Added server-side TLS requirements (selection-based)
Multiple clarification based on NIAP TRRT inquiries
Refactored FDP_DEC_EXT.1 into separate components
v 1.3
2019-03-01
Incorporated available Technical Decisions
Refactored FPT_TUD
Added a selection to FTP_DIT
Moved SWID Tags requirement
Leveraged TLS Package
Added equivalency section
The scope of this Protection Profile (PP) is to
describe the security functionality of application software in terms of [CC]
and to define functional and assurance requirements for such software. In recent years,
software attacks have shifted from targeting operating systems to targeting applications. This
has been the natural response to improvements in operating system security and development
processes. As a result, it is paramount that the
security of applications be improved to
reduce the risk of compromise.
1.2 Terms
The following sections list Common Criteria and technology terms used in this document.
1.2.1 Common Criteria Terms
Assurance
Grounds for confidence that a TOE meets the SFRs [CC].
Base Protection Profile (Base-PP)
Protection Profile used as a basis to build a PP-Configuration.
Collaborative Protection Profile (cPP)
A Protection Profile developed by
international technical communities and approved by multiple schemes.
Common Criteria (CC)
Common Criteria for Information Technology Security Evaluation (International Standard ISO/IEC 15408).
Common Criteria Testing Laboratory
Within the context of the Common Criteria Evaluation and Validation Scheme (CCEVS), an IT security evaluation facility
accredited by the National Voluntary Laboratory Accreditation Program (NVLAP) and approved by the NIAP Validation Body to conduct Common Criteria-based evaluations.
Common Evaluation Methodology (CEM)
Common Evaluation Methodology for Information Technology Security Evaluation.
Distributed TOE
A TOE composed of multiple components operating as a logical whole.
Extended Package (EP)
A deprecated document form for collecting SFRs that implement a particular protocol, technology,
or functionality. See Functional Packages.
Functional Package (FP)
A document that collects SFRs for a particular protocol, technology,
or functionality.
Operational Environment (OE)
Hardware and software that are outside the TOE boundary that support the TOE functionality and security policy.
Protection Profile (PP)
An implementation-independent set of security requirements for a category of products.
The security functionality of the product under evaluation.
TOE Summary Specification (TSS)
A description of how a TOE satisfies the SFRs in an ST.
1.2.2 Technical Terms
Address Space Layout Randomization (ASLR)
An anti-exploitation feature which loads memory mappings into unpredictable
locations. ASLR makes it more difficult for an attacker to redirect control to code
that they have introduced into the address space of an application process.
Application (app)
Software that runs on a platform and performs tasks on behalf of
the user or owner of the platform, as well as its supporting documentation. The
terms TOE and application are interchangeable in this document.
Application Programming Interface (API)
A specification of routines, data structures, object classes, and variables
that allows an application to make use of services provided by another software
component, such as a library. APIs are often provided for a set of libraries included
with the platform.
Credential
Data that establishes the identity of a user, e.g. a cryptographic key or password.
Data Execution Prevention (DEP)
An anti-exploitation feature of modern operating systems executing on
modern computer hardware, which enforces a non-execute permission on pages of memory. DEP prevents pages of memory from containing both data and instructions, which makes
it more difficult for an attacker to introduce and execute code.
Developer
An entity that writes application software. For the purposes of this
document, vendors and developers are the same.
Mobile Code
Software transmitted from a remote system for
execution within a limited execution environment on the local system. Typically, there is no persistent installation and
execution begins without the user's consent or even notification. Examples of mobile code technologies include JavaScript, Java applets, Adobe Flash,
and Microsoft Silverlight.
Operating System (OS)
Software that manages hardware resources and provides services for
applications.
Personally Identifiable Information (PII)
Any information about an individual maintained by an agency, including, but
not limited to, education, financial transactions, medical history, and criminal or
employment history and information which can be used to distinguish or trace an
individual's identity, such as their name, social security number, date and place of
birth, mother’s maiden name, biometric records, etc., including any other personal
information which is linked or linkable to an individual. [OMB]
Platform
The environment in which application software runs.
The platform can be an operating system, hardware environment, a software based execution environment,
or some combination of these. These types of platforms may also run atop other platforms.
Sensitive Data
Sensitive data may include all user or enterprise data or may be
specific application data such as emails, messaging, documents,
calendar items, and contacts. Sensitive data must minimally include
PII, credentials, and keys. Sensitive data shall be identified in
the application’s TSS by the ST author.
Stack Cookie
An anti-exploitation feature that places a value on the stack at the start
of a function call, and checks that the value is the same at the end of the function
call. This is also referred to as Stack Guard, or Stack Canaries.
Vendor
An entity that sells application software. For purposes of this document,
vendors and developers are the same. Vendors are responsible for maintaining and
updating application software.
1.3 Compliant Targets of Evaluation
The requirements in this document apply to application software which runs on any type of
platform. Some application types are covered by more specific PPs, which may be expressed as
PP-Modules of this PP. Such applications are subject to the requirements of both this PP and the
PP-Module that addresses their special functionality. PPs for some
particularly specialized applications may not be expressed as PP-Modules at this time,
though the requirements in this document should be seen as objectives for those
highly specialized applications.
Although the requirements in this document apply to a wide range of application
software, consult guidance from the relevant national schemes to
determine when formal Common Criteria evaluation is expected for a
particular type of application. This may vary depending upon the nature
of the security functionality of the application.
1.3.1 TOE Boundary
The application, which consists of the software provided by its vendor,
is installed onto the platform(s) it operates on. It executes on the platform, which
may be an operating system (Figure 1), hardware environment,
a software based execution environment, or some combination of these (Figure 2).
Those platforms may themselves run within other environments, such as virtual machines or operating
systems, that completely abstract away the underlying hardware from the application. The TOE is not
accountable for security functionality that is implemented by platform layers that are abstracted
away. Some evaluation activities are specific to the particular platform
on which the application runs, in order to provide precision and
repeatability. The only platforms currently recognized by the AppPP are those specified in SFR Evaluation Activities. To test on a platform for which there are no EAs, a Vendor should contact NIAP with recommended EAs. NIAP will determine if the proposed platform is appropriate for the PP and accept, reject,
or develop EAs as necessary in coordination with the technical community.
Applications include a diverse range of software such as office suites, thin clients, PDF readers, downloadable
smartphone apps, and apps running in a cloud container. The TOE includes
any software in the application installation package, even those pieces that may
extend or modify the functionality of the underlying platform, such as kernel drivers.
Many platforms come bundled with applications such as web browsers, email clients and media players and these too
should be considered subject to the requirements defined in this document although the expectation of formal Common Criteria evaluation
depends upon the national scheme. BIOS and other firmware, the operating system kernel,
and other systems software (and drivers) provided as part of the platform are outside the scope
of this document.
Figure 1:
TOE as an Application and Kernel Module Running on an Operating System
Figure 2:
TOE as an Application Running in an Execution Environment Plus Native Code
1.4 Use Cases
Requirements in this Protection Profile are designed to
address the security problem in the following use cases. These use cases are intentionally
very broad, as many specific use cases exist for application software. Many applications may
be used in combinations of these broad use cases, and evaluation against PP-Modules
of this PP, when available, may be most appropriate for some application types.
[USE CASE 1] Content Creation
The application allows a user to create content, saving it to either local or
remote storage. Example content includes text documents, presentations, and images.
[USE CASE 2] Content Consumption
The application allows a user to consume content, retrieving it from either
local or remote storage. Example content includes web pages and video.
[USE CASE 3] Communication
The application allows for communication interactively or
non-interactively with other users or applications over a communications channel. Example communications include instant messages, email, and voice.
1.5 Platforms with Specific EAs
This PP includes platform-specific EAs for the below-listed operating system platforms. For "bare-metal" applications, applications that run on
other OS platforms, and applications that run in software-based execution environments, contact the Technical Community for guidance.
Android: Mobile operating systems based on Google Android.
Microsoft Windows: Microsoft Windows operating systems.
Apple iOS: Apple's mobile operating system for iPhones.
Linux: Linux-based operating systems other than Android.
The evaluation methods used for evaluating the TOE are a combination of the workunits
defined in [CEM] as well as the Evaluation Activities for ensuring that individual SFRs
and SARs have a sufficient level of supporting evidence in the Security Target and guidance
documentation and have been sufficiently tested by the laboratory as part of completing
ATE_IND.1. Any functional packages this PP claims similarly contain their own Evaluation
Activities that are used in this same manner.
CC Conformance Claims
This PP is conformant to
Part 2 (extended) and
Part 3 (extended)
of Common Criteria CC:2022, Revision 1.
PP Claim
This PP does not claim conformance to
any Protection Profile.
This PP is
Functional Package for TLS Version 1.1 conformant.
This PP is
Functional Package for TLS Version 2.0 conformant.
This PP is
Functional Package for SSH Version 1.0 conformant.
This PP does not conform to any
assurance packages.
The functional packages to which the PP conforms may include SFRs that are not mandatory
to claim for the sake of conformance. An ST that claims one or more of these functional
packages may include any non-mandatory SFRs that are appropriate to claim based on the
capabilities of the TSF and on any triggers for their inclusion based inherently on the SFR
selections made.
Evaluation Methods
This PP incorporates evaluation activies
from the following Evaluation Methods documents:
Additional Information
All security requirements in these claimed functional packages are intended to satisfy
the O.PROTECTED_COMMS TOE security objective of this PP.
3 Security Problem Definition
The security problem is described in terms
of the threats that the TOE is expected to address, assumptions about the
operational environment, and any organizational security policies that the TOE
is expected to enforce.
3.1 Threats
T.NETWORK_ATTACK
An attacker is positioned on a communications channel or elsewhere on the
network infrastructure. Attackers may engage in communications with the application
software or alter communications between the application software and other endpoints in
order to compromise it.
FCS_CKM_EXT.1: This SFR addreses this threat by requiring that the TSF may rely on platform-provided key generation services.
FCS_RBG_EXT.1: The PP supports this objective by allowing FCS_RBG_EXT.1 to specify that the TSF may rely on platform-provided random bit generation services.
FCS_STO_EXT.1: The PP supports this objective by allowing FCS_STO_EXT.1 to specify that the TSF may rely on platform-provided credential storage services.
FDP_DAR_EXT.1: The PP supports this objective by allowing FDP_DAR_EXT.1 to specify that the TSF may rely on platform-provided data-at-rest protection services.
FMT_MEC_EXT.1: The PP includes FMT_MEC_EXT.1 to ensure that the TOE can use platform services to store and set configuration options.
T.NETWORK_EAVESDROP
An attacker is positioned on a communications channel or elsewhere on the
network infrastructure. Attackers may monitor and gain access to data exchanged between
the application and other endpoints.
FCS_COP.1/Sig: The PP includes FCS_COP.1/Sig to define the mechanism used to verify TOE updates if the TOE implements this functionality rather than the underlying platform.
T.LOCAL_ATTACK
An attacker can act through unprivileged software on the same computing
platform on which the application executes. Attackers may provide maliciously formatted
input to the application in the form of files or other local
communications.
FCS_RBG_EXT.1: The PP includes FCS_RBG_EXT.1 to define whether the random bit generation services used in establishing trusted communications are implemented by the TSF or by the platform.
FCS_CKM_EXT.1: The PP includes FCS_CKM_EXT.1 to specify whether the TOE or the platform is responsible for generation of any asymmetric keys that may be used for establishing trusted communications.
FDP_NET_EXT.1: The PP includes FDP_NET_EXT.1 to define the TOE’s usage of network communications, which may include the transmission or receipt of data over a trusted channel.
FTP_DIT_EXT.1: The PP includes FTP_DIT_EXT.1 to define the trusted channels used to protect data in transit, the data that is protected, and whether the trusted channels are implemented by the TSF or the platform.
FCS_CKM.1/SK (optional): The PP includes FCS_CKM.1/SK to define the mechanism used to generate symmetric keys when the TOE performs this function.
FCS_CKM.1/AK (selection-based): The PP includes FCS_CKM.1/AK to define whether the TSF or the platform generates asymmetric keys that are used in support of trusted communications.
FCS_CKM.2 (selection-based): The PP includes FCS_CKM.2 to define whether the TSF or the platform performs key establishment for trusted communications.
T.PHYSICAL_ACCESS
An attacker may try to access sensitive data at rest.
FDP_DEC_EXT.1: The PP includes FDP_DEC_EXT.1 to limit access to platform hardware resources, which limits the methods by which an attacker can attempt to compromise the integrity of the TOE.
FMT_CFG_EXT.1: The PP includes FMT_CFG_EXT.1 for the TSP to limit unauthorized access to itself by preventing the use of default authentication credentials and by ensuring that the TOE uses appropriately restrictive platform permissions on its binaries and data
FPT_AEX_EXT.1: The PP includes FPT_AEX_EXT.1 to add complexity to the task of compromising systems by ensuring that application is compatible with security features provided by the platform vendor and that the application implements platform-provided anti-exploitations such as ASLR and stack overflow protection.
FPT_TUD_EXT.1: The PP includes FPT_TUD_EXT.1 to ensure that the TOE can be patched and that any updates to the TOE have appropriate integrity protection.
3.2 Assumptions
A.PLATFORM
The TOE relies upon a trustworthy computing platform with a reliable time clock for
its execution. This includes the underlying platform and whatever runtime environment
it provides to the TOE.
A.PROPER_USER
The user of the application software is not willfully negligent or hostile,
and uses the software in compliance with the applied enterprise security policy.
A.PROPER_ADMIN
The administrator of the application software is not careless, willfully
negligent or hostile, and administers the software in compliance with the applied
enterprise security policy.
3.3 Organizational Security Policies
This document does not define any additional OSPs.
4 Security Objectives
4.1 Security Objectives for the Operational Environment
The following security objectives for the operational
environment assist the TOE in correctly providing its security
functionality. These track with the assumptions about the environment.
OE.PLATFORM
The TOE relies upon a trustworthy computing platform for
its execution. This includes the underlying operating system and any discrete execution
environment provided to the TOE.
OE.PROPER_USER
The user of the application software is not willfully negligent or hostile,
and uses the software within compliance of the applied enterprise security
policy.
OE.PROPER_ADMIN
The administrator of the application software is not careless, willfully
negligent or hostile, and administers the software within compliance of the applied
enterprise security policy.
4.2 Security Objectives Rationale
This section describes how the assumptions and organizational
security policies map to operational environment security objectives.
This chapter describes the security requirements which have to be fulfilled by the product under evaluation. Those requirements comprise functional components from Part 2 and assurance components from Part 3 of
[CC].
The following conventions are used for the completion of operations:
Refinement operation (denoted by bold text or strikethrough
text): Is used to add details to a requirement or to remove part of the requirement that is made irrelevant
through the completion of another operation, and thus further restricts a requirement.
Selection (denoted by italicized text): Is used to select one or more options
provided by the [CC] in stating a requirement.
Assignment operation (denoted by italicized text): Is used to assign a
specific value to an unspecified parameter, such as the length of a password. Showing the
value in square brackets indicates assignment.
Iteration operation: Is indicated by appending the SFR name with a slash and unique identifier
suggesting the purpose of the operation, e.g. "/EXAMPLE1."
Application
Note:
If "implement asymmetric key generation" or
"invoke platform-provided functionality for asymmetric key generation" is selected, then
FCS_CKM.1/AK must be claimed in the ST.
The evaluator shall inspect the application and its developer documentation
to determine if the application needs asymmetric key generation services. If not, the
evaluator shall verify the generate no asymmetric cryptographic keys selection is present
in the ST. Otherwise, the evaluation activities shall be performed as stated in the
selection-based requirements.
The selection "invoke platform-provided DRBG functionality"
should only be chosen for direct invocations of the platform DRBG, calls to platform protocols
that may then call the platform's DRBG are not directly using DRBG functionality and should
select "use no DRBG functionality."
If "implement DRBG functionality" is selected, then additional FCS_RBG_EXT.2
elements shall be included in the ST.
In this requirement, cryptographic operations include all cryptographic key generation/derivation/agreement, IVs (for
certain modes), as well as protocol-specific random values. Cryptographic operations in this requirement refer to
the other cryptographic requirements in this PP, not additional functionality that is not in scope.
If "use no DRBG functionality" is selected, the evaluator shall inspect the application
and its developer documentation and verify that the application needs no random bit generation services.
If "implement DRBG functionality" is selected, the evaluator shall ensure
that additional FCS_RBG_EXT.2 elements are included in the ST.
If "invoke platform-provided DRBG functionality" is selected, the evaluator
performs the following activities. The evaluator shall examine
the TSS to confirm that it identifies all functions (as described by the
SFRs included in the ST) that obtain random numbers from the platform RBG. The evaluator
shall determine that for each of these functions, the TSS states which
platform interface (API) is used to obtain the random numbers. The evaluator shall confirm
that each of these interfaces corresponds to the acceptable interfaces listed for each platform
below.
It should be noted that there is no expectation that the evaluators attempt to confirm
that the APIs are being used correctly for the functions identified in the TSS;
the activity is to list the used APIs and then do an existence check via decompilation.
Guidance
The evaluator shall verify the guidance documentation contains any information required for configuring the DRBG.
Tests
If "invoke platform-provided DRBG functionality" is selected, the following tests shall be performed:
The evaluator shall decompile the application binary using a decompiler
suitable for the application (TOE). The evaluator shall search the output of the
decompiler to determine that, for each API listed in the TSS, that API
appears in the output. If the representation of the API does not correspond directly to
the strings in the following list, the evaluator shall provide a mapping from the
decompiled text to its corresponding API, with a description of why the API text does
not directly correspond to the decompiled text and justification that the decompiled text
corresponds to the associated API.
The following are the per-platform list of acceptable APIs:
The evaluator shall verify that the application uses at least one of javax.crypto.KeyGenerator
class or the java.security.SecureRandom class or /dev/random
or /dev/urandom.
The evaluator shall verify that rand_s, RtlGenRandom, BCryptGenRandom, or
CryptGenRandom API is used for classic desktop applications. The evaluator shall
verify the application uses the RNGCryptoServiceProvider class or derives a class
from System.Security.Cryptography.RandomNumberGenerator API for Windows Universal
Applications. It is only required that the API is called/invoked, there is no
requirement that the API be used directly. In future versions of this document,
CryptGenRandom may be removed as an option as it is no longer the preferred API per
vendor documentation.
The evaluator shall verify that the application invokes either
SecRandomCopyBytes, CCRandomGenerateBytes, or CCRandomCopyBytes, or uses /dev/random directly to acquire random.
The evaluator shall verify that the application invokes either CCRandomGenerateBytes or CCRandomCopyBytes, or collects random from /dev/random.
If invocation of platform-provided functionality is achieved in another way, the evaluator
shall ensure the TSS describes how this is carried out, and how it is equivalent to the
methods listed here (e.g. higher-level API invokes identical low-level API).
] with [assignment:
positive integer of 1,000 or more] iterations
and output cryptographic key size of 256 bits that meet the following [NISTSP 800-132].
]
implement functionality to securely store
[assignment:
list of credentials]
according to
[selection: FCS_COP.1/SKC, FCS_PBKDF_EXT.1]
Application
Note:
This requirement ensures that persistent credentials (secret keys, PKI private keys, passwords, etc)
are stored securely, and never persisted in cleartext form.
Application developers are encouraged to use platform mechanisms for the secure storage of credentials.
Depending on the platform that may include hardware-backed protection for credential storage. Application
developers must choose a selection, or multiple selections, based on all credentials that the application
stores. If "not store any credentials" is selected, then the application must not store any credentials. If "invoke the functionality provided by the platform to securely store" is selected, then the
Application developer must closely review the EA for their platform and provide documentation indicating
which platform mechanisms are used to store credentials.
If "implement functionality to securely store credentials" is selected, then the following components
must be included in the ST: FCS_COP.1/SKC or FCS_PBKDF_EXT.1. If other cryptographic operations are used to implement the secure storage of credentials, the corresponding
requirements must be included in the ST. If the OS is Linux and Java KeyStores are used to store
credentials, "implement functionality to securely store credentials" must be selected.
The evaluator shall check the TSS to ensure that it lists all persistent
credentials (secret keys, PKI private keys, or passwords) needed to meet the
requirements in the ST. For each of these items, the evaluator shall
confirm that the TSS lists for what purpose it is used, and how it is stored.
If securely store is selected, the evaluator shall verify the TSS contains the platform functions utilized and verify those functions
are documented by the platform to be non-depricated functions meeting the specifications in the requirement.
If invoke the functionality provided by the platform to securly store is selected, the evaluator shall confirm the TSS describes
how the platform storaged is invoked for each supported platform. The evaluator shall confirm the invocation of the platform is using non-depricated functions
provided by the platform(s).
For all credentials for which the application implements functionality, the evaluator shall
verify credentials are encrypted according to FCS_COP.1/SKC or conditioned according to
FCS_CKM.1/AK and FCS_PBKDF_EXT.1. For all credentials for which the application invokes platform-provided
functionality, the evaluator shall perform the following actions which vary per platform.
The evaluator shall verify that all certificates are
stored in the Windows Certificate Store. The evaluator shall verify that other
credentials, like passwords, are stored in the Windows Credential Manager or stored
using the Data Protection API (DPAPI). For Windows Universal Applications, the evaluator shall
verify that the application is using the ProtectData class and storing credentials
in IsolatedStorage.
If "implement functionality to encrypt sensitive data as defined in the PP-Module for File Encryption"
is selected, the TSF must claim conformance to a PP-Configuration that includes the File Encryption PP-Module.
Any file that may potentially contain sensitive data (to include temporary files)
shall be protected. The only exception is if the user intentionally exports the sensitive data
to non-protected files. ST authors should select "protect sensitive data in accordance with
FCS_STO_EXT.1" for the sensitive data that is covered by the FCS_STO_EXT.1SFR.
If any selection other than not store any sensitive data is selected the evaluator shall examine the TSS
to ensure that it describes the sensitive data processed by the application.
The evaluator shall then ensure that the following activities cover all of the sensitive data identified in the TSS.
If not store any sensitive data is selected, the evaluator shall inspect the TSS to ensure
that it describes how sensitive data cannot be written to non-volatile memory. The evaluator shall also
ensure that this is consistent with the filesystem test below.
If implement functionality to encrypt sensitive data is selected the evalutator shall confirm the TSS describes how the
application ensures all sensative data is protected by the file encryption functions.
If protect sensative data in accordance with FCS_STO_EXT.1 is selected the evaluator shall confirm the TSS desribes
which data is protected via this mechanism and the selections within FCS_STO_EXT.1 that are leveraged. If mulitple selections are included the evaluator shall ensure the TSS describes which sensative data is captures by which selection.
Guidance
The evaluator shall confirm the operational guidance contains any instructions necessary configing the storage and
protection of any sensative data.
If leverage platform-provided functionality to encrypt sensitive data is selected the evaluator shall confirm the operational guidance contains the list of supported
operational environments and any steps necessary to ensure the platform captures any sensative data that is stored.
Tests
If "implement functionality to encrypt sensitive data as defined in the PP-Module for File Encryption"
or "protect sensitive data in accordance with FCS_STO_EXT.1" is selected,
the evaluator shall inventory the filesystem locations where the application may write data.
The evaluator shall run the application and attempt to store sensitive data. The evaluator shall
then inspect those areas of the filesystem to note where data was stored (if any), and verify
it has been encrypted.
If "leverage platform-provided functionality... " is selected, the evaluation activities will be performed as
stated in the following requirements, which vary on a per-platform basis.
The Windows platform currently does not provide data-at-rest
encryption services which depend upon invocation by application developers. No additional test is required.
The evaluator shall inspect the TSS and ensure that it describes how the
application uses the Complete Protection, Protected Unless Open, or Protected Until
First User Authentication Data Protection Class for each data file stored locally.
The Linux platform currently does not provide data-at-rest encryption services which depend
upon invocation by application developers. No additional test is required.
The Solaris platform currently does not provide data-at-rest encryption services which depend
upon invocation by application developers. No additional test is required.
The macOS platform currently does not provide data-at-rest encryption services which depend
upon invocation by application developers. No additional test is required.
Application
Note:
The intent is for the evaluator to ensure that the selection captures all
hardware resources which the application accesses, and that these are
restricted to those which are justified. On some platforms, the application must explicitly solicit permission
in order to access hardware resources. Seeking such permissions, even if the application does not later make use of the
hardware resource, should still be considered access. Selections should be expressed in a manner consistent with how the application expresses
its access needs to the underlying platform. For example,
the platform may provide location services which implies the potential use of a variety
of hardware resources (e.g. satellite receivers, WiFi, cellular radio)
yet "location services" is the proper selection. This is because use of these resources
can be inferred, but also because the actual usage may vary based on the particular platform. Resources that do not need to be explicitly identified are
those which are ordinarily used by any application such as central processing units,
main memory, displays, input devices (e.g. keyboards, mice), and
persistent storage devices provided by the platform.
Application
Note:
"Sensitive information repositories" are defined as those collections of sensitive data that
could be expected to be shared among some applications, users, or user roles, but to which not all
of these would ordinarily require access.
The evaluator shall perform the platform-specific actions below and inspect user
documentation to determine the application's access to hardware
resources. The evaluator shall ensure that this is consistent with the selections
indicated. The evaluator shall review documentation provided by the application
developer and for each resource which it accesses, identify the
justification as to why access is required.
The evaluator shall verify that each uses-permission entry in the AndroidManifest.xml file
for access to a hardware resource is reflected in the selection.
For Windows Universal Applications the evaluator shall check
the WMAppManifest.xml file for a list of required hardware capabilities. The evaluator
shall verify that the user is made aware of the required hardware capabilities when
the application is first installed. This includes permissions such as
ID_CAP_ISV_CAMERA, ID_CAP_LOCATION, ID_CAP_NETWORKING, ID_CAP_MICROPHONE,
ID_CAP_PROXIMITY and so on. A complete list of Windows App permissions can be found at:
For Windows Desktop Applications the evaluator shall identify in either the
application software or its documentation the list of the required
hardware resources.
The evaluator shall perform the platform-specific actions below and inspect user
documentation to determine the application's access to sensitive information
repositories. The evaluator shall ensure that this is consistent with the selections
indicated. The evaluator shall review documentation provided by the application
developer and for each sensitive information repository which it accesses, identify the
justification as to why access is required.
The evaluator shall verify that each uses-permission entry in the AndroidManifest.xml file
for access to a sensitive information repository is reflected in the selection.
For Windows Universal Applications the evaluator shall check the
WMAppManifest.xml file for a list of required capabilities. The evaluator shall
identify the required information repositories when the
application is first installed. This includes permissions such as
ID_CAP_CONTACTS,ID_CAP_APPOINTMENTS,ID_CAP_MEDIALIB and so on. A complete list of
Windows App permissions can be found at:
For Windows Desktop Applications the evaluator shall identify in either the
application software or its documentation the list of
sensitive information repositories it accesses.
The evaluator shall verify that either the application
software or its documentation provides a list of
the sensitive information repositories it accesses.
The evaluator shall verify that either the
application software or its documentation provides a list of
sensitive information repositories it accesses.
The evaluator shall verify that either the
application software or its documentation provides a list of
sensitive information repositories it accesses.
The evaluator shall verify that either the application
software or its documentation provides a list of
sensitive information repositories it accesses.
Application
Note:
This requirement is intended to restrict both inbound and
outbound network communications to only those required, or to network
communications that are user initiated. It does not apply to network communications in which the application may generically
access the filesystem which may result in the platform accessing remotely mounted
drives/shares.
The evaluator shall verify the guidance documents contain any instructions necessary to configure the restriction of network
communications.
Tests
The evaluator shall perform the following tests:
Test FDP_NET_EXT.1:1:
The evaluator shall run the application. While the application is running,
the evaluator shall sniff network traffic ignoring all non-application
associated traffic
and verify that any network communications witnessed are documented in the TSS or are user-initiated.
Test FDP_NET_EXT.1:2:
The evaluator shall run the application. After the application initializes, the
evaluator shall run network port scans to verify that any ports
opened by the application have been captured in the ST for the third
selection and its assignment. This includes
connection-based protocols (e.g. TCP, DCCP) as well as connectionless protocols
(e.g. UDP).
If "no network communication" is selected, the evaluator shall ensure that the application's
AndroidManifest.xml file does not contain a uses-permission or uses-permission-sdk-23 tag
containing android:name="android.permission.INTERNET". In this case,
it is not necessary to perform the above Tests 1 and 2, as the platform will not allow the
application to perform any network communication.
The application shall provide only enough functionality to set new credentials when
configured with default credentials or no credentials.
Application
Note:
Default credentials are credentials (e.g., passwords, keys) that are automatically
(without user interaction) loaded onto the platform during application installation. Credentials that are generated during installation using requirements laid out in
FCS_RBG_EXT.1 are not by definition default credentials.
The application shall be configured by default with file permissions which protect
the application binaries and data files from modification by normal unprivileged users.
Application
Note:
The precise expectations for file permissions vary per platform
but the general intention is that a trust boundary protects the application and its data.
The evaluator shall check the TSS to determine if the application requires any type
of credentials and if the application installs with default credentials.
Guidance
The evaluator shall verify the guidance documentation details regarding any default or null credentials being used
and how they would be updated.
Tests
If the application uses any default credentials the evaluator shall run the following tests.
Test FMT_CFG_EXT.1.1:1:
The evaluator shall install and run the application without generating or loading
new credentials and verify that only the minimal
application functionality required to set new credentials is available.
Test FMT_CFG_EXT.1.1:2:
The evaluator shall attempt to clear all credentials and verify that only
the minimal application functionality required to set new credentials is available.
Test FMT_CFG_EXT.1.1:3:
The evaluator shall run the application, establish new credentials and
verify that the original default credentials no longer provide access to
the application.
The evaluator shall install and run the application. The evaluator shall
inspect the filesystem of the platform (to the extent possible) for any files created
by the application and ensure that their permissions are adequate to protect them. The method of doing so varies per platform.
The evaluator shall run the command find -L . -perm /002
inside the application's data directories to ensure that all files are not world-writable. The command
should not print any files (for this test, directories are not considered to be files).
The evaluator shall run the SysInternals tools,
Process Monitor and Access Check (or tools of equivalent capability, like
icacls.exe) for Classic Desktop applications to verify that files written to disk
during an application's installation have the correct file permissions, such that a
standard user cannot modify the application or its data files. For Windows Universal
Applications the evaluator shall consider the requirement met because of the AppContainer
sandbox.
The evaluator shall run the command find -L . -perm /002
inside the application's data directories to ensure that all files are
not world-writable. The command should not print any files.
The evaluator shall run the command find . \( -perm -002 \)
inside the application's data directories to ensure that all files are not
world-writable. The command should not print any files.
The evaluator shall run the command find . -perm +002 inside
the application's data directories to ensure that all files are not world-writable. The command should not print any files.
The application shall [selection: invoke the mechanisms recommended by the platform vendor for storing and setting configuration options, implement functionality to encrypt and store configuration options as defined by FDP_PRT_EXT.1 in the PP-Module for File Encryption].
Application
Note:
Configuration options that are stored remotely are not subject to this requirement.
Sensitive Data is generally not considered part of configuration options
and should be stored according to FDP_DAR_EXT.1 or FCS_STO_EXT.1.
If “implement functionality to encrypt and store configuration options as defined by FDP_PRT_EXT.1
in the PP-Module for File Encryption" is selected, the TSF must claim conformance to a
PP-Configuration that includes the PP-Module for File Encryption.
The evaluator shall review the TSS to identify the application's configuration options
(e.g. settings) and determine whether these are stored and set using the mechanisms
supported by the platform or implemented by the application in accordance with the PP-Module for File Encryption.
At a minimum the TSS shall list settings related to any SFRs and any settings that are mandated in the
operational guidance in response to an SFR.
Conditional: If "implement functionality to encrypt and store configuration options as defined by FDP_PRT_EXT.1
in the PP-Module for File Encryption" is selected, the evaluator shall ensure that the TSS identifies those options,
as well as indicates where the encrypted representation of these options is stored.
Guidance
The evaluator shall verify the guidance documentation contains any
information necessary to configure the protection of configuration settings.
Tests
If "invoke the mechanisms recommended by the platform vendor for storing and setting configuration options" is selected,
the method of testing varies per platform as follows:
The evaluator shall inspect the TSS and verify that it describes what Android API is used
(and provides a link to the documentation of the API) when storing configuration data. The evaluator shall run the application and verify that the behavior of the TOE is consistent with where and
how the API documentation says the configuration data will be stored.
For SharedPreferences, the evaluator shall examine the XML file to make sure it reflects the changes made to the
configuration to verify that the application used SharedPreferences or PreferenceActivity
to store the configuration data. For DataStore, the evaluator shall use a protocol
buffer analyzer to examine the file to make sure it reflects the changes made to the
configuration to verify that the application used DataStore to store the configuration data.
The evaluator shall determine and verify that Windows
Universal Applications use either the Windows.Storage namespace, Windows. UI.ApplicationSettings namespace,
or the IsolatedStorageSettings namespace for storing application specific settings. For .NET applications, the evaluator shall determine and verify that the application
uses one of the locations listed in
https://docs.microsoft.com/en-us/dotnet/framework/configure-apps/ for storing application specific settings. For Classic Desktop applications, the evaluator shall run the application while
monitoring it with the SysInternals tool ProcMon and
make changes to its configuration.
The evaluator shall verify that ProcMon logs show corresponding changes to the
the Windows Registry or C:\ProgramData\ directory.
The evaluator shall run the application while monitoring it with the utility strace. The evaluator shall make security-related changes to its configuration. The evaluator shall verify that strace logs corresponding changes to configuration
files that reside in /etc (for system-specific configuration),
in the user's home directory (for user-specific configuration), or /var/lib/ (for configurations
controlled by UI and not intended to be directly modified by an administrator).
The evaluator shall run the application while monitoring it with the utility
dtrace. The evaluator shall make security-related changes to its configuration. The evaluator shall verify that dtrace logs corresponding changes to
configuration
files that reside in /etc (for system-specific configuration) or
in the user's home directory (for user-specific configuration).
The evaluator shall verify that the application stores and retrieves settings
using the NSUserDefaults class.
If "implement functionality to encrypt and store configuration options as defined by
FDP_PRT_EXT.1 in the PP-Module for File Encryption" is selected, for all configuration
options listed in the TSS as being stored and protected using encryption, the evaluator
shall examine the contents of the configuration option storage (identified in the TSS) to determine
that the options have been encrypted.
Application
Note:
This requirement stipulates that an application needs to provide the ability to
enable/disable only those functions that it actually implements. The application
is not responsible for controlling the behavior of the platform or other applications.
The evaluator shall verify that every management function
mandated by the PP is described in the operational guidance and that the description
contains the information required to perform the management duties associated with the
management function.
Tests
The evaluator shall test the application's ability to provide the
management functions by configuring the application and testing each option selected
from above. The evaluator is expected to test these functions in all the ways in which
the ST and guidance documentation state the configuration can be managed.
5.1.4 Privacy (FPR)
FPR_ANO_EXT.1 User Consent for Transmission of Personally Identifiable Information
Application
Note:
This requirement applies only to PII that is specifically requested by the application;
it does not apply if the user volunteers PII without prompting from the application
into a general (or inappropriate) data field. A dialog box that declares intent to send PII presented to the user
at the time the application is started is sufficient to meet this requirement.
The evaluator shall inspect the TSS documentation to verify it contains a list of functionality in the
application where PII can be transmitted.
Guidance
The evaluator shall verify the guidance documentation contains any instructions to configure the
transmission of PII and details any prompts that would approve or deny transmission of PII.
Tests
If "require user approval before executing... " is selected, the evaluator shall run the application and exercise the functionality responsible
for transmitting PII and verify that user approval is required before transmission
of the PII.
Application
Note:
Requesting a memory mapping with both write and execute permissions subverts the
platform protection provided by DEP. If the application performs no just-in-time
compiling, then the first selection must be chosen.
The application shall be compatible with security features provided by the
platform vendor.
Application
Note:
This requirement is designed to ensure that platform security
features do not need to be disabled in order for the application to run.
The application shall not write user-modifiable files to directories that contain
executable files unless explicitly directed by the user to do so.
Application
Note:
The purpose of this requirement is to help ensure the integrity of application binaries
by supporting file protection mechanisms such as directory-level file permissions and
application allowlisting.
A user-modifiable file for purposes of this requirement is a file that is writable by
an unprivileged user of the application -- either directly through application
execution or independently of the application. If the application runs in the context
of the application user, then the application should not be able to write to the
directory containing the application binaries -- regardless of whether the files
are configuration data, audit data, or temporary files.
Executables and user-modifiable files may not share the same parent directory, but
may share directories above the parent.
The evaluator shall perform either a static or dynamic
analysis to determine that no memory mappings are placed at an explicit and
consistent address. The method of doing so varies per platform. For those platforms
requiring the same application running on two different systems, the evaluator may
alternatively use the same device. After collecting the first instance of mappings,
the evaluator must uninstall the application, reboot the device, and reinstall the application
to collect the second instance of mappings.
The evaluator shall run the same application on two
different Android systems. Both devices do not need to be evaluated, as the second device is acting only as a tool.
Connect via ADB and inspect /proc/PID/maps. Ensure the two different instances share no memory mappings made by the
application at the same location.
The evaluator shall run the same application on two
different Windows systems and run a tool that will list all memory mapped addresses
for the application. The evaluator shall then verify the two different instances
share no mapping locations. The Microsoft SysInternals tool, VMMap, could be used to
view memory addresses of a running application. The evaluator shall use a tool
such as Microsoft's BinScope Binary Analyzer to confirm that the application has
ASLR enabled.
The evaluator shall perform a static analysis to search
for any mmap calls (or API calls that call mmap), and ensure that
no arguments are provided that request a mapping at a fixed address.
The evaluator shall run the same application on two different Linux systems.
The evaluator shall then compare their memory maps using
pmap -x PID
to ensure the two different instances share no mapping locations.
The evaluator shall run the same application on two different Solaris systems.
The evaluator shall then compare their memory maps using
pmap -x PID
to ensure the two different instances share no mapping locations.
The evaluator shall run the same application on two different Mac systems.
The evaluator shall then compare their memory maps using
vmmap PID
to ensure the two different instances share no mapping locations.
The evaluator shall use a tool such as Microsoft's
BinScope Binary Analyzer to confirm that the application passes the NXCheck. The
evaluator may also ensure that the /NXCOMPAT flag was used during
compilation to verify that DEP protections are enabled for the application.
If the OS platform supports Windows Defender Exploit Guard
(Windows 10 version 1709 or later), then the evaluator shall ensure that the application can
run successfully with Windows Defender Exploit Guard Exploit Protection configured with the
following minimum mitigations enabled; Control Flow Guard (CFG), Randomize memory allocations
(Bottom-Up ASLR), Export address filtering (EAF), Import address filtering (IAF), and
Data Execution Prevention (DEP). The following link describes how to enable Exploit Protection,
https://docs.microsoft.com/en-us/windows/security/threat-protection/windows-defender-exploit-guard/customize-exploit-protection.
If the OS platform supports the Enhanced Mitigation Experience Toolkit (EMET) which can be
installed on Windows 10 version 1703 and earlier, then the evaluator shall ensure that
the application can run successfully with EMET configured with the following minimum
mitigations enabled; Memory Protection Check, Randomize memory allocations (Bottom-Up ASLR),
Export address filtering (EAF), and Data Execution Prevention (DEP).
The evaluator shall run the application and determine where it writes its files. For files where the user does not choose the destination, the evaluator shall
check whether the destination directory contains executable files. This varies per platform:
The evaluator shall run the program, mimicking normal usage, and note where all user-modifiable files are written.
The evaluator shall ensure that there are no executable files stored under /data/data/package/ where package is the Java package of the application.
For Windows Universal Applications the evaluator shall consider
the requirement met because the platform forces applications to write all data
within the application working directory (sandbox). For Windows Desktop Applications
the evaluator shall run the program, mimicking normal usage, and note where all user-modifiable
files are written. The evaluator shall ensure that there are no executable files
stored in the same directories to which the application wrote user-modifiable files.
The evaluator shall consider the requirement met because
the platform forces applications to write all data within the application working
directory (sandbox).
The evaluator shall run the program, mimicking normal usage,
and note where all user-modifiable files are written.
The evaluator shall ensure that there are no executable files stored in the
same directories to which the application wrote user-modifiable files.
The evaluator shall run the program, mimicking normal usage,
and note where all user-modifiable files are written.
The evaluator shall ensure that there are no executable files stored in the
same directories to which the application wrote user-modifiable files.
The evaluator shall run the program, mimicking normal
usage, and note where all user-modifiable files are written. The evaluator shall ensure that there
are no executable files stored in the same directories to which the application
wrote user-modifiable files.
Applications that run as Managed Code in the .NET Framework do not require
these stack protections. Applications developed in Object Pascal using the Delphi IDE compiled with RangeChecking enabled
comply with this element. For other code,
the evaluator shall review the TSS and verify that the /GS flag was used during compilation. The
evaluator shall run a tool like, BinScope, that can verify the correct usage of /GS.
For PE
, the evaluator will disassemble each and ensure the following sequence appears:
mov rcx, QWORD PTR [rsp+(...)]
xor rcx, (...)
call (...)
For ELF executables, the evaluator will ensure that each
contains references to the symbol __stack_chk_fail.
The application shall use only documented platform APIs.
Application
Note:
The definition of "documented" may vary depending upon whether the application is provided by
a third party (who relies upon documented platform APIs) or by a platform vendor
who may be able to guarantee support for platform APIs.
The evaluator shall verify that the TSS lists the platform APIs
used in the application. The evaluator shall then compare the list with the supported APIs
(available through e.g. developer accounts, platform developer groups) and ensure that all
APIs listed in the TSS are supported.
The application shall be versioned with
SWID tags that comply with minimum requirements from ISO/IEC 19770-2:2015.
Application
Note:
The use of a SWID tag to identify application software
is a requirement for DOD IT based on DoD Instruction 8500.01 which requires
the use of SCAP which includes SWID tags per the NIST standard.
Valid SWID tags must contain a SoftwareIdentity element and an Entity element as
defined in the ISO/IEC 19770-2:2015 standard. SWID tags must be stored with a .swidtag
file extensions as defined in the ISO/IEC 19770-2:2015.
The evaluator shall install the application and check for a.swidtag file.
The evaluator shall open the file and verify that
is contains at least a SoftwareIdentity element and an Entity element.
The application shall be packaged with only
[assignment:
list of third-party libraries].
Application
Note:
The intention of this requirement is for the evaluator to discover and document whether the
application includes unnecessary or unexpected third-party libraries. This includes
adware libraries which could present a privacy threat, as well as ensuring
documentation of such libraries in case vulnerabilities are later discovered.
The evaluator shall install the application and survey its installation directory for
dynamic libraries.
The evaluator shall verify that libraries found to be packaged with or employed by the
application are limited to those in the assignment.
FPT_TUD_EXT.1 Integrity for Installation and Update
The application shall [selection: provide the ability, leverage the platform]
to check for updates and patches to the application software.
Application
Note:
This requirement is about the ability to "check" for updates. The actual installation of any updates should be done by the platform. This requirement
is intended to ensure that the application can check for updates provided by the vendor,
as updates provided by another source may contain malicious code.
The application shall not download, modify, replace or update its own binary code.
Application
Note:
This requirement applies to the code of the application; it
does not apply to mobile code technologies that are designed for download and
execution by the application.
Application updates shall be digitally signed such that the application platform can cryptographically verify them prior to installation.
Application
Note:
The specifics of the verification of updates involves requirements on the platform (and not the
application), so these are not fully specified here.
The application is distributed
[selection: with the platform OS, as an additional software package to the platform OS].
Application
Note:
Application software that is distributed as part of the platform operating system is not
required to be packaged for installation or uninstallation. If "as an additional software
package to the platform OS" is selected, the requirements from FPT_TUD_EXT.2
must be included in the ST.
The evaluator shall check to ensure the guidance includes a description of how check for and apply new updates.
Tests
The evaluator shall check for an update using procedures described in either the application documentation
or the platform documentation and verify that the application does not issue an error. If it is updated or if it reports that no update is available this requirement is considered to be met.
The evaluator shall verify guidance includes a description of how to query the current
version of the application.
Tests
The evaluator shall query the application for the current version of the software
according to the operational user guidance. The evaluator shall then verify that the
current version matches that of the documented and installed version.
The evaluator shall consider the requirement met because the platform forces
applications to write all data within the application working directory (sandbox).
For all other platforms, the evaluator shall perform the following test:
Test FPT_TUD_EXT.1.3:1:
The evaluator shall install the application and then locate all of its executable files.
The evaluator shall then, for each file, save off either a hash of the file or a copy of the file
itself. The evaluator shall then run the application and exercise all features of the application as
described in the ST. The evaluator shall then compare each executable file with either the saved
hash or the saved copy of the files. The evaluator shall verify that these are identical.
The evaluator shall verify that the TSS identifies how updates to the application
are signed by an authorized source. The definition of an
authorized source must be contained in the TSS. The evaluator shall also ensure that the TSS (or the operational
guidance) describes how candidate updates are obtained.
The evaluator shall verify that the TSS identifies how the application
is distributed. If "as an additional package... " is selected, the evaluator
shall perform the tests in FPT_TUD_EXT.2.
If "with the platform OS" is selected, the evaluated shall perform
a clean installation or factory reset to confirm that TOE software is included
as part of the platform OS.
Encryption is not required for applications transmitting data that is not sensitive.
If not transmit any is selected, no other option can be selected.
If not transmit any is NOT selected, it is possible to select more than one of the other options to encrypt data
for a specific cryptographic function
(e.g., application encrypts management data using SSH AND application invokes platform-provided functionality
to encrypt syslog data using TLS OR application encrypts syslog data using TLS.
Protocol selections and function assignments should be made to cover all data/sensitive data.
If "encrypt all transmitted" is selected and "TLS" or "DTLS" as a client or server is selected, then
corresponding components from the Functional Package for TLS must be selected.
If "encrypt all transmitted" is selected, "HTTPS" is selected, and the
TOE acts as a client, then FCS_HTTPS_EXT.1/Client is required.
If "encrypt all transmitted" is selected, "HTTPS" is selected, and the
TOE acts as a server, then FCS_HTTPS_EXT.1/Server is required.
If the TOE acts as an HTTPS server and if "mutual authentication" is selected,
then FCS_HTTPS_EXT.2 is also required.
If "encrypt all transmitted" is selected and "IPsec" is selected, then the
TSF must claim conformance to a PP-Configuration that includes the
VPN Client PP-Module
If "encrypt all transmitted" is selected the corresponding FCS_COP.1
requirements will be included.
"encrypt all transmitted" is selected and the TOE implements a protocol that requires
certificates
"invoke platform-provided functionality to encrypt all transmitted sensitive data" is
selected and the platform implements a protocol that requires certificates
"invoke platform-provided functionality to encrypt all transmitted data" is selected
and the platform implements a protocol that requires certificates
The evaluator shall confirm the TSS describes the data transmitted, and verify it matches the selections of all
data or sensative data.
The evalutator shall confirm the TSS describes the method by which the data is protected and that is matches the chosen selections,
if multiple selections are included the evaluator shall verify the TSS describes which data is sent over which trusted channels
and the totallity of the data type selection is covered by all chosen selections.
For platform-provided functionality, the evaluator shall verify the TSS contains the calls to the platform that the TOE is
leveraging to invoke the functionality. The evaluator shall verify calls are documented by the platform vendor and non-depricated.
For platform-provided HTTPS, TLS, or DTLS as a client the evaluator shall verify that the TSS lists any specific calls the product uses that specifies
or allows the end users to specify cipher suites, support for mutual authentication, support for session renegotiation, hash algorithms
for the signature_algorithms extension in the Client Hello with the supported_signature_algorithms value, and the supported groups in the
Supported Groups Extension in Client Hello. The evaluator shall verify any calls the product specifies align with the options provided
in this PP and the TLS Funtional Package.
For platform-provided HTTPS, TLS, or DTLS as a server the evaluator shall verify that the TSS lists any specific calls the product uses that specifies
or allows the end users to specify cipher suites, which protocols are denied connection requests, key establishment alorithms,
support for mutual authentication, response to an invalid client certificate, and support for session renegotiation.
The evaluator shall verify any calls the product specifies align with the options provided
in this PP and the TLS Funtional Package.
For platform-provided HTTPS dthe evaluator shall verify that the TSS lists any specific calls the product uses that specifies
or allows the end users to specify the response to an invalid certificate.
For platform-provided HTTPS as a server the evaluator shall verify that the TSS lists any specific calls the product uses that specifies
or allows the end users to specify cipher suites, which protocols are denied connection requests, key establishment alorithms,
support for mutual authentication, response to an invalid client certificate, and support for session renegotiation.
The evaluator shall verify any calls the product specifies align with the options provided
in this PP and the TLS Funtional Package.
For platform-provided SSH the evaluator shall verify that the TSS lists any specific calls the product uses that specifies
or allows the end users to specify the applicable RFCs, the authentication methods, the limit for dropping large packets in an SSH transport
connection, the SSH transport accepted algorithms, the SSH public key for public-key based authentication,
The diffie-hellman-group used for key exchange, and the parameters of session rekey or termination.
The evaluator shall verify any calls the product specifies align with the options provided
in this PP and the SSH Funtional Package.
Guidance
The evaluator shall confirm the guidance documentation contains any information necessary for enabling and configuring the trusted
channels that have been selected.
Test FTP_DIT_EXT.1:1:
The evaluator shall exercise the application (attempting to transmit data; for
example by connecting to remote systems or websites) while capturing packets from
the application. The evaluator shall verify from the packet capture that the
traffic is encrypted with HTTPS, TLS, DTLS, SSH, or IPsec in accordance with the
selection in the ST.
Test FTP_DIT_EXT.1:2:
The evaluator shall exercise the application (attempting to transmit data; for
example by connecting to remote systems or websites) while capturing packets from
the application. The evaluator shall review the packet capture and verify that no
sensitive data is transmitted in the clear.
Test FTP_DIT_EXT.1:3:
The evaluator shall inspect the TSS to determine if user credentials are transmitted. If credentials are transmitted the evaluator shall set the credential to a known
value. The evaluator shall capture packets from the application while causing
credentials to be transmitted as described in the TSS. The evaluator shall perform
a string search of the captured network packets and verify that the plaintext
credential previously set by the evaluator is not found.
If "not transmit any data" is selected, the evaluator shall ensure that the application's
AndroidManifest.xml file does not contain a uses-permission or uses-permission-sdk-23 tag
containing android:name="android.permission.INTERNET". In this case, it is not necessary to perform
the above Tests 1, 2, or 3, as the platform will not allow the application to perform any network
communication.
If "encrypt all transmitted data" is selected, the evaluator shall ensure that the application's
Info.plist file does not contain the NSAllowsArbitraryLoads or
NSExceptionAllowsInsecureHTTPLoads keys, as these keys disable iOS's Application
Transport Security feature.
5.1.7 TOE Security Functional Requirements Rationale
The following rationale provides justification for each SFR for the TOE,
showing that the SFRs are suitable to address the specified threats:
The PP includes FCS_COP.1/Sig to define the mechanism used to verify TOE updates if the TOE implements this functionality rather than the underlying platform.
The PP includes FCS_RBG_EXT.1 to define whether the random bit generation services used in establishing trusted communications are implemented by the TSF or by the platform.
The PP includes FCS_CKM_EXT.1 to specify whether the TOE or the platform is responsible for generation of any asymmetric keys that may be used for establishing trusted communications.
The PP includes FDP_NET_EXT.1 to define the TOE’s usage of network communications, which may include the transmission or receipt of data over a trusted channel.
The PP includes FTP_DIT_EXT.1 to define the trusted channels used to protect data in transit, the data that is protected, and whether the trusted channels are implemented by the TSF or the platform.
The PP includes FDP_DEC_EXT.1 to limit access to platform hardware resources, which limits the methods by which an attacker can attempt to compromise the integrity of the TOE.
The PP includes FMT_CFG_EXT.1 for the TSP to limit unauthorized access to itself by preventing the use of default authentication credentials and by ensuring that the TOE uses appropriately restrictive platform permissions on its binaries and data
The PP includes FPT_AEX_EXT.1 to add complexity to the task of compromising systems by ensuring that application is compatible with security features provided by the platform vendor and that the application implements platform-provided anti-exploitations such as ASLR and stack overflow protection.
The PP includes FPT_TUD_EXT.1 to ensure that the TOE can be patched and that any updates to the TOE have appropriate integrity protection.
5.2 Security Assurance Requirements
The Security Objectives for the TOE in were constructed to address threats identified in
Section 3.1 Threats. The Security Functional Requirements (SFRs) in Section 5.1 Security Functional Requirements are a formal
instantiation of the Security Objectives. The PP identifies the Security Assurance Requirements
(SARs) to frame the extent to which the evaluator assesses the documentation applicable for the evaluation
and performs independent testing.
This section lists the set of SARs from CC part 3 that are required in evaluations against this
PP. Individual Evaluation Activities (EAs) to be performed are specified both
in Section 5 Security Requirements as well as in this section. These SARs were chosen based on the notion that a hypothetical attacker of the TOE lacks administrative privilege
on its platform but otherwise has persistent access to the TOE itself and the sophistication to interact with the platform in a way that they can
attmept to access stored data without authorization or to run tools that automate more sophisticated malicious activity.
The general model for evaluation of TOEs against STs written to conform to this PP is as follows:
After the ST has been approved for evaluation, the CCTL will obtain the TOE, supporting
environmental IT, and the administrative/user guides for the TOE. The CCTL is expected to
perform actions mandated by the Common Evaluation Methodology (CEM) for the ASE and
ALC SARs. The CCTL also performs the evaluation activities contained within Section 5 Security Requirements,
which are intended to be an interpretation of the other CEM assurance requirements as they
apply to the specific technology instantiated in the TOE. The evaluation activities that are
captured in Section 5 Security Requirements also provide clarification as to what the developer needs
to provide to demonstrate the TOE is compliant with the PP. The results of these activities will be documented
and presented (along with the administrative guidance used) for validation.
The information about the TOE
is contained in the guidance documentation available to the end user as
well as the TSS portion of the ST. The TOE developer
must concur with the description of the product that is contained in the TSS as it relates
to the functional requirements. The evaluation activities contained in
Section 5.1 Security Functional Requirements should provide the ST authors with sufficient information to
determine the appropriate content for the TSS section.
The functional
specification describes the TSFIs. It is not necessary
to have a formal or complete specification of these interfaces. Additionally, because
TOEs conforming to this PP will necessarily have interfaces to the
Operational Environment that are not directly invocable 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 PP, the
activities for this family should 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. The interfaces that need to be
evaluated are characterized through the information needed to perform the assurance
activities listed, rather than as an independent, abstract list.
The developer shall provide a tracing from the functional specification to the
SFRs.
Application
Note:
As indicated in the introduction to this section, the
functional specification is comprised of the information contained in the AGD_OPE and
AGD_PRE documentation. The developer may reference a website accessible to application
developers and the evaluator. The evaluation activities in the functional requirements
point to evidence that should exist in the documentation and TSS
section; 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.
There are no specific evaluation activities associated with these SARs, except
ensuring the information is provided. The functional specification documentation is
provided to support the evaluation activities described in Section 5.1 Security Functional Requirements, and
other activities described for AGD, ATE, and AVA SARs. The requirements on the content
of the functional specification information is implicitly assessed by virtue of the
other evaluation activities being performed; if the evaluator is unable to perform an
activity because there is insufficient interface information, then an adequate
functional specification has not been provided.
5.2.3 Class 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. Guidance pertaining to
particular security functionality is also provided; requirements on such guidance are
contained in the evaluation activities specified with each requirement.
The developer shall provide operational user guidance.
Application
Note:
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. Where appropriate, the guidance documentation is
expressed in the eXtensible Configuration Checklist Description Format (XCCDF) to
support security automation. Rather than repeat information here, the developer should
review the evaluation activities for this component 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.
The operational user guidance shall describe, for each user role, the
user-accessible functions and privileges that should be controlled in a secure
processing environment, including appropriate warnings.
Application
Note:
User and administrator are to be considered in the definition
of user role.
The operational user guidance shall describe, for each user role, the available
functions and interfaces, in particular all security parameters under the control of
the user, indicating secure values as appropriate.
The operational user guidance shall, for each user role, clearly present each
type of security-relevant event relative to the user-accessible functions that need to
be performed, including changing the security characteristics of entities under the
control of the TSF.
The operational user guidance shall identify all possible modes of operation of
the TOE (including operation following failure or operational
error), their consequences, and implications for maintaining secure operation.
The operational user guidance shall, for each user role, describe the security
measures to be followed in order to fulfill the security objectives for the
operational environment as described in the ST.
Some of the contents of the operational guidance will be verified by the
evaluation activities in Section 5.1 Security Functional Requirements and evaluation of the TOE
according to the [CEM]. The following additional
information is also required.
If cryptographic functions are provided by the
TOE, the operational guidance shall contain instructions for
configuring the 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.
The documentation must describe the process for verifying
updates to the TOE by verifying a digital signature – this may
be done by the TOE or the underlying platform.
The evaluator shall verify that this process includes the following steps:
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).
Instructions for initiating the update process, as well as discerning whether the process was
successful or unsuccessful. This includes generation of the digital signature.
The TOE will likely contain security functionality that does not
fall in the scope of evaluation under this PP. The operational guidance shall make it
clear to an administrator which security functionality is covered by the evaluation
activities.
The developer shall provide the TOE, including its preparative procedures.
Application
Note:
As with the operational guidance, the developer should look to
the evaluation activities to determine the required content with respect to preparative
procedures.
The preparative procedures shall describe all the steps necessary for secure
acceptance of the delivered TOE in accordance with the developer's
delivery procedures.
The preparative procedures shall describe all the steps necessary for secure
installation of the TOE and for the secure preparation of the
operational environment in accordance with the security objectives for the operational
environment as described in the ST.
As indicated in the introduction above, there are significant expectations
with respect to the documentation—especially when configuring the operational
environment to support TOE functional requirements. The evaluator
shall check to ensure that the guidance provided for the TOE
adequately addresses all platforms claimed for the TOE in the ST.
5.2.4 Class ALC: Life-cycle Support
At the assurance level provided for TOEs conformant to this PP, 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.
ALC_CMC.1 Labeling 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.
The evaluator shall check the ST to ensure that it contains an identifier
(such as a product name/version number) that specifically identifies the version that
meets the requirements of the ST. Further, the evaluator shall check the operational guidance
and TOE samples received for testing to ensure that the version
number is consistent with that in the ST. If the vendor maintains a website
advertising the TOE, the evaluator shall examine the information on
the website to ensure that the information in the ST is sufficient to distinguish the
product.
The "evaluation evidence required by the SARs" in this PP is limited to the
information in the ST coupled with the guidance provided to administrators and users
under the AGD requirements. By ensuring that the TOE is specifically
identified and that this identification is consistent in the ST and in the AGD
guidance (as done in the evaluation activity for ALC_CMC.1), the evaluator implicitly
confirms the information required by this component. Life-cycle support is targeted
aspects of the developer’s life-cycle and instructions to providers of applications
for the developer’s devices, rather than an in-depth examination of the TSF
manufacturer’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’s a reflection on
the information to be made available for evaluation.
The evaluator shall ensure that the developer has identified (in guidance documentation for application
developers concerning the targeted platform) one or more development environments
appropriate for use in developing applications for the developer’s platform. For each
of these development environments, the developer shall provide information on how to
configure the environment to ensure that buffer overflow protection mechanisms in the
environment(s) are invoked (e.g., compiler flags). The evaluator shall ensure that
this documentation also includes an indication of whether such protections are on by
default, or have to be specifically enabled. The evaluator shall ensure that the
TSF is uniquely identified (with respect to other products from the
TSF vendor), and that documentation provided by the developer in
association with the requirements in the ST is associated with the
TSF using this unique identification.
ALC_TSU_EXT.1 Timely Security Updates
This component requires the TOE developer, in conjunction with any other necessary parties,
to provide information as to how the end-user devices are updated to address security issues
in a timely manner. The documentation describes the process of providing updates to the
public from the time a security flaw is reported/discovered, to the time an update is released. This description includes the parties involved (e.g., the developer, carriers(s)) and the steps
that are performed (e.g., developer testing, carrier testing), including worst case time periods,
before an update is made available to the public.
The developer shall provide a description in the TSS of how users are notified when
updates change security properties or the configuration of the product.
The description shall express the time window as the length of time,
in days, between public disclosure of a vulnerability and the public availability
of security updates to the TOE.
The description shall include the mechanisms publicly available for
reporting security issues pertaining to the TOE.
Application
Note:
The reporting mechanism could include a website or email address as
well as a means to protect the sensitive nature of the report (e.g., public keys that could be
used to encrypt the details of a proof-of-concept exploit).
The evaluator shall verify that the TSS contains a description of the timely security update
process used by the developer to create and deploy security updates. The evaluator shall
verify that this description addresses the entire application. The evaluator shall also
verify that, in addition to the TOE developer’s process, any
third-party processes are also addressed in the description. The evaluator shall
also verify that each mechanism for deployment of security updates is described.
The evaluator shall verify that, for each deployment mechanism described for the update
process, the TSS lists a time between public disclosure of a vulnerability and public
availability of the security update to the TOE patching this vulnerability, to include any third-party
or carrier delays in deployment. The evaluator shall verify that this time is expressed in
a number or range of days.
The evaluator shall verify that this description includes the publicly available mechanisms
(including either an email address or website) for reporting security issues related to the TOE. The evaluator shall verify that the description of this mechanism includes a method for
protecting the report either using a public key for encrypting email or a trusted channel for a
website.
5.2.5 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. At the assurance level specified in this PP, 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.
Testing is performed to confirm the
functionality described in the TSS as well as the administrative
(including configuration and operational) documentation provided. The focus of the testing
is to confirm that the requirements specified in Section 5.1 Security Functional Requirements are being met,
although some additional testing is specified for SARs in Section 5.2 Security Assurance Requirements. The
evaluation activities identify the additional testing activities associated with these
components. 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 PP. Given the scope of the
TOE and its associated evaluation evidence requirements, this
component’s evaluation activities are covered by the evaluation activities listed for ALC_CMC.1.
Application
Note:
The developer must provide at least one product instance of the TOE for complete testing on at least one
platform regardless of equivalency. See the Equivalency Appendix for more details.
The evaluator shall prepare a test plan and report documenting the testing
aspects of the system, including any application crashes during testing. The evaluator
shall determine the root cause of any application crashes and include that information
in the report. The test plan covers all of the testing actions contained in
the [CEM] and the body of this PP’s evaluation activities.
While it is not necessary to have one test case per test listed in an evaluation activity, the
evaluator must document in the test plan that each applicable testing requirement in
the ST is covered. The test plan identifies the platforms to be tested, and for those
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 effect; rationale must be
provided. If all platforms claimed in the ST are tested, then no rationale is
necessary. The test plan describes the composition of each platform to be tested, and
any setup that is 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 the
cryptographic engine to be used. The cryptographic algorithms implemented by this
engine are those specified by this PP and used by the cryptographic protocols being
evaluated (e.g SSH). The test plan identifies high-level test objectives
as well as the test procedures to be followed to achieve those objectives. These
procedures include expected results.
The test report (which could just be an annotated
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; a fix
installed; and then a successful re-run of the test, the report would show a “fail”
and “pass” result (and the supporting details), and not just the “pass” result.
5.2.6 Class AVA: Vulnerability Assessment
For the current generation of
this protection profile, the evaluation lab is expected to survey open sources to discover
what vulnerabilities have been discovered in these types of products. In most cases, these
vulnerabilities will require sophistication beyond that of a basic attacker. Until
penetration tools are created and uniformly distributed to the evaluation labs, the
evaluator will not be expected to test for these vulnerabilities in the TOE. The labs will be expected to comment on the likelihood of these vulnerabilities given
the documentation provided by the vendor. This information will be used in the development
of penetration testing tools and for the development of future protection profiles.
Application
Note:
Suitability for testing means not being obfuscated or
packaged in such a way as to disrupt either static or dynamic analysis by the
evaluator.
The evaluator shall perform a search of public domain sources to identify
potential vulnerabilities in the TOE.
Application
Note:
Public domain sources include the Common Vulnerabilities
and Exposures (CVE) dictionary for publicly known vulnerabilities. Public domain
sources also include sites which provide free checking of files for viruses.
The evaluator shall conduct penetration testing, based on the identified
potential vulnerabilities, to determine that the TOE is resistant to
attacks performed by an attacker possessing Basic attack potential.
The evaluator shall generate a report to document their findings with respect to this
requirement. This report could physically be part of the overall test report mentioned in
ATE_IND, or a separate document. The evaluator performs a search of public information to find
vulnerabilities that have been found in similar applications with a particular focus on network
protocols the application uses and document formats it parses.
The evaluator documents the sources consulted and the vulnerabilities found in the report.
For each vulnerability found, the evaluator either provides a rationale with respect to its
non-applicability, or the evaluator formulates a test (using the guidelines provided in ATE_IND)
to confirm the vulnerability, if suitable. Suitability is determined by assessing the attack
vector needed to take advantage of the vulnerability. If exploiting the vulnerability requires
expert skills and an electron microscope, for instance, then a test would not be suitable and
an appropriate justification would be formulated.
For Windows, Linux, macOS and Solaris:
The evaluator shall also run a virus scanner with the most current virus definitions against the
application files and verify that no files are flagged as malicious.
Appendix A - Optional Requirements
As indicated in the introduction to this PP, the baseline requirements (those that must be
performed by the TOE) are contained in the body of this PP. This appendix contains three other types of optional requirements:
The first type, defined in Appendix A.1 Strictly Optional Requirements, are strictly optional requirements. If the TOE meets any of these requirements the vendor is encouraged to claim the associated SFRs
in the ST, but doing so is not required in order to conform to this PP.
The second type, defined in Appendix A.2 Objective Requirements, are objective requirements. These describe security functionality that is not yet
widely available in commercial technology.
Objective requirements are not currently mandated by this PP, but will be mandated in
the future. Adoption by vendors is encouraged, but claiming these SFRs is not required in order to conform to this
PP.
The third type, defined in Appendix A.3 Implementation-dependent Requirements, are Implementation-dependent requirements. If the TOE implements the product features associated with the listed SFRs, either the SFRs must be claimed
or the product features must be disabled in the evaluated ocnfiguration.
The application shall generate symmetric cryptographic keys using a Random Bit
Generator as specified in FCS_RBG_EXT.1 and specified
cryptographic key sizes [selection:
The evaluator shall review the TSS to determine that it describes how the functionality described by
FCS_RBG_EXT.1 is invoked.
If the application is relying on random bit generation from the
host platform, the evaluator shall verify the TSS includes the
name/manufacturer of the external RBG and describes the function call and parameters
used when calling the external DRBG function. If different external RBGs are used
for different platforms, the evaluator shall verify the TSS identifies each RBG for
each platform. Also, the evaluator shall verify the TSS includes a short description
of the vendor's assumption for the amount of entropy seeding the external DRBG. The
evaluator uses the description of the RBG functionality in FCS_RBG_EXT or
documentation available for the operational environment to determine that the key
size being requested is identical to the key size and mode to be used for the
encryption/decryption of the user data.
Guidance
The evaluator shall verify the guidance documention contains any informance necessary to configure key sizes.
The application
[selection, choose one of: shall use platform-provided libraries, does not implement functionality]
for parsing [assignment:
list of formats parsed that are included in the
IANAMIME media types].
The evaluator shall verify that the TSS lists the IANAMIME media types
(as described by
http://www.iana.org/assignments/media-types)
for all formats the application processes
and that it maps those formats to parsing services provided by the platform.
This PP does not define any
Implementation-dependent requirements.
Appendix B - Selection-based Requirements
As indicated in the introduction to this PP,
the baseline requirements
(those that must be performed by the TOE or its underlying platform)
are contained in the body of this PP. There are additional requirements based on selections in the body of
the PP:
if certain selections are made, then additional requirements below must be included.
]
to generate asymmetric cryptographic keys in accordance with a specified cryptographic key generation algorithm
[selection:
[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-384 and [selection: P-256, P-521, no other curves]] that meet the following:
[FIPS PUB 186-4, “Digital Signature Standard (DSS),” Appendix B.4]
[FFC schemes] using cryptographic key sizes of [2048-bit or greater]
that meet the following: [FIPS PUB 186-4, “Digital Signature Standard (DSS),” Appendix B.1]
[FFC Schemes] using [Diffie-Hellman group 14] that meet the following:
[RFC 3526, Section 3]
[FFC Schemes] using [“safe-prime” groups] that meet the following:
[NIST Special Publication 800-56A Revision 3, “Recommendation for Pair-Wise Key Establishment Schemes
Using Discrete Logarithm Cryptography” and
[selection: RFC 3526, RFC 7919]]
The ST should claim all key generation schemes used for key
establishment and entity 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 entity 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.
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
If the ST selects "invoke platform-provided functionality,"
then the evaluator shall examine the TSS to verify that it describes
how the key generation functionality is invoked and that the invokation matches the algorithm and size selections for each
supported platform. The evaluator shall confirm the invocation of the platform is using non-depricated functions
provided by the platform(s).
Guidance
The evaluator shall verify that the operational 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 if any configuration is required.
Tests
If the application selects "implement functionality," then the following test
activities shall be carried out.
Evaluation Activity Note: The following tests may require the developer to provide access
to a developer environment that provides the evaluator with tools that are typically available
to end-users of the application
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:
Random Primes:
Provable primes
Probable primes
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.
If possible, the Random Probable primes method should also be verified against a
known good implementation as described above. Otherwise, the evaluator shall have
the TSF generate 10 keys pairs for each supported key length nlen
and verify:
n = p⋅q,
p and q are probably prime according to Miller-Rabin tests,
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. The Parameter generation specifies two ways (or methods) to generate
the cryptographic prime q and the field prime p:
Cryptographic and Field Primes:
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:
Cryptographic Group Generator:
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) + 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
The application shall
[selection: invoke platform-provided functionality, implement functionality]
to perform cryptographic key establishment in accordance with a specified
cryptographic key establishment method:
[selection:
[RSA-based key establishment schemes] that meets the following: [NIST
Special Publication 800-56B, “Recommendation for Pair-Wise Key Establishment
Schemes Using Integer Factorization Cryptography”]
[RSA-based key establishment schemes]
that meet the following: RSAES-PKCS1-v1_5 as specified in Section 7.2 of RFC 8017,
“Public-Key Cryptography Standards (PKCS) #1: RSA Cryptography Specifications Version 2.1”
[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”]
[Finite field-based key establishment schemes] that meets the following:
[NIST Special Publication 800-56A, “Recommendation for Pair-Wise Key
Establishment Schemes Using Discrete Logarithm Cryptography”]
[Key establishment scheme using Diffie-Hellman group 14]
that meets the following: RFC 3526, Section 3
[FFC Schemes using “safe-prime” groups]
that meet the following: ‘NIST Special Publication 800-56A Revision 3,
“Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm Cryptography”
and [selection: RFC 3526, RFC 7919]
The ST author shall select all key establishment schemes used for the selected cryptographic
protocols. TLS requires cipher suites that use RSA-based key establishment
schemes.
The RSA-based key establishment schemes are described in Section 9 of NISTSP 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 shall correlate with the curves
specified in FCS_CKM.1.1/AK.
The domain parameters used for the finite field-based key establishment scheme are specified
by the key generation according to FCS_CKM.1.1/AK.
The evaluator shall ensure that the supported key establishment schemes correspond to the
key generation schemes identified in FCS_CKM.1.1/AK. If the ST specifies more than one
scheme, the evaluator shall examine the TSS to verify that it identifies the usage for each
scheme.
If the ST selects "invoke platform-provided functionality,"
then the evaluator shall examine the TSS to verify that it describes
how the key establishment functionality is invoked and that the invokation matches the algorithm selection for each
supported platform. The evaluator shall confirm the invocation of the platform is using non-depricated functions
provided by the platform(s).
Guidance
The evaluator shall verify that the operational guidance instructs the administrator how to configure
the TOE to use the selected key establishment scheme(s) if configuration is required.
Tests
Evaluation Activity 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 Establishment Schemes
The evaluator shall verify the implementation of the key establishment schemes 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 and type combination, the 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 (OtherInfo) 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 MAC tags 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 OtherInfo 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 OtherInfo field, 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 ensure that 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 obtained by using a known good implementation verifying that the TOE detects these errors.
SP800-56B Key Establishment Schemes
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 evaluation activity shall be performed to ensure the
proper operation of every TOE supported combination of RSA-based key establishment scheme:
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 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 evaluation activities shall be performed to ensure
the proper operation of every TOE supported combination of RSA-based key establishment scheme:
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 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.
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.
RSA-based key establishment
The evaluator shall verify the correctness of the TSF’s implementation of RSAES-PKCS1-v1_5 by using a
known good implementation for each protocol selected in FTP_DIT_EXT.1 that uses RSAES-PKCS1-v1_5.
Diffie-Hellman Group 14
The evaluator shall verify the correctness of the TSF’s implementation of Diffie-Hellman group 14 by using
a known good implementation for each protocol selected in FTP_DIT_EXT.1 that uses Diffie-Hellman group 14.
FFC Schemes using “safe-prime” groups
The evaluator shall verify the correctness of the TSF’s implementation of safe-prime groups by using a
known good implementation for each protocol selected in FTP_DIT_EXT.1 that uses safe-prime groups. This test
must be performed for each safe-prime group that each protocol uses.
]
and cryptographic key sizes
[selection: 128-bit, 256-bit].
Application
Note:
This is dependent on implementing cryptographic functionality, as in FTP_DIT_EXT.1.
For the first selection, 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. 128-bit key size
is required in order to comply with certain TLS implementations.
The evaluator checks the AGD documents to determine that any configuration that
is required to be done to configure the functionality for the required modes
and key sizes is present.
Tests
The evaluator shall perform all of the following tests for each algorithm implemented by the TSF and used to
satisfy the requirements of this PP:
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. 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.
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.
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:
# 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.
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
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.
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.
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 evaluator shall compare the resulting values to those obtained
by submitting the same inputs to a known good
implementation.
The evaluator shall test the encrypt functionality of XTS-AES for each combination
of the following input parameter lengths:
256-bit (for AES-128) and 512 bit (for AES-256) keys
Three data unit (i.e., plaintext) lengths. One of the data unit lengths shall be a
non-zero integer multiple of 128 bits, if supported. One of the data unit lengths
shall be an integer multiple of 128 bits, if supported. The third data unit length
shall be either the longest supported data unit length or 216 bits, whichever is
smaller.
Using a set of 100 (key, plaintext and 128-bit random tweak value) 3-tuples, the evaluator shall
obtain the ciphertext that results from XTS-AES encrypt.
The evaluator may supply a data unit sequence number instead of the tweak value if
the implementation supports it. The data unit sequence number is a base-10 number
ranging between 0 and 255 that implementations convert to a tweak value internally.
The evaluator shall test the decrypt functionality of XTS-AES using the same test as
for encrypt, replacing plaintext values with ciphertext values and XTS-AES encrypt
with XTS-AES decrypt.
It is not recommended that evaluators use values obtained from static sources such as
http://csrc.nist.gov/groups/STM/cavp/documents/mac/ccmtestvectors.zip or use values not generated expressly
to exercise the AES-CCM implementation.
The evaluator shall test the generation-encryption and decryption-verification functionality of AES-CCM for
the following input parameter and tag lengths:
Keys: All supported and selected key sizes (e.g., 128, 256 bits).
Associated Data: Two or three values for associated data length: The minimum (≥ 0 bytes) and
maximum (≤ 32 bytes) supported associated data lengths, and 2^16 (65536) bytes, if supported.
Payload: Two values for payload length: The minimum (≥ 0 bytes) and maximum (≤ 32 bytes) supported
payload lengths.
Nonces: All supported nonce lengths (7, 8, 9, 10, 11, 12, 13) in bytes.
Tag: All supported tag lengths (4, 6, 8, 10, 12, 14, 16) in bytes.
The testing for CCM consists of five tests. To determine correctness in each of the below tests, the evaluator
shall compare the ciphertext with the result of encryption of the same inputs with a known good implementation.
Variable Associated Data Test
For each supported key size and associated data length, and any supported payload length, nonce length, and tag
length, the evaluator shall supply one key value, one nonce value, and 10 pairs of associated data and payload
values, and obtain the resulting ciphertext.
Variable Payload Test
For each supported key size and payload length, and any supported associated data length, nonce length, and tag
length, the evaluator shall supply one key value, one nonce value, and 10 pairs of associated data and payload
values, and obtain the resulting ciphertext.
Variable Nonce Test
For each supported key size and nonce length, and any supported associated data length, payload length, and tag
length, the evaluator shall supply one key value, one nonce value, and 10 pairs of associated data and payload
values, and obtain the resulting ciphertext.
Variable Tag Test
For each supported key size and tag length, and any supported associated data length, payload length, and nonce
length, the evaluator shall supply one key value, one nonce value, and 10 pairs of associated data and payload
values, and obtain the resulting ciphertext.
Decryption-Verification Process Test
To test the decryption-verification functionality of AES-CCM, for each combination of supported associated data
length, payload length, nonce length, and tag length, the evaluator shall supply a key value and 15 sets of input
plus ciphertext, and obtain the decrypted payload. Ten of the 15 input sets supplied should fail verification and
five should pass.
There are four Known Answer Tests (KATs) described below. For all KATs, the plaintext, IV, and ciphertext values
shall be 128-bit blocks. The results from each test may either be obtained by the validator 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, the evaluator shall supply a set of 10 plaintext values and obtain the
ciphertext value that results from 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. To test the decrypt functionality, the evaluator shall perform the same
test as for encrypt, using 10 ciphertext values as input.
KAT-2. To test the encrypt functionality, the evaluator shall supply a set of 10 key values and obtain the ciphertext
value that results from encryption of an all zeros plaintext using the given key value and an IV of all zeros. Five of the key values shall be 128-bit keys, and the other five shall be 256-bit keys. To test the decrypt
functionality, the evaluator shall perform the same test as for encrypt, using an all zero ciphertext value as
input.
KAT-3. To test the encrypt functionality, the evaluator shall supply the two sets of key values described below and
obtain the ciphertext values that result from AES encryption of an all zeros plaintext using the given key values
an an IV of all zeros. The first set of keys shall have 128 128-bit keys, and the second 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, the evaluator shall supply the two sets of key and ciphertext
value pairs described below and obtain the plaintext value that results from decryption of the given ciphertext
using the given key values 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 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, the evaluator shall supply the set of 128 plaintext values described below and
obtain the two ciphertext values that result from encryption of the given plaintext using a 128-bit key value of
all zeros and using a 256-bit key value of all zeros, respectively, and an IV of all zeros. Plaintext value i in
each set shall have the leftmost bits be ones and the rightmost 128-i bits be zeros, for i in [1, 128]. To test
the decrypt functionality, 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.
Test 2: Multi-Block Message Test
The evaluator shall test the encrypt functionality by encrypting an i-block message where 1 less-than i
less-than-or-equal to 10. For each i the evaluator shall choose a key, IV, and plaintext message of length i
blocks and encrypt the message, using the mode to be tested, with the chosen key. 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 by decrypting an i-block message where 1 less-than i
less-than-or-equal to 10. For each i the evaluator shall choose a key and a ciphertext message of length i blocks
and decrypt the message, using the mode to be tested, with the chosen key. The plaintext shall be compared to the
result of decrypting the same ciphertext message with the same key using a known good implementation.
Test 3: Monte-Carlo Test
For AES-CTR mode, perform the Monte Carlo Test for ECB Mode on the encryption engine of the counter mode
implementation. There is no need to test the decryption engine.
The evaluator shall test the encrypt functionality using 200 plaintext/key pairs. 100 of these shall use 128-bit
keys, and 100 of these shall use 256-bit keys. The plaintext values shall be 128-bit blocks. For each pair,
1000 iterations shall be run as follows:
For AES-ECB mode
# Input: PT, Key
for i = 1 to 1000:
CT[i] = AES-ECB-Encrypt(Key, PT)
PT = CT[i]
The ciphertext computed in the 1000th iteration 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.
FCS_COP.1/Hash Cryptographic Operation - Hashing
The inclusion of this selection-based component depends upon selection in
FTP_DIT_EXT.1.1.
]
bits that meet the following: [FIPS Pub 180-4, "Secure Hash Standard"].
Application
Note:
This is dependent on implementing cryptographic functionality, as in FTP_DIT_EXT.1.
Per NISTSP 800-131A, SHA-1 for generating digital signatures is no
longer allowed, and SHA-1 for verification of digital signatures is strongly discouraged as
there may be risk in accepting these signatures.
SHA-1 is currently included in order to comply with the TLS. If
the TLS package is included in the ST, the hashing algorithms selection for FCS_COP.1/Hash
must match the hashing algorithms used in the mandatory and selected cipher suites of
the TLS package. 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 intent of this requirement is to specify the hashing function. The hash selection must
support the message digest size selection. The hash selection should be consistent with the
overall strength of the algorithm used (for example, SHA 256 for 128-bit keys).
The evaluator shall check that the association of the hash function with other
application cryptographic functions (for example, the digital signature verification
function) is documented in the TSS.
Guidance
The evaluator shall verify the guidance documentation contains any information required for configuring the algorithm or size.
Tests
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
hashes only 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 test MACs. 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.
The following tests require the developer to provide access to a test application
that provides the evaluator with tools that are typically not found in the production application.
Test FCS_COP.1/Hash:1:
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.
Test FCS_COP.1/Hash:2:
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.
Test FCS_COP.1/Hash:3:
Selected Long Messages Test - Bit-oriented Mode. The evaluators devise an input
set consisting of m messages, where m is the block length of the hash algorithm. The length of the ith message is 512 + 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.
Test FCS_COP.1/Hash:4:
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. The length of the ith message is 512 + 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.
Test FCS_COP.1/Hash:5:
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.
]
with key sizes [assignment:
key size (in bits) used in HMAC]
and message digest sizes [selection: 256, 384, 512] and
[selection, choose one of: 160, no other size] bits
that meet the following: [FIPS Pub 198-1, "The Keyed-Hash Message Authentication Code,"
and FIPS Pub 180-4, "Secure Hash Standard"].
Application
Note:
This is dependent on implementing cryptographic functionality, as in FTP_DIT_EXT.1.
The intent of this requirement is to specify the keyed-hash
message authentication function used for key
establishment purposes for the various cryptographic protocols
used by the application (e.g., trusted channel). The hash selection must
support the message digest size selection. The hash selection
should be consistent with the overall strength of the algorithm used for FCS_COP.1/SKC.
The evalutator shall verify the guidance documentation contains any infomration required for configuring the algorithm or size.
Tests
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.
FCS_COP.1/Sig Cryptographic Operation - Signing
The inclusion of this selection-based component depends upon selection in
FTP_DIT_EXT.1.1.
The application shall perform [cryptographic signature services (generation and
verification)] in accordance with a specified cryptographic algorithm
[selection:
RSA schemes using cryptographic key sizes of [2048-bit or greater] that meet the
following: [FIPS PUB 186-4, “Digital Signature Standard (DSS),” Section 5]
ECDSA schemes using [“NIST curves” P-256, P-384 and
[selection: P-521, no other curves]]
that meet the following: [FIPS PUB 186-4, “Digital Signature Standard (DSS),” Section 6]
This is dependent on implementing cryptographic functionality, as in FTP_DIT_EXT.1.
The ST author should choose the algorithm implemented to perform
digital signatures; if more than one algorithm is available, this requirement should be iterated
to specify the functionality. For the algorithm chosen, the ST author should make the
appropriate assignments/selections to specify the parameters that are implemented for that
algorithm.
The evaluator shall verify the guidance documentation contains any information required for configuring the algorithm or size.
Tests
The following tests require the developer to provide access to a test application
that provides the evaluator with tools that are typically not found in the production
application.
Test FCS_COP.1/Sig:1:
ECDSAFIPS 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.
Test FCS_COP.1/Sig:2:
ECDSAFIPS 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
Test FCS_COP.1/Sig:3:
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.
Test FCS_COP.1/Sig:4:
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.
FCS_HTTPS_EXT.1/Client HTTPS Protocol
The inclusion of this selection-based component depends upon selection in
FTP_DIT_EXT.1.1.
The application shall
[selection, choose one of: not establish the application-initiated connection, notify the user and not establish the user-initiated connection, notify the user and request authorization to establish the user-initiated connection]
if the peer certificate is deemed invalid.
Application
Note:
Validity is determined by the certificate path, the expiration date, and the
revocation status in accordance with RFC 5280.
The evaluator shall examine the TSS and determine that enough detail is provided to
explain how the implementation complies with RFC 2818.
Guidance
The evaluator shall verify the guidance documentation contains any information necessary to configure
HTTPs as a client in alignment with RFC 2818.
Tests
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.
The evaluator shall verify the TSS describes the supported options for responding to invalid certificates
when acting as a client and verify that description matches the selections.
Guidance
The validator shall confirm the guidance documentation contains any information required for configuring the
response to an invalid certificate.
Tests
Certificate validity shall be tested in accordance with testing performed for
FIA_X509_EXT.1, and the evaluator shall perform the following test:
Test FCS_HTTPS_EXT.1.3/Client:1:
The evaluator shall demonstrate that using a certificate without a valid
certification path results in the selected action in the SFR. If "notify the user"
is selected in the SFR, then the evaluator shall also determine that the user
is notified of the certificate validation failure. Using the administrative
guidance, the evaluator shall then load a certificate or certificates to the
Trust Anchor Database needed to validate the certificate to be used in the
function, and demonstrate that the function succeeds. The evaluator then shall
delete one of the certificates, and show that again, using a certificate
without a valid certification path results in the selected action in the SFR,
and if "notify the user" was selected in the SFR, the user is notified of the
validation failure.
FCS_HTTPS_EXT.1/Server HTTPS Protocol
The inclusion of this selection-based component depends upon selection in
FTP_DIT_EXT.1.1.
The application shall [selection: not establish the connection, establish or not establish the connection based on an administrative or user setting]
if the peer certificate is deemed invalid.
The evaluator shall examine the ST and determine that enough detail is provided to
explain how the implementation complies with RFC 2818.
Guidance
The evaluator shall confirm the guidance documentation contains any information necessary for configuring HTTPs as a server in alignment with RFC 2818.
Tests
The evaluator shall attempt to establish an HTTPS connection to the TOE using a
client, observe the traffic with a packet analyzer, and verify that the connection
succeeds and that the traffic is identified as TLS or HTTPS.
The evalutator shall confirm the ST describes how the application responds to an invalid certificate when acting as a server and verify the description matches the selection.
Guidance
The evaluator shall verify the guidance documentation contains any information necessary to configure the response to an invalid
certificates.
The application shall
[selection: not establish the connection, establish or not establish the connection based on an administrative or user setting]
if the peer certificate is deemed invalid.
Application
Note:
Validity is determined by the certificate path, the expiration date, and the
revocation status in accordance with RFC 5280.
The evaluator shall verify the ST contains a description of how invalid peer certificates are responded to and that it matches the selections.
Guidance
The evaluator shall verify the guidance documentation contains any information necessary to configure the response to invalid peer certificates.
Tests
Certificate validity shall be tested in accordance with testing performed for
FIA_X509_EXT.1, and the evaluator shall perform the following test:
Test FCS_HTTPS_EXT.2.1:1:
The evaluator shall demonstrate that using a certificate without a
valid certification path results in the selected action in the SFR. Using the
administrative guidance, the evaluator shall then load a certificate or
certificates to the Trust Anchor Database needed to validate the certificate
to be used in the function, and demonstrate that the function succeeds. The
evaluator then shall delete one of the certificates, and show that again,
using a certificate without a valid certification path results in the selected
action in the SFR.
FCS_PBKDF_EXT.1 Password Conditioning
The inclusion of this selection-based component depends upon selection in
FCS_STO_EXT.1.1.
A password/passphrase shall perform [assignment:
Password-based Key Derivation Functions]
in accordance with a specified cryptographic algorithm as specified in FCS_COP.1/KeyedHash, with [assignment:
positive
integer of 1,000 or more] iterations, and output cryptographic key sizes [selection: 128, 256]
that meet the following [NISTSP 800-132].
The TSF shall generate salts using a RBG that meets FCS_RBG_EXT.1 and with entropy corresponding
to the security strength selected for PBKDF in FCS_PBKDF_EXT.1.
Conditioning can be performed using one of the identified hash functions or the process described
in NISTSP 800-132; the method used is selected by the ST Author. SP 800-132 requires the use of a pseudorandom
function (PRF) consisting of HMAC with an approved hash function. The ST author selects the hash function used,
including the appropriate requirements for HMAC and the hash function.
Appendix A of SP 800-132 recommends setting the iteration count in order to increase the computation needed to derive a
key from a password and, therefore, increase the workload of performing a password recovery attack. A significantly higher
value is recommended to ensure optimal security. This value is expected to increase to a minimum of 10,000 in a future
iteration based on SP 800-63.
Support for PBKDF: The evaluator shall examine the password hierarchy TSS to ensure that
the formation of all password based derived keys is described and that the key sizes match that
described by the ST author.
The evaluator shall check that the TSS describes the method by which the password/passphrase is first encoded and then fed to
the SHA algorithm. The settings for the algorithm (padding, blocking, etc.) shall be described, and the evaluator shall verify
that these are supported by the selections in this component as well as the selections concerning the hash function itself.
The evaluator shall verify that the TSS contains a description of how the output of the hash function is used to form the
submask that will be input into the function. For the NISTSP 800-132-based conditioning of the password/passphrase, the required evaluation activities will be performed when
doing the evaluation activities for the appropriate requirements (FCS_COP.1.1/KeyedHash). No explicit testing of the formation of the submask from the input password is required. FCS_PBKDF_EXT.1: The ST author shall provide a description in the TSS regarding the salt generation.
The evaluator shall confirm that the salt is generated using an RBG described in FCS_RBG_EXT.1.
Guidance
The evaluator shall confirm the guidance documentation contains any information necesary for configuring
the password conditioning if any configuration is supported.
The application shall perform all deterministic random bit generation (DRBG)
services in accordance with NIST Special Publication 800-90A using [selection: Hash_DRBG (any), HMAC_DRBG (any), CTR_DRBG (AES)].
Application
Note:
This requirement shall be included in STs in which
"implement DRBG functionality" is chosen in FCS_RBG_EXT.1.1.
The ST author should select the standard to which the RBG services comply (either SP 800-90A or FIPS
140-2 Annex C).
SP 800-90A 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 (if SP 800-90A
is selected), and include the specific underlying cryptographic primitives used in the
requirement or in the TSS. 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.
The deterministic RBG shall be seeded by an entropy source that accumulates
entropy from a platform-based DRBG and [selection:
a software-based noise source
a hardware-based noise source
no other noise source
]
with a minimum of [selection, choose one of:
128 bits
256 bits
]
of entropy at least equal to the greatest security strength (according
to NISTSP 800-57) of the keys and hashes that it will generate.
Application
Note:
This requirement shall be included in STs in which
"implement DRBG functionality" is selected in FCS_RBG_EXT.1.1. For the first
selection in this requirement, the ST author selects "software-based noise source" if
any additional noise sources are used as input to the application's DRBG. Note that
the application must use the platform's DRBG to seed its DRBG.
In the second selection in this requirement, the ST author selects the
appropriate number of bits of entropy that corresponds to the greatest security
strength of the algorithms included in the ST. Security strength is defined in Tables
2 and 3 of NISTSP 800-57A. For example, if the implementation includes 2048-bit RSA
(security strength of 112 bits) and AES 256 (security strength 256 bits),
then the ST author would select 256 bits.
The reference for the tests contained in this section is The Random Number Generator
Validation System (RNGVS). The evaluators shall conduct the following two tests. Note
that the "expected values" are produced by a reference implementation of the algorithm
that is known to be correct. Proof of correctness is left to each Scheme.
Test FCS_RBG_EXT.2.1:1:
The evaluators shall perform a Variable Seed Test. The evaluators shall
provide a set of 128 (Seed, DT) pairs to the TSFRBG function,
each 128 bits. The evaluators shall also provide a key (of the length appropriate
to the AES algorithm) that is constant for all 128 (Seed, DT) pairs. The DT value
is incremented by 1 for each set. The seed values shall have no repeats within
the set. The evaluators ensure that the values returned by the
TSF match the expected values.
Test FCS_RBG_EXT.2.1:2:
The evaluators shall perform a Monte Carlo Test. For this test, they supply
an initial Seed and DT value to the TSFRBG function; each of
these is 128 bits. The evaluators shall also provide a key (of the length
appropriate to the AES algorithm) that is constant throughout the test. The
evaluators then invoke the TSFRBG 10,000 times, with the DT
value being incremented by 1 on each iteration, and the new seed for the
subsequent iteration produced as specified in NIST-Recommended Random Number
Generator Based on ANSI X9.31 Appendix A.2.4 Using the 3-Key Triple DES and AES
Algorithms, Section E.3. The evaluators ensure that the 10,000th value produced
matches the expected value.
Implementations Conforming to NIST Special Publication 800-90A
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 operational guidance 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. The operation to “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 NISTSP 800-90A).
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
less then or equal to 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 supported, 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.
Additional input: The additional input bit lengths have the same defaults
and restrictions as the personalization string lengths.
The evaluator shall verify the guidance documentation contains any information necessary for configuring the noise sources or size outputs
if any configuration is supported.
Tests
In the future, specific statistical testing (in line with NISTSP 800-90B) will
be required to verify the entropy estimates.
B.2 Identification and Authentication (FIA)
FIA_X509_EXT.1 X.509 Certificate Validation
The inclusion of this selection-based component depends upon selection in
FTP_DIT_EXT.1.1.
The application shall
[selection, choose one of: invoke platform-provided functionality, implement functionality]
to 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 application 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, and that any path constraints are met.
The application shall validate that any CA certificate includes caSigning purpose in the key
usage field
The application shall validate the revocation status of the certificate using
[selection: OCSP as specified in RFC 6960, CRL as specified in RFC 5280 Section 6.3, CRL as specified in RFC 8603, an OCSPTLS Status Request Extension (OCSP stapling) as specified in RFC 6066, OCSPTLS Multi-Certificate Status Request Extension (i.e., OCSP Multi-Stapling) as specified in RFC 6961].
The application shall validate the extendedKeyUsage (EKU) field according to the
following rules:
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.
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 EKU field.
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 EKU field.
S/MIME certificates presented for email encryption and signature shall have the
Email Protection purpose (id-kp 4 with OID 1.3.6.1.5.5.7.3.4) in the EKU field.
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 EKU field.
Server certificates presented for EST shall have the CMC Registration Authority
(RA) purpose (id-kp-cmcRA with OID 1.3.6.1.5.5.7.3.28) in the EKU field.
Application
Note:
FIA_X509_EXT.1.1 lists the rules for validating certificates. The ST author shall select whether
revocation status is verified using OCSP or CRLs. FIA_X509_EXT.2 requires that certificates are
used for HTTPS, TLS, and DTLS; this use requires that the extendedKeyUsage rules are verified. If OCSP is not supported the EKU provision for checking the OCSP Signing purpose is met by
default.
This requirement is included if the protocol(s) selected in FTP_DIT_EXT.1.1 require the use of
certificates. If the TOE implements TLS as an HTTPS/TLS server with no mutual authentication,
this requirement is not applicable.
OCSP stapling and OCSP multi-stapling only support TLS server certificate validation. If other
certificate types are validated, either OCSP or CRL should be claimed.
Regardless of the selection of "invoke platform-provided
functionality" or "implement functionality," the validation is expected to end in a trusted root CA certificate in a root
store managed by the platform.
The application shall treat a certificate as a CA certificate only if the
basicConstraints extension is present and the CA flag is set to TRUE.
Application
Note:
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.
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 tests described must be performed in conjunction with the other certificate services evaluation
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. If the application supports chains of
length four or greater, the evaluator shall create a chain of at least four certificates:
the node certificate to be tested, two Intermediate CAs, and the self-signed Root CA. If
the application supports a maximum trust depth of two, then a chain with no Intermediate
CA should instead be created.
Test FIA_X509_EXT.1.1:1:
The evaluator shall demonstrate that validating a certificate without a valid certification path results in the function
failing, for each of the following reasons, in turn:
by establishing a certificate path in which one of the issuing certificates is not a CA certificate,
by omitting the basicConstraints field in one of the issuing certificates,
by setting the basicConstraints field in an issuing certificate to have CA=False,
by omitting the CA signing bit of the key usage field in an issuing certificate, and
by setting the path length field of a valid CA field to a value strictly less than the certificate path.
The evaluator shall then establish a valid certificate path consisting of valid CA certificates, and demonstrate that the
function succeeds. The evaluator shall then remove trust in one of the CA certificates, and show that the function fails.
Test FIA_X509_EXT.1.1:2:
The evaluator shall demonstrate that validating an expired certificate results in the function failing.
Test FIA_X509_EXT.1.1:3:
The evaluator shall test that the TOE can properly handle revoked certificates, conditional on whether
CRL, OCSP, OCSP Stapling, or OCSP Multi-stapling is selected; if multiple methods are selected, then
the following tests shall be performed for each method:
The evaluator shall test revocation of the node certificate.
The evaluator shall also test revocation of an intermediate CA certificate (i.e. the intermediate
CA certificate should be revoked by the root CA), if intermediate CA certificates are supported. If OCSP stapling per RFC 6066 is the only supported revocation method, this test is omitted.
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.
If any OCSP option is selected, the evaluator shall
configure the TSF to reject certificates if it cannot access valid status information, if so configurable. The evaluator shall then ensure that the TSF has no other source of revocation information available and
configure the OCSP server or use a man-in-the-middle tool to present an OCSP response signed
by a certificate that does not have the OCSP signing purpose and which is the only source of revocation status information
advertised by the CA issuing the certificate being validated. The evaluator shall verify that
validation of the OCSP response fails and that the TOE treats the certificate being checked as invalid
and rejects the connection.
If CRL is selected, the evaluator shall likewise configure the CA to be the only source of revocation status information,
and sign a CRL with a certificate that does not have the cRLsign key usage bit set. The evaluator shall verify that validation of the CRL fails and that the TOE treats the certificate being checked as invalid
and rejects the connection.
Note: The intent of this test is to ensure a TSF does not trust invalid revocation status information. A TSF
receiving invalid revocation status information from the only advertised certificate status provider should
treat the certificate whose status is being checked as invalid. This should generally be treated differently
from the case where the TSF is not able to establish a connection to check revocation status information,
but it is acceptable that the TSF ignore any invalid information and attempt to find another source of
revocation status (another advertised provider, a locally configured provider, or cached information), and
treat this situation as not having a connection to a valid certificate status provider.
Test FIA_X509_EXT.1.1:5:
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.)
Test FIA_X509_EXT.1.1:6:
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.)
Test FIA_X509_EXT.1.1:7:
The evaluator shall modify any byte in the public key of the certificate and demonstrate that the
certificate fails to validate. (The signature on the certificate will not validate.)
Test FIA_X509_EXT.1.1:8:
(Conditional on support for EC certificates as indicated in FCS_COP.1/Sig). The evaluator shall establish a valid,
trusted certificate chain consisting of an EC leaf certificate, an EC Intermediate CA certificate not
designated as a trust anchor, and an EC certificate designated as a trusted anchor, where the elliptic
curve parameters are specified as a named curve. The evaluator shall confirm that the TOE validates
the certificate chain.
Test FIA_X509_EXT.1.1:9:
(Conditional on support for EC certificates as indicated in FCS_COP.1/Sig). The evaluator shall replace
the intermediate certificate in the certificate chain for Test 9 with a modified certificate, where
the modified intermediate CA has a public key information field where the EC parameters uses an
explicit format version of the Elliptic Curve parameters in the public key information field of the
intermediate CA certificate from Test 9, and the modified Intermediate CA certificate is signed by
the trusted EC root CA, but having no other changes. The evaluator shall confirm the TOE treats the
certificate as invalid.
The tests described must be performed in conjunction with the other certificate
services evaluation activities, including the functions in FIA_X509_EXT.2.1. If the application supports chains of length four or greater,
the evaluator shall create a chain of at least four certificates: the
node certificate to be tested, two Intermediate CAs, and the self-signed Root CA. If the application supports a maximum trust depth of two, then a chain with
no Intermediate CA should instead be created.
Test FIA_X509_EXT.1.2:1:
The evaluator shall ensure that the certificate of at least one of the CAs in the chain does not contain the
basicConstraints extension. The evaluator shall confirm that validation of the certificate path
fails (i) as part of the validation of the peer certificate belonging to this chain; and/or
(ii) when attempting to add the CA certificate without the basicConstraints extension to the TOE's trust store.
Test FIA_X509_EXT.1.2:2:
The evaluator shall ensure that the certificate of at least one of the CAs in the chain has the CA flag in the
basicConstraints extension not set (or set to FALSE). The evaluator shall confirm that validation of the certificate
path fails (i) as part of the validation of the peer certificate belonging to this chain; and/or (ii) when attempting
to add the CA certificate with the CA flag not set (or set to FALSE) in the basicConstraints extension to the TOE's trust store.
FIA_X509_EXT.2 X.509 Certificate Authentication
The inclusion of this selection-based component depends upon selection in
FTP_DIT_EXT.1.1.
The application shall use X.509v3 certificates as defined by RFC 5280 to support authentication for
[selection: HTTPS, TLS, DTLS, SSH, IPsec].
Application
Note:
This requirement is included if the protocol(s) selected in FTP_DIT_EXT.1.1 require the use of certificates
to authenticate the remote entity. For example, if the TOE or platform implements TLS as an HTTPS/TLS server
with no mutual authentication, X509 authentication is not claimed for TLS. If the TOE or platform operates
as a TLS client, X509 authentication must be claimed.
When the application cannot establish a connection to determine the validity of a
certificate, the application shall
[selection, choose one of: allow the administrator to choose whether to accept the certificate in these cases, accept the certificate, not accept the certificate].
Application
Note:
Often a connection must be established to perform a verification of the revocation
status of a certificate - either to download a CRL or to perform 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 the certificate valid according to all other rules in FIA_X509_EXT.1,
the behavior indicated in the selection shall determine the validity. The
TOE must not accept the certificate if it fails any of the other
validation rules in FIA_X509_EXT.1.
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
behavior 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 operational guidance contains instructions on how
this configuration action is performed.
The evaluator shall perform the following test for each trusted channel:
Test FIA_X509_EXT.2:1:
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.2.2 is performed. If the selected action is
administrator-configurable, then the evaluator shall follow the operational
guidance to determine that all supported administrator-configurable options behave
in their documented manner.
Test FIA_X509_EXT.2:2:
The evaluator shall demonstrate that an invalid certificate that requires
certificate validation checking to be performed in at least some part by
communicating with a non-TOE IT entity cannot be accepted.
B.3 Protection of the TSF (FPT)
FPT_TUD_EXT.2 Integrity for Installation and Update
The inclusion of this selection-based component depends upon selection in
FPT_TUD_EXT.1.5.
The application shall be packaged such that its removal results in the deletion
of all traces of the application, with the exception of configuration settings, output
files, and audit/log events.
Application
Note:
Applications software bundled with the system/firmware image
are not subject to this requirement if the user is unable to remove the application through
means provided by the OS.
The application installation package shall be digitally signed such that its platform can
cryptographically verify them prior to installation.
Application
Note:
The specifics of the verification of installation packages involves
requirements on the platform (and not the application), so these are not fully specified here.
The evaluator shall verify the TSS contains a description of how the application
is distributed and verify that description aligns with the selections in the ST.
If a container image is claimed, the evaluator shall verify that application updates are distributed as container images. If the format of the platform-supported package manager is claimed,
the evaluator shall verify that application updates are distributed in the
format supported by the platform. This varies per platform:
The evaluator shall ensure that the application is
packaged in the standard Windows Installer (. MSI) format, the Windows Application
Software (.EXE) format signed using the Microsoft Authenticode process, or the
Windows Universal Application package (. APPX) format. See
https://msdn.microsoft.com/en-us/library/ms537364(v=vs.85).aspx for details
regarding Authenticode signing.
The evaluator shall ensure that the application is
packaged in the format of the package management infrastructure of the chosen
distribution. For example, applications running on Red Hat and Red Hat derivatives
shall be packaged in RPM format. Applications running on Debian and Debian
derivatives shall be packaged in DEB format.
The evaluator shall consider the requirement met because
the platform forces applications to write all data within the application working
directory (sandbox).
The evaluator shall consider the requirement met because
the platform forces applications to write all data within the application working
directory (sandbox).
For all other platforms, the evaluator shall record the path of every file on the entire filesystem prior to installation of the
application, and then install and run the application. Afterward, the evaluator shall uninstall the application,
and compare the resulting filesystem to the initial record to verify that no files, other than configuration, output,
and audit or log files, have been added to the filesystem.
The evaluator shall verify that the TSS identifies how the application installation package
is signed by an authorized source. The definition of an authorized source must be contained
in the TSS.
FPT_AEX_EXT Anti-Exploitation Capabilities FPT_API_EXT Use of Supported Services and APIs FPT_IDV_EXT Software Identification and Versions FPT_LIB_EXT TSF Use of Third Party Libraries FPT_TUD_EXT Trusted Updates
Security Management (FMT)
FMT_CFG_EXT Secure by Default Configuration FMT_MEC_EXT Supported Configuration Mechanism
This PP defines the following extended components as part of the
FCS class originally defined by CC Part 2:
C.2.1.1 FCS_CKM_EXT Cryptographic Key Management
Family Behavior
This family defines requirements for management of cryptographic keys that are not addressed by FCS_CKM in CC Part 2.
Component Leveling
FCS_CKM_EXT.1,
Cryptographic Key Generation Services,
requires the TSF to specify whether asymmetric key generation is implemented by the TSF,
invoked from the operational environment, or not used by the TOE.
This family defines requirements for implementation of the HTTPS protocol.
Component Leveling
FCS_HTTPS_EXT.1,
HTTPS Protocol,
defines the capability of the TOE to implement HTTPS.
FCS_HTTPS_EXT.2,
HTTPS Protocol with Mutual Authentication,
defines HTTPS capabilities relating specifically to the case where the TOE acts as an HTTPS server
that enforces mutual authentication.
The application shall
[selection: not establish the connection, establish or not establish the connection based on an administrative or user setting]
if the peer certificate is deemed invalid.
C.2.1.3 FCS_RBG_EXT Random Bit Generation
Family Behavior
This family defines requirements for the generation of random bits.
Component Leveling
FCS_RBG_EXT.1,
Random Bit Generation Services,
requires the TSF to specify whether random bit generation is implemented by the TSF,
invoked from the operational environment, or not used by the TOE.
FCS_RBG_EXT.2,
Random Bit Generation from Application,
specifies the mechanism by which the TSF generates random bits.
FCS_COP.1 Cryptographic Operation FCS_RBG_EXT.1 Random Bit Generation Services
FCS_RBG_EXT.2.1
The application shall perform all deterministic random bit generation (DRBG)
services in accordance with NIST Special Publication 800-90A using [selection: Hash_DRBG (any), HMAC_DRBG (any), CTR_DRBG (AES)].
FCS_RBG_EXT.2.2
The deterministic RBG shall be seeded by an entropy source that accumulates
entropy from a platform-based DRBG and [selection:
a software-based noise source
a hardware-based noise source
no other noise source
]
with a minimum of [selection, choose one of:
128 bits
256 bits
]
of entropy at least equal to the greatest security strength (according
to NISTSP 800-57) of the keys and hashes that it will generate.
C.2.1.4 FCS_PBKDF_EXT Password Conditioning
Family Behavior
This family defines requirements for implementation of password-based key derivation functions.
Component Leveling
FCS_PBKDF_EXT.1,
Password Conditioning,
defines the capability of the TOE to implement PBKDF2 for key derivation.
FCS_COP.1 Cryptographic Operation FCS_RBG_EXT.1 Random Bit Generation Services
FCS_PBKDF_EXT.1.1
A password/passphrase shall perform [assignment:
Password-based Key Derivation Functions]
in accordance with a specified cryptographic algorithm as specified in FCS_COP.1, with [assignment:
positive
integer of 1,000 or more] iterations, and output cryptographic key sizes [selection: 128, 256]
that meet the following [assignment:
applicable standard].
FCS_PBKDF_EXT.1.2
The TSF shall generate salts using a RBG that meets FCS_RBG_EXT.1 and with entropy corresponding
to the security strength selected for PBKDF in FCS_PBKDF_EXT.1.
C.2.1.5 FCS_STO_EXT Storage of Credentials
Family Behavior
This family defines requirements for the secure storage of credential data.
Component Leveling
FCS_STO_EXT.1,
Storage of Credentials,
requires the application to define how to store credentials to non-volatile memory.
This PP defines the following extended components as part of the
FIA class originally defined by CC Part 2:
C.2.2.1 FIA_X509_EXT X.509 Validation of Certificates
Family Behavior
This family defines requirements for the management and use of X.509 certificates.
Component Leveling
FIA_X509_EXT.1,
X.509 Certificate Validation,
specifies the rules the TSF must follow to determine if an X.509 certificate is valid.
FIA_X509_EXT.2,
X.509 Certificate Authentication,
defines the TOE’s usage of X.509 certificates and how it reacts to certificates that cannot be validated.
The application shall
[selection, choose one of: invoke platform-provided functionality, implement functionality]
to 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 application 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, and that any path constraints are met.
The application shall validate that any CA certificate includes caSigning purpose in the key
usage field
The application shall validate the revocation status of the certificate using
[selection: OCSP as specified in RFC 6960, CRL as specified in RFC 5280 Section 6.3, CRL as specified in RFC 8603, an OCSPTLS Status Request Extension (OCSP stapling) as specified in RFC 6066, OCSPTLS Multi-Certificate Status Request Extension (i.e., OCSP Multi-Stapling) as specified in RFC 6961].
The application shall validate the extendedKeyUsage (EKU) field according to the
following rules:
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.
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 EKU field.
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 EKU field.
S/MIME certificates presented for email encryption and signature shall have the
Email Protection purpose (id-kp 4 with OID 1.3.6.1.5.5.7.3.4) in the EKU field.
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 EKU field.
Server certificates presented for EST shall have the CMC Registration Authority
(RA) purpose (id-kp-cmcRA with OID 1.3.6.1.5.5.7.3.28) in the EKU field.
FIA_X509_EXT.1.2
The application shall treat a certificate as a CA certificate only if the
basicConstraints extension is present and the CA flag is set to TRUE.
Management: FIA_X509_EXT.2
The following action could be considered for the management functions in FMT:
Configuration of TSF behavior in the event that certificate revocation status cannot be verified.
The application shall use X.509v3 certificates as defined by RFC 5280 to support authentication for
[assignment:
trusted channel or trusted path communications protocol].
FIA_X509_EXT.2.2
When the application cannot establish a connection to determine the validity of a
certificate, the application shall
[selection, choose one of: allow the administrator to choose whether to accept the certificate in these cases, accept the certificate, not accept the certificate].
C.2.3 Privacy (FPR)
This PP defines the following extended components as part of the
FPR class originally defined by CC Part 2:
C.2.3.1 FPR_ANO_EXT User Consent for Transmission of Personally Identifiable Information
Family Behavior
This family defines requirements for anonymity that are not covered by the Part 2 family FPR_ANO.
Component Leveling
FPR_ANO_EXT.1,
User Consent for Transmission of Personally Identifiable Information,
requires the TSF to transmit personally identifiable information only with explicit approval.
Management: FPR_ANO_EXT.1
The following action could be considered for the management functions in FMT:
Enabling and disabling the transmission of any PII.
The application
[selection, choose one of: shall use platform-provided libraries, does not implement functionality]
for parsing [assignment:
list of formats parsed that are included in the
IANAMIME media types].
C.2.4.3 FPT_IDV_EXT Software Identification and Versions
Family Behavior
This family defines requirements for how the TOE version is identified.
Component Leveling
FPT_IDV_EXT.1,
Software Identification and Versions,
requires the TSF to specify the versioning mechanism used.
The application shall be versioned with
[selection: SWID tags
that comply with minimum requirements from ISO/IEC 19770-2:2015, [assignment:
other version information]].
C.2.4.4 FPT_LIB_EXT TSF Use of Third Party Libraries
Family Behavior
This family defines requirements for identification of any third-party libraries used by the TOE.
Component Leveling
FPT_LIB_EXT.1,
Use of Third Party Libraries,
requires the TOE to identify the third party libraries that it uses.
The application shall be distributed using
[selection: the format of the platform-supported package manager, a container image].
FPT_TUD_EXT.2.2
The application shall be packaged such that its removal results in the deletion
of all traces of the application, with the exception of configuration settings, output
files, and audit/log events.
FPT_TUD_EXT.2.3
The application installation package shall be digitally signed such that its platform can
cryptographically verify them prior to installation.
C.2.5 Security Management (FMT)
This PP defines the following extended components as part of the
FMT class originally defined by CC Part 2:
C.2.5.1 FMT_CFG_EXT Secure by Default Configuration
Family Behavior
This family defines requirements for authorization to manage the behavior of the application.
Component Leveling
FMT_CFG_EXT.1,
Secure by Default Configuration,
requires the application to define how to set new credentials
and protect the application from modification by unprivileged users.
The application shall provide only enough functionality to set new credentials when
configured with default credentials or no credentials.
FMT_CFG_EXT.1.2
The application shall be configured by default with file permissions which protect
the application binaries and data files from modification by normal unprivileged users.
This family defines requirements for the TOE’s use of mechanisms for the storage of configuration data.
Component Leveling
FMT_MEC_EXT.1,
Supported Configuration Mechanism,
requires the application to store configuration data either through the use of an appropriate environmental mechanism
or through its own file encryption capability.
The application shall [selection: invoke the mechanisms recommended by the platform vendor for storing and setting configuration options, implement functionality to encrypt and store configuration options as defined by FDP_PRT_EXT.1 in the PP-Module for File Encryption].
C.2.6 Trusted Path/Channel (FTP)
This PP defines the following extended components as part of the
FTP class originally defined by CC Part 2:
C.2.6.1 FTP_DIT_EXT Protection of Data in Transit
Family Behavior
This family defines requirements for protecting data in transit.
Component Leveling
FTP_DIT_EXT.1,
Protection of Data in Transit,
requires the TSF to specify what data is transmitted outside the TOE over a trusted channel,
what protocol is used for data transmission, and whether the TSF implements
this protocol or invokes an environmental interface to do so.
This appendix describes the required supplementary information for the entropy
source used by the TOE.
The documentation of the entropy source should be detailed enough that, after
reading, the evaluator will thoroughly understand the entropy source and why
it can be relied upon to provide sufficient entropy. This documentation should
include multiple detailed sections: design description, entropy justification,
operating conditions, and health testing. This documentation is not required to
be part of the TSS.
D.1 Design Description
Documentation shall include the design of the entropy source as a whole,
including the interaction of all entropy source components. Any information
that can be shared regarding the design should also be included for any
third-party entropy sources that are included in the product.
The documentation will describe the operation of the entropy source to
include, how entropy is produced, and how unprocessed (raw) data can be
obtained from within the entropy source for testing purposes. The documentation
should walk through the entropy source design indicating where the entropy
comes from, where the entropy output is passed next, any post-processing
of the raw outputs (hash, XOR, etc.), if/where it is stored, and finally,
how it is output from the entropy source. Any conditions placed on the
process (e.g., blocking) should also be described in the entropy source
design. Diagrams and examples are encouraged.
This design must also include a description of the content of the
security boundary of the entropy source and a description of how
the security boundary ensures that an adversary outside the boundary
cannot affect the entropy rate.
If implemented, the design description shall include a description
of how third-party applications can add entropy to the RBG. A
description of any RBG state saving between power-off and
power-on shall be included.
D.2 Entropy Justification
There should be a technical argument for where the unpredictability in
the source comes from and why there is confidence in the entropy source
delivering sufficient entropy for the uses made of the RBG output
(by this particular TOE). This argument will include a description of
the expected min-entropy rate (i.e. the minimum entropy (in bits) per
bit or byte of source data) and explain that sufficient entropy is
going into the TOE randomizer seeding process. This discussion will
be part of a justification for why the entropy source can be relied
upon to produce bits with entropy.
The amount of information necessary to justify the expected
min-entropy rate depends on the type of entropy source included in the
product.
For developer provided entropy sources, in order to justify the
min-entropy rate, it is expected that a large number of raw source
bits will be collected, statistical tests will be performed, and the
min-entropy rate determined from the statistical tests. While no
particular statistical tests are required at this time, it is expected
that some testing is necessary in order to determine the amount of
min-entropy in each output.
For third party provided entropy sources, in which the TOE vendor
has limited access to the design and raw entropy data of the source, the
documentation will indicate an estimate of the amount of min-entropy
obtained from this third-party source. It is acceptable for the vendor
to “assume” an amount of min-entropy, however, this assumption must be
clearly stated in the documentation provided. In particular, the
min-entropy estimate must be specified and the assumption included
in the ST.
Regardless of type of entropy source, the justification will also
include how the DRBG is initialized with the entropy stated in the ST,
for example by verifying that the min-entropy rate is multiplied by the
amount of source data used to seed the DRBG or that the rate of entropy
expected based on the amount of source data is explicitly stated and
compared to the statistical rate. If the amount of source data used to
seed the DRBG is not clear or the calculated rate is not explicitly
related to the seed, the documentation will not be considered complete.
The entropy justification shall not include any data added from
any third-party application or from any state saving between restarts.
D.3 Operating Conditions
The entropy rate may be affected by conditions outside the control
of the entropy source itself. For example, voltage, frequency,
temperature, and elapsed time after power-on are just a few of the
factors that may affect the operation of the entropy source. As such, documentation will also include the range of operating conditions
under which the entropy source is expected to generate random data. It will clearly describe the measures that have been taken in the
system design to ensure the entropy source continues to operate
under those conditions. Similarly, documentation shall describe
the conditions under which the entropy source is known to malfunction
or become inconsistent. Methods used to detect failure or degradation
of the source shall be included.
D.4 Health Testing
More specifically, all entropy source health tests and their rationale
will be documented. This will include a description of the health tests,
the rate and conditions under which each health test is performed
(e.g., at startup, continuously, or on-demand), the expected results
for each health test, and rationale indicating why each test is
believed to be appropriate for detecting one or more failures in the
entropy source.
Appendix E - Application Software Equivalency Guidelines
E.1 Introduction
The purpose of equivalence in PP-based evaluations is to find a balance between evaluation rigor and commercial practicability—to
ensure that evaluations meet customer expectations while recognizing that there is little to be gained from requiring that every
variation in a product or platform be fully tested. If a product is found to be compliant with a PP on one platform, then all
equivalent products on equivalent platforms are also considered to be compliant with the PP.
A Vendor can make a claim of equivalence if the Vendor believes that a particular instance of their Product implements PP-specified
security functionality in a way equivalent to the implementation of the same functionality on another instance of their Product on
which the functionality was tested. The Product instances can differ in version number or feature level (model), or the instances may
run on different platforms. Equivalency can be used to reduce the testing required across claimed evaluated configurations. It can
also be used during Assurance Maintenance to reduce testing needed to add more evaluated configurations to a certification.
These equivalency guidelines do not replace Assurance Maintenance requirements or NIAP Policy #5 requirements for CAVP certificates.
Nor may equivalency be used to leverage evaluations with expired certifications.
These Equivalency Guidelines represent a shift from complete testing of all product instances to more of a risk-based approach.
Rather than require that every combination of product and platform be tested, these guidelines support an approach that recognizes
that products are being used in a variety of environments—and often in cloud environments over where the vendor (and sometimes the
customer) have little or no control over the underlying hardware. Developers should be responsible for the security functionality of
their applications on the platforms they are developed for—whether that is an operating system, a virtual machine, or a software-based
execution environment such as a container. But those platforms may themselves run within other environments—virtual machines or
operating systems—that completely abstract away the underlying hardware from the application. The developer should not be held
accountable for security functionality that is implemented by platform layers that are abstracted away. The implication is that
not all security functionality will necessarily be tested for all platform layers down to the hardware for all evaluated
configurations—especially for applications developed for software-based execution environments such as containers. For these cases,
the balancing of evaluation rigor and commercial practicability tips in favor of practicability. Note that this does not affect
the requirement that at least one product instance be fully tested on at least one platform with cryptography mapped to a CAVP
certificate.
Equivalency has two aspects:
Product Equivalence: Products may be considered equivalent if there are no
differences between Product Models and Product Versions with respect to PP-specified security functionality.
Platform Equivalence: Platforms may be considered equivalent if there are no
significant differences in the services they provide to the Product—or in the way the platforms
provide those services—with respect to PP-specified security functionality.
The equivalency determination is made in accordance with these guidelines by the Validator and Scheme using information provided by the Evaluator/Vendor.
E.2 Approach to Equivalency Analysis
There are two scenarios for performing equivalency analysis. One is when a product has been certified and the vendor
wants to show that a later product should be considered certified due to equivalence with the earlier product. The
other is when multiple product variants are going though evaluation together and the vendor would like to reduce
the amount of testing that must be done. The basic rules for determining equivalence are the same in both cases.
But there is one additional consideration that applies to equivalence with previously certified products. That is,
the product with which equivalence is being claimed must have a valid certification in accordance with scheme rules
and the Assurance Maintenance process must be followed. If a product’s certification has expired, then equivalence
cannot be claimed with that product.
When performing equivalency analysis, the Evaluator/Vendor should first use the factors and guidelines for Product
Model equivalence to determine the set of Product Models to be evaluated. In general, Product Models that do not differ
in PP-specified security functionality are considered equivalent for purposes of evaluation against the AppPP.
If multiple revision levels of Product Models are to be evaluated—or to determine whether a revision of an evaluated
product needs re-evaluation—the Evaluator/Vendor and Validator should use the factors and guidelines for Product
Version equivalence to analyze whether Product Versions are equivalent.
Having determined the set of Product Models and Versions to be evaluated, the next step is to determine the set of
Platforms that the Products must be tested on.
Each non-equivalent Product for which compliance is claimed must be fully tested on each non-equivalent platform
for which compliance is claimed. For non-equivalent Products on equivalent platforms, only the differences that
affect PP-specified security functionality must be tested for each product.
“Differences in PP-Specified Security Functionality” Defined
If PP-specified security functionality is implemented by the TOE, then differences in the actual implementation
between versions or product models break equivalence for that feature. Likewise, if the TOE implements the
functionality in one version or model and the functionality is implemented by the platform in another version
or model, then equivalence is broken. If the functionality is implemented by the platform in multiple models or
versions on equivalent platforms, then the functionality is considered different if the product invokes the platform
differently to perform the function.
E.3 Specific Guidance for Determining Product Model Equivalence
Product Model equivalence attempts to determine whether different feature levels of the same product across
a product line are equivalent for purposes of PP testing. For example, if a product has a “basic” edition and an “enterprise”
edition, is it necessary to test both models? Or does testing one model provide sufficient assurance that both models
are compliant?
Product models are considered equivalent if there are no differences that affect PP-specified security
functionality—as indicated in Table 1.
If the differences between Models affect only non-PP-specified functionality, then the Models are equivalent.
Different
If PP-specified security functionality is affected by the differences between Models,
then the Models are not equivalent and must be tested separately. It is necessary only to test the functionality
affected by the software differences. If only differences are tested, then the differences must be enumerated,
and for each difference the Vendor must provide an explanation of why each difference does or does not affect
PP-specified functionality. If the Product Models are separately tested fully, then there is no need to document the differences.
E.4 Specific Guidance for Determining Product Version Equivalence
In cases of version equivalence, differences are expressed in terms of changes implemented in revisions
of an evaluated Product. In general, versions are equivalent if the changes have no effect on any
security-relevant claims about the TOE or assurance evidence. Non-security-relevant changes to TOE
functionality or the addition of non-security-relevant functionality does not affect equivalence.
Factor
Same/Different
Guidance
Product Models
Different
Versions of different Product Models are not equivalent unless the Models are equivalent as defined in Section 3.
If the differences affect only non-PP-specified functionality, then the Versions are equivalent.
Different
If PP-specified security functionality is affected by the differences, then the
Versions are not considered equivalent and must be tested separately. It is necessary only to test
the functionality affected by the changes. If only the differences are tested, then for each
difference the Vendor must provide an explanation of why the difference does or does not affect
PP-specified functionality. If the Product Versions are separately tested fully, then there is
no need to document the differences.
Table 2. Factors for Determining Product Version Equivalence
E.5 Specific Guidance for Determining Platform Equivalence
Platform equivalence is used to determine the platforms that equivalent versions of a Product must be tested on.
Platform equivalence analysis done for one software application cannot be applied to another software application. Platform equivalence is not general—it is with respect to a particular application.
Product Equivalency analysis must already have been done and Products have been determined to be equivalent.
The platform can be hardware or virtual hardware, an operating system or similar entity, or a software execution
environment such as a container. For purposes of determining equivalence for software applications, we address each
type of platform separately. In general, platform equivalence is based on differences in the interfaces between the
TOE and Platform that are relevant to the implementation of PP-specified security functionality.
If an application runs directly on hardware without an operating system—or directly on virtualized
hardware without an operating system—then platform equivalence is based on processor architecture and
instruction sets. In the case of virtualized hardware, it is the virtualized processor and architecture
that are presented to the application that matters—not the physical hardware.
Platforms with different processor architectures and instruction sets are not equivalent. This is not
likely to be an issue for equivalency analysis for applications since there is likely to be a different
version of the application for different hardware environments. Equivalency analysis becomes important when comparing processors with the same architecture. Processors
with the same architecture that have instruction sets that are subsets or supersets of each other are not
disqualified from being equivalent for purposes of an App evaluation. If the application takes the same
code paths when executing PP-specified security functionality on different processors of the same family,
then the processors can be considered equivalent with respect to that application. For example, if an application follows one code path on platforms that support the AES-NI instruction
and another on platforms that do not, then those two platforms are not equivalent with respect to that
application functionality. But if the application follows the same code path whether or not the platform
supports AES-NI, then the platforms are equivalent with respect to that functionality.
The platforms are equivalent with respect to the application if the platforms are equivalent with respect to all PP-specified
security functionality.
Factor
Same/Different/None
Guidance
Platform Architectures
Different
Platforms that present different processor architectures and instruction sets to the application are not equivalent.
For platforms with the same processor architecture, the platforms are equivalent with
respect to the application if execution of all PP-specified security functionality follows the same code path on both platforms.
Table 3. Factors for Determining Hardware/Virtual Hardware Platform Equivalence
E.5.2 Platform Equivalence—OS Platforms
For traditional applications that are built for and run on operating systems, platform equivalence is
determined by the interfaces between the application and the operating system that are relevant to PP-specified
security functionality. Generally, these are the processor interface, device interfaces, and OS APIs. The following
factors applied in order:
Factor
Same/Different/None
Guidance
Platform Architectures
Different
Platforms that run on different processor architectures and instruction sets are not equivalent.
Platform Vendors
Different
Platforms from different vendors are not equivalent.
Platform Versions
Different
Platforms from the same vendor with different major version numbers are not equivalent.
Platform Interfaces
Different
Platforms from the same vendor and major version are not equivalent if there are
differences in device interfaces and OS APIs that are relevant to the way the platform provides PP-specified
security functionality to the application.
Platform Interfaces
Same
Platforms from the same vendor and major version are equivalent if there are
no differences in device interfaces and OS APIs that are relevant to the way the platform
provides PP-specified security functionality to the application, or if the Platform does
not provide such functionality to the application.
Table 4. Factors for Determining OS/VS Platform Equivalence
If an Application is built for and runs in a non-OS software-based execution environment, such as a Container or
Java Runtime, then the below criteria must be used to determine platform equivalence. The key point is that the
underlying hardware (virtual or physical) and OS is not relevant to platform equivalence. This allows applications
to be tested and run on software-based execution environments on any hardware—as in cloud deployments.
Factor
Same/Different/None
Guidance
Platform Type/Vendor
Different
Software-based execution environments that are substantially different or come
from different vendors are not equivalent. For example, a Java virtual machine is not the same as a
container. A Docker container is not the same as a CoreOS container.
Platform Versions
Different
Execution environments that are otherwise equivalent are not equivalent if they have
different major version numbers.
All other things being equal, execution environments are equivalent if there is no
significant difference in the interfaces through which the environments provide PP-specified security
functionality to applications.
Table 5. Factors for Software-based Execution Environment Platform Equivalence
E.6 Level of Specificity for Tested Configurations and Claimed Equivalent Configurations
In order to make equivalency determinations, the vendor and evaluator must agree on the equivalency claims. They must
then provide the scheme with sufficient information about the TOE instances and platforms that were evaluated, and the
TOE instances and platforms that are claimed to be equivalent.
The ST must describe all configurations evaluated down to processor manufacturer, model number, and microarchitecture version.
The information regarding claimed equivalent configurations depends on the platform that the application was developed for and runs on.
Bare-Metal Applications
For applications that run without an operating system on bare-metal or virtual bare-metal, the claimed configuration must
describe the platform down to the specific processor manufacturer, model number, and microarchitecture version. The Vendor
must describe the differences in the TOE with respect to PP-specified security functionality and how the TOE functions
differently to leverage platform differences (e.g., instruction set extensions) in the tested configuration versus the
claimed equivalent configuration.
Traditional Applications
For applications that run with an operating system as their immediate platform, the claimed configuration must describe
the platform down to the specific operating system version. If the platform is a virtualization system, then the claimed
configuration must describe the platform down to the specific virtualization system version. The Vendor must describe the
differences in the TOE with respect to PP-specified security functionality and how the TOE functions differently to leverage
platform differences in the tested configuration versus the claimed equivalent configuration. Relevant platform differences
could include instruction sets, device interfaces, and OS APIs invoked by the TOE to implement PP-specified security
functionality.
Software-Based Execution Environments
For applications that run in a software-based execution environment such as a Java virtual machine or a Container, then
the claimed configuration must describe the platform down to the specific version of the software execution environment.
The Vendor must describe the differences in the TOE with respect to PP-specified security functionality and how the TOE
functions differently to leverage platform differences in the tested configuration versus the claimed equivalent
configuration.