Protection Profile for Virtualization

Version: 1.1.1
2021-08-19
National Information Assurance Partnership

Revision History

Contents

1 Introduction

1.1 Overview

1.3 Compliant Targets of Evaluation

1.3.1 TOE Boundary

Figure 1: Virtualization System and Platform

1.3.2 Requirements Met by the Platform

1.3.3 Scope of Certification

1.3.4 Product and Platform Equivalence

1.4 Use Cases

2 Conformance Claims

Conformance Statement

A Security Target must claim exact conformance to this Protection Profile, as defined in the CC and CEM addenda for Exact Conformance, Selection-Based SFRs, and Optional SFRs (dated May 2017).

The following PPs and PP-Modules are allowed to be specified in a PP-Configuration with this PP-Module with this PP.

• PP-Module for Client Virtualization Systems, Version 1.1
• PP-Module for Server Virtualization Systems, Version 1.1

CC Conformance Claims

This PP is conformant to Parts 2 (extended) and 3 (extended) of Common Criteria Version 3.1, Release 5 [CC].

PP Claims

This PP does not claim conformance to any other PP.

Package Claims

This PP is Functional Package for TLS-conformant. This PP is Functional Package for Secure Shell-conformant.

3 Security Problem Description

3.1 Threats

T.DATA_LEAKAGE

It is a fundamental property of VMs that the domains encapsulated by different VMs remain separate unless data sharing is permitted by policy. For this reason, all Virtualization Systems shall support a policy that prohibits information transfer between VMs.

It shall be possible to configure VMs such that data cannot be moved between domains from VM to VM, or through virtual or physical network components under the control of the VS. When VMs are configured as such, it shall not be possible for data to leak between domains, neither by the express efforts of software or users of a VM, nor because of vulnerabilities or errors in the implementation of the VMM or other VS components.

If it is possible for data to leak between domains when prohibited by policy, then an adversary on one domain or network can obtain data from another domain. Such cross-domain data leakage can, for example, cause classified information, corporate proprietary information, or personally identifiable information to be made accessible to unauthorized entities.

T.UNAUTHORIZED_UPDATE

It is common for attackers to target outdated versions of software containing known flaws. This means it is extremely important to update VS software as soon as possible when updates are available. But the source of the updates and the updates themselves must be trusted. If an attacker can write their own update containing malicious code they can take control of the VS.

T.UNAUTHORIZED_MODIFICATION

System integrity is a core security objective for Virtualization Systems. To achieve system integrity, the integrity of each VMM component must be established and maintained. Malware running on the platform must not be able to undetectably modify VS components while the system is running or at rest. Likewise, malicious code running within a virtual machine must not be able to modify Virtualization System components.

T.USER_ERROR

If a Virtualization System is capable of simultaneously displaying VMs of different domains to the same user at the same time, there is always the chance that the user will become confused and unintentionally leak information between domains. This is especially likely if VMs belonging to different domains are indistinguishable. Malicious code may also attempt to interfere with the user’s ability to distinguish between domains. The VS must take measures to minimize the likelihood of such confusion.

T.3P_SOFTWARE

In some VS implementations, functions critical to the security of the TOE are by necessity performed by software not produced by the virtualization vendor. Such software may include physical device drivers, and even non-TOE entities such as Host Operating Systems. Since this software has the same or similar privilege level as the VS, vulnerabilities can be exploited by an adversary to compromise the VS and VMs. Where possible, the VS should mitigate the results of potential vulnerabilities or malicious content in third-party code on which it relies. For example, physical device drivers (potentially the Host OS) could be encapsulated within VMs in order to limit the effects of compromise.

T.VMM_COMPROMISE

The VS is designed to provide the appearance of exclusivity to the VMs and is designed to separate or isolate their functions except where specifically shared. Failure of security mechanisms could lead to unauthorized intrusion into or modification of the VMM, or bypass of the VMM altogether, by non-TOE software, such as that running in Guest or Helper VMs or on the host platform. This must be prevented to avoid compromising the VS.

T.PLATFORM_COMPROMISE

The VS must be capable of protecting the platform from threats that originate within VMs and operational networks connected to the VS. The hosting of untrusted—even malicious—domains by the VS cannot be permitted to compromise the security and integrity of the platform on which the VS executes. If an attacker can access the underlying platform in a manner not controlled by the VMM, the attacker might be able to modify system firmware or software—compromising both the VS and the underlying platform.

T.UNAUTHORIZED_ACCESS

Functions performed by the management layer include VM configuration, virtualized network configuration, allocation of physical resources, and reporting. Only certain authorized system users (administrators) are allowed to exercise management functions or obtain sensitive information from the TOE.

Virtualization Systems are often managed remotely over communication networks. Members of these networks can be both geographically and logically separated from each other, and pass through a variety of other systems which may be under the control of an adversary, and offer the opportunity for communications to be compromised. An adversary with access to an open management network could inject commands into the management infrastructure or extract sensitive information. This would provide an adversary with administrator privilege on the platform, and administrative control over the VMs and virtual network connections. The adversary could also gain access to the management network by hijacking the management network channel.

T.WEAK_CRYPTO

To the extent that VMs appear isolated within the VS, a threat of weak cryptography may arise if the VMM does not provide good entropy to support security-related features that depend on entropy to implement cryptographic algorithms. For example, a random number generator keeps an estimate of the number of bits of noise in the entropy pool. From this entropy pool random numbers are created. Good random numbers are essential to implementing strong cryptography. Cryptography implemented using poor random numbers can be defeated by a sophisticated adversary. Such defeat can result in the compromise of Guest VM data and credentials, and of VS data and credentials, and can enable unauthorized access to the VS or VMs.

T.UNPATCHED_SOFTWARE

Vulnerabilities in outdated or unpatched software can be exploited by adversaries to compromise the VS or platform.

T.MISCONFIGURATION

The VS may be misconfigured, which could impact its functioning and security. This misconfiguration could be due to an administrative error or the use of faulty configuration data.

T.DENIAL_OF_SERVICE

A VM may block others from system resources (e.g., system memory, persistent storage, and processing time) via a resource exhaustion attack.

3.2 Assumptions

A.PLATFORM_INTEGRITY

The platform has not been compromised prior to installation of the VS.

A.PHYSICAL

Physical security commensurate with the value of the TOE and the data it contains is assumed to be provided by the environment.

A.TRUSTED_ADMIN

TOE Administrators are trusted to follow and apply all administrator guidance.

A.NON_MALICIOUS_USER

The user of the VS is not willfully negligent or hostile, and uses the VS in compliance with the applied enterprise security policy and guidance. At the same time, malicious applications could act as the user, so requirements which confine malicious applications are still in scope.

3.3 Organizational Security Policies

4 Security Objectives

4.1 Security Objectives for the TOE

O.VM_ISOLATION

VMs are the fundamental subject of the system. The VMM is responsible for applying the system security policy (SSP) to the VM and all resources. As basic functionality, the VMM must support a security policy that mandates no information transfer between VMs.

The VMM must support the necessary mechanisms to isolate the resources of all VMs. The VMM partitions a platform's physical resources for use by the supported virtual environments. Depending on customer requirements, a VM may need a completely isolated environment with exclusive access to system resources or share some of its resources with other VMs. It must be possible to enforce a security policy that prohibits the transfer of data between VMs through shared devices. When the platform security policy allows the sharing of resources across VM boundaries, the VMM must ensure that all access to those resources is consistent with the policy. The VMM may delegate the responsibility for the mediation of resource sharing to select Service VMs; however in doing so, it remains responsible for mediating access to the Service VMs, and each Service VM must mediate all access to any shared resource that has been delegated to it in accordance with the SSP.

Both virtual and physical devices are resources requiring access control. The VMM must enforce access control in accordance with system security policy. Physical devices are platform devices with access mediated via the VMM per the O.VMM_Integrity objective. Virtual devices may include virtual storage devices and virtual network devices. Some of the access control restrictions must be enforced internal to Service VMs, as may be the case for isolating virtual networks. VMMs may also expose purely virtual interfaces. These are VMM specific, and while they are not analogous to a physical device, they are also subject to access control.

The VMM must support the mechanisms to isolate all resources associated with virtual networks and to limit a VM's access to only those virtual networks for which it has been configured. The VMM must also support the mechanisms to control the configurations of virtual networks according to the SSP.

O.VMM_INTEGRITY

Integrity is a core security objective for Virtualization Systems. To achieve system integrity, the integrity of each VMM component must be established and maintained. This objective concerns only the integrity of the VS—not the integrity of software running inside of Guest VMs or of the physical platform. The overall objective is to ensure the integrity of critical components of a VS.

Initial integrity of a VS can be established through mechanisms such as a digitally signed installation or update package, or through integrity measurements made at launch. Integrity is maintained in a running system by careful protection of the VMM from untrusted users and software. For example, it must not be possible for software running within a Guest VM to exploit a vulnerability in a device or hypercall interface and gain control of the VMM. The vendor must release patches for vulnerabilities as soon as practicable after discovery.

O.PLATFORM_INTEGRITY

The integrity of the VMM depends on the integrity of the hardware and software on which the VMM relies. Although the VS does not have complete control over the integrity of the platform, the VS should as much as possible try to ensure that no users or software hosted by the VS can undermine the integrity of the platform.

O.DOMAIN_INTEGRITY

While the VS is not responsible for the contents or correct functioning of software that runs within Guest VMs, it is responsible for ensuring that the correct functioning of the software within a Guest VM is not interfered with by other VMs.

O.MANAGEMENT_ACCESS

VMM management functions include VM configuration, virtualized network configuration, allocation of physical resources, and reporting. Only authorized users (administrators) may exercise management functions.

Because of the privileges exercised by the VMM management functions, it must not be possible for the VMM’s management components to be compromised without administrator notification. This means that unauthorized users cannot be permitted access to the management functions, and the management components must not be interfered with by Guest VMs or unprivileged users on other networks—including operational networks connected to the TOE.

VMMs include a set of management functions that collectively allow administrators to configure and manage the VMM, as well as configure Guest VMs. These management functions are specific to the VS and are distinct from any other management functions that might exist for the internal management of any given Guest VM. These VMM management functions are privileged, with the security of the entire system relying on their proper use. The VMM management functions can be classified into different categories and the policy for their use and the impact to security may vary accordingly.

The management functions are distributed throughout the VMM (within the VMM and Service VMs). The VMM must support the necessary mechanisms to enable the control of all management functions according to the system security policy. When a management function is distributed among multiple Service VMs, the VMs must be protected using the security mechanisms of the Hypervisor and any Service VMs involved to ensure that the intent of the system security policy is not compromised. Additionally, since hypercalls permit Guest VMs to invoke the Hypervisor, and often allow the passing of data to the Hypervisor, it is important that the hypercall interface is well-guarded and that all parameters be validated.

The VMM maintains configuration data for every VM on the system. This configuration data, whether of Service or Guest VMs, must be protected. The mechanisms used to establish, modify and verify configuration data are part of the VS management functions and must be protected as such. The proper internal configuration of Service VMs that provide critical security functions can also greatly impact VS security. These configurations must also be protected. Internal configuration of Guest VMs should not impact overall VS security. The overall goal is to ensure that the VMM, including the environments internal to Service VMs, is properly configured and that all Guest VM configurations are maintained consistent with the system security policy throughout their lifecycle.

Virtualization Systems are often managed remotely. For example, an administrator can remotely update virtualization software, start and shut down VMs, and manage virtualized network connections. If a console is required, it could be run on a separate machine or it could itself run in a VM. When performing remote management, an administrator must communicate with a privileged management agent over a network. Communications with the management infrastructure must be protected from Guest VMs and operational networks.

O.PATCHED_SOFTWARE

The VS must be updated and patched when needed in order to prevent the potential compromise of the VMM, as well as the networks and VMs that it hosts. Identifying and applying needed updates must be a normal part of the operating procedure to ensure that patches are applied in a timely and thorough manner. In order to facilitate this, the VS must support standards and protocols that help enhance the manageability of the VS as an IT product, enabling it to be integrated as part of a manageable network (e.g., reporting current patch level and patchability).

O.VM_ENTROPY

VMs must have access to good entropy sources to support security-related features that implement cryptographic algorithms. For example, in order to function as members of operational networks, VMs must be able to communicate securely with other network entities—whether virtual or physical. They must therefore have access to sources of good entropy to support that secure communication.

O.AUDIT

An audit log must be created that captures accesses to the objects the TOE protects. The log of these accesses, or audit events, must be protected from modification, unauthorized access, and destruction. The audit log must be sufficiently detailed to indicate the date and time of the event, the identify of the user, the type of event, and the success or failure of the event.

O.CORRECTLY_APPLIED_CONFIGURATION

The TOE must not apply configurations that violate the current security policy.

The TOE must correctly apply configurations and policies to a newly created Guest VM, as well as to existing Guest VMs when applicable configuration or policy changes are made. All changes to configuration and to policy must conform to the existing security policy. Similarly, changes made to the configuration of the TOE itself must not violate the existing security policy.

O.RESOURCE_ALLOCATION

The TOE will provide mechanisms that enforce constraints on the allocation of system resources in accordance with existing security policy.

4.2 Security Objectives for the Operational Environment

OE.CONFIG

TOE administrators will configure the VS correctly to create the intended security policy.

OE.PHYSICAL

Physical security, commensurate with the value of the TOE and the data it contains, is provided by the environment.

OE.TRUSTED_ADMIN

TOE Administrators are trusted to follow and apply all administrator guidance in a trusted manner.

OE.NON_MALICIOUS_USER

Users are trusted to not be willfully negligent or hostile and use the VS in compliance with the applied enterprise security policy and guidance.

4.3 Security Objectives Rationale

5 Security Requirements

• Refinement operation (denoted by bold text or strikethrough text): Is used to add details to a requirement (including replacing an assignment with a more restrictive selection) 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."

5.1 Security Functional Requirements

5.1.1 Auditable Events for Mandatory SFRs

5.1.2 Security Audit (FAU)

5.1.3 Cryptographic Support (FCS)

                                    # 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]
                                

5.1.4 User Data Protection (FDP)

5.1.5 Identification and Authentication (FIA)

5.1.6 Security Management (FMT)

5.1.7 Protection of the TSF (FPT)

5.1.8 TOE Access Banner (FTA)

5.1.9 Trusted Path/Channel (FTP)

5.1.10 TOE Security Functional Requirements Rationale

The following rationale provides justification for each security objective for the TOE, showing that the SFRs are suitable to meet and achieve the security objectives:

5.2 Security Assurance Requirements

5.2.1 Class ASE: Security Target Evaluation

5.2.2 Class ADV: Development

5.2.3 Class AGD: Guidance Documents

• instructions to successfully install the TOE in that environment; and
• instructions to manage the security of the TOE as a product and as a component of the larger operational environment.

5.2.4 Class ALC: Life-Cycle Support

5.2.5 Class ATE: Tests

5.2.6 Class AVA: Vulnerability Assessment

Appendix A - Optional Requirements

A.1 Strictly Optional Requirements

A.1.1 Auditable Events for Strictly Optional Requirements

A.1.2 Security Audit (FAU)

A.1.3 Protection of the TSF (FPT)

A.2 Objective Requirements

A.2.1 Auditable Events for Objective Requirements

A.2.2 Protection of the TSF (FPT)

A.3 Implementation-based Requirements

This PP does not define any Implementation-based requirements.

Appendix B - Selection-based Requirements

B.1 Auditable Events for Selection-based Requirements

B.2 Cryptographic Support (FCS)

FCS_IPSEC_EXT.1 IPsec Protocol

The inclusion of this selection-based component depends upon selection in FIA_X509_EXT.2.1, FTP_ITC_EXT.1.1.

FCS_IPSEC_EXT.1.1

The TSF shall implement the IPsec architecture as specified in RFC 4301.

Application Note: This SFR is included in the ST if the ST Author selected "IPsec" in FTP_ITC_EXT.1.1.

RFC 4301 calls for an IPsec implementation to protect IP traffic through the use of a Security Policy Database (SPD). The SPD is used to define how IP packets are to be handled: PROTECT the packet (e.g., encrypt the packet), BYPASS the IPsec services (e.g., no encryption), or DISCARD the packet (e.g., drop the packet). The SPD can be implemented in various ways, including router access control lists, firewall rule-sets, a "traditional" SPD, etc. Regardless of the implementation details, there is a notion of a "rule" that a packet is "matched" against and a resulting action that takes place.

While there must be a means to order the rules, a general approach to ordering is not mandated, as long as the TOE can distinguish the IP packets and apply the rules accordingly. There may be multiple SPDs (one for each network interface), but this is not required.

FCS_IPSEC_EXT.1.2

The TSF shall implement [selection: transport mode, tunnel mode ].

Application Note: If the TOE is used to connect to a VPN gateway for the purposes of establishing a secure connection to a private network, the ST author shall select tunnel mode. If the TOE uses IPsec to establish an end-to-end connection to another IPsec VPN Client, the ST author shall select transport mode. If the TOE uses IPsec to establish a connection to a specific endpoint device for the purpose of secure remote administration, the ST author shall select transport mode.

FCS_IPSEC_EXT.1.3

The TSF shall have a nominal, final entry in the SPD that matches anything that is otherwise unmatched, and discards it.

FCS_IPSEC_EXT.1.4

The TSF shall implement the IPsec protocol ESP as defined by RFC 4303 using the cryptographic algorithms [AES-GCM-128, AES-GCM-256 (as specified in RFC 4106), [selection: AES-CBC-128 (specified in RFC 3602), AES-CBC-256 (specified in RFC 3602), no other algorithms ]] together with a Secure Hash Algorithm (SHA)-based HMAC.

FCS_IPSEC_EXT.1.5

The TSF shall implement the protocol:

[selection:

• IKEv1, using Main Mode for Phase 1 exchanges, as defined in RFC 2407, RFC 2408, RFC 2409, RFC 4109, [selection: no other RFCs for extended sequence numbers, RFC 4304 for extended sequence numbers ], [selection: no other RFCs for hash functions, RFC 4868 for hash functions ], and [selection, choose one of: support for XAUTH, no support for XAUTH ]
• IKEv2 as defined in RFC 7296 (with mandatory support for NAT traversal as specified in section 2.23), RFC 8784, RFC 8247, and [selection: no other RFCs for hash functions, RFC 4868 for hash functions ].

]

Application Note: If the TOE implements SHA-2 hash algorithms for IKEv1 or IKEv2, the ST author shall select RFC 4868.

FCS_IPSEC_EXT.1.6

The TSF shall ensure the encrypted payload in the [selection: IKEv1, IKEv2 ] protocol uses the cryptographic algorithms AES-CBC-128, AES-CBC-256 as specified in RFC 6379 and [selection: AES-GCM-128 as specified in RFC 5282, AES-GCM-256 as specified in RFC 5282, no other algorithm ].

FCS_IPSEC_EXT.1.7

The TSF shall ensure that [selection:

• IKEv2 SA lifetimes can be configured by [selection: an Administrator, a VPN Gateway ] based on [selection: number of packets/number of bytes, length of time ]
• IKEv1 SA lifetimes can be configured by [selection: an Administrator, a VPN Gateway ] based on [selection: number of packets/number of bytes, length of time ]
• IKEv1 SA lifetimes are fixed based on [selection: number of packets/number of bytes, length of time ]. If length of time is used, it must include at least one option that is 24 hours or less for Phase 1 SAs and 8 hours or less for Phase 2 SAs.

]

Application Note: The ST author is afforded a selection based on the version of IKE in their implementation. There is a further selection within this selection that allows the ST author to specify which entity is responsible for “configuring” the life of the SA. An implementation that allows an administrator to configure the client or a VPN gateway that pushes the SA lifetime down to the client are both acceptable.

As far as SA lifetimes are concerned, the TOE can limit the lifetime based on the number of bytes transmitted, or the number of packets transmitted. Either packet-based or volume-based SA lifetimes are acceptable; the ST author makes the appropriate selection to indicate which type of lifetime limits are supported.

The ST author chooses either the IKEv1 requirements or IKEv2 requirements (or both, depending on the selection in FCS_IPSEC_EXT.1.5. The IKEv1 requirement can be accomplished either by providing Authorized Administrator-configurable lifetimes (with appropriate instructions in documents mandated by AGD_OPE), or by “hard coding” the limits in the implementation. For IKEv2, there are no hard-coded limits, but in this case it is required that an administrator be able to configure the values. In general, instructions for setting the parameters of the implementation, including lifetime of the SAs, should be included in the operational guidance generated for AGD_OPE. It is appropriate to refine the requirement in terms of number of MB/KB instead of number of packets, as long as the TOE is capable of setting a limit on the amount of traffic that is protected by the same key (the total volume of all IPsec traffic protected by that key).

FCS_IPSEC_EXT.1.8

The TSF shall ensure that all IKE protocols implement DH groups [19 (256-bit Random ECP), 20 (384-bit Random ECP), and [selection: 24 (2048-bit MODP with 256-bit POS), 15 (3072-bit MODP), 14 (2048-bit MODP), no other DH groups ]].

Application Note: The selection is used to specify additional DH groups supported. This applies to IKEv1 and IKEv2 exchanges. It should be noted that if any additional DH groups are specified, they must comply with the requirements (in terms of the ephemeral keys that are established) listed in FCS_CKM.1.

Since the implementation may allow different Diffie-Hellman groups to be negotiated for use in forming the SAs, the assignments in FCS_IPSEC_EXT.1.9 and FCS_IPSEC_EXT.1.10 may contain multiple values. For each DH group supported, the ST author consults Table 2 in 800-57 to determine the “bits of security” associated with the DH group. Each unique value is then used to fill in the assignment (for 1.9 they are doubled; for 1.10 they are inserted directly into the assignment). For example, suppose the implementation supports DH group 14 (2048-bit MODP) and group 20 (ECDH using NIST curve P-384). From Table 2, the bits of security value for group 14 is 112, and for group 20 it is 192. For FCS_IPSEC_EXT.1.9, then, the assignment would read “[224, 384]” and for FCS_IPSEC_EXT.1.10 it would read “[112, 192]” (although in this case the requirement should probably be refined so that it makes sense mathematically).

FCS_IPSEC_EXT.1.9

The TSF shall generate the secret value x used in the IKE Diffie-Hellman key exchange (“x” in gx mod p) using the random bit generator specified in FCS_RBG_EXT.1, and having a length of at least [assignment: (one or more) number of bits that is at least twice the “bits of security” value associated with the negotiated Diffie-Hellman group as listed in Table 2 of NIST SP 800-57, Recommendation for Key Management – Part 1: General] bits.

FCS_IPSEC_EXT.1.10

The TSF shall generate nonces used in IKE exchanges in a manner such that the probability that a specific nonce value will be repeated during the life a specific IPsec SA is less than 1 in 2^[assignment: (one or more) “bits of security” value associated with the negotiated Diffie-Hellman group as listed in Table 2 of NIST SP 800-57, Recommendation for Key Management – Part 1: General].

FCS_IPSEC_EXT.1.11

The TSF shall ensure that all IKE protocols perform peer authentication using a [selection: RSA, ECDSA ] that use X.509v3 certificates that conform to RFC 4945 and [selection: Pre-shared Keys, no other method ].

Application Note: At least one public-key-based Peer Authentication method is required in order to conform to this PP-Module; one or more of the public key schemes is chosen by the ST author to reflect what is implemented. The ST author also ensures that appropriate FCS requirements reflecting the algorithms used (and key generation capabilities, if provided) are listed to support those methods. Note that the TSS will elaborate on the way in which these algorithms are to be used (for example, 2409 specifies three authentication methods using public keys; each one supported will be described in the TSS).

If “pre-shared keys” is selected, the selection-based requirement FIA_PSK_EXT.1 must be claimed.

FCS_IPSEC_EXT.1.12

The TSF shall not establish an SA if the [ [selection: IP address, Fully Qualified Domain Name (FQDN), user FQDN, Distinguished Name (DN) ] and [selection: no other reference identifier type, [assignment: other supported reference identifier types] ]] contained in a certificate does not match the expected values for the entity attempting to establish a connection.

Application Note: The TOE must support at least one of the following identifier types: IP address, Fully Qualified Domain Name (FQDN), user FQDN, or Distinguished Name (DN). In the future, the TOE will be required to support all of these identifier types. The TOE is expected to support as many IP address formats (IPv4 and IPv6) as IP versions supported by the TOE in general. The ST author may assign additional supported identifier types in the second selection.

FCS_IPSEC_EXT.1.13

The TSF shall not establish an SA if the presented identifier does not match the configured reference identifier of the peer.

Application Note: At this time, only the comparison between the presented identifier in the peer’s certificate and the peer’s reference identifier is mandated by the testing below. However, in the future, this requirement will address two aspects of the peer certificate validation: 1) comparison of the peer’s ID payload to the peer’s certificate which are both presented identifiers, as required by RFC 4945 and 2) verification that the peer identified by the ID payload and the certificate is the peer expected by the TOE (per the reference identifier). At that time, the TOE will be required to demonstrate both aspects (i.e. that the TOE enforces that the peer’s ID payload matches the peer’s certificate which both match configured peer reference identifiers).

Excluding the DN identifier type (which is necessarily the Subject DN in the peer certificate), the TOE may support the identifier in either the Common Name or Subject Alternative Name (SAN) or both. If both are supported, the preferred logic is to compare the reference identifier to a presented SAN, and only if the peer’s certificate does not contain a SAN, to fall back to a comparison against the Common Name. In the future, the TOE will be required to compare the reference identifier to the presented identifier in the SAN only, ignoring the Common Name.

The configuration of the peer reference identifier is addressed by FMT_SMF.1.1/VPN.

FCS_IPSEC_EXT.1.14

The [selection: TSF, VPN Gateway ] shall be able to ensure by default that the strength of the symmetric algorithm (in terms of the number of bits in the key) negotiated to protect the [selection: IKEv1 Phase 1, IKEv2 IKE_SA ] connection is greater than or equal to the strength of the symmetric algorithm (in terms of the number of bits in the key) negotiated to protect the [selection: IKEv1 Phase 2, IKEv2 CHILD_SA] connection.

Application Note: If this functionality is configurable, the TSF may be configured by a VPN Gateway or by an Administrator of the TOE itself.

The ST author chooses either or both of the IKE selections based on what is implemented by the TOE. Obviously, the IKE versions chosen should be consistent not only in this element, but with other choices for other elements in this component. While it is acceptable for this capability to be configurable, the default configuration in the evaluated configuration (either "out of the box" or by configuration guidance in the AGD documentation) must enable this functionality.

Evaluation Activities

FCS_IPSEC_EXT.1

TSS

In addition to the TSS EAs for the individual FCS_IPSEC_EXT.1 elements below, the evaluator shall perform the following:

If the TOE boundary includes a general-purpose operating system or mobile device, the evaluator shall examine the TSS to ensure that it describes whether the VPN client capability is architecturally integrated with the platform itself or whether it is a separate executable that is bundled with the platform.

Guidance

In addition to the Operational Guidance EAs for the individual FCS_IPSEC_EXT.1 elements below, the evaluator shall perform the following:

If the configuration of the IPsec behavior is from an environmental source, most notably a VPN gateway (e.g through receipt of required connection parameters from a VPN gateway), the evaluator shall ensure that the operational guidance contains any appropriate information for ensuring that this configuration can be properly applied.

Note in this case that the implementation of the IPsec protocol must be enforced entirely within the TOE boundary; i.e. it is not permissible for a software application TOE to be a graphical front-end for IPsec functionality implemented totally or in part by the underlying OS platform. The behavior referenced here is for the possibility that the configuration of the IPsec connection is initiated from outside the TOE, which is permissible so long as the TSF is solely responsible for enforcing the configured behavior. However, it is allowable for the TSF to rely on low-level platform-provided networking functions to implement the SPD from the client (e.g., enforcement of packet routing decisions).

Tests

As a prerequisite for performing the Test EAs for the individual FCS_IPSEC_EXT.1 elements below, the evaluator shall do the following:

The evaluator shall minimally create a test environment equivalent to the test environment illustrated below. The traffic generator used to construct network packets should provide the evaluator with the ability manipulate fields in the ICMP, IPv4, IPv6, UDP, and TCP packet headers. The evaluator shall provide justification for any differences in the test environment.

Figure 2: IPsec Test Environment

Note that the evaluator shall perform all tests using the Virtualization System and a representative sample of platforms listed in the ST (for TOEs that claim to support multiple platforms).

FCS_IPSEC_EXT.1.1

TSS

The evaluator shall examine the TSS and determine that it describes how the IPsec capabilities are implemented.

The evaluator shall ensure that the TSS describes at a high level the architectural relationship between the IPsec implementation and the rest of the TOE (e.g., is the IPsec implementation an integrated part of the VS or is it a standalone executable that is bundled into the VS).

The evaluator shall ensure that the TSS describes how the SPD is implemented and the rules for processing both inbound and outbound packets in terms of the IPsec policy. The TSS describes the rules that are available and the resulting actions available after matching a rule. The TSS describes how the available rules and actions form the SPD using terms defined in RFC 4301 such as BYPASS (e.g., no encryption), DISCARD (e.g., drop the packet), and PROTECT (e.g., encrypt the packet) actions defined in RFC 4301.

As noted in section 4.4.1 of RFC 4301, the processing of entries in the SPD is non-trivial and the evaluator shall determine that the description in the TSS is sufficient to determine which rules will be applied given the rule structure implemented by the TOE. For example, if the TOE allows specification of ranges, conditional rules, etc., the evaluator shall determine that the description of rule processing (for both inbound and outbound packets) is sufficient to determine the action that will be applied, especially in the case where two different rules may apply. This description shall cover both the initial packets (that is, no SA is established on the interface or for that particular packet) as well as packets that are part of an established SA.

Guidance

The evaluator shall examine the operational guidance to verify it instructs the Administrator how to construct entries into the SPD that specify a rule for processing a packet. The description includes all three cases – a rule that ensures packets are encrypted/decrypted, dropped, and flow through the TOE without being encrypted. The evaluator shall determine that the description in the operational guidance is consistent with the description in the TSS, and that the level of detail in the operational guidance is sufficient to allow the administrator to set up the SPD in an unambiguous fashion. This includes a discussion of how ordering of rules impacts the processing of an IP packet.

Tests

The evaluator uses the operational guidance to configure the TOE to carry out the following tests:

• Test 41: The evaluator shall configure the SPD such that there is a rule for dropping a packet, encrypting a packet, and allowing a packet to flow in plaintext. The selectors used in the construction of the rule shall be different such that the evaluator can generate a packet and send packets to the gateway with the appropriate fields (fields that are used by the rule - e.g., the IP addresses, TCP/UDP ports) in the packet header. The evaluator performs both positive and negative test cases for each type of rule (e.g., a packet that matches the rule and another that does not match the rule). The evaluator observes via the audit trail, and packet captures that the TOE exhibited the expected behavior: appropriate packets were dropped, allowed to flow without modification, encrypted by the IPsec implementation.
• Test 42: The evaluator shall devise several tests that cover a variety of scenarios for packet processing. As with Test 1, the evaluator ensures both positive and negative test cases are constructed. These scenarios shall exercise the range of possibilities for SPD entries and processing modes as outlined in the TSS and operational guidance. Potential areas to cover include rules with overlapping ranges and conflicting entries, inbound and outbound packets, and packets that establish SAs as well as packets that belong to established SAs. The evaluator shall verify, via the audit trail and packet captures, for each scenario that the expected behavior is exhibited, and is consistent with both the TSS and the operational guidance.

FCS_IPSEC_EXT.1.2

TSS

The evaluator checks the TSS to ensure it states that an IPsec VPN can be established to operate in tunnel mode or transport mode (as selected).

Guidance

The evaluator shall confirm that the operational guidance contains instructions on how to configure the connection in each mode selected.

If both transport mode and tunnel mode are implemented, the evaluator shall review the operational guidance to determine how the use of a given mode is specified.

Tests

The evaluator shall perform the following tests based on the selections chosen:

• Test 43: (conditional): If tunnel mode is selected, the evaluator uses the operational guidance to configure the TOE/platform to operate in tunnel mode and also configures a VPN peer to operate in tunnel mode. The evaluator configures the TOE/platform and the VPN peer to use any of the allowable cryptographic algorithms, authentication methods, etc. to ensure an allowable SA can be negotiated. The evaluator shall then initiate a connection from the TOE/Platform to the VPN peer. The evaluator observes (for example, in the audit trail and the captured packets) that a successful connection was established using the tunnel mode.
• Test 44: (conditional): If transport mode is selected, the evaluator uses the operational guidance to configure the TOE/platform to operate in transport mode and also configures a VPN peer to operate in transport mode. The evaluator configures the TOE/platform and the VPN peer to use any of the allowed cryptographic algorithms, authentication methods, etc. to ensure an allowable SA can be negotiated. The evaluator then initiates a connection from the TOE/platform to connect to the VPN peer. The evaluator observes (for example, in the audit trail and the captured packets) that a successful connection was established using the transport mode.

FCS_IPSEC_EXT.1.3

TSS

If both transport mode and tunnel mode are implemented, the evaluator shall review the operational guidance to determine how the use of a given mode is specified.

Guidance

The evaluator shall check that the operational guidance provides instructions on how to construct or acquire the SPD and uses the guidance to configure the TOE for the following test.

Tests

The evaluator shall perform the following test:

• Test 45: The evaluator shall configure the SPD such that it has entries that contain operations that DISCARD, PROTECT, and (if applicable) BYPASS network packets. The evaluator may use the SPD that was created for verification of FCS_IPSEC_EXT.1.1. The evaluator shall construct a network packet that matches a BYPASS entry and send that packet. The evaluator should observe that the network packet is passed to the proper destination interface with no modification. The evaluator shall then modify a field in the packet header; such that it no longer matches the evaluator-created entries (there may be a “TOE-created” final entry that discards packets that do not match any previous entries). The evaluator sends the packet, and observes that the packet was not permitted to flow to any of the TOE’s interfaces.

FCS_IPSEC_EXT.1.4

TSS

The evaluator shall examine the TSS to verify that the algorithms AES-GCM-128 and AES-GCM-256 are implemented. If the "ST" author has selected either AES-CBC-128 or AES-CBC-256 in the requirement, then the evaluator verifies the TSS describes these as well. In addition, the evaluator ensures that the SHA-based HMAC algorithm conforms to the algorithms specified in FCS_COP.1/KeyedHash Cryptographic Operations (Keyed Hash Algorithms).

Guidance

The evaluator checks the operational guidance to ensure it provides instructions on how the TOE is configured to use the algorithms selected in this component and whether this is performed through direct configuration, defined during initial installation, or defined by acquiring configuration settings from an environmental component.

Tests

• Test 46: The evaluator shall configure the TOE/platform as indicated in the operational guidance configuring the TOE/platform to use each of the supported algorithms, attempt to establish a connection using ESP, and verify that the attempt succeeds.

FCS_IPSEC_EXT.1.5

TSS

The evaluator shall examine the TSS to verify that IKEv1 or IKEv2 (as selected) are implemented. If IKEv1 is implemented, the evaluator shall verify that the TSS indicates whether or not XAUTH is supported, and that aggressive mode is not used for IKEv1 Phase 1 exchanges (i.e. only main mode is used). It may be that these are configurable options.

Guidance

The evaluator shall check the operational guidance to ensure it instructs the administrator how to configure the TOE to use IKEv1 or IKEv2 (as selected), and uses the guidance to configure the TOE to perform NAT traversal for the test below. If XAUTH is implemented, the evaluator shall verify that the operational guidance provides instructions on how it is enabled or disabled.

If the TOE supports IKEv1, the evaluator shall verify that the operational guidance either asserts that only main mode is used for Phase 1 exchanges, or provides instructions for disabling aggressive mode.

Tests

Tests are performed in conjunction with the other IPsec evaluation activities with the exception of the activities below:

• Test 47: The evaluator shall configure the TOE so that it will perform NAT traversal processing as described in the TSS and RFC 7296, section 2.23. The evaluator shall initiate an IPsec connection and determine that the NAT is successfully traversed. If the TOE supports IKEv1 with or without XAUTH, the evaluator shall verify that this test can be successfully repeated with XAUTH enabled and disabled in the manner specified by the operational guidance. If the TOE only supports IKEv1 with XAUTH, the evaluator shall verify that connections not using XAUTH are unsuccessful. If the TOE only supports IKEv1 without XAUTH, the evaluator shall verify that connections using XAUTH are unsuccessful.
• Test 48: (conditional) If the TOE supports IKEv1, the evaluator shall perform any applicable operational guidance steps to disable the use of aggressive mode and then attempt to establish a connection using an IKEv1 Phase 1 connection in aggressive mode. This attempt should fail. The evaluator shall show that the TOE will reject a VPN gateway from initiating an IKEv1 Phase 1 connection in aggressive mode. The evaluator should then show that main mode exchanges are supported.

FCS_IPSEC_EXT.1.6

TSS

The evaluator shall ensure the TSS identifies the algorithms used for encrypting the IKEv1 or IKEv2 payload, and that the algorithms AES-CBC-128, AES-CBC-256 are specified, and if others are chosen in the selection of the requirement, those are included in the TSS discussion.

Guidance

The evaluator checks the operational guidance to ensure it provides instructions on how the TOE is configured to use the algorithms selected in this component and whether this is performed through direct configuration, defined during initial installation, or defined by acquiring configuration settings from an environmental component.

Tests

The evaluator shall use the operational guidance to configure the TOE (or to configure the Operational Environment to have the TOE receive configuration) to perform the following test for each ciphersuite selected:

• Test 49: The evaluator shall configure the TOE to use the ciphersuite under test to encrypt the IKEv1 or IKEv2 payload and establish a connection with a peer device, which is configured to only accept the payload encrypted using the indicated ciphersuite. The evaluator will confirm the algorithm was that used in the negotiation. The evaluator will confirm that the connection is successful by confirming that data can be passed through the connection once it is established. For example, the evaluator may connect to a webpage on the remote network and verify that it can be reached.

FCS_IPSEC_EXT.1.7

TSS

There are no TSS EAs for this requirement.

Guidance

The evaluator shall check the operational guidance to ensure it provides instructions on how the TOE configures the values for SA lifetimes. In addition, the evaluator shall check that the guidance has the option for either the Administrator or VPN Gateway to configure Phase 1 SAs if time-based limits are supported. Currently there are no values mandated for the number of packets or number of bytes, the evaluator shall simply check the operational guidance to ensure that this can be configured if selected in the requirement.

Tests

When testing this functionality, the evaluator needs to ensure that both sides are configured appropriately. From the RFC “A difference between IKEv1 and IKEv2 is that in IKEv1 SA lifetimes were negotiated. In IKEv2, each end of the SA is responsible for enforcing its own lifetime policy on the SA and rekeying the SA when necessary. If the two ends have different lifetime policies, the end with the shorter lifetime will end up always being the one to request the rekeying. If the two ends have the same lifetime policies, it is possible that both will initiate a rekeying at the same time (which will result in redundant SAs). To reduce the probability of this happening, the timing of rekeying requests SHOULD be jittered.”

Each of the following tests shall be performed for each version of IKE selected in the FCS_IPSEC_EXT.1.5 protocol selection:

• Test 50: (conditional) The evaluator shall configure a maximum lifetime in terms of the # of packets (or bytes) allowed following the operational guidance. The evaluator shall establish an SA and determine that once the allowed # of packets (or bytes) through this SA is exceeded, the connection is closed.
• Test 51: (conditional) The evaluator shall construct a test where a Phase 1 SA is established and attempted to be maintained for more than 24 hours before it is renegotiated. The evaluator shall observe that this SA is closed or renegotiated in 24 hours or less. If such an action requires that the TOE be configured in a specific way, the evaluator shall implement tests demonstrating that the configuration capability of the TOE works as documented in the operational guidance.
• Test 52: (conditional) The evaluator shall perform a test similar to Test 2 for Phase 2 SAs, except that the lifetime will be 8 hours or less instead of 24 hours or less.
• Test 53: (conditional) If a fixed limit for IKEv1 SAs is supported, the evaluator shall establish an SA and observe that the connection is closed after the fixed traffic or time value is reached.

FCS_IPSEC_EXT.1.8

TSS

The evaluator shall check to ensure that the DH groups specified in the requirement are listed as being supported in the TSS. If there is more than one DH group supported, the evaluator checks to ensure the TSS describes how a particular DH group is specified/negotiated with a peer.

Guidance

There are no AGD EAs for this requirement.

Tests

The evaluator shall perform the following test:

• Test 54: For each supported DH group, the evaluator shall test to ensure that all supported IKE protocols can be successfully completed using that particular DH group.

FCS_IPSEC_EXT.1.9

TSS

The evaluator shall check to ensure that, for each DH group supported, the TSS describes the process for generating "x" (as defined in FCS_IPSEC_EXT.1.9) and each nonce. The evaluator shall verify that the TSS indicates that the random number generated that meets the requirements in this PP is used, and that the length of "x" and the nonces meet the stipulations in the requirement.

Guidance

There are no AGD EAs for this requirement.

Tests

There are no test EAs for this requirement.

FCS_IPSEC_EXT.1.10

EAs for this element are tested through EAs for FCS_IPSEC_EXT.1.9.

FCS_IPSEC_EXT.1.11

TSS

The evaluator ensures that the TSS identifies RSA or ECDSA as being used to perform peer authentication.

If pre-shared keys are chosen in the selection, the evaluator shall check to ensure that the TSS describes how pre-shared keys are established and used in authentication of IPsec connections. The description in the TSS shall also indicate how pre-shared key establishment is accomplished depending on whether the TSF can generate a pre-shared key, accept a pre-shared key, or both.

The evaluator shall ensure that the TSS describes how the TOE compares the peer’s presented identifier to the reference identifier. This description shall include whether the certificate presented identifier is compared to the ID payload presented identifier, which fields of the certificate are used as the presented identifier (DN, Common Name, or SAN) and, if multiple fields are supported, the logical order comparison. If the ST author assigned an additional identifier type, the TSS description shall also include a description of that type and the method by which that type is compared to the peer’s presented certificate.

Guidance

The evaluator shall check that the operational guidance describes how pre-shared keys are to be generated and established.

The evaluator ensures the operational guidance describes how to set up the TOE to use the cryptographic algorithms RSA or ECDSA (as selected).

In order to construct the environment and configure the TOE for the following tests, the evaluator will ensure that the operational guidance also describes how to configure the TOE to connect to a trusted CA, and ensure a valid certificate for that CA is loaded into the TOE as a trusted CA.

The evaluator shall also ensure that the operational guidance includes the configuration of the reference identifiers for the peer.

Tests

For efficiency’s sake, the testing that is performed here has been combined with the testing for FIA_X509_EXT.2 and FIA_X509_EXT.3 (for IPsec connections and depending on the Base-PP), FCS_IPSEC_EXT.1.12, and FCS_IPSEC_EXT.1.13. The following tests shall be repeated for each peer authentication protocol selected in the FCS_IPSEC_EXT.1.11 selection above:

• Test 55: The evaluator shall have the TOE generate a public-private key pair, and submit a CSR (Certificate Signing Request) to a CA (trusted by both the TOE and the peer VPN used to establish a connection) for its signature. The values for the DN (Common Name, Organization, Organizational Unit, and Country) will also be passed in the request. Alternatively, the evaluator may import to the TOE a previously generated private key and corresponding certificate.
• Test 56: The evaluator shall configure the TOE to use a private key and associated certificate signed by a trusted CA and shall establish an IPsec connection with the peer.
• Test 57: The evaluator shall test that the TOE can properly handle revoked certificates – conditional on whether CRL or OCSP is selected; if both are selected, and then a test is performed for each method. For this current version of the PP-Module, the evaluator has to only test one up in the trust chain (future drafts may require to ensure the validation is done up the entire chain). The evaluator shall ensure that a valid certificate is used, and that the SA is established. The evaluator then attempts the test with a certificate that will be revoked (for each method chosen in the selection) to ensure when the certificate is no longer valid that the TOE will not establish an SA.
• Test 58: (conditional) The evaluator shall generate a pre-shared key and use it, as indicated in the operational guidance, to establish an IPsec connection with the VPN GW peer. If the generation of the pre-shared key is supported, the evaluator shall ensure that establishment of the key is carried out for an instance of the TOE generating the key as well as an instance of the TOE merely taking in and using the key.
  For each supported identifier type (excluding DNs), the evaluator shall repeat the following tests:

• Test 59: For each field of the certificate supported for comparison, the evaluator shall configure the peer’s reference identifier on the TOE (per the administrative guidance) to match the field in the peer’s presented certificate and shall verify that the IKE authentication succeeds.
• Test 60: For each field of the certificate support for comparison, the evaluator shall configure the peer’s reference identifier on the TOE (per the administrative guidance) to not match the field in the peer’s presented certificate and shall verify that the IKE authentication fails.
  The following tests are conditional:
• Test 61: (conditional) If, according to the TSS, the TOE supports both Common Name and SAN certificate fields and uses the preferred logic outlined in the Application Note, the tests above with the Common Name field shall be performed using peer certificates with no SAN extension. Additionally, the evaluator shall configure the peer’s reference identifier on the TOE to not match the SAN in the peer’s presented certificate but to match the Common Name in the peer’s presented certificate, and verify that the IKE authentication fails.
• Test 62: (conditional) If the TOE supports DN identifier types, the evaluator shall configure the peer's reference identifier on the TOE (per the administrative guidance) to match the subject DN in the peer's presented certificate and shall verify that the IKE authentication succeeds. To demonstrate a bit-wise comparison of the DN, the evaluator shall change a single bit in the DN (preferably, in an Object Identifier (OID) in the DN) and verify that the IKE authentication fails. To demonstrate a comparison of DN values, the evaluator shall change any one of the four DN values and verify that the IKE authentication fails.
• Test 63: (conditional) If the TOE supports both IPv4 and IPv6 and supports IP address identifier types, the evaluator must repeat test 1 and 2 with both IPv4 address identifiers and IPv6 identifiers. Additionally, the evaluator shall verify that the TOE verifies that the IP header matches the identifiers by setting the presented identifiers and the reference identifier with the same IP address that differs from the actual IP address of the peer in the IP headers and verifying that the IKE authentication fails.
• Test 64: (conditional) If, according to the TSS, the TOE performs comparisons between the peer’s ID payload and the peer’s certificate, the evaluator shall repeat the following test for each combination of supported identifier types and supported certificate fields (as above). The evaluator shall configure the peer to present a different ID payload than the field in the peer’s presented certificate and verify that the TOE fails to authenticate the IKE peer.

FCS_IPSEC_EXT.1.12

EAs for this element are tested through EAs for FCS_IPSEC_EXT.1.11.

FCS_IPSEC_EXT.1.13

EAs for this element are tested through EAs for FCS_IPSEC_EXT.1.11.

FCS_IPSEC_EXT.1.14

TSS

The evaluator shall check that the TSS describes the potential strengths (in terms of the number of bits in the symmetric key) of the algorithms that are allowed for the IKE and ESP exchanges. The TSS shall also describe the checks that are done when negotiating IKEv1 Phase 2 and IKEv2 CHILD_SA suites to ensure that the strength (in terms of the number of bits of key in the symmetric algorithm) of the negotiated algorithm is less than or equal to that of the IKE SA that is protecting the negotiation.

Guidance

There are no AGD EAs for this requirement.

Tests

The evaluator follows the guidance to configure the TOE to perform the following tests:

• Test 65: This test shall be performed for each version of IKE supported. The evaluator shall successfully negotiate an IPsec connection using each of the supported algorithms and hash functions identified in the requirements.
• Test 66: (conditional) This test shall be performed for each version of IKE supported. The evaluator shall attempt to establish an SA for ESP that selects an encryption algorithm with more strength than that being used for the IKE SA (i.e., symmetric algorithm with a key size larger than that being used for the IKE SA). Such attempts should fail.
• Test 67: This test shall be performed for each version of IKE supported. The evaluator shall attempt to establish an IKE SA using an algorithm that is not one of the supported algorithms and hash functions identified in the requirements. Such an attempt should fail.
• Test 68: This test shall be performed for each version of IKE supported. The evaluator shall attempt to establish an SA for ESP (assumes the proper parameters where used to establish the IKE SA) that selects an encryption algorithm that is not identified in FCS_IPSEC_EXT.1.4. Such an attempt should fail.

B.3 Identification and Authentication (FIA)