF.1(2)/Audit should only be chosen if the handling of audit data is configurable. The term
‘handling of audit data’ refers to the different options for selection and assignments in SFRs
FAU_STG_EXT.1.2, FAU_STG_EXT.1.3 and FAU_STG_EXT.2.
Assurance Activity
Test
The evaluator shall try to modify all parameters for configuration of the handling of audit data without
prior authentication as security administrator (either by authentication as a user with no administrator
privileges or without user authentication at all –depending on the configuration of the TOE). This test
should fail. The term ‘handling of audit data’ refers to the different options for selection and assignments
in SFRs FAU_STG_EXT.1.2, FAU_STG_EXT.1.3 and FAU_STG_EXT.2.
The evaluator shall try to modify all parameters for configuration of the handling of audit data with prior
authentication as security administrator. The effects of the modifications should be confirmed. The term
‘handling of audit data’ refers to the different options for selection and assignments in SFRs
FAU_STG_EXT.1.2, FAU_STG_EXT.1.3 and FAU_STG_EXT.2.
The evaluator does not necessarily have to test all possible values of all parameters for configuration of
the handling of audit data but at least one allowed value per configurable parameter.
6.1.4.4 FMT_MOF.1(1)/AdminAct Management of Security Behaviour
FMT_MOF.1.1(1)/AdminAct
The TSF shall restrict the ability to modify the behaviour of the functions TOE Security Functions to Security
Administrators.
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Application Note 45
FMT_MOF.1(1)/AdminAct should only be chosen if the behaviour of the TOE Security Functions is
configurable.
Assurance Activity
Test
The evaluator shall try to perform at least one of the related actions without prior authentication as
security administrator (either by authentication as a user with no administrator privileges or without user
authentication at all – depending on the configuration of the TOE). These attempts should fail.
The evaluator shall try to perform at least one of the related actions with prior authentication as security
administrator. These attempts should succeed.
6.1.4.5 FMT_MTD.1 Management of TSF Data
FMT_MTD.1.1
The TSF shall restrict the ability to manage the TSF Data to Security Administrators.
Application Note 24
The word “manage” includes but is not limited to create, initialize, view, change default, modify, delete,
clear, and append. This SFR includes also the resetting of user passwords by the Security Administrator.
Assurance Activity
TSS
The evaluator shall examine the TSS to determine that, for each administrative function identified in the
guidance documentation; those that are accessible through an interface prior to administrator log-in are
identified. For each of these functions, the evaluator shall also confirm that the TSS details how the ability
to manipulate the TSF data through these interfaces is disallowed for non-administrative users.
Guidance
The evaluator shall review the guidance documentation to determine that each of the TSF-data-
manipulating functions implemented in response to the requirements of the cPP is identified, and that
configuration information is provided to ensure that only administrators have access to the functions.
6.1.4.6 FMT_MTD.1/AdminAct Management of TSF Data
FMT_MTD.1.1/AdminAct
The TSF shall restrict the ability to modify, delete, generate/import the cryptographic keys to Security
Administrators.
Application Note 48
FMT_MTD.1.1/AdminAct should only be chosen if cryptographic keys can be modified, deleted or
generated/imported by the Security Administrator.
Assurance Activity
Test
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The evaluator shall try to perform at least one of the related actions without prior authentication as
security administrator (either by authentication as a user with no administrator privileges or without user
authentication at all – depending on the configuration of the TOE). This test should fail.
The evaluator shall try to perform at least one of the related actions with prior authentication as security
administrator. This test should pass.
6.1.4.7 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;
 Ability to update the TOE, and to verify the updates using digital signature capability prior to
installing those updates;
 Ability to configure audit behavior;
 Ability to configure the cryptographic functionality.
Application Note 25
The TOE must provide functionality for both local and remote administration, including the ability to
configure the access banner for FTA_TAB.1 and the session inactivity time(s) for FTA_SSL.3 & FTA_SSL.4.
The item “Ability to update the TOE, and to verify the updates using digital signature capability prior to
installing those updates” includes the relevant management functions from
FMT_MOF.1(1)/TrustedUpdate, FMT_MOF.1(2)/TrustedUpdate (if included in the ST), FIA_X509_EXT.2.2
and FPT_TUD_EXT.2.2 (if included in the ST and if they include an administrator-configurable action).
Similarly, the selection “Ability to configure audit behavior” includes the relevant management functions
from FMT_MOF.1(1)/Audit, FMT_MOF.1(2)/Audit, FMT_MOF.1.1(1)/AdminAct,
FMT_MOF.1.1(2)/AdminAct and FMT_MOF.1/LocSpace (for all of these SFRs that are included in the ST).
If the TOE offers the ability for the administrator to configure the audit behaviour, configure the services
available prior to identification or authentication, or if any of the cryptographic functionality on the TOE
can be configured, then the ST author makes the appropriate choice or choices in the second selection,
otherwise select "No other capabilities."
ST Application Note
FMT_SMF.1.1 was updated as specified by TD0090.
Assurance Activity
The security management functions for FMT_SMF.1 are distributed throughout the cPP and are included
as part of the requirements in FTA_TAB.1, FTA_SSL.3, FTA_SSL.4, FMT_MOF.1(1)/TrustedUpdate,
FMT_MOF.1(2)/TrustedUpdate (if included in the ST), IA_X509_EXT.2.2 & FPT_TUD_EXT.2.2 (if included
in the ST and if they include an administrator-configurable action), FMT_MOF.1(1)/Audit,
FMT_MOF.1(2)/Audit, FMT_MOF.1.1(1)/AdminAct, FMT_MOF.1.1(2)/AdminAct and
FMT_MOF.1/LocSpace (for all of these SFRs that are included in the ST), FMT_MTD, FPT_TST_EXT, and
any cryptographic management functions specified in the reference standards. Compliance to these
requirements satisfies compliance with FMT_SMF.1
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6.1.4.8 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.
Application Note 26
FMT_SMR.2.3 requires that a Security Administrator be able to administer the TOE through the local
console and through a remote mechanism (IPsec, SSH, TLS, HTTPS).
Assurance Activity
Guidance
The evaluator shall review the guidance documentation to ensure that it contains instructions for
administering the TOE both locally and remotely, including any configuration that needs to be performed
on the client for remote administration.
Test
In the course of performing the testing activities for the evaluation, the evaluator shall use all supported
interfaces, although it is not necessary to repeat each test involving an administrative action with each
interface. The evaluator shall ensure, however, that each supported method of administering the TOE
that conforms to the requirements of this cPP be tested; for instance, if the TOE can be administered
through a local hardware interface; SSH; and TLS/HTTPS; then all three methods of administration must
be exercised during the evaluation team’s test activities.
6.1.5 Class FPT: Protection of the TSF
6.1.5.1 FPT_SKP_EXT.1 Protection of TSF Data (for reading of all symmetric keys)
FPT_SKP_EXT.1.1
The TSF shall prevent reading of all pre-shared keys, symmetric keys, and private keys.
Application Note 27
The intent of this requirement is for the device to protect keys, key material, and authentication credentials
from unauthorized disclosure. This data should only be accessed for the purposes of their assigned security
functionality, and there is no need for them to be displayed/accessed at any other time. This requirement
does not prevent the device from providing indication that these exist, are in use, or are still valid. It does,
however, restrict the reading of the values outright.
Assurance Activity
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TSS
The evaluator shall examine the TSS to determine that it details how any pre-shared keys, symmetric keys,
and private keys are stored and that they are unable to be viewed through an interface designed
specifically for that purpose, as outlined in the application note. If these values are not stored in plaintext,
the TSS shall describe how they are protected/obscured.
6.1.5.2 FPT_APW_EXT.1 Protection of Administrator Passwords
FPT_APW_EXT.1.1
The TSF shall store passwords in non-plaintext form.
FPT_APW_EXT.1.2
The TSF shall prevent the reading of plaintext passwords.
Application Note 28
The intent of the requirement is that raw password authentication data are not stored in the clear, and
that no user or administrator is able to read the plaintext password through “normal” interfaces. An all-
powerful administrator of course could directly read memory to capture a password but is trusted not to
do so.
Assurance Activity
TSS
The evaluator shall examine the TSS to determine that it details all authentication data that are subject to
this requirement, and the method used to obscure the plaintext password data when stored. The TSS shall
also detail passwords are stored in such a way that they are unable to be viewed through an interface
designed specifically for that purpose, as outlined in the application note.
6.1.5.3 FPT_TST_EXT.1 TSF Testing
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: BIOS checks, Cryptographic library functionality test, and firmware
integrity checks.
Application Note 29
It is expected that self-tests are carried out during initial start-up (on power on). Other options should only
be used if the developer can justify why they are not carried out during initial start-up. It is expected that
at least self-tests for verification of the integrity of the firmware and software as well as for the correct
operation of cryptographic functions necessary to fulfil the SFRs will be performed. If not all self-test are
performed during start-up multiple iterations of this SFR are used with the appropriate options selected.
In future versions of this cPP the suite of self-tests will be required to contain at least mechanisms for
measured boot including self-tests of the components which perform the measurement.
Application Note 30
If certificates are used by the self-test mechanism (e.g. for verification of signatures for integrity
verification), certificates are validated in accordance with FIA_X509_EXT.1 and should be selected in
FIA_X509_EXT.2.1. Additionally, FPT_TST_EXT.2 must be included in the ST.
Assurance Activity
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TSS
The evaluator shall examine the TSS to ensure that it details the self tests that are run by the TSF; this
description should include an outline of what the tests are actually doing (e.g., rather than saying
"memory is tested", a description similar to "memory is tested by writing a value to each memory location
and reading it back to ensure it is identical to what was written "shall be used). The evaluator shall ensure
that the TSS makes an argument that the tests are sufficient to demonstrate that the TSF is operating
correctly.
Guidance
The evaluator shall also ensure that the guidance documentation describes the possible errors that may
result from such tests, and actions the administrator should take in response; these possible errors shall
correspond to those described in the TSS.
Test
Future versions of this cPP will mandate a clearly defined minimum set of self tests. But also for this
version of the cPP it is expected that at least the following tests are performed:
a) Verification of the integrity of the firmware and executable software of the TOE
b) Verification of the correct operation of the cryptographic functions necessary to fulfill any of
the SFRs.
Although formal compliance is not mandated, the self tests performed should aim for a level of confidence
comparable to:
a) FIPS 140-2, chap. 4.9.1, Software/firmware integrity test for the verification of the integrity
of the firmware and executable software.
b) FIPS 140-2, chap. 4.9.1, Cryptographic algorithm test for the verification of the correct
operation of cryptographic functions. Alternatively, national requirements of any CCRA
member state for the security evaluation of cryptographic functions should be considered as
appropriate.
The evaluator shall verify that the self tests described above are either carried out during initial start-up
and that the developer has justified any deviation from this (if applicable).
6.1.5.4 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.
Application Note 31
If a trusted update can be installed on the TOE with a delayed activation the version of both the currently
executing image and the installed but inactive image must be provided. In this case the option 'the most
recently installed version of the TOE firmware/software' needs to be chosen from the selection in
FPT_TUD_EXT.1.1 and the TSS needs to describe how and when the inactive version becomes active. If all
trusted updates become active as part of the installation process, only the currently executing version
needs to be provided. In this case the option 'no other TOE firmware/software version' shall be chosen
from the selection in FPT_TUD_EXT.1.1.
ST Application Note
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FPT_TUD_EXT.1.1 was updated as specified by TD0154.
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.
Application Note 32
The selection in FPT_TUD_EXT.1.2 distinguishes the support of automatic checking for updates and support
of automatic updates. The first option refers to a TOE that checks whether a new update is available,
communicates this to the administrator (e.g. through a message during an administrator session, through
log files) but requires some action by the administrator to actually perform the update. The second option
refers to a TOE that checks for updates and automatically installs them upon availability.
The TSS explains what actions are involved in the TOE support when using the ‘support automatic checking
for updates’ or ‘support automatic updates’ selections.
When published hash values (see FPT_TUD_EXT.1.3) are used to protect the trusted update mechanism,
the TOE must not automatically download the update file(s) together with the hash value (either
integrated in the update file(s) or separately) and automatically install the update without any active
authorization by the Security Administrator, even when the calculated hash value matches the published
hash value. When using published hash values to protect the trusted update mechanism, the option
'support of automatic updates' must not be used (automated checking for updates is permitted, though).
The TOE may automatically download the update file(s) themselves but not to the hash value.
For the published hash approach, it is intended that a Security Administrator is always required to give
active authorisation for installation of an update (as described in more detail under FPT_TUD_EXT.1.3)
below. Due to this, the type of update mechanism is regarded as 'manually initiated update', even if the
update file(s) may be downloaded automatically. A fully automated approach (without Security
Administrator intervention) can only be used when ‘digital signature mechanism’ is selected in
FPT_TUD_EXT.1.3 below.
FPT_TUD_EXT.1.3
The TSF shall provide means to authenticate firmware/software updates to the TOE using a digital
signature mechanism prior to installing those updates.
Application Note 33
The digital signature mechanism referenced in the selection of FPT_TUD_EXT.1.3 is one of the algorithms
specified in FCS_COP.1(2). The published hash referenced in FPT_TUD_EXT.1.3 is generated by one of the
functions specified in FCS_COP.1(3). The ST author should choose the mechanism implemented by the TOE;
it is acceptable to implement both mechanisms.
When published hash values are used to secure the trusted update mechanism, an active authorization of
the update process by the Security Administrator is always required. The secure transmission of an
authentic hash value from the developer to the Security Administrator is one of the key factors to protect
the trusted update mechanism when using published hashes and the guidance documentation needs to
describe how this transfer has to be performed. For the verification of the trusted hash value by the Security
Administrator different use cases are possible. The Security Administrator could obtain the published hash
value as well as the update file(s) and perform the verification outside the TOE while the hashing of the
update file(s) could be done by the TOE or by other means. Authentication as Security Administrator and
initiation of the trusted update would in this case be regarded as 'active authorization' of the trusted
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update. Alternatively, the Administrator could provide the TOE with the published hash value together
with the update file(s) and the hashing and hash comparison is performed by the TOE. In case of successful
hash verification the TOE can perform the update without any additional step by the Security
Administrator. Authentication as Security Administrator and sending the hash value to the TOE is regarded
as 'active authorization' of the trusted update (in case of successful hash verification), because the
administrator is expected to load the hash value only to the TOE when intending to perform the update.
As long as the transfer of the hash value to the TOE is performed by the Security Administrator, loading of
the update file(s) can be performed by the Security Administrator or can be automatically downloaded by
the TOE from a repository.
Application Note 34
Future versions of this cPP will mandate the use of a digital signature mechanism for trusted updates.
Application Note 35
If certificates are used by the update verification mechanism, certificates are validated in accordance with
FIA_X509_EXT.1 and should be selected in FIA_X509_EXT.2.1. Additionally, FPT_TUD_EXT.2 must be
included in the ST.
Application Note 36
“Update” in the context of this SFR refers to the process of replacing a non-volatile, system resident
software component with another. The former is referred to as the NV image, and the latter is the update
image. While the update image is typically newer than the NV image, this is not a requirement. There are
legitimate cases where the system owner may want to rollback a component to an older version (e.g. when
the component manufacturer releases a faulty update, or when the system relies on an undocumented
feature no longer present in the update). Likewise, the owner may want to update with the same version
as the NV image to recover from faulty storage.
All discrete software components (e.g. applications, drivers, kernel, firmware) of the TSF, should be
digitally signed by the corresponding manufacturer and subsequently verified by the mechanism
performing the update. Since it is recognized that components may be signed by different manufacturers,
it is essential that the update process verify that both the update and NV images were produced by the
same manufacturer (e.g. by comparing public keys) or signed by legitimate signing keys (e.g. successful
verification of certificates when using X.509 certificates).
Assurance Activity
TSS
The evaluator shall verify that the TSS describes all TSF software update mechanisms for updating the
system software. The evaluator shall verify that the description includes a digital signature verification of
the software before installation and that installation fails if the verification fails. Alternatively an approach
using a published hash can be used. In this case the TSS shall detail this mechanism instead of the digital
signature verification mechanism. The evaluator shall verify that the TSS describes the method by which
the digital signature or published hash is verified to include how the candidate updates are obtained, the
processing associated with verifying the digital signature or published hash of the update, and the actions
that take place for both successful and unsuccessful signature verification or published hash verification.
If the ST author indicates that a certificate-based mechanism is used for software update digital signature
verification, the evaluator shall verify that the TSS contains a description of how the certificates are
contained on the device. The evaluator also ensures that the TSS (or guidance documentation) describes
how the certificates are installed/updated/selected, if necessary.
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If a trusted update can be installed on the TOE with a delayed activation, the TSS needs to describe how
and when the inactive version becomes active. The evaluator shall verify this description.
If a published hash is used to protect the trusted update mechanism, then the evaluator shall verify that
the trusted update mechanism does involve an active authorization step of the Security Administrator,
and that download of the published hash value, hash comparison and update is not a fully automated
process involving no active authorization by the Security Administrator. In particular, authentication as
Security Administration according to FMT_MOF.1/ManualUpdate needs to be part of the update process
when using published hashes.
Guidance
The evaluator shall verify that the guidance documentation describes how the verification of the
authenticity of the update is performed (digital signature verification or verification of published hash).
The description shall include the procedures for successful and unsuccessful verification. The description
shall correspond to the description in the TSS.
If a published hash is used to protect the trusted update mechanism, the evaluator shall verify that the
guidance documentation describes how the Security Administrator can obtain authentic published hash
values for the updates.
Test
If the verification of the hash value over the update file(s) against the published hash is not performed by
the TOE, Test 2 shall be skipped.
The evaluator shall perform the following tests:
a) Test 1: The evaluator performs the version verification activity to determine the current version
of the product as well as the most recently installed version (should be the same version before
updating). The evaluator obtains a legitimate update using procedures described in the guidance
documentation and verifies that it is successfully installed on the TOE. For some TOEs loading the
update onto the TOE and activation of the update are separate steps (‘activation’ could be
performed e.g. by a distinct activation step or by rebooting the device). In that case the evaluator
verifies after loading the update onto the TOE but before activation of the update that the current
version of the product did not change but the most recently installed version has changed to the
new product version. After the update, the evaluator performs the version verification activity
again to verify the version correctly corresponds to that of the update and that current version of
the product and most recently installed version match again.
b) Test 2 (if digital signatures are used): The evaluator first confirms that no updates are pending
and then performs the version verification activity to determine the current version of the
product, verifying that it is different from the version claimed in the update(s) to be used in this
test. The evaluator obtains or produces illegitimate updates as defined below, and attempts to
install them on the TOE. The evaluator verifies that the TOE rejects all of the illegitimate updates.
1) A modified version (e.g. using a hex editor) of a legitimately signed update.
2) An image that has not been signed.
3) An image signed with an invalid signature.
4) If the TOE allows a gap between the installation of an update and a required reboot or
activation to execute the updated code, the TOE must be able to display both the currently
executing version and most recently installed version. The handling of version information of
the most recently installed version might differ between different TOEs depending on the
point in time when an attempted update is rejected. The evaluator shall verify that the TOE
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handles the most recently installed version information for that case as described in the
guidance documentation. After the TOE has rejected the update the evaluator shall verify,
that both, current version and most recently installed version, reflect the same version
information as prior to the update attempt.
Test 2 (if published has is verified on the TOE): If the published hash is provided to the TOE by the
Security Administrator and the verification of the hash value over the update file(s) against the
published hash is performed by the TOE, then the evaluator shall perform the following tests. The
evaluator first confirms that no update is pending and then performs the version verification
activity to determine the current version of the product, verifying that it is different from the
version claimed in the update(s) to be used in this test.
1) The evaluator obtains or produces an illegitimate update such that the hash of the update
does not match the published hash. The evaluator provides the published hash value to the
TOE and calculates the hash of the update either on the TOE itself (if that functionality is
provided by the TOE), or else outside the TOE. The evaluator confirms that the hash values
are different, and attempts to install the update on the TOE, verifying that this fails because
of the difference in hash values (and that the failure is logged). Depending on the
implementation of the TOE, the TOE might not allow the user to even attempt updating the
TOE after the verification of the hash value fails. In that case the verification that the hash
comparison fails is regarded as sufficient verification of the correct behaviour of the TOE.
2) The evaluator uses a legitimate update and tries to perform verification of the hash value
without storing the published hash value on the TOE. The evaluator confirms that this attempt
fails. Depending on the implementation of the TOE it might not be possible to attempt the
verification of the hash value without providing a hash value to the TOE, e.g. if the hash value
needs to be handed over to the TOE as a parameter in a command line message and the
syntax check of the command prevents the execution of the command without providing a
hash value. In that case the mechanism that prevents the execution of this check shall be
tested accordingly, e.g. that the syntax check rejects the command without providing a hash
value, and the rejection of the attempt is regarded as sufficient verification of the correct
behaviour of the TOE in failing to verify the hash. The evaluator then attempts to install the
update on the TOE (in spite of the unsuccessful hash verification) and confirms that this fails.
Depending on the implementation of the TOE, the TOE might not allow to even attempt
updating the TOE after the verification of the hash value fails. In that case the verification that
the hash comparison fails is regarded as sufficient verification of the correct behaviour of the
TOE.
3) If the TOE allows a gap between the installation of an update and a required reboot or
activation to execute the updated code, the TOE must be able to display both the currently
executing version and most recently installed version. The handling of version information of
the most recently installed version might differ between different TOEs. Depending on the
point in time when the attempted update is rejected, the most recently installed version
might or might not be updated. The evaluator shall verify that the TOE handles the most
recently installed version information for that case as described in the guidance
documentation. After the TOE has rejected the update the evaluator shall verify, that both,
current version and most recently installed version, reflect the same version information as
prior to the update attempt.
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The evaluator shall perform the Tests 1 and 2 for all methods supported (manual updates, automatic
checking for updates, automatic updates). If the verification of the hash value over the update file(s)
against the published hash is not performed by the TOE, Test 2 shall be skipped.
ST Application Note
FPT_TUD_EXT.1 Assurance Activities were updated as specified by TD0094 and TD0154.
6.1.5.5 FPT_STM.1 Reliable Time Stamps
FPT_STM.1.1
The TSF shall be able to provide reliable time stamps.
Application Note 37
The TSF does not provide reliable information about the current time at the TOE’s location by itself, but
depends on external time and date information, either provided manually by the administrator or through
the use of an NTP server. The term ‘reliable time stamps’ refers to the strict use of the time and date
information, that is provided externally, and the logging of all changes to the time settings including
information about the old and new time. With this information the real time for all audit data can be
calculated.
Assurance Activity
TSS
The evaluator shall examine the TSS to ensure that it lists each security function that makes use of time.
The TSS provides a description of how the time is maintained and considered reliable in the context of
each of the time related functions.
The evaluator examines the guidance documentation to ensure it instructs the administrator how to set
the time. If the TOE supports the use of an NTP server, the guidance documentation instructs how a
communication path is established between the TOE and the NTP server, and any configuration of the
NTP client on the TOE to support this communication.
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluator uses the guidance documentation to set the time. The evaluator shall then
use an available interface to observe that the time was set correctly.
b) Test 2: If the TOE supports the use of an NTP server; the evaluator shall use the guidance
documentation to configure the NTP client on the TOE, and set up a communication path with the
NTP server. The evaluator will observe that the NTP server has set the time to what is expected.
If the TOE supports multiple protocols for establishing a connection with the NTP server, the
evaluator shall perform this test using each supported protocol claimed in the guidance
documentation.
If the audit component of the TOE consists of several parts with independent time information, then the
evaluator shall verify that the time information between the different parts are either synchronized or
that it is possible for all audit information to relate the time information of the different part to one base
information unambiguously.
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6.1.6 Class FTA: TOE Access
6.1.6.1 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.
Assurance Activity
Test
The evaluator shall perform the following test:
a) Test 1: The evaluator follows the guidance documentation to configure several different values
for the inactivity time period referenced in the component. For each period configured, the
evaluator establishes a local interactive session with the TOE. The evaluator then observes that
the session is either locked or terminated after the configured time period. If locking was selected
from the component, the evaluator then ensures that re-authentication is needed when trying to
unlock the session.
6.1.6.2 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.
Assurance Activity
Test
The evaluator shall perform the following test:
a) Test 1: The evaluator follows the guidance documentation to configure several different values
for the inactivity time period referenced in the component. For each period configured, the
evaluator establishes a remote interactive session with the TOE. The evaluator then observes that
the session is terminated after the configured time period.
6.1.6.3 FTA_SSL.4 User-initiated Termination
FTA_SSL.4.1
The TSF shall allow Administrator-initiated termination of the Administrator’s own interactive session.
Assurance Activity
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluator initiates an interactive local session with the TOE. The evaluator then follows
the guidance documentation to exit or log off the session and observes that the session as been
terminated.
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b) Test 2: The evaluator initiates an interactive remote session with the TOE. The evaluator then
follows the guidance documentation to exit or log off the session and observes that the session
has been terminated.
6.1.6.4 FTA_TAB.1 Default TOE Access Banners
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.
Application Note 38
This requirement is intended to apply to interactive sessions between a human user and a TOE. IT entities
establishing connections or programmatic connections (e.g., remote procedure calls over a network) are
not required to be covered by this requirement.
Assurance Activity
TSS
The evaluator shall check the TSS to ensure that it details each method of access (local and remote)
available to the administrator (e.g., serial port, SSH, HTTPS).
Test
The evaluator shall also perform the following test:
a) Test 1: The evaluator follows the guidance documentation to configure a notice and consent
warning message. The evaluator shall then, for each method of access specified in the TSS,
establish a session with the TOE. The evaluator shall verify that the notice and consent warning
message is displayed in each instance.
6.1.7 Class FTP: Trusted Path/Channels
6.1.7.1 FTP_ITC.1 Inter-TSF Trusted Channel
FTP_ITC.1.1
The TSF shall be capable of using TLS, HTTPS to provide a trusted communication channel between itself
and authorized IT entities supporting the following capabilities: audit server, Pulse One management
server (optional) 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 audit server communications, Pulse One
Management server communication.
Application Note 39
The intent of the above requirement is to provide a means by which a cryptographic protocol may be used
to protect external communications with authorized IT entities that the TOE interacts with to perform its
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functions. The TOE uses at least one of the listed protocols for communications with the server that collects
the audit information. If it communicates with an authentication server (e.g., RADIUS), then the ST author
chooses “authentication server” in FTP_ITC.1.1 and this connection must be capable of being protected by
one of the listed protocols. If other authorized IT entities (e.g., NTP server) are protected, the ST author
makes the appropriate assignments (for those entities) and selections (for the protocols that are used to
protect those connections). The ST author selects the mechanism or mechanisms supported by the TOE,
and then ensures that the detailed protocol requirements in Appendix B corresponding to their selection
are included in the ST.
While there are no requirements on the party initiating the communication, the ST author lists in the
assignment for FTP_ITC.1.3 the services for which the TOE can initiate the communication with the
authorized IT entity.
The requirement implies that not only are communications protected when they are initially established,
but also on resumption after an outage. It may be the case that some part of the TOE setup involves
manually setting up tunnels to protect other communication, and if after an outage the TOE attempts to
re-establish the communication automatically with (the necessary) manual intervention, there may be a
window created where an attacker might be able to gain critical information or compromise a connection.
ST Application Note
Application Note 39 was updated as specified by TD0126.
Assurance Activity
TSS
The evaluator shall examine the TSS to determine that, for all communications with authorized IT entities
identified in the requirement, each communications mechanism is identified in terms of the allowed
protocols for that IT entity. The evaluator shall also confirm that all protocols listed in the TSS are specified
and included in the requirements in the ST.
Guidance
The evaluator shall confirm that the guidance documentation contains instructions for establishing the
allowed protocols with each authorized IT entity, and that it contains recovery instructions should a
connection be unintentionally broken.
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluators shall ensure that communications using each protocol with each authorized
IT entity is tested during the course of the evaluation, setting up the connections as described in
the guidance documentation and ensuring that communication is successful.
b) Test 2: For each protocol that the TOE can initiate as defined in the requirement, the evaluator
shall follow the guidance documentation to ensure that in fact the communication channel can
be initiated from the TOE.
c) Test 3: The evaluator shall ensure, for each communication channel with an authorized IT entity,
the channel data is not sent in plaintext.
d) Test 4: The evaluators shall, for each protocol associated with each authorized IT entity tested
during test 1, the connection is physically interrupted. The evaluator shall ensure that when
physical connectivity is restored, communications are appropriately protected.
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Further assurance activities are associated with the specific protocols.
6.1.7.2 FTP_TRP.1 Trusted Path
FTP_TRP.1.1
The TSF shall be capable of using TLS, 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
The TSF shall permit remote administrators to initiate communication via the trusted path.
FTP_TRP.1.3
The TSF shall require the use of the trusted path for initial administrator authentication and all remote
administration actions.
Application Note 40
This requirement ensures that authorized remote administrators initiate all communication with the TOE
via a trusted path, and that all communication with the TOE by remote administrators is performed over
this path. The data passed in this trusted communication channel are encrypted as defined by the protocol
chosen in the first selection. The ST author selects the mechanism or mechanisms supported by the TOE,
and then ensures that the detailed protocol requirements in Appendix B corresponding to their selection
are included in the ST.
Assurance Activity
TSS
The evaluator shall examine the TSS to determine that the methods of remote TOE administration are
indicated, along with how those communications are protected. The evaluator shall also confirm that all
protocols listed in the TSS in support of TOE administration are consistent with those specified in the
requirement, and are included in the requirements in the ST.
Guidance
The evaluator shall confirm that the guidance documentation contains instructions for establishing the
remote administrative sessions for each supported method.
Test
The evaluator shall perform the following tests:
a) Test 1: The evaluators shall ensure that communications using each specified (in the guidance
documentation) remote administration method is tested during the course of the evaluation,
setting up the connections as described in the guidance documentation and ensuring that
communication is successful.
b) Test 2: For each protocol that the TOE can initiate as defined in the requirement, the evaluator
shall follow the guidance documentation to ensure that in fact the communication channel can
be initiated from the TOE.
c) Test 3: The evaluator shall ensure, for each communication channel with an authorized IT entity,
the channel data is not sent in plaintext.
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d) Test 4: The evaluators shall ensure that, for each protocol associated with each authorized IT
entity tested during test 1, the connection is physically interrupted. The evaluator shall ensure
that when physical connectivity is restored, communications are appropriately protected.
Further assurance activities are associated with the specific protocols.
6.2 Security Assurance Requirements
This Security Target is conformant with the assurance requirements specified in the cPP.
Table 8: Assurance Requirements
Assurance Class Assurance Component
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)
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) Labeling of the TOE (ALC_CMC.1)
TOE CM coverage (ALC_CMS.1)
Tests (ATE) Independent testing –sample (ATE_IND.1)
Vulnerability assessment (AVA) Vulnerability survey (AVA_VAN.1)
6.2.1 Extended Security Assurance Requirements
These requirements are taken directly from the cPP.
6.2.1.1 ASE: Security Target
The ST is evaluated as per ASE activities defined in the CEM. In addition, there may be Evaluation Activities
specified within the [SD] that call for necessary descriptions to be included in the TSS that are specific to
the TOE technology type.
[NDcPP, Appendix D] provides a description of the information expected to be provided regarding the
quality of entropy in the random bit generator.
The requirements for exact conformance of the Security Target are described in [NDcPP, 2] and in [SD,
3.1].
6.2.1.1.1 Conformance Claims (ASE_CCL.1)
The table below indicates the actions to be taken for particular ASE_CCL.1 elements in order to determine
exact conformance with a cPP.
Table 9: Conformance Claims
ASE_CCL.1 Element Evaluator Action
ASE_CCL.1.8C The evaluator shall check that the statements of security
problem definition in the PP and ST are identical.
ASE_CCL.1.9C The evaluator shall check that the statements of security
objectives in the PP and ST are identical.
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ASE_CCL.1.10C The evaluator shall check that the statements of security
requirements in the ST include all the mandatory SFRs in the
cPP, and all of the selection-based SFRs that are entailed by
selections made in other SFRs (including any SFR iterations
added in the ST). The evaluator shall check that if any other
SFRs are present in the ST (apart from iterations of SFRs in
the cPP) then these are taken only from the list of optional
SFRs specified in the cPP (the cPP will not necessarily include
optional SFRs, but may do so). If optional SFRs from the cPP
are included in the ST then the evaluator shall check that any
selection-based SFRs entailed by the optional SFRs adopted
are also included in the ST.
6.2.1.1.2 TOE Summary Specification (ASE_TSS.1)
Evaluation Activities
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.
6.2.1.2 ADV: Development
The design information about the TOE is contained in the guidance documentation available to the end
user as well as the TSS portion of the ST, and any required supplementary information required by this
cPP that is not to be made public.
6.2.1.2.1 Basic Functional Specification (ADV_FSP.1)
The functional specification describes the TOE Security Functions Interfaces (TSFIs). It is not necessary to
have a formal or complete specification of these interfaces. Additionally, because TOEs conforming to this
cPP will necessarily have interfaces to the Operational Environment that are not directly invokable by TOE
users, there is little point specifying that such interfaces be described in and of themselves since only
indirect testing of such interfaces may be possible. For this cPP, the Evaluation Activities for this family
focus on understanding the interfaces presented in the TSS in response to the functional requirements
and the interfaces presented in the AGD documentation. No additional “functional specification”
documentation is necessary to satisfy the Evaluation Activities specified in the SD.
The Evaluation Activities in the SD are associated with the applicable SFRs; since these are directly
associated with the SFRs, the tracing in element ADV_FSP.1.2D is implicitly already done and no additional
documentation is necessary.
Evaluation Activities
The evaluator shall check the interface documentation to ensure it describes the purpose and method of
use for each TSFI that is identified as being security relevant.
In this context, TSFI are deemed security relevant if they are used by the administrator to configure the
TOE, or to perform other administrative functions (e.g., audit review or performing updates). Additionally,
those interfaces that are identified in the ST, or guidance documentation, as adhering to the security
policies (as presented in the SFRs), are also considered security relevant. The intent, is that these
interfaces will be adequately tested, and having an understanding of how these interfaces are used in the
TOE is necessary to ensure proper test coverage is applied.
The evaluator shall check the interface documentation to ensure it identifies and describes the
parameters for each TSFI that is identified as being security relevant.
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The documents to be examined for this assurance component in an evaluation are therefore the Security
Target, AGD documentation, and any supplementary information required by the cPP for aspects such as
entropy analysis or cryptographic key management architecture1
: no additional “functional specification”
documentation is necessary to satisfy the Evaluation Activities. The interfaces that need to be evaluated
are also identified by reference to the assurance activities listed for each SFR, and are expected to be
identified in the context of the Security Target, AGD documentation, and any supplementary information
required by the cPP rather than as a separate list specifically for the purposes of CC evaluation. The direct
identification of documentation requirements and their assessment as part of the Evaluation Activities for
each SFR also means that the tracing required in ADV_FSP.1.2D is treated as implicit, and no separate
mapping information is required for this element.
However, if the evaluator is unable to perform some other required Evaluation Activity because there is
insufficient design and interface information, then the evaluator is entitled to conclude that an adequate
functional specification has not been provided, and hence that the verdict for the ADV_FSP.1 assurance
component is a ‘fail’.
6.2.1.3 AGD: Guidance Documentation
The guidance documents will be provided with the ST. Guidance must include a description of how the IT
personnel verifies that the Operational Environment can fulfill its role for the security functionality. The
documentation should be in an informal style and readable by the IT personnel.
Guidance must be provided for every operational environment that the product supports as claimed in
the ST. This guidance includes:
 instructions to successfully install the TSF in that environment; and
 instructions to manage the security of the TSF as a product and as a component of the larger
operational environment; and
 instructions to provide a protected administrative capability.
Guidance pertaining to particular security functionality must also be provided; requirements on such
guidance are contained in the Evaluation Activities specified in the SD.
6.2.1.3.1 Operational User Guidance (AGD_OPE.1)
The operational user guidance does not have to be contained in a single document. Guidance to users,
administrators and application developers can be spread among documents or web pages.
The developer should review the Evaluation Activities contained in the SD to ascertain the specifics of the
guidance that the evaluator will be checking for. This will provide the necessary information for the
preparation of acceptable guidance.
Evaluation Activities
The evaluator shall check the requirements below are met by the guidance documentation.
Guidance documentation shall be distributed to administrators and users (as appropriate) as part of the
TOE, so that there is a reasonable guarantee that administrators and users are aware of the existence and
role of the documentation in establishing and maintaining the evaluated configuration.
1
The Security Target and AGD documentation are public documents. Supplementary information may be public or
proprietary: the cPP and/or Evaluation Activity descriptions will identify where such supplementary documentation
is permitted to be proprietary and non-public.
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Guidance documentation must be provided for every Operational Environment that the product supports
as claimed in the Security Target and must adequately address all platforms claimed for the TOE in the
Security Target.
The contents of the guidance documentation will be verified by the Evaluation Activities defined below
and as appropriate for each individual SFR in section 2 above.
In addition to SFR-related Evaluation Activities, the following information is also required.
a) The guidance documentation shall contain instructions for configuring any cryptographic engine
associated with the evaluated configuration of the TOE. It shall provide a warning to the
administrator that use of other cryptographic engines was not evaluated nor tested during the CC
evaluation of the TOE.
b) The documentation must describe the process for verifying updates to the TOE by verifying a digital
signature. The evaluator shall verify that this process includes the following steps:
1) Instructions for obtaining the update itself. This should include instructions for making the
update accessible to the TOE (e.g., placement in a specific directory).
2) Instructions for initiating the update process, as well as discerning whether the process was
successful or unsuccessful. This includes generation of the hash/digital signature.
c) The TOE will likely contain security functionality that does not fall in the scope of evaluation under
this cPP. The guidance documentation shall make it clear to an administrator which security
functionality is covered by the Evaluation Activities.
6.2.1.3.2 Preparative Procedures (AGD_PRE.1)
As with the operational guidance, the developer should look to the Evaluation Activities to determine the
required content with respect to preparative procedures.
Evaluation Activities
The evaluator shall check the requirements below are met by the preparative procedures.
The contents of the preparative procedures will be verified by the Evaluation Activities defined below and
as appropriate for each individual SFR in section 2 above.
Preparative procedures shall be distributed to administrators and users (as appropriate) as part of the
TOE, so that there is a reasonable guarantee that administrators and users are aware of the existence and
role of the documentation in establishing and maintaining the evaluated configuration.
The contents of the preparative procedures will be verified by the Evaluation Activities defined below and
as appropriate for each individual SFR in section 2 above.
In addition to SFR-related Evaluation Activities, the following information is also required.
Preparative procedures must include a description of how the administrator verifies that the operational
environment can fulfil its role to support the security functionality (including the requirements of the
Security Objectives for the Operational Environment specified in the Security Target). The documentation
should be in an informal style and should be written with sufficient detail and explanation that they can
be understood and used by the target audience (which will typically include IT staff who have general IT
experience but not necessarily experience with the TOE product itself).
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Preparative procedures must be provided for every Operational Environment that the product supports
as claimed in the Security Target and must adequately address all platforms claimed for the TOE in the
Security Target.
The preparative procedures must include
a) instructions to successfully install the TSF in each Operational Environment; and
b) instructions to manage the security of the TSF as a product and as a component of the larger
operational environment; and
c) instructions to provide a protected administrative capability.
6.2.1.4 Class ALC: Life-cycle Support
At the assurance level provided for TOEs conformant to this cPP, life-cycle support is limited to end-user-
visible aspects of the life-cycle, rather than an examination of the TOE vendor’s development and
configuration management process. This is not meant to diminish the critical role that a developer’s
practices play in contributing to the overall trustworthiness of a product; rather, it is a reflection on the
information to be made available for evaluation at this assurance level.
6.2.1.4.1 Labelling of the TOE (ALC_CMC.1)
This component is targeted at identifying the TOE such that it can be distinguished from other products
or versions from the same vendor and can be easily specified when being procured by an end user. A label
could consist of a “hard label” (e.g., stamped into the metal, paper label) or a “soft label” (e.g.,
electronically presented when queried).
The evaluator performs the CEM work units associated with ALC_CMC.1.
6.2.1.4.2 TOE CM Coverage (ALC_CMS.1)
Given the scope of the TOE and its associated evaluation evidence requirements, the evaluator performs
the CEM work units associated with ALC_CMS.1.
6.2.1.5 Class ATE: Tests
Testing is specified for functional aspects of the system as well as aspects that take advantage of design
or implementation weaknesses. The former is done through the ATE_IND family, while the latter is
through the AVA_VAN family. For this cPP, testing is based on advertised functionality and interfaces with
dependency on the availability of design information. One of the primary outputs of the evaluation
process is the test report as specified in the following requirements.
6.2.1.5.1 Independent Testing – Conformance (ATE_IND.1)
Testing is performed to confirm the functionality described in the TSS as well as the guidance
documentation (includes “evaluated configuration” instructions). The focus of the testing is to confirm
that the requirements specified in Section 5 are being met. The Evaluation Activities in the SD identify the
specific testing activities necessary to verify compliance with the SFRs. The evaluator produces a test
report documenting the plan for and results of testing, as well as coverage arguments focused on the
platform/TOE combinations that are claiming conformance to this cPP.
Evaluation Activities
The evaluator shall examine the TOE to determine that the test configuration is consistent with the
configuration under evaluation as specified in the ST.
The evaluator shall examine the TOE to determine that it has been installed properly and is in a known
state.
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The evaluator shall prepare a test plan that covers all of the testing actions for ATE_IND.1 in the CEM and
in the SFR-related Evaluation Activities. While it is not necessary to have one test case per test listed in an
Evaluation Activity, the evaluator must show in the test plan that each applicable testing requirement in
the SFR-related Evaluation Activities is covered.
The test plan identifies the platforms to be tested, and for any platforms not included in the test plan but
included in the ST, the test plan provides a justification for not testing the platforms. This justification
must address the differences between the tested platforms and the untested platforms, and make an
argument that the differences do not affect the testing to be performed. It is not sufficient to merely
assert that the differences have no affect; rationale must be provided. If all platforms claimed in the ST
are tested, then no rationale is necessary.
The test plan describes the composition and configuration of each platform to be tested, and any setup
actions that are necessary beyond what is contained in the AGD documentation. It should be noted that
the evaluator is expected to follow the AGD documentation for installation and setup of each platform
either as part of a test or as a standard pre-test condition. This may include special test drivers or tools.
For each driver or tool, an argument (not just an assertion) should be provided that the driver or tool will
not adversely affect the performance of the functionality by the TOE and its platform. This also includes
the configuration of any cryptographic engine to be used (e.g. for cryptographic protocols being
evaluated).
The test plan identifies high-level test objectives as well as the test procedures to be followed to achieve
those objectives, and the expected results.
The test report (which could just be an updated version of the test plan) details the activities that took
place when the test procedures were executed, and includes the actual results of the tests. This shall be
a cumulative account, so if there was a test run that resulted in a failure, so that a fix was then installed
and then a successful re-run of the test was carried out, then the report would show a “fail” result followed
by a “pass” result (and the supporting details), and not just the “pass” result2
.
6.2.1.6 Class AVA: Vulnerability Assessment
For the first generation of this cPP, the iTC is expected to survey open sources to discover what
vulnerabilities have been discovered in these types of products and provide that content into the
AVA_VAN discussion. In most cases, these vulnerabilities will require sophistication beyond that of a basic
attacker. This information will be used in the development of future protection profiles.
6.2.1.6.1 Vulnerability Survey (AVA_VAN.1)
Appendix A in [SD] provides a guide to the evaluator in performing a vulnerability analysis.
Evaluation Activities
The evaluator shall document their analysis and testing of potential vulnerabilities with respect to this
requirement. This report could be included as part of the test report for ATE_IND, or could be a separate
document.
The evaluator formulates hypotheses in accordance with process defined in Appendix A. The evaluator
documents the flaw hypotheses generated for the TOE in the report in accordance with the guidelines in
2
It is not necessary to capture failures that were due to errors on the part of the tester or test environment. The
intention here is to make absolutely clear when a planned test resulted in a change being required to the originally
specified test configuration in the test plan, to the evaluated configuration identified in the ST and guidance
documentation, or to the TOE itself.
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Appendix A.5. The evaluator shall then perform vulnerability analysis in accordance with Appendix A.4.
The results of the analysis shall be documented in the report according to Appendix A.5.
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7. TOE Summary Specification
This section provides evaluators and potential consumers of the TOE with a high-level description of each
SFR, thereby enabling them to gain a general understanding of how the TOE is implemented. These
descriptions are intentionally not overly detailed, thereby disclosing no proprietary information. These
sections refer to SFRs defined in Section 6, Security Requirements.
The TOE consists of the following Security Functions:
 Security Audit
 Cryptographic Support
 Identification and Authentication
 Security Management
 Protection of the TSF
 TOE Access
 Trusted Path/Channels
7.1 Security Audit
7.1.1 Audit Generation
The TSF generates audit records for the following events:
 Startup and shutdown of the audit function
 Administrative login and logout events
 Security related configuration changes
 Generation of a CSR and associated keypair
 Installation of a certificate
 Resetting passwords
 Low audit storage space available
 Failure to establish a HTTPS/TLS session
 Failure to establish a TLS session
 All use of the identification and authentication mechanism (local and remote connections to the
TSF)
 Unsuccessful attempts to validate a certificate
 Initiation of a software update
 Result of a software update
 Changes to the time
 Modification of the behavior of the TSF
 Failure of self-tests
 Initiation and termination of the trusted channel
 Initiation and termination of the trusted path
Each audit record includes the date and time, type, subject identity (IP address, hostname, and/or
username), the outcome (success or failure), and any additional information specified in column three of
Table 7.
FAU_GEN.1, FAU_GEN.2
7.1.2 Audit Storage
By default the TSF allocates 200 MB each audit log file used for local audit storage; however, the
administrator can configure the file size, up to 500 MB. The TSF maintains two audit files. When the
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current audit file reaches capacity; the TSF deletes the inactive log file (if present), creates a new log file,
switches logging to the new log file, and generates an audit log indicating that a log file reached capacity.
TSF generates an audit log and displays a notice in the HTTPs GUI when the current audit file reaches 90%
of its capacity.
The TSF protects audit data from unauthorized modification and deletion though the restrictive
administrative interfaces. The filesystem of the TSF is not exposed to the administrative user over the
HTTPs GUI or the local CLI. The administrative user must be positively identified and authenticated prior
to being allowed to clear the local audit log or change audit settings.
The TSF implements the Syslog protocol and Syslog over TLS according to RFCs 5424 and 5425 respectively.
The trusted channel with the Syslog server is described in greater detail in Section 7.2.4.
FAU_STG.1, FAU_STG_EXT.1, FAU_STG_EXT.3
7.2 Cryptographic Support
7.2.1 Cryptographic Key Generation
The TSF supports the generation of RSA 2048 bit and 3072 bit keys for TLS client authentication, TLS server
authentication, and RSA key encapsulation.
The TSF generates ECDSA P-256 and P-384 keys for TLS client authentication, TLS server authentication,
and TLS ECDHE key establishment.
FCS_CKM.1
The TSF utilizes elliptic curve key agreement when an ECDHE TLS ciphersuite is negotiated. The TSF utilizes
RSA based key encapsulation when any other TLS ciphersuite is negotiated.
FCS_CKM.2
The TSF stores the following persistent keys on internal Hard Disk Drives in plaintext:
 HTTPs/TLS Private Host Key – generated using the DRBG and FCS_CKM.1 or entered by the
Security Administrator.
 Syslog/TLS Private Client Key – generated using the DRBG and FCS_CKM.1 or entered by the
Security Administrator.
 HAWK secret key – Provided by the Pulse One server during registration and during the automated
new Credentials process. This key is only present if the TSF is configured to communicate with the
optional Pulse One server.
The TSF stores loads the persistent keys into RAM when they are used and the TSF also stores the following
ephemeral keys in RAM:
 TLS Session keys – Established according to FCS_CKM.2 and derived using the TLS KDF
 DRBG State – Derived from the entropy source
The HTTPs/TLS Private Host Key and the Syslog/TLS Private Client key are zeroized from the disk when the
Security Administrator deletes the key, replaces the key, or zeroized the entire TOE. These keys are
zeroized from RAM when the HTTP or Syslog process terminates.
The persistent HAWK secret key is destroyed when the Pulse One server updates the HAWK key or the
Pulse One configuration is deleted. The HAWK secret key is zeroized from RAM when the TLS session with
the Pulse One server is terminated.
The TLS Session keys are zeroized from RAM when the associated TLS session is terminated.
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The DRBG state is zeroized when the TSF is shutdown or restarted.
The TSF zeroizes keys in RAM by writing zeros to the memory location three times and performing a read
verify to ensure that the memory location was set to all zeros. If the read verify fails, the TSF repeats the
zeroization process.
The TSF zeroizes the HTTPs/TLS Private Host Key and the Syslog/TLS Private Client key on the hard disk
drives by overwriting the file location with data from /dev/urandom three times. Each overwrite calls
/dev/urandom ensuring that a different pseudo random pattern is used each time.
The TSF destroys the HAWK secret key on the hard disk by overwriting the location of the previous key
with the new value of the key or instructing the filesystem to destroy the abstraction representing the key
(deletion of the config file).
FCS_CKM.4
7.2.2 Cryptographic Operations
The TSF’s use of cryptographic is architected as show in Figure 1.
Figure 1: Cryptographic Architecture
The TSF utilizes the following CAVP certified cryptographic algorithms:
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Table 10: Cryptographic Algorithms
SFR Description Cert
FCS_CKM.1
RSA 2048/3072-bit Key Generation 2345
ECDSA P-256/P-384 Key Generation 1026
FCS_CKM.2 Elliptic Curve Diffie-Hellman SP800-56A Key Agreement 1270
FCS_COP.1(1) AES 128/256-bit CBC/GCM Encryption/Decryption 4334
FCS_COP.1(2)
RSA 2048/3072-bit Signature Generation, Signature Verification with
SHA-1/256/384/512
2345
ECDSA P-256/P-384 Signature Generation, Signature Verification with
SHA-1/256/384/512
1026
FCS_COP.1(3) SHA-1/256/384/512 3577
FCS_COP.1(4) HMAC-SHA-1/256/384 2880
FCS_RBG_EXT.1 CTR_DRBG using AES 256 1384
The TSF seed the CTR_DRBG using 2560-bits of data that contains at least 256 bits of entropy. The TSF
gathers and pools entropy from two hardware noise sources: interrupt timings and hard disk timings.
The TSF utilizes the hash algorithms as describe below in Table 11.
Table 11: Hash Usage
Hash Use
SHA-1 HMAC as described in Table 12, Hashing for Digital Signatures
SHA-256
HMAC as described in Table 12, Hashing for Digital Signatures, File integrity checking, Password
Obfuscation
SHA-384 HMAC as described in Table 12, Hashing for Digital Signatures
SHA-512 Hashing for Digital Signatures
The TSF utilizes the HMAC algorithm as describe below in Table 12.
Table 12: HMAC Usage
Hash Use Key Size Block Size
MAC
length
SHA-1 TLSv1.1 Master Secret Derivation
128 bits – ECDHE P-256
192 bits – RSA & ECDHE P-384
512 bits 160 bits
SHA-256 TLSv1.2 Master Secret Derivation
128 bits – ECDHE P-256
192 bits – RSA & ECDHE P-384
512 bits 256 bits
SHA-384 TLSv1.2 Master Secret Derivation
256 bits – ECDHE P-256
384 bits – RSA & ECDHE P-384
1024 bits 384 bits
SHA-1 TLSv1.1 Key Block Derivation 192 bits 512 bits 160 bits
SHA-256 TLSv1.2 Key Block Derivation 384 bits 512 bits 256 bits
SHA-384 TLSv1.2 Key Block Derivation 384 bits 1024 bits 384 bits
SHA-1 TLS Message Authentication 160 bits 512 bits 160 bits
SHA-256 TLS Message Authentication 256 bits 512 bits 256 bits
SHA-384 TLS Message Authentication 384 bits 1024 bits 384 bits
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Table 12: HMAC Usage
Hash Use Key Size Block Size
MAC
length
SHA-256 HAWK HMAC Generation 352 bits 512 bits 256 bits
FCS_COP.1(1), FCS_COP.1(2), FCS_COP.1(3), FCS_COP.1(4), FCS_RBG_EXT.1
7.2.3 HTTPs Protocol
The TSF implements the server and client sides of the HTTPs protocol according to RFC 2818 by using a
TLS session in place of a TCP connection. The TLS server protocol is described in Section 7.2.5 and the TLS
client protocol is described in Section 7.2.4. As a TLS client, the TSF will only establish the connection if
the peer certificate successfully authenticates the peer according to X.509 authentication described in
Section 7.3.5. As a TLS server, the TSF requires the administrator authenticate as described in Section
7.3.2.
When acting as a server, the TSF listens on port 443 for HTTPs connections. The TSF uses HTML over HTTPs
to present the administrative users with a secure management interface described in Section 7.4. The TSF
uses TLS to provide a secure connection between the TSF and remote Security Administrators.
When acting as a client, the TSF uses HTTPs to establish a trusted channel with the Pulse One management
server.
FCS_HTTPS_EXT.1
7.2.4 TLS Client Protocol
The TSF implements a TLSv1.1 and TLSv1.2 client to secure communications with the Syslog server and
the optional Pulse One server. The TSF supports and proposes the following ciphersuites and extensions
in the ClientHello Message:
 Ciphersuites for Syslog communication (FCS_TLSC_EXT.2):
o TLS_RSA_WITH_AES_128_CBC_SHA
o TLS_RSA_WITH_AES_256_CBC_SHA
o TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA
o TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA
o TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA
o TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA
o TLS_RSA_WITH_AES_128_CBC_SHA256
o TLS_RSA_WITH_AES_256_CBC_SHA256
o TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256
o TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384
o TLS_ECDHE_ECDSA_WITH_AES_128_GCM_SHA256
o TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384
o TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256
o TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384
 Ciphersuites for communication with Pulse One (FCS_TLSC_EXT.1):
o TLS_RSA_WITH_AES_128_CBC_SHA
o TLS_RSA_WITH_AES_256_CBC_SHA256
o TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384
o TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384
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o TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384
 Signature Algorithms:
o RSA with SHA-1/256/384/512
o ECDSA SHA-1/256/384
 Supported Elliptic Curves:
o secp256r1
o secp384r1
 Supported Point Formats:
o Uncompressed
The Security Administrator can configure the TSF so it will only negotiate TLSv1.2. The Security
Administrator can enable and disable individual ciphersuites as well as specifying the preferred ordering
of ciphersuites. The TSF also allows the Security Administrator to enable or disable the supported elliptic
curves.
When the Syslog server sends the Certificate Request message, the TSF replies with a Client Certificate
message. The Client Certificate message includes the certificate that the Security Administrator
configured to authenticate to the Syslog server.
If the TSF is configured to communicate with the optional Pulse One management server, it utilizes
HTTPs/TLS without TLS Client Certificate authentication. The TSF uses HAWK authentication described in
Section 7.7.1 to authenticate the connection to the Pulse One server.
The TSF does not support certificate pinning and determines if the certificate is valid for the specified
server based on the DNS name or IP address of the server as described in Section 7.3.5.
FCS_TLSC_EXT.1, FCS_TLSC_EXT.2
7.2.5 TLS Server Protocol
The TSF supports TLSv1.1 and TLSv1.2 for HTTPs/TLS. If the TSF receives a ClientHello message that
requests TLSv1.0 or earlier, the TSF sends a fatal handshake_failure message and terminates the
connection. When the TSF is configured with a server certificate with an RSA key, the TSF supports
following TLS ciphersuties are supported:
 TLS_RSA_WITH_AES_128_CBC_SHA
 TLS_RSA_WITH_AES_256_CBC_SHA
 TLS_ECDHE_RSA_WITH_AES_128_CBC_SHA
 TLS_ECDHE_RSA_WITH_AES_256_CBC_SHA
 TLS_RSA_WITH_AES_128_CBC_SHA256
 TLS_RSA_WITH_AES_256_CBC_SHA256
 TLS_ECDHE_RSA_WITH_AES_128_GCM_SHA256
 TLS_ECDHE_RSA_WITH_AES_256_GCM_SHA384
When the TSF is configured with a server certificate with an ECDSA key, the TSF supports following TLS
ciphersuites are supported:
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA
 TLS_ECDHE_ECDSA_WITH_AES_128_CBC_SHA256
 TLS_ECDHE_ECDSA_WITH_AES_256_CBC_SHA384
 TLS_ECDHE_ECDSA_WITH_AES_128_GCM_SHA256
 TLS_ECDHE_ECDSA_WITH_AES_256_GCM_SHA384
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When the TSF selects an ECDHE ciphersuite, it sends the client secp256r1 or secp384r1 key agreement
parameters. The TSF prefers secp256r1 if the client indicates support for both curves in the ClientHello
message.
The Security Administrator can configure the TSF so it only accepts TLSv1.2 connections. The Security
Administrator can enable and disable individual ciphersuites as well as specifying the preferred ordering
of ciphersuites.
FCS_TLSS_EXT.1
7.3 Identification and Authentication
7.3.1 Password Management
The TSF supports administrator password composition to include any combination of upper and lower
case letters, numbers, and the following special characters “!”, “@”, “#”, “$”, “%”, “^”, “&”, “*”, “(“, “)”,
and the complete set of standard printable ASCII characters (values 0x20 – 0x7E)with a minimum length
settable by the administrator and support 15 characters or greater.
FIA_PMG_EXT.1.1
7.3.2 User Identification and Authentication
The TSF utilizes HTTPs as described in Section 7.2.3 to a secure remote administration web UI. When
connecting over HTTPs, the TSF presents Security Administrators with a username and password prompt.
The Security Administrator is considered authenticated if the username and password match the
credentials configured in the TSF.
The TSF utilizes a local serial CLI which presents Security Administrators with a username and password
prompt. The Security Administrator is considered authenticated if the username and password provided
match the credentials configured in the TSF.
Prior to successful identification and authentication, the TSF displays the TOE access banner specified in
FTA_TAB.1, responds to ICMP Echo messages with ICMP Echo Reply messages, and allows Firewall
Listening Service communication.
FIA_UIA_EXT.1, FIA_UAU_EXT.2
7.3.3 Protected Authentication Feedback
When the user is entering their password over the local console, the TSF does not echo any characters
back.
FIA_UAU.7.1
7.3.4 X.509 Certificate Validation
When a certificate is used (to identify the TSF or identify an external entity to the TSF), the TSF verifies
certificates by checking the following:
1. The current date between the “Valid from” and “Valid to” dates
2. The certificate is not listed on the CRL. If the TSF has a cached response that has not expired, the
TSF uses the cached response in lieu of querying the CRL server
3. The certificate chain is valid:
o Each certificate in the certificate chain passes the checks described in #1 and #2.
o Each certificate (other than the first certificate) in the certificate chain has the Subject
Type=CA flag set.
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o Each certificate is signed by:
 a certificate in the certificate chain, or
 a trusted root CA that has been installed in the TSF
The TSF verifies the validity of a certificate when:
 A HTTPs client establishes a TLS connection (HTTPs Server Certificate)
 The TSF verifies the server certificate of the Syslog server
 The TSF uses its client certificate authenticate to the Syslog server
If the Security Administrator loads a certificate with a Subject Type=CA, the TSF does not validate the
certificate path.
FIA_X509_EXT.1
7.3.5 X.509 Certificate Authentication
When establishing a connection to the Syslog or optional Pulse One server, the TSF uses the certificate
presented by the Syslog server to verify the server’s identity.
The TSF establishes reference identifiers for the remote server as follows:
 When the server is specified using a domain name, the TSF verifies that the domain name matches
a Subject Alternative Name DNS Name field in the certificate using exact or wildcard matching
specified in Section 3.1 of RFC 2818. If the certificate does not contain any Subject Alternative
Name fields, the TSF matches the domain name against the Common Name in the certificate.
 When the server is specified using an IP address, the TSF verifies that the IP address exactly
matches a Subject Alterative Name IP Address field in the certificate using the rules specified in
Section 3.1 of RFC 2818. If the certificate does not contain any Subject Alternative Name fields,
the TSF matches the IP address against the Common Name in the certificate.
Once the TSF has verified that the certificate identifiers are valid for the Syslog server, the TSF verifies the
validity of the certificate as described in Section 7.3.4.
The TSF presents its own certificate to the Syslog server. This certificate is configured specifically for
authentication to the Syslog server by the Security Administrator.
When a user connects over HTTPs, the TSF presents the certificate that the Security Administrator
configured for use with HTTPs. If the user proceeds with certificate authentication, the TSF verifies that
the certificate presented by the user is the same certificate that is configured for the provided username.
If the TSF cannot contact the CRL server or the server does not respond, the TSF logs the failure and
considers the certificate valid. If any of the other Section 7.3.4 validity checks fail, the TSF rejects the
certificate and does not establish the connection.
FIA_X509_EXT.2
7.3.6 X.509 Certificate Requests
The TSF allows Security Administrators to generate Certificate Signing Requests. The TSF requires the
Security Administrator to specify the following values:
 Common Name
 Organization
 Locality
 State
 Country
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 Key Type (RSA or ECDSA)
 Key Length (2048, 3072, P-256, or P-384)
The TSF allows the Security Administrator to specify an Organization Unit and additional random data
used when generating the key pair.
FIA_X509_EXT.3
7.4 Security Management
The TSF implements the Security Administrator role to authorized administrators of the TOE. The TSF
allows the Security Administrators to administer the TSF via a local CLI and a web UI. The TSF accepts
configuration updates from a Pulse One management server, which is a trusted IT entity. The TSF
permission restrict access to these management functions to users that have been identified,
authenticated, and authorized with the Security Administrator role. The web UI and local console allow
the Security Administrator to perform the following TSF management functions:
 Verify/Install Firmware Updates
 View/Edit settings for sending audit data to the Syslog Server
 View/Edit the amount of space allocated Local Audit storage
 Clear/Delete Local Audit records
 View/Edit enabled TLS versions
 View/Edit enabled TLS ciphersuties
 View/Edit X.509 Certificates
 Generate and set cryptographic keys (private keys associated with CSRs and X.509 certificates)
used to identify the TOE
 View/Edit cryptographic keys (public keys part of X.509 certificates) used to authenticate users
 View/Edit the TOE access banner
 View/Edit the session inactivity timeout
 View/Edit user accounts (excluding passwords)
 Set user account passwords
 View/Edit the Pulse One URL
If a new NDcPP compliant software package is available, the Security Administrator follows the
instructions in Section 4.7 of the operational guidance [T1] and Section 7.5.4 to invoke the Verify/Install
Firmware Updates function.
The TSF can also be managed from an optional Pulse One management server, which is a trusted IT entity.
When a Pulse One management server is used, the server copies configuration updates to the TSF.
The administrative interfaces provided by the TSF do not allow any of these functions to be accessed by
unauthenticated or unauthorized users.
FMT_MOF.1(1)/TrustedUpdate, FMT_MOF.1(2)/TrustedUpdate, FMT_MOF.1(1)/Audit,
FMT_MOF.1(2)/Audit, FMT_MOF.1(1)/AdminAct, FMT_MTD.1, FMT_MTD.1/AdminAct, FMT_SMF.1,
FMT_SMR.2
7.5 Protection of the TSF
7.5.1 Protection of Administrator Passwords
The TSF does not store plaintext password. The TSF stores the SHA-256 hash of each users’ password.
Additionally, the TSF does not provide a user interface to view the password hashes.
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FPT_APW_EXT.1
7.5.2 Protection of TSF Data (for reading of all symmetric keys)
The TSF stores pre-shared keys, symmetric keys, and private keys in plaintext on the hard disk; however,
it does not provide an interface to allow any user to view any passwords, pre-shared keys, symmetric keys,
and private keys. Additional information regarding these keys can be found in Section 7.2.1.
FPT_SKP_EXT.1
7.5.3 TSF Testing
The TSF performs the following hardware self-tests at power-on:
 BIOS checks at power-on (words taken from BIOS vendor document)
o Verify boot block checksum. System will hang here if checksum is bad.
o Verify main BIOS checksum.
o Check CMOS diagnostic byte to determine if battery power is OK and CMOS checksum is
OK.
o Verify CMOS checksum manually by reading storage area. If the CMOS checksum is bad,
update CMOS with power-on default values and clear passwords.
 Cryptographic library tests:
o HMAC-SHA-256 integrity check of the library
o HMAC-SHA-1 KAT
o HMAC-SHA-256 KAT
o HMAC-SHA-384 KAT
o AES 128 ECB Encrypt and Decrypt KAT
o AES 256 GCM Encrypt and Decrypt KAT
o RSA 2048 SHA-256 Sign and Verify KAT
o ECDSA P-224 SHA-512 Sign and Verify PCT
o DRBG AES-CTR-256 KAT (invoking the instantiate, reseed, and generate functions)
 Firmware checks:
o RSA 2048 SHA-512 digital signature verification of the manifest file. This file contains a list
of all executables that are part of the TSF
o SHA-256 integrity check of each executable file in the TSF using the pre-calculated hashes
from the manifest file.
The BIOS checks and the successful use of the hardware to perform cryptographic operations provides
basic assurance that the hardware is working properly. The Cryptographic library test and the Firmware
checks provide a high level of assurance that the firmware has not been tampered with and that the
cryptographic algorithms are working properly. The Cryptographic library tests verify that each
cryptographic algorithm3
specified in FCS_COP.1 requirements is passing a KAT. The KAT demonstrates
that algorithm is functioning properly by invoking the algorithm with hard coded keys and messages and
comparing the result to a pre-computed, known to be correct value. The ECDSA PCT shows that the ECDSA
algorithm is functioning properly by signing a known value with a known key, and verifying that verifying
the computed signature indicates that the signature is valid.
If the BIOS checks fail, the TSF does not power-up.
If the cryptographic library tests fail, the TSF will not start up.
3
The TSF only tests a single set of parameters for each cryptographic algorithm.
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If any of the other checks fail, the TSF will log the failure and continue to boot.
FPT_TST_EXT.1
7.5.4 Trusted Update
The TSF allows the Security Administrator to install firmware updates. The Security Administrator obtains
candidate updates by downloading them from the Pulse Secure Licensing and Download Center on the
Pulse Secure website. When the Security Administrator uploads a firmware update, the TSF performs a
RSA 2048 SHA-256 digital signature verification of the update using the Pulse Secure firmware update
public key. Pulse Secure retains control over the private key used to sign firmware updates. If the signature
check is successful, the TSF installs the update. If the signature check detects tampering with the update
and/or signature, the TSF presents the user with an error message and discards the update.
The TSF allows the Security Administrator to view the currently running version of firmware from the
System Maintenance > Platform page of the web UI.
FPT_TUD_EXT.1
7.5.5 Reliable Time Stamps
The TOE time function is reliant on the system clock provided by the underlying hardware. The time source
is maintained by a reliable hardware clock that is updated by a Security Administrator once a month. The
TSF uses system time to timestamp audit log records, to determine user session timeouts, to determine
certificate validity, and for HAWK authentication. These uses of time do not require an accuracy finer than
one second, and the frequency of updating the time keeps the clock drift under one second.
FPT_STM.1
7.6 TOE Access
The TSF enables Security Administrators to configure an access banner provided with the authentication
prompt. The banner can provide warnings against unauthorized access to the TOE as well as any other
information that the Security Administrator wishes to communicate.
The TSF presents the access banner prior to authentication when a user connects to the remote web UI
or local console CLI described in Section 7.3.2.
User sessions can be terminated by users. The Security Administrator can set the TOE so that local and
remote sessions are terminated after a Security Administrator-configured period of inactivity.
FTA_SSL_EXT.1, FTA_SSL.3, FTA_SSL.4, FTA_TAB.1
7.7 Trusted Path/Channels
7.7.1 Inter-TSF Trusted Channel
The TSF communicates with the external syslog server using Syslog over TLS with Authentication as
described in Sections 7.1.2 and 7.2.4. The TSF initiates the trusted channel with the Syslog server.
If the TSF is configured to communicate with the optional Pulse One management server, it utilizes
HTTPs/TLS without TLS Client Certificate authentication as described in Sections 7.2.3 and 7.2.4. The
channel with the Pulse One server is mutually authenticated using the HAWK authentication scheme. The
TSF initiates the trusted channel with the Pulse One management server. To implement the HAWK
authentication scheme, the TSF sends an HMAC-SHA-256 of each message to the Pulse One server. The
message includes the current timestamp to prevent replay. The correct HMAC proves the TSF’s
knowledges of the HAWK secret key.
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FTP_ITC.1
7.7.2 Trusted Path
The TSF provides a trusted path for remote administration using HTTPs/TLS as described in Sections 7.2.3
and 7.2.5.
FTP_TRP.1
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8. Terms and Definitions
Table 13: TOE Abbreviations and Acronyms
Abbreviations/
Acronyms
Description
AES Advanced Encryption Standard
ASCII American Standard Code for Information Interchange
BIOS Basic Input/Output System
CBC Cipher Block Chaining
CLI Command Line Interface
CMOS Memory used to store BIOS settings
CRL Certificate Revocation List
CSR Certificate Signing Request
DH Diffie-Hellman
DHE Diffie-Hellman Ephemeral
DMI Device Management Interface
DNS Domain Name System
DRBG Deterministic Random Bit Generator
DSA Digital Signature Algorithm
ECDH Elliptic Curve Diffie-Hellman
ECDHE Elliptic Curve Diffie-Hellman Ephemeral
ECDSA Elliptic Curve Digital Signature Algorithm
FIPS Federal Information Processing Standards
GCM Galois Counter Mode
GUI Graphical User Interface
HAWK HTTP Holder of Key
HMAC Hash Message Authentication Code
HTML Hypertext Markup Language
HTTP Hypertext Transfer Protocol
HTTPs Hypertext Transfer Protocol Secure
IF-MAP Interface to Metadata Access Points
IKE Internet Key Exchange
IP Internet Protocol
KAT Known Answer Test
KDF Key Derivation Function
MB Megabyte
NCP Network Communication Protocol
NTP Network Time Protocol
OCSP Online Certificate Status Protocol
PCT Pairwise Consistency Test
PKCS Public Key Cryptography Standards
RAM Random Access Memory
RFC Requests for Comments
RSA Rivest-Shamir-Adleman
SHA Secure Hash Algorithm
SNMP Simple Network Management Protocol
SSH Secure Shell
TCP Transmission Control Protocol
TLS Transport Layer Security
UI User Interface
URI Uniform Resource Identifier
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Table 13: TOE Abbreviations and Acronyms
Abbreviations/
Acronyms
Description
VPN Virtual Private Network
Table 14: CC Abbreviations and Acronyms
Abbreviations/
Acronyms
Description
CC Common Criteria
CCRA Arrangement on the Recognition of Common Criteria Certificates in the field of IT Security
DOD Department of Defense
OSP Organizational Security Policy
PP Protection Profile
SAR Security Assurance Requirement
SFR Security Functional Requirement
SFP Security Function Policy
SPD Security Policy Database
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
TSFI TSF Interface
TSS TOE Summary Specification
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9. References
Table 15: TOE Guidance Documentation
Reference Description Version Date
[T1] Pulse Policy Secure Operational User Guidance and Preparative
Procedures
0.5 June 5, 2017
[T2] PSA300 Hardware Guide 1.0 April 2016
[T3] PSA3000 Hardware Guide 1.0 April 2016
[T4] PSA5000 Hardware Guide 1.0 April 2016
[T5] PSA7000 Hardware Guide 1.0 April 2016
[T6] MAG Series Pulse Secure Gateways Hardware Guide September 2015
Table 16: TOE Evaluation Evidence
Reference Description Version Date
[E1] AssuranceDocument 1.4 August 5, 2016
[E2] Pulse Secure Entropy Assessment – in PCS/PPS Series Appliances 4.9 June 2017
Table 17: Common Criteria v3.1 References
Reference Description Version Date
[C1] Common Criteria for Information Technology Security
Evaluation
Part 1: Introduction and general model CCMB-2012-09-001
V3.1 R4 September 2012
[C2] Common Criteria for Information Technology Security
Evaluation
Part 2: Security functional components CCMB-2012-09-002
V3.1 R4 September 2012
[C3] Common Criteria for Information Technology Security
Evaluation
Part 3: Security assurance components CCMB-2012-09-003
V3.1 R4 September 2012
[C4] Common Criteria for Information Technology Security
Evaluation
Evaluation Methodology CCMB-2012-09-004
V3.1 R4 September 2012
Table 18: Supporting Documentation
Reference Description Version Date
[NDcPP] Collaborative Protection Profile for Network Devices 1.0 February 27, 2015
[SD] Supporting Document Mandatory Technical Document
Evaluation Activities for Network Device cPP
1.0 February 27, 2015
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Annex A Algorithm Validation Requirements
FCS_CKM.1.1
Note: The following tests require the developer to provide access to a test platform that provides the
evaluator with tools that are typically not found on factory products.
Key Generation for FIPS PUB 186-4 RSA Schemes
The evaluator shall verify the implementation of RSA Key Generation by the TOE using the Key generation
test. This test verifies the ability of the TSF to correctly produce values for the key components including
the public verification exponent e, the private prime factors p and q, the public modulus n and the
calculation of the private signature exponent d.
Key Pair generation specifies 5 ways (or methods) to generate the primes p and q. These include:
a) Random Primes:
 Provable primes
 Probable primes
b) Primes with Conditions:
 Primes p1, p2, q1, q2, p and q shall all be provable primes
 Primes p1, p2, q1, and q2 shall be provable primes and p and q shall be probable primes
 Primes p1, p2, q1, q2, p and q shall all be probable primes
To test the key generation method for the Random Provable primes method and for all the Primes with
Conditions methods, the evaluator must seed the TSF key generation routine with sufficient data to
deterministically generate the RSA key pair. This includes the random seed(s), the public exponent of the
RSA key, and the desired key length. For each key length supported, the evaluator shall have the TSF
generate 25 key pairs. The evaluator shall verify the correctness of the TSF’s implementation by comparing
values generated by the TSF with those generated from a known good implementation.
Key Generation for Elliptic Curve Cryptography (ECC)
FIPS 186-4 ECC Key Generation Test
For each supported NIST curve, i.e., P-256, P-384 and P-521, the evaluator shall require the
implementation under test (IUT) to generate 10 private/public key pairs. The private key shall be
generated using an approved random bit generator (RBG). To determine correctness, the evaluator shall
submit the generated key pairs to the public key verification (PKV) function of a known good
implementation.
FIPS 186-4 Public Key Verification (PKV) Test
For each supported NIST curve, i.e., P-256, P-384 and P-521, the evaluator shall generate 10 private/public
key pairs using the key generation function of a known good implementation and modify five of the public
key values so that they are incorrect, leaving five values unchanged (i.e., correct).The evaluator shall
obtain in response a set of 10 PASS/FAIL values.
Key Generation for Finite-Field Cryptography (FFC)
The evaluator shall verify the implementation of the Parameters Generation and the Key Generation for
FFC by the TOE using the Parameter Generation and Key Generation test. This test verifies the ability of
the TSF to correctly produce values for the field prime p, the cryptographic prime q (dividing p-1), the
cryptographic group generator g, and the calculation of the private key x and public key y.
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The Parameter generation specifies 2 ways (or methods) to generate the cryptographic prime q and the
field prime p:
 Primes q and p shall both be provable primes
 Primes q and field prime p shall both be probable primes
and two ways to generate the cryptographic group generator g:
 Generator g constructed through a verifiable process
 Generator g constructed through an unverifiable process.
The Key generation specifies 2 ways to generate the private key x:
 len(q) bit output of RBG where 1 <=x <= q-1
 len(q) + 64 bit output of RBG, followed by a mod q-1 operation where 1<= x<=q-1.
The security strength of the RBG must be at least that of the security offered by the FFC parameter set.
To test the cryptographic and field prime generation method for the provable primes method and/or the
group generator g for a verifiable process, the evaluator must seed the TSF parameter generation routine
with sufficient data to deterministically generate the parameter set.
For each key length supported, the evaluator shall have the TSF generate 25 parameter sets and key pairs.
The evaluator shall verify the correctness of the TSF’s implementation by comparing values generated by
the TSF with those generated from a known good implementation. Verification must also confirm:
 g != 0,1
 q divides p-1
 g^q mod p = 1
 g^x mod p = y
for each FFC parameter set and key pair.
FCS_CKM.2.1
Key Establishment Schemes
The evaluator shall verify the implementation of the key establishment schemes of the supported by the
TOE using the applicable tests below.
SP800-56A Key Establishment Schemes
The evaluator shall verify a TOE's implementation of SP800-56A key agreement schemes using the
following Function and Validity tests. These validation tests for each key agreement scheme verify that a
TOE has implemented the components of the key agreement scheme according to the specifications in
the Recommendation. These components include the calculation of the DLC primitives (the shared secret
value Z) and the calculation of the derived keying material (DKM) via the Key Derivation Function (KDF). If
key confirmation is supported, the evaluator shall also verify that the components of key confirmation
have been implemented correctly, using the test procedures described below. This includes the parsing
of the DKM, the generation of MACdata and the calculation of MACtag.
Function Test
The Function test verifies the ability of the TOE to implement the key agreement schemes correctly. To
conduct this test the evaluator shall generate or obtain test vectors from a known good implementation
of the TOE supported schemes. For each supported key agreement scheme-key agreement role
combination, KDF type, and, if supported, key confirmation role-key confirmation type combination, the
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tester shall generate 10 sets of test vectors. The data set consists of one set of domain parameter values
(FFC) or the NIST approved curve (ECC) per 10 sets of public keys. These keys are static, ephemeral or both
depending on the scheme being tested.
The evaluator shall obtain the DKM, the corresponding TOE’s public keys (static and/or ephemeral), the
MAC tag(s), and any inputs used in the KDF, such as the Other Information field OI and TOE id fields.
If the TOE does not use a KDF defined in SP 800-56A, the evaluator shall obtain only the public keys and
the hashed value of the shared secret.
The evaluator shall verify the correctness of the TSF’s implementation of a given scheme by using a known
good implementation to calculate the shared secret value, derive the keying material DKM, and compare
hashes or MACtags generated from these values.
If key confirmation is supported, the TSF shall perform the above for each implemented approved MAC
algorithm.
Validity Test
The Validity test verifies the ability of the TOE to recognize another party’s valid and invalid key agreement
results with or without key confirmation. To conduct this test, the evaluator shall obtain a list of the
supporting cryptographic functions included in the SP800-56A key agreement implementation to
determine which errors the TOE should be able to recognize. The evaluator generates a set of 24 (FFC) or
30 (ECC) test vectors consisting of data sets including domain parameter values or NIST approved curves,
the evaluator’s public keys, the TOE’s public/private key pairs, MACTag, and any inputs used in the KDF,
such as the other info and TOE id fields.
The evaluator shall inject an error in some of the test vectors to test that the TOE recognizes invalid key
agreement results caused by the following fields being incorrect: the shared secret value Z, the DKM, the
other information field OI, the data to be MACed, or the generated MACTag. If the TOE contains the full
or partial (only ECC) public key validation, the evaluator will also individually inject errors in both parties’
static public keys, both parties’ ephemeral public keys and the TOE’s static private key to assure the TOE
detects errors in the public key validation function and/or the partial key validation function (in ECC only).
At least two of the test vectors shall remain unmodified and therefore should result in valid key agreement
results (they should pass).
The TOE shall use these modified test vectors to emulate the key agreement scheme using the
corresponding parameters. The evaluator shall compare the TOE’s results with the results using a known
good implementation verifying that the TOE detects these errors.
SP800-56B Key Establishment Scheme Testing
The evaluator shall verify that the TSS describes whether the TOE acts as a sender, a recipient, or both for
RSA-based key establishment schemes.
If the TOE acts as a sender, the following assurance activity shall be performed to ensure the proper
operation of every TOE supported combination of RSA-based key establishment scheme:
a) To conduct this test the evaluator shall generate or obtain test vectors from a known good
implementation of the TOE supported schemes. For each combination of supported key
establishment scheme and its options (with or without key confirmation if supported, for each
supported key confirmation MAC function if key confirmation is supported, and for each
supported mask generation function if KTS-OAEP is supported), the tester shall generate 10 sets
of test vectors. Each test vector shall include the RSA public key, the plaintext keying material, any
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additional input parameters if applicable, the MacKey and MacTag if key confirmation is
incorporated, and the outputted ciphertext. For each test vector, the evaluator shall perform a
key establishment encryption operation on the TOE with the same inputs (in cases where key
confirmation is incorporated, the test shall use the MacKey from the test vector instead of the
randomly generated MacKey used in normal operation) and ensure that the outputted ciphertext
is equivalent to the ciphertext in the test vector.
If the TOE acts as a receiver, the following assurance activities shall be performed to ensure the proper
operation of every TOE supported combination of RSA-based key establishment scheme:
a) To conduct this test the evaluator shall generate or obtain test vectors from a known good
implementation of the TOE supported schemes. For each combination of supported key
establishment scheme and its options (with our without key confirmation if supported, for each
supported key confirmation MAC function if key confirmation is supported, and for each
supported mask generation function if KTS-OAEP is supported), the tester shall generate 10 sets
of test vectors. Each test vector shall include the RSA private key, the plaintext keying material
(KeyData), any additional input parameters if applicable, the MacTag in cases where key
confirmation is incorporated, and the outputted ciphertext. For each test vector, the evaluator
shall perform the key establishment decryption operation on the TOE and ensure that the
outputted plaintext keying material (KeyData) is equivalent to the plaintext keying material in the
test vector. In cases where key confirmation is incorporated, the evaluator shall perform the key
confirmation steps and ensure that the outputted MacTag is equivalent to the MacTag in the test
vector.
b) The evaluator shall ensure that the TSS describes how the TOE handles decryption errors. In
accordance with NIST Special Publication 800-56B, the TOE must not reveal the particular error
that occurred, either through the contents of any outputted or logged error message or through
timing variations. If KTS-OAEP is supported, the evaluator shall create separate contrived
ciphertext values that trigger each of the three decryption error checks described in NIST Special
Publication 800-56B section 7.2.2.3, ensure that each decryption attempt results in an error, and
ensure that any outputted or logged error message is identical for each. If KTS-KEM-KWS is
supported, the evaluator shall create separate contrived ciphertext values that trigger each of the
three decryption error checks described in NIST Special Publication 800-56B section 7.2.3.3,
ensure that each decryption attempt results in an error, and ensure that any outputted or logged
error message is identical for each.
FCS_COP.1.1(1)
AES-CBC Known Answer Tests
There are four Known Answer Tests (KATs), described below. In all KATs, the plaintext, ciphertext, and IV
values shall be 128-bit blocks. The results from each test may either be obtained by the evaluator directly
or by supplying the inputs to the implementer and receiving the results in response. To determine
correctness, the evaluator shall compare the resulting values to those obtained by submitting the same
inputs to a known good implementation.
KAT-1. To test the encrypt functionality of AES-CBC, the evaluator shall supply a set of 10 plaintext values
and obtain the ciphertext value that results from AES-CBC encryption of the given plaintext using a key
value of all zeros and an IV of all zeros. Five plaintext values shall be encrypted with a 128-bit all-zeros
key, and the other five shall be encrypted with a 256-bit all-zeros key.
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To test the decrypt functionality of AES-CBC, the evaluator shall perform the same test as for encrypt,
using 10 ciphertext values as input and AES-CBC decryption.
KAT-2. To test the encrypt functionality of AES-CBC, the evaluator shall supply a set of 10 key values and
obtain the ciphertext value that results from AES-CBC encryption of an all-zeros plaintext using the given
key value and an IV of all zeros. Five of the keys shall be 128-bit keys, and the other five shall be 256-bit
keys
To test the decrypt functionality of AES-CBC, the evaluator shall perform the same test as for encrypt,
using an all-zero ciphertext value as input and AES-CBC decryption.
KAT-3. To test the encrypt functionality of AES-CBC, the evaluator shall supply the two sets of key values
described below and obtain the ciphertext value that results from AES encryption of an all-zeros plaintext
using the given key value and an IV of all zeros. The first set of keys shall have 128 128-bit keys, and the
second set shall have 256 256-bit keys. Key I in each set shall have the leftmost i bits be ones and the
rightmost N-I bits be zeros, for I in [1,N].
To test the decrypt functionality of AES-CBC, the evaluator shall supply the two sets of key and ciphertext
value pairs described below and obtain the plaintext value that results from AES-CBC decryption of the
given ciphertext using the given key and an IV of all zeros. The first set of key/ciphertext pairs shall have
128 128-bit key/ciphertext pairs, and the second set of key/ciphertext pairs shall have 256 256-bit
key/ciphertext pairs. Key i in each set shall have the leftmost i bits be ones and the rightmost N-i bits be
zeros, for i in [1,N]. The ciphertext value in each pair shall be the value that results in an all-zeros plaintext
when decrypted with its corresponding key.
KAT-4. To test the encrypt functionality of AES-CBC, the evaluator shall supply the set of 128 plaintext
values described below and obtain the two ciphertext values that result from AES-CBC encryption of the
given plaintext using a 128-bit key value of all zeros with an IV of all zeros and using a 256-bit key value of
all zeros with an IV of all zeros, respectively. Plaintext value i in each set shall have the leftmost i bits be
ones and the rightmost 128-i bits be zeros, for i in [1,128].
To test the decrypt functionality of AES-CBC, the evaluator shall perform the same test as for encrypt,
using ciphertext values of the same form as the plaintext in the encrypt test as input and AES-CBC
decryption.
AES-CBC Multi-Block Message Test
The evaluator shall test the encrypt functionality by encrypting an I-block message where 1 < i <=10. The
evaluator shall choose a key, an IV and plaintext message of length I blocks and encrypt the message,
using the mode to be tested, with the chosen key and IV. The ciphertext shall be compared to the result
of encrypting the same plaintext message with the same key and IV using a known good implementation.
The evaluator shall also test the decrypt functionality for each mode by decrypting an i-block message
where 1 < i <=10. The evaluator shall choose a key, an IV and a ciphertext message of length I blocks and
decrypt the message, using the mode to be tested, with the chosen key and IV. The plaintext shall be
compared to the result of decrypting the same ciphertext message with the same key and IV using a known
good implementation.
AES-CBC Monte Carlo Tests
The evaluator shall test the encrypt functionality using a set of 200 plaintext, IV, and key 3-tuples. 100 of
these shall use 128 bit keys, and 100 shall use 256 bit keys. The plaintext and IV values shall be 128-bit
blocks. For each 3-tuple, 1000 iterations shall be run as follows:
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# Input: PT, IV, Key
for i = 1 to 1000:
if i == 1:
CT[1] = AES-CBC-Encrypt(Key, IV, PT)
PT = IV
else:
CT[i] = AES-CBC-Encrypt(Key, PT)
PT = CT[i-1]
The ciphertext computed in the 1000th
iteration (i.e., CT[1000]) is the result for that trial. This result shall
be compared to the result of running 1000 iterations with the same values using a known good
implementation.
The evaluator shall test the decrypt functionality using the same test as for encrypt, exchanging CT and
PT and replacing AES-CBC-Encrypt with AES-CBC-Decrypt.
AES-GCM Test
The evaluator shall test the authenticated encrypt functionality of AES-GCM for each combination of the
following input parameter lengths:
128 bit and 256 bit keys
a) Two plaintext lengths. One of the plaintext lengths shall be a non-zero integer multiple of 128
bits, if supported. The other plaintext length shall not be an integer multiple of 128 bits, if
supported.
b) Three AAD lengths. One AAD length shall be 0, if supported. One AAD length shall be a non-zero
integer multiple of 128 bits, if supported. One AAD length shall not be an integer multiple of 128
bits, if supported.
c) Two IV lengths. If 96 bit IV is supported, 96 bits shall be one of the two IV lengths tested.
The evaluator shall test the encrypt functionality using a set of 10 key, plaintext, AAD, and IV tuples for
each combination of parameter lengths above and obtain the ciphertext value and tag that results from
AES-GCM authenticated encrypt. Each supported tag length shall be tested at least once per set of 10. The
IV value may be supplied by the evaluator or the implementation being tested, as long as it is known
The evaluator shall test the decrypt functionality using a set of 10 key, ciphertext, tag, AAD, and IV 5-
tuples for each combination of parameter lengths above and obtain a Pass/Fail result on authentication
and the decrypted plaintext if Pass. The set shall include five tuples that Pass and five that Fail.
The results from each test may either be obtained by the evaluator directly or by supplying the inputs to
the implementer and receiving the results in response. To determine correctness, the valuator shall
compare the resulting values to those obtained by submitting the same inputs to a known good
implementation.
FCS_COP.1.1(2)
ECDSA Algorithm Tests
ECDSA FIPS 186-4 Signature Generation Test
For each supported NIST curve (i.e., P-256, P-384 and P-521) and SHA function pair, the evaluator shall
generate 10 1024-bit long messages and obtain for each message a public key and the resulting signature
values R and S. To determine correctness, the evaluator shall use the signature verification function of a
known good implementation.
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ECDSA FIPS 186-4 Signature Verification Test
For each supported NIST curve (i.e., P-256, P-384 and P-521) and SHA function pair, the evaluator shall
generate a set of 10 1024-bit message, public key and signature tuples and modify one of the values
(message, public key or signature) in five of the 10 tuples. The evaluator shall obtain in response a set of
10 PASS/FAIL values.
RSA Signature Algorithm Tests
Signature Generation Test
The evaluator shall verify the implementation of RSA Signature Generation by the TOE using the Signature
Generation Test. To conduct this test the evaluator must generate or obtain 10 messages from a trusted
reference implementation for each modulus size/SHA combination supported by the TSF. The evaluator
shall have the TOE use their private key and modulus value to sign these messages.
The evaluator shall verify the correctness of the TSF’s signature using a known good implementation and
the associated public keys to verify the signatures.
Signature Verification Test
The evaluator shall perform the Signature Verification test to verify the ability of the TOE to recognize
another party’s valid and invalid signatures. The evaluator shall inject errors into the test vectors produced
during the Signature Verification Test by introducing errors in some of the public keys e, messages, IR
format, and/or signatures. The TOE attempts to verify the signatures and returns success or failure.
The evaluator shall use these test vectors to emulate the signature verification test using the
corresponding parameters and verify that the TOE detects these errors.
FCS_COP.1.1(3)
The TSF hashing functions can be implemented in one of two modes. The first mode is the byte-oriented
mode. In this mode the TSF only hashes messages that are an integral number of bytes in length; i.e., the
length (in bits) of the message to be hashed is divisible by 8. The second mode is the bit-oriented mode.
In this mode the TSF hashes messages of arbitrary length. As there are different tests for each mode, an
indication is given in the following sections for the bit-oriented vs. the byte-oriented testmacs.
The evaluator shall perform all of the following tests for each hash algorithm implemented by the TSF and
used to satisfy the requirements of this PP.
Short Messages Test - Bit-oriented Mode
The evaluators devise an input set consisting of m+1 messages, where m is the block length of the hash
algorithm. The length of the messages range sequentially from 0 to m bits. The message text shall be
pseudorandomly generated. The evaluators compute the message digest for each of the messages and
ensure that the correct result is produced when the messages are provided to the TSF.
Short Messages Test - Byte-oriented Mode
The evaluators devise an input set consisting of m/8+1 messages, where m is the block length of the hash
algorithm. The length of the messages range sequentially from 0 to m/8 bytes, with each message being
an integral number of bytes. The message text shall be pseudorandomly generated. The evaluators
compute the message digest for each of the messages and ensure that the correct result is produced when
the messages are provided to the TSF.
Selected Long Messages Test - Bit-oriented Mode
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The evaluators devise an input set consisting of m messages, where m is the block length of the hash
algorithm (e.g. 512 bits for SHA-256). The length of the ith message is m+ 99*i, where 1 ≤ i ≤ m. The
message text shall be pseudorandomly generated. The evaluators compute the message digest for each
of the messages and ensure that the correct result is produced when the messages are provided to the
TSF.
Selected Long Messages Test - Byte-oriented Mode
The evaluators devise an input set consisting of m/8 messages, where m is the block length of the hash
algorithm (e.g. 512 bits for SHA-256). The length of the ith message is m+ 8*99*i, where 1 ≤ i ≤ m/8. The
message text shall be pseudorandomly generated. The evaluators compute the message digest for each
of the messages and ensure that the correct result is produced when the messages are provided to the
TSF.
Pseudorandomly Generated Messages Test
This test is for byte-oriented implementations only. The evaluators randomly generate a seed that is n bits
long, where n is the length of the message digest produced by the hash function to be tested. The
evaluators then formulate a set of 100 messages and associated digests by following the algorithm
provided in Figure 1 of [SHAVS]. The evaluators then ensure that the correct result is produced when the
messages are provided to the TSF.