Australian Information Security Evaluation
Program
Maintenance Report forAppgate SDP v6.0
Version 1.0, 17 March 2023
Report Identifier: AISEP-CC-MR-2023-AAC092

1

Table of contentsIntroduction

3Overview

3

Document / TOE Identification for the maintained TOE

3

IAR introduction summary

4

Description of changes

5

Appgate version changes

5

Library and other dependency version changes

5

Feature changes (brief subset summary)

5

Affected developer evidence

6Regression testing

7

Vulnerability analysis

7Conclusion

7

References and abbreviations

8References

8Abbreviations

82

IntroductionOverview
This document is an Assurance Continuity Maintenance Report describing the findings of the Australian Information
Security Evaluation Program (AISEP) concerning the certification of Appgate SDP v5.4.
The purpose of this Maintenance Report is to describe the status of the assurance continuity activities undertaken byAppgate against the requirements contained in Assurance Continuity: CCRA Requirements v2.2, 30-September-2021 (Ref[1]).
In the course of the last four years, Appgate SDP has been evaluated and certified in the AISEP three times. The versions
certified were Cyxtera Technologies Appgate v4.3 in August 2019, Appgate v5.2 in January 2021 and Appgate v5.4 inApril 2022. The Certification Report identifier for the Appgate v5.4 evaluation and certification is AISEP-CC-CR-2022EFT-T023 (Ref [5]).
Teron Labs submitted Appgate SDP v6.0 Impact Analysis Report Version 1.0 to the Australian Certification Authority(ACA) on 30 January 2023. The Impact Analysis Report (IAR) describes the changes made to the certified TOE, theevidence updated as a result of the changes and the security impact of the changes.

Document / TOE Identification for the maintained TOE
IAR - Appgate SDP v6.0 Impact Analysis Report Version 1.0, January 25, 2023
ST - Appgate SDP v6.0 Security Target Version 1.0, 2023-1-25
Guidance – a) https://sdphelp.appgate.com/adminguide/v6.0/common-criteria.htmlb) https://sdphelp.Appgate.com/userguide/v6.0/
Maintained TOE - Appgate SDP v6.0 consisting of:Appgate SDP v6.0.1 ApplianceAppgate SDP Windows Client v6.0.2
Appgate SDP macOS Client v6.0.2
Appgate SDP Ubuntu Client v6.0.2
Appgate SDP Fedora Client v6.0.2
Appgate SDP Android Client v6.0.1

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IAR introduction summary
The Appgate SDP v6.0 TOE provides capabilities to control access of network-based users to network resources inphysical, cloud-based and hybrid environments, using the approach to computer security known as the Software
Defined Perimeter (SDP).
The Appgate SDP is built on three core principles:
1.
2.

3.

Identity-centric - It is designed around the user, addressing the perimeter-less enterprise. Users areauthenticated before they are allowed to connect to a network.
Zero-Trust - It enforces the “Zero Trust” model so that anyone attempting to access a resource must
authenticate first. All unauthorized resources are invisible. Zero Trust ensures that once proper access criteria
are met, a dynamic one-to-one connection is generated from the user’s machine to the specific resource
needed. Everything else is completely invisible. This applies the principle of least privilege to the network andreduces the attack surface.
Cloud-centric - The Software-Defined Perimeter (SDP) is built for the cloud and has no centralized network
chokepoint. It is completely distributed and as scalable as the internet itself. An SDP is engineered to operate
natively in cloud networks.

The principle of operation is that Gateways are deployed in front of networked resource (application and server)
infrastructure, effectively making it invisible on the network. A Controller defines access rights for users and devices(collectively, the Clients) on an individual basis. A Client establishes a secure TLS tunnel to the Controller, whichauthenticates the user. This process is based on verifying user claims within each session—including device posture andidentity—before issuing Entitlement tokens to the user. The Client passes the issued Entitlement tokens on to theGateways, which provision a firewall instance just for that user. The Gateway then translates the Entitlements into a setof individualized firewall rules. For each packet received from the Client, the correct rules allow, conditionally allow orblock access to the network resources protected by the Gateway.
The Appgate SDP comprises an appliance component and a client software component installed on a user’s device,
such as a workstation, laptop, or mobile platform. The Client runs on each user’s device and makes access requests tothe Controller.
The Appgate SDP appliance is a stateless, configurable component that can operate in the following roles:
1.

2.

Controller—the central point of administration for the Appgate SDP deployment. It includes an internal
database for the storage of system configuration data and provides assignment of policies to users andcreation of the list of entitlements for each user.
Gateway—The Gateway is the enforcement point, responsible for controlling user access to protectedresources. After seeding it registers with the Controller and will then be listed as available to receive Client
connections. Once registered it runs as a stateless appliance only needing to receive the token revocation list
from the Controller. The Gateway uses the Claims and Entitlement tokens from each user to manage firewall
rules and provide real-time access control.

4Description of changes
The material in this section is a condensed version of the information in the IAR.

Appgate version changes
Certified TOE (v5.4) →

Maintained TOE (v6.0)






Appgate SDP v5.4.4 ApplianceAppgate SDP Windows Client v5.4.4
Appgate SDP macOS Client v5.4.3
Appgate SDP Ubuntu Client v5.4.3
Appgate SDP Fedora Client v5.4.3
Appgate SDP Android Client v5.4.3

Appgate SDP v6.0.1 ApplianceAppgate SDP Windows Client v6.0.2
Appgate SDP macOS Client v6.0.2
Appgate SDP Ubuntu Client v6.0.2
Appgate SDP Fedora Client v6.0.2
Appgate SDP Android Client v6.0.1

Library and other dependency version changes
Certified TOE (v5.4) →Maintained TOE (v6.0)






Bouncy Castle Java API v1.68
WolfSSL 4.6.0-fips uses Wolfcrypt 4.0
PostgreSQL 9.4 / BDR
Appliance base Ubuntu 18.04



Bouncy Castle Java API v1.70
WolfSSL 5.2.0-fips with Wolfcrypt 4.0
PostgreSQL 12 / BDR 3.7
Appliance base Ubuntu 20.04






Windows 7 SP1 and later, .NET 4.5 and laterApple OSX/macOS 10.14.6 or newer
Ubuntu 16.04
Fedora 33+ gnome-keyring
Android 6 or later







Windows 10 and 11, .NET 4.5 and laterApple OSX/macOS 10.15.7 or newer
Ubuntu 16.04 or later
Fedora 35+ gnome-keyring
Android 7 or later

Feature changes (brief subset summary)
Port 444 not used for peer communications



DNS Forwarder now supports the use of the appliance’s hosts file.



CRL support for appliance to Controller connections

Improved Azure API calls with rate limiting and result caching.

macOS smartcard certificate authentication added



Added support for OIDC as a new type of IdP. Can be used for user and admin UI authentication.



Added support for an additional appliance remote command - netcat5

Admin UI - Introduced an updated information architecture and menu system to better match the product's
evolving use cases.

The concept of Conditional Entitlements has been superseded by three Access Control options.

Configurable connection rate limiter to throttle new Client connections to Gateways

Expiring appliance certificates will be automatically renewed in the 24 hours preceding expiration. Only applies
to certificates managed by the Collective.

Affected developer evidence
Certified TOE (v5.4) →Maintained TOE (v6.0)

Security Target:
Appgate SDP v5.4 Security Target Version 1.0, March 16,
2022

Maintained Security Target:
Appgate SDP v6.0 Security Target Version 1.0, January 25,
2023

Guidance Documentation:
https://sdphelp.appgate.com/adminguide/v5.4/common-criteria.htmlMaintained Guidance Documentation:
https://sdphelp.appgate.com/adminguide/v6.0/common-criteria.html

The user guide for Clients is available on-line at thefollowing URL:
https://sdphelp.Appgate.com/userguide/v5.4/

The user guide for Clients is available on-line at thefollowing URL:
https://sdphelp.Appgate.com/userguide/v6.0/

Design Documentation
Appgate SDP v5.4 Design Documentation Version 1.0,2022-03-16

Maintained Design Documentation
Appgate SDP v6.0 Design Documentation Version 1.0,2023-1-25

Common Criteria ALC Life Cycle Support GuidanceAppgate SDP v5.4 EAL2+ Life-Cycle Support
Documentation Plus ALC_FLR.1 Version 1.0,2022-03-16

Maintained Common Criteria ALC Life Cycle Support
Guidance
Appgate SDP v6.0 EAL2+ Life-Cycle Support
Documentation Plus ALC_FLR.1 Version 1.0,2023-1-25

Test Plan
Appgate SDP v5.4 Test Plan, Version 1.0, 23 November
2021

Maintained Test Plan
Appgate SDP v6.0 Test Plan, Version 1.0, 9 November
2022

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Regression testing
The IAR (Ref [1]) describes the Appgate regression testing effort. Regression testing was performed on the following
Appgate versions: 5.5, 5.5.1, 5.5.2, 5.5.3 5.5.4, 5.5.5 (client), 5.5.6 (appliance), 6.0.0 and 6.0.1. The testing includes
automated unit testing, system testing and end to end testing. Manual testing has also been performed against all 5.5.x
and 6.0.x images.

Vulnerability analysis
The IAR details vulnerability searches against two relevant databases in November 2022.


http://web.nvd.nist.gov/view/vuln/searchhttps://www.appgate.com/support/software-defined-perimeter-support/sdp-security-advisories

The search focussed on the subset of the product that was evaluated as part of the certified TOE. One CVE (CommonVulnerability and Exposure) and seven Appgate security advisories were analysed and found to apply to versions of theTOE prior to v6.0.1.

Conclusion
After consideration of the Impact Analysis Report (IAR) provided by Teron Labs the Australian Certification Authority(ACA) has determined that the described changes are minor. The ACA agrees that the resultant change in the TOE can
be classified as minor and that certificate maintenance is the correct path to continuity of assurance. The ACA agrees
that the original assurance result is acceptable for the maintained TOE, Appgate v6.0.

7References and abbreviations
References
1.

Assurance Continuity: CCRA Requirements, version 2.2. 30-September-2021

2.

Appgate SDP v6.0 Impact Analysis Report Version 1.0, January 25, 2023

3.

Appgate SDP v6.0 Security Target Version 1.0, 2023-1-25

4.

Guidance documentation:a) https://sdphelp.appgate.com/adminguide/v6.0/common-criteria.htmlb) https://sdphelp.Appgate.com/userguide/v6.0/

5.

Certification Report Appgate SDP v5.4 Version 1.0, 4 April 2022 Report Identifier: AISEP-CC-CR-2022-EFT-T023

6.

Common Criteria for Information Technology Security Evaluation Part 3: Security assurance components April
2017, Version 3.1 Revision 5

7.

Common Methodology for Information Technology Security Evaluation, Evaluation Methodology, April 2017,
Version 3.1 Revision 5Abbreviations
ACA

Australian Certification Authority

AISEP

Australian Information Security Evaluation Program

API

Application Programming Interface

BDR

Bi-Directional Replication

CCRA

Common Criteria Recognition Arrangement

CRL

Certificate Revocation List

CVE

Common Vulnerability and Exposure

DNS

Domain Name System

IARImpact Analysis Report

IdP

Identity ProviderOIDC

OpenID Connect

SDP

Software Defined Perimeter

ST

Security Target

UI

User Interface

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