Internet-Draft Benchmarking Network Security Devices September 2021
Balarajah, et al. Expires 30 March 2022 [Page]
Workgroup:
Benchmarking Methodology Working Group
Internet-Draft:
draft-ietf-bmwg-ngfw-performance-10
Obsoletes:
3511 (if approved)
Published:
Intended Status:
Informational
Expires:
Authors:
B. Balarajah
C. Rossenhoevel
EANTC AG
B. Monkman
NetSecOPEN

Benchmarking Methodology for Network Security Device Performance

Abstract

This document provides benchmarking terminology and methodology for next-generation network security devices including next-generation firewalls (NGFW), next-generation intrusion prevention systems (NGIPS), and unified threat management (UTM) implementations. This document aims to improve the applicability, reproducibility, and transparency of benchmarks and to align the test methodology with today's increasingly complex layer 7 security centric network application use cases. The main areas covered in this document are test terminology, test configuration parameters, and benchmarking methodology for NGFW and NGIPS.

Status of This Memo

This Internet-Draft is submitted in full conformance with the provisions of BCP 78 and BCP 79.

Internet-Drafts are working documents of the Internet Engineering Task Force (IETF). Note that other groups may also distribute working documents as Internet-Drafts. The list of current Internet-Drafts is at https://datatracker.ietf.org/drafts/current/.

Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress."

This Internet-Draft will expire on 5 March 2022.

▲

Table of Contents

1. Introduction

18 years have passed since IETF recommended test methodology and terminology for firewalls initially ([RFC3511]). The requirements for network security element performance and effectiveness have increased tremendously since then. Security function implementations have evolved to more advanced areas and have diversified into intrusion detection and prevention, threat management, analysis of encrypted traffic, etc. In an industry of growing importance, well-defined, and reproducible key performance indicators (KPIs) are increasingly needed as they enable fair and reasonable comparison of network security functions. All these reasons have led to the creation of a new next-generation network security device benchmarking document and this document obsoletes [RFC3511].

2. Requirements

The keywords "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "NOT RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in BCP 14 [RFC2119], [RFC8174] when, and only when, they appear in all capitals, as shown here.

3. Scope

This document provides testing terminology and testing methodology for modern and next-generation network security devices that are configured in Active ("Inline") mode. It covers the validation of security effectiveness configurations of network security devices, followed by performance benchmark testing. This document focuses on advanced, realistic, and reproducible testing methods. Additionally, it describes testbed environments, test tool requirements, and test result formats.

4. Test Setup

Test setup defined in this document applies to all benchmarking tests described in Section 7. The test setup MUST be contained within an Isolated Test Environment (see Section 3 of [RFC6815]).

4.1. Testbed Configuration

Testbed configuration MUST ensure that any performance implications that are discovered during the benchmark testing aren't due to the inherent physical network limitations such as the number of physical links and forwarding performance capabilities (throughput and latency) of the network devices in the testbed. For this reason, this document recommends avoiding external devices such as switches and routers in the testbed wherever possible.

In some deployment scenarios, the network security devices (Device Under Test/System Under Test) are connected to routers and switches, which will reduce the number of entries in MAC or ARP tables of the Device Under Test/System Under Test (DUT/SUT). If MAC or ARP tables have many entries, this may impact the actual DUT/SUT performance due to MAC and ARP/ND (Neighbor Discovery) table lookup processes. This document also recommends using test equipment with the capability of emulating layer 3 routing functionality instead of adding external routers in the testbed.

The testbed setup Option 1 (Figure 1) is the RECOMMENDED testbed setup for the benchmarking test.

+-----------------------+                   +-----------------------+
| +-------------------+ |   +-----------+   | +-------------------+ |
| | Emulated Router(s)| |   |           |   | | Emulated Router(s)| |
| |    (Optional)     | +----- DUT/SUT  +-----+    (Optional)     | |
| +-------------------+ |   |           |   | +-------------------+ |
| +-------------------+ |   +-----------+   | +-------------------+ |
| |     Clients       | |                   | |      Servers      | |
| +-------------------+ |                   | +-------------------+ |
|                       |                   |                       |
|   Test Equipment      |                   |   Test Equipment      |
+-----------------------+                   +-----------------------+
Figure 1: Testbed Setup - Option 1

If the test equipment used is not capable of emulating layer 3 routing functionality or if the number of used ports is mismatched between test equipment and the DUT/SUT (need for test equipment port aggregation), the test setup can be configured as shown in Figure 2.

 +-------------------+      +-----------+      +--------------------+
 |Aggregation Switch/|      |           |      | Aggregation Switch/|
 | Router            +------+  DUT/SUT  +------+ Router             |
 |                   |      |           |      |                    |
 +----------+--------+      +-----------+      +--------+-----------+
            |                                           |
            |                                           |
+-----------+-----------+                   +-----------+-----------+
|                       |                   |                       |
| +-------------------+ |                   | +-------------------+ |
| | Emulated Router(s)| |                   | | Emulated Router(s)| |
| |     (Optional)    | |                   | |     (Optional)    | |
| +-------------------+ |                   | +-------------------+ |
| +-------------------+ |                   | +-------------------+ |
| |      Clients      | |                   | |      Servers      | |
| +-------------------+ |                   | +-------------------+ |
|                       |                   |                       |
|    Test Equipment     |                   |    Test Equipment     |
+-----------------------+                   +-----------------------+
Figure 2: Testbed Setup - Option 2

4.2. DUT/SUT Configuration

A unique DUT/SUT configuration MUST be used for all benchmarking tests described in Section 7. Since each DUT/SUT will have its own unique configuration, users SHOULD configure their device with the same parameters and security features that would be used in the actual deployment of the device or a typical deployment in order to achieve maximum network security coverage. The DUT/SUT MUST be configured in "Inline" mode so that the traffic is actively inspected by the DUT/SUT. Also "Fail-Open" behavior MUST be disabled on the DUT/SUT.

Table 1 and Table 2 below describe the RECOMMENDED and OPTIONAL sets of network security feature list for NGFW and NGIPS respectively. The selected security features SHOULD be consistently enabled on the DUT/SUT for all benchmarking tests described in Section 7.

To improve repeatability, a summary of the DUT/SUT configuration including a description of all enabled DUT/SUT features MUST be published with the benchmarking results.

                 +------------------------+
                 |           NGFW         |
+--------------- +-------------+----------+
|                |             |          |
|DUT/SUT Features| RECOMMENDED | OPTIONAL |
|                |             |          |
+----------------+-------------+----------+
|SSL Inspection  |     x       |          |
+----------------+-------------+----------+
|IDS/IPS         |     x       |          |
+----------------+-------------+----------+
|Anti-Spyware    |     x       |          |
+----------------+-------------+----------+
|Anti-Virus      |     x       |          |
+----------------+-------------+----------+
|Anti-Botnet     |     x       |          |
+----------------+-------------+----------+
|Web Filtering   |             |    x     |
+----------------+-------------+----------+
|Data Loss       |             |          |
|Protection (DLP)|             |    x     |
+----------------+-------------+----------+
|DDoS            |             |    x     |
+----------------+-------------+----------+
|Certificate     |             |    x     |
|Validation      |             |          |
+----------------+-------------+----------+
|Logging and     |     x       |          |
|Reporting       |             |          |
+----------------+-------------+----------+
|Application     |     x       |          |
|Identification  |             |          |
+----------------+-------------+----------+
Figure 3: Table 1: NGFW Security Features 
                 +------------------------+
                 |           NGIPS        |
+----------------+-------------+----------+
|                |             |          |
|DUT/SUT Features| RECOMMENDED | OPTIONAL |
|                |             |          |
+----------------+-------------+----------+
|SSL Inspection  |     x       |          |
+----------------+-------------+----------+
|Anti-Malware    |     x       |          |
+----------------+-------------+----------+
|Anti-Spyware    |     x       |          |
+----------------+-------------+----------+
|Anti-Botnet     |     x       |          |
+----------------+-------------+----------+
|Logging and     |     x       |          |
|Reporting       |             |          |
+----------------+-------------+----------+
|Application     |     x       |          |
|Identification  |             |          |
+----------------+-------------+----------+
|Deep Packet     |     x       |          |
|Inspection      |             |          |
+----------------+-------------+----------+
|Anti-Evasion    |     x       |          |
+----------------+-------------+----------+
Figure 4: Table 2: NGIPS Security Features

The following table provides a brief description of the security features.

+------------------+------------------------------------------------+
| DUT/SUT Features | Description                                    |
+------------------+------------------------------------------------+
| SSL Inspection   | DUT/SUT intercepts and decrypts inbound HTTPS  |
|                  | traffic between servers and clients. Once the  |
|                  | content inspection has been completed, DUT/SUT |
|                  | encrypts the HTTPS traffic with ciphers        |
|                  | and keys used by the clients and servers.      |
+------------------+------------------------------------------------+
| IDS/IPS          | DUT/SUT detects and blocks exploits            |
|                  | targeting known and unknown vulnerabilities    |
|                  | across the monitored network.                  |
+------------------+------------------------------------------------+
| Anti-Malware     | DUT/SUT detects and prevents the transmission  |
|                  | of malicious executable code and any associated|
|                  | communications across the monitored network.   |
|                  | This includes data exfiltration as well as     |
|                  | command and control channels.                  |
+------------------+------------------------------------------------+
| Anti-Spyware     | Anti-Spyware is a subcategory of Anti Malware. |
|                  | Spyware transmits information without the      |
|                  | user's knowledge or permission. DUT/SUT detects|
|                  | and block initial infection or transmission of |
|                  | data.                                          |
+------------------+------------------------------------------------+
| Anti-Botnet      | DUT/SUT detects traffic to or from botnets.    |
+------------------+------------------------------------------------+
| Anti-Evasion     | DUT/SUT detects and mitigates attacks that have|
|                  | been obfuscated in some manner.                |
+------------------+------------------------------------------------+
| Web Filtering    | DUT/SUT detects and blocks malicious website   |
|                  | including defined classifications of website   |
|                  | across the monitored network.                  |
+------------------+------------------------------------------------+
| DLP              | DUT/SUT detects and prevents data breaches and |
|                  | data exfiltration, or it detects and blocks the|
|                  | transmission of sensitive data across the      |
|                  | monitored network.                             |
+------------------+------------------------------------------------+
| Certificate      | DUT/SUT validates certificates used in         |
| Validation       | encrypted communications across the monitored  |
|                  | network.                                       |
+------------------+------------------------------------------------+
| Logging and      | DUT/SUT logs and reports all traffic at the    |
| Reporting        | flow level across the monitored network.       |
+------------------+------------------------------------------------+
| Application      | DUT/SUT detects known applications as defined  |
| Identification   | within the traffic mix selected across         |
|                  | the monitored network.                         |
+------------------+------------------------------------------------+
Figure 5: Table 3: Security Feature Description

Below is a summary of the DUT/SUT configuration:

  • DUT/SUT MUST be configured in "inline" mode.

  • "Fail-Open" behavior MUST be disabled.

  • All RECOMMENDED security features are enabled.

  • Logging SHOULD be enabled. DUT/SUT SHOULD log all traffic at the flow level - Logging to an external device is permissible.

  • Geographical location filtering, and Application Identification and Control SHOULD be configured to trigger based on a site or application from the defined traffic mix.

In addition, a realistic number of access control rules (ACL) SHOULD be configured on the DUT/SUT where ACLs are configurable and reasonable based on the deployment scenario. This document determines the number of access policy rules for four different classes of DUT/SUT: Extra Small (XS), Small (S), Medium (M), and Large (L). A sample DUT/SUT classification is described in Appendix B.

The Access Control Rules (ACL) defined in Table 4 MUST be configured from top to bottom in the correct order as shown in the table. This is due to ACL types listed in specificity decreasing order, with "block" first, followed by "allow", representing a typical ACL based security policy. The ACL entries SHOULD be configured with routable IP subnets by the DUT/SUT. (Note: There will be differences between how security vendors implement ACL decision making.) The configured ACL MUST NOT block the security and measurement traffic used for the benchmarking tests.

                                                    +---------------+
                                                    | DUT/SUT       |
                                                    | Classification|
                                                    | # Rules       |
+-----------+-----------+--------------------+------+---+---+---+---+
|           | Match     |                    |      |   |   |   |   |
| Rules Type| Criteria  |   Description      |Action| XS| S | M | L |
+-------------------------------------------------------------------+
|Application|Application| Any application    | block| 5 | 10| 20| 50|
|layer      |           | not included in    |      |   |   |   |   |
|           |           | the measurement    |      |   |   |   |   |
|           |           | traffic            |      |   |   |   |   |
+-------------------------------------------------------------------+
|Transport  |SRC IP and | Any SRC IP subnet  | block| 25| 50|100|250|
|layer      |TCP/UDP    | used and any DST   |      |   |   |   |   |
|           |DST ports  | ports not used in  |      |   |   |   |   |
|           |           | the measurement    |      |   |   |   |   |
|           |           | traffic            |      |   |   |   |   |
+-------------------------------------------------------------------+
|IP layer   |SRC/DST IP | Any SRC/DST IP     | block| 25| 50|100|250|
|           |           | subnet not used    |      |   |   |   |   |
|           |           | in the measurement |      |   |   |   |   |
|           |           | traffic            |      |   |   |   |   |
+-------------------------------------------------------------------+
|Application|Application| Half of the        | allow| 10| 10| 10| 10|
|layer      |           | applications       |      |   |   |   |   |
|           |           | included in the    |      |   |   |   |   |
|           |           | measurement traffic|      |   |   |   |   |
|           |           |(see the note below)|      |   |   |   |   |
+-------------------------------------------------------------------+
|Transport  |SRC IP and | Half of the SRC    | allow| >1| >1| >1| >1|
|layer      |TCP/UDP    | IPs used and any   |      |   |   |   |   |
|           |DST ports  | DST ports used in  |      |   |   |   |   |
|           |           | the measurement    |      |   |   |   |   |
|           |           | traffic            |      |   |   |   |   |
|           |           | (one rule per      |      |   |   |   |   |
|           |           | subnet)            |      |   |   |   |   |
+-------------------------------------------------------------------+
|IP layer   |SRC IP     | The rest of the    | allow| >1| >1| >1| >1|
|           |           | SRC IP subnet      |      |   |   |   |   |
|           |           | range used in the  |      |   |   |   |   |
|           |           | measurement        |      |   |   |   |   |
|           |           | traffic            |      |   |   |   |   |
|           |           | (one rule per      |      |   |   |   |   |
|           |           | subnet)            |      |   |   |   |   |
+-----------+-----------+--------------------+------+---+---+---+---+
Figure 6: Table 4: DUT/SUT Access List

Note: If half of the applications included in the measurement traffic is less than 10, the missing number of ACL entries (dummy rules) can be configured for any application traffic not included in the measurement traffic.

4.2.1. Security Effectiveness Configuration

The Security features (defined in table 1 and 2) of the DUT/SUT MUST be configured effectively to detect, prevent, and report the defined security vulnerability sets. This section defines the selection of the security vulnerability sets from Common vulnerabilities and Exposures (CVE) list for the testing. The vulnerability set SHOULD reflect a minimum of 500 CVEs from no older than 10 calendar years to the current year. These CVEs SHOULD be selected with a focus on in-use software commonly found in business applications, with a Common vulnerability Scoring System (CVSS) Severity of High (7-10).

This document is primarily focused on performance benchmarking. However, it is RECOMMENDED to validate the security features configuration of the DUT/SUT by evaluating the security effectiveness as a prerequisite for performance benchmarking tests defined in the section 7. In case the benchmarking tests are performed without evaluating security effectiveness, the test report MUST explain the implications of this. The methodology for evaluating security effectiveness is defined in Appendix A.

4.3. Test Equipment Configuration

In general, test equipment allows configuring parameters in different protocol layers. These parameters thereby influence the traffic flows which will be offered and impact performance measurements.

This section specifies common test equipment configuration parameters applicable for all benchmarking tests defined in Section 7. Any benchmarking test specific parameters are described under the test setup section of each benchmarking test individually.

4.3.1. Client Configuration

This section specifies which parameters SHOULD be considered while configuring clients using test equipment. Also, this section specifies the RECOMMENDED values for certain parameters. The values are the defaults used in most of the client operating systems currently.

4.3.1.1. TCP Stack Attributes

The TCP stack SHOULD use a congestion control algorithm at client and server endpoints. The IPv4 and IPv6 Maximum Segment Size (MSS) SHOULD be set to 1460 bytes and 1440 bytes respectively and a TX and RX initial receive windows of 64 KByte. Client initial congestion window SHOULD NOT exceed 10 times the MSS. Delayed ACKs are permitted and the maximum client delayed ACK SHOULD NOT exceed 10 times the MSS before a forced ACK. Up to three retries SHOULD be allowed before a timeout event is declared. All traffic MUST set the TCP PSH flag to high. The source port range SHOULD be in the range of 1024 - 65535. Internal timeout SHOULD be dynamically scalable per RFC 793. The client SHOULD initiate and close TCP connections. The TCP connection MUST be initiated via a TCP three-way handshake (SYN, SYN/ACK, ACK), and it MUST be closed via either a TCP three-way close (FIN, FIN/ACK, ACK), or a TCP four-way close (FIN, ACK, FIN, ACK).

4.3.1.2. Client IP Address Space

The sum of the client IP space SHOULD contain the following attributes.

  • The IP blocks SHOULD consist of multiple unique, discontinuous static address blocks.
  • A default gateway is permitted.
  • The DSCP (differentiated services code point) marking is set to DF (Default Forwarding) '000000' on IPv4 Type of Service (ToS) field and IPv6 traffic class field.

The following equation can be used to define the total number of client IP addresses that will be configured on the test equipment.

Desired total number of client IP = Target throughput [Mbit/s] / Average throughput per IP address [Mbit/s]

As shown in the example list below, the value for "Average throughput per IP address" can be varied depending on the deployment and use case scenario.

(Option 1)
DUT/SUT deployment scenario 1 : 6-7 Mbit/s per IP (e.g. 1,400-1,700 IPs per 10Gbit/s throughput)
(Option 2)
DUT/SUT deployment scenario 2 : 0.1-0.2 Mbit/s per IP (e.g. 50,000-100,000 IPs per 10Gbit/s throughput)

Based on deployment and use case scenario, client IP addresses SHOULD be distributed between IPv4 and IPv6. The following options MAY be considered for a selection of traffic mix ratio.

(Option 1)
100 % IPv4, no IPv6
(Option 2)
80 % IPv4, 20% IPv6
(Option 3)
50 % IPv4, 50% IPv6
(Option 4)
20 % IPv4, 80% IPv6
(Option 5)
no IPv4, 100% IPv6

Note: The IANA has assigned IP address range for the testing purpose as described in Section 8. If the test scenario requires more IP addresses or subnets than the IANA assigned, this document recommends using non routable Private IPv4 address ranges or Unique Local Address (ULA) IPv6 address ranges for the testing.

4.3.1.3. Emulated Web Browser Attributes

The client emulated web browser (emulated browser) contains attributes that will materially affect how traffic is loaded. The objective is to emulate modern, typical browser attributes to improve realism of the result set.

For HTTP traffic emulation, the emulated browser MUST negotiate HTTP version 1.1 or higher. Depending on test scenarios and chosen HTTP version, the emulated browser MAY open multiple TCP connections per Server endpoint IP at any time depending on how many sequential transactions need to be processed. For HTTP/2 or HTTP/3, the emulated browser MAY open multiple concurrent streams per connection (multiplexing). If HTTP/3 is used the emulated browser MUST open Quick UDP Internet Connections (QUIC). HTTP settings such as number of connection per server IP, number of requests per connection, and number of streams per connection MUST be documented. This document refers to [RFC8446] for HTTP/2 and [RFC9000]for QUIC. The emulated browser SHOULD advertise a User-Agent header. The emulated browser SHOULD enforce content length validation. Depending on test scenarios and selected HTTP version, HTTP header compression MAY be set to enable or disable. This setting (compression enabled or disabled) MUST be documented in the report.

For encrypted traffic, the following attributes SHALL define the negotiated encryption parameters. The test clients MUST use TLS version 1.2 or higher. TLS record size MAY be optimized for the HTTPS response object size up to a record size of 16 KByte. If Server Name Indication (SNI) is required in the traffic mix profile, the client endpoint MUST send TLS extension Server Name Indication (SNI) information when opening a security tunnel. Each client connection MUST perform a full handshake with server certificate and MUST NOT use session reuse or resumption.

The following TLS 1.2 supported ciphers and keys are RECOMMENDED to use for HTTPS based benchmarking tests defined in Section 7.

  1. ECDHE-ECDSA-AES128-GCM-SHA256 with Prime256v1 (Signature Hash Algorithm: ecdsa_secp256r1_sha256 and Supported group: sepc256r1)
  2. ECDHE-RSA-AES128-GCM-SHA256 with RSA 2048 (Signature Hash Algorithm: rsa_pkcs1_sha256 and Supported group: sepc256r1)
  3. ECDHE-ECDSA-AES256-GCM-SHA384 with Secp521 (Signature Hash Algorithm: ecdsa_secp384r1_sha384 and Supported group: sepc521r1)
  4. ECDHE-RSA-AES256-GCM-SHA384 with RSA 4096 (Signature Hash Algorithm: rsa_pkcs1_sha384 and Supported group: secp256r1)

Note: The above ciphers and keys were those commonly used enterprise grade encryption cipher suites for TLS 1.2. It is recognized that these will evolve over time. Individual certification bodies SHOULD use ciphers and keys that reflect evolving use cases. These choices MUST be documented in the resulting test reports with detailed information on the ciphers and keys used along with reasons for the choices.

[RFC8446] defines the following cipher suites for use with TLS 1.3.

  1. TLS_AES_128_GCM_SHA256
  2. TLS_AES_256_GCM_SHA384
  3. TLS_CHACHA20_POLY1305_SHA256
  4. TLS_AES_128_CCM_SHA256
  5. TLS_AES_128_CCM_8_SHA256

4.3.2. Backend Server Configuration

This section specifies which parameters should be considered while configuring emulated backend servers using test equipment.

4.3.2.1. TCP Stack Attributes

The TCP stack on the server side SHOULD be configured similar to the client side configuration described in Section 4.3.1.1. In addition, server initial congestion window MUST NOT exceed 10 times the MSS. Delayed ACKs are permitted and the maximum server delayed ACK MUST NOT exceed 10 times the MSS before a forced ACK.

4.3.2.2. Server Endpoint IP Addressing

The sum of the server IP space SHOULD contain the following attributes.

  • The server IP blocks SHOULD consist of unique, discontinuous static address blocks with one IP per server Fully Qualified Domain Name (FQDN) endpoint per test port.
  • A default gateway is permitted. The DSCP (differentiated services code point) marking is set to DF (Default Forwarding) '000000' on IPv4 Type of Service (ToS) field and IPv6 traffic class field.
  • The server IP addresses SHOULD be distributed between IPv4 and IPv6 with a ratio identical to the clients distribution ratio.

Note: The IANA has assigned IP address range for the testing purpose as described in Section 8. If the test scenario requires more IP addresses or subnets than the IANA assigned, this document recommends using non routable Private IPv4 address ranges or Unique Local Address (ULA) IPv6 address ranges for the testing.

4.3.2.3. HTTP / HTTPS Server Pool Endpoint Attributes

The server pool for HTTP SHOULD listen on TCP port 80 and emulate the same HTTP version and settings chosen by the client (emulated web browser). The Server MUST advertise server type in the Server response header [RFC2616]. For HTTPS server, TLS 1.2 or higher MUST be used with a maximum record size of 16 KByte and MUST NOT use ticket resumption or session ID reuse. The server SHOULD listen on TCP port 443. The server SHALL serve a certificate to the client. The HTTPS server MUST check host SNI information with the FQDN if SNI is in use. Cipher suite and key size on the server side MUST be configured similar to the client side configuration described in Section 4.3.1.3.

4.3.3. Traffic Flow Definition

This section describes the traffic pattern between client and server endpoints. At the beginning of the test, the server endpoint initializes and will be ready to accept connection states including initialization of the TCP stack as well as bound HTTP and HTTPS servers. When a client endpoint is needed, it will initialize and be given attributes such as a MAC and IP address. The behavior of the client is to sweep through the given server IP space, generating a recognizable service by the DUT. Sequential and pseudorandom sweep methods are acceptable. The method used MUST be stated in the final report. Thus, a balanced\ mesh between client endpoints and server endpoints will be generated in a client IP and port to server IP and port combination. Each client endpoint performs the same actions as other endpoints, with the difference being the source IP of the client endpoint and the target server IP pool. The client MUST use the server IP address or FQDN in the host header [RFC2616].

4.3.3.1. Description of Intra-Client Behavior

Client endpoints are independent of other clients that are concurrently executing. When a client endpoint initiates traffic, this section describes how the client steps through different services. Once the test is initialized, the client endpoints randomly hold (perform no operation) for a few milliseconds for better randomization of the start of client traffic. Each client will either open a new TCP connection or connect to a TCP persistence stack still open to that specific server. At any point that the traffic profile may require encryption, a TLS encryption tunnel will form presenting the URL or IP address request to the server. If using SNI, the server MUST then perform an SNI name check with the proposed FQDN compared to the domain embedded in the certificate. Only when correct, will the server process the HTTPS response object. The initial response object to the server is based on benchmarking tests described in Section 7. Multiple additional sub-URLs (response objects on the service page) MAY be requested simultaneously. This MAY be to the same server IP as the initial URL. Each sub-object will also use a canonical FQDN and URL path, as observed in the traffic mix used.

4.3.4. Traffic Load Profile

The loading of traffic is described in this section. The loading of a traffic load profile has five phases: Init, ramp up, sustain, ramp down, and collection.

  1. Init phase: Testbed devices including the client and server endpoints should negotiate layer 2-3 connectivity such as MAC learning and ARP. Only after successful MAC learning or ARP/ND resolution SHALL the test iteration move to the next phase. No measurements are made in this phase. The minimum RECOMMENDED time for Init phase is 5 seconds. During this phase, the emulated clients SHOULD NOT initiate any sessions with the DUT/SUT, in contrast, the emulated servers should be ready to accept requests from DUT/SUT or from emulated clients.
  2. Ramp up phase: The test equipment SHOULD start to generate the test traffic. It SHOULD use a set of the approximate number of unique client IP addresses to generate traffic. The traffic SHOULD ramp up from zero to desired target objective. The target objective is defined for each benchmarking test. The duration for the ramp up phase MUST be configured long enough that the test equipment does not overwhelm the DUT/SUTs stated performance metrics defined in Section 6.3 namely, TCP Connections Per Second, Inspected Throughput, Concurrent TCP Connections, and Application Transactions Per Second. No measurements are made in this phase.
  3. Sustain phase: Starts when all required clients are active and operating at their desired load condition. In the sustain phase, the test equipment SHOULD continue generating traffic to constant target value for a constant number of active clients. The minimum RECOMMENDED time duration for sustain phase is 300 seconds. This is the phase where measurements occur. The test equipment SHOULD measure and record statistics continuously. The sampling interval for collecting the raw results and calculating the statistics SHOULD be less than 2 seconds.
  4. Ramp down phase: No new connections are established, and no measurements are made. The time duration for ramp up and ramp down phase SHOULD be the same.
  5. Collection phase: The last phase is administrative and will occur when the test equipment merges and collates the report data.

5. Testbed Considerations

This section describes steps for a reference test (pre-test) that control the test environment including test equipment, focusing on physical and virtualized environments and as well as test equipments. Below are the RECOMMENDED steps for the reference test.

  1. Perform the reference test either by configuring the DUT/SUT in the most trivial setup (fast forwarding) or without presence of the DUT/SUT.
  2. Generate traffic from traffic generator. Choose a traffic profile used for HTTP or HTTPS throughput performance test with smallest object size.
  3. Ensure that any ancillary switching or routing functions added in the test equipment does not limit the performance by introducing network metrics such as packet loss and latency. This is specifically important for virtualized components (e.g., vSwitches, vRouters).
  4. Verify that the generated traffic (performance) of the test equipment matches and reasonably exceeds the expected maximum performance of the DUT/SUT.
  5. Record the network performance metrics packet loss latency introduced by the test environment (without DUT/SUT).
  6. Assert that the testbed characteristics are stable during the entire test session. Several factors might influence stability specifically, for virtualized testbeds. For example, additional workloads in a virtualized system, load balancing, and movement of virtual machines during the test, or simple issues such as additional heat created by high workloads leading to an emergency CPU performance reduction.

The reference test SHOULD be performed before the benchmarking tests (described in section 7) start.

6. Reporting

This section describes how the benchmarking test report should be formatted and presented. It is RECOMMENDED to include two main sections in the report, namely the introduction and the detailed test results sections.

6.1. Introduction

The following attributes SHOULD be present in the introduction section of the test report.

  1. The time and date of the execution of the tests

  2. Summary of testbed software and hardware details

    1. DUT/SUT hardware/virtual configuration

      • This section SHOULD clearly identify the make and model of the DUT/SUT
      • The port interfaces, including speed and link information
      • If the DUT/SUT is a Virtual Network Function (VNF), host (server) hardware and software details, interface acceleration type such as DPDK and SR-IOV, used CPU cores, used RAM, resource sharing (e.g. Pinning details and NUMA Node) configuration details, hypervisor version, virtual switch version
      • details of any additional hardware relevant to the DUT/SUT such as controllers

    2. DUT/SUT software

      • Operating system name
      • Version
      • Specific configuration details (if any)

    3. DUT/SUT enabled features

      • Configured DUT/SUT features (see Table 1 and Table 2)
      • Attributes of the above-mentioned features
      • Any additional relevant information about the features

    4. Test equipment hardware and software

      • Test equipment vendor name
      • Hardware details including model number, interface type
      • Test equipment firmware and test application software version

    5. Key test parameters

      • Used cipher suites and keys
      • IPv4 and IPv6 traffic distribution
      • Number of configured ACL

    6. Details of application traffic mix used in the benchmarking test "Throughput Performance with Application Traffic Mix" (Section 7.1)

      • Name of applications and layer 7 protocols
      • Percentage of emulated traffic for each application and layer 7 protocols
      • Percentage of encrypted traffic and used cipher suites and keys (The RECOMMENDED ciphers and keys are defined in Section 4.3.1.3)
      • Used object sizes for each application and layer 7 protocols

  3. Results Summary / Executive Summary

    1. Results SHOULD resemble a pyramid in how it is reported, with the introduction section documenting the summary of results in a prominent, easy to read block.

6.2. Detailed Test Results

In the result section of the test report, the following attributes SHOULD be present for each benchmarking test.

  1. KPIs MUST be documented separately for each benchmarking test. The format of the KPI metrics SHOULD be presented as described in Section 6.3.
  2. The next level of details SHOULD be graphs showing each of these metrics over the duration (sustain phase) of the test. This allows the user to see the measured performance stability changes over time.

6.3. Benchmarks and Key Performance Indicators

This section lists key performance indicators (KPIs) for overall benchmarking tests. All KPIs MUST be measured during the sustain phase of the traffic load profile described in Section 4.3.4. All KPIs MUST be measured from the result output of test equipment.

  • Concurrent TCP Connections

    The aggregate number of simultaneous connections between hosts across the DUT/SUT, or between hosts and the DUT/SUT (defined in [RFC2647]).

  • TCP Connections Per Second

    The average number of successfully established TCP connections per second between hosts across the DUT/SUT, or between hosts and the DUT/SUT. The TCP connection MUST be initiated via a TCP three-way handshake (SYN, SYN/ACK, ACK). Then the TCP session data is sent. The TCP session MUST be closed via either a TCP three-way close (FIN, FIN/ACK, ACK), or a TCP four-way close (FIN, ACK, FIN, ACK), and MUST NOT by RST.

  • Application Transactions Per Second

    The average number of successfully completed transactions per second. For a particular transaction to be considered successful, all data MUST have been transferred in its entirety. In case of HTTP(S) transactions, it MUST have a valid status code (200 OK), and the appropriate FIN, FIN/ACK sequence MUST have been completed.

  • TLS Handshake Rate

    The average number of successfully established TLS connections per second between hosts across the DUT/SUT, or between hosts and the DUT/SUT.

  • Inspected Throughput

    The number of bits per second of examined and allowed traffic a network security device is able to transmit to the correct destination interface(s) in response to a specified offered load. The throughput benchmarking tests defined in Section 7 SHOULD measure the average Layer 2 throughput value when the DUT/SUT is "inspecting" traffic. This document recommends presenting the inspected throughput value in Gbit/s rounded to two places of precision with a more specific Kbit/s in parenthesis.

  • Time to First Byte (TTFB)

    TTFB is the elapsed time between the start of sending the TCP SYN packet from the client and the client receiving the first packet of application data from the server or DUT/SUT. The benchmarking tests HTTP Transaction Latency (Section 7.4) and HTTPS Transaction Latency (Section 7.8) measure the minimum, average and maximum TTFB. The value SHOULD be expressed in milliseconds.

  • URL Response time / Time to Last Byte (TTLB)

    URL Response time / TTLB is the elapsed time between the start of sending the TCP SYN packet from the client and the client receiving the last packet of application data from the server or DUT/SUT. The benchmarking tests HTTP Transaction Latency (Section 7.4) and HTTPS Transaction Latency (Section 7.8) measure the minimum, average and maximum TTLB. The value SHOULD be expressed in millisecond.

7. Benchmarking Tests

7.1. Throughput Performance with Application Traffic Mix

7.1.1. Objective

Using a relevant application traffic mix, determine the sustainable inspected throughput supported by the DUT/SUT.

Based on customer use case, users can choose the relevant application traffic mix for this test. The details about the traffic mix MUST be documented in the report. At least the following traffic mix details MUST be documented and reported together with the test results:

  • Name of applications and layer 7 protocols
  • Percentage of emulated traffic for each application and layer 7 protocol
  • Percentage of encrypted traffic and used cipher suites and keys (The RECOMMENDED ciphers and keys are defined in Section 4.3.1.3.)
  • Used object sizes for each application and layer 7 protocols

7.1.2. Test Setup

Testbed setup MUST be configured as defined in Section 4. Any benchmarking test specific testbed configuration changes MUST be documented.

7.1.3. Test Parameters

In this section, the benchmarking test specific parameters SHOULD be defined.

7.1.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented. In case the DUT/SUT is configured without SSL inspection, the test report MUST explain the implications of this to the relevant application traffic mix encrypted traffic.

7.1.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

  • Client IP address range defined in Section 4.3.1.2
  • Server IP address range defined in Section 4.3.2.2
  • Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2
  • Target inspected throughput: Aggregated line rate of interface(s) used in the DUT/SUT or the value defined based on requirement for a specific deployment scenario
  • Initial throughput: 10% of the "Target inspected throughput" Note: Initial throughput is not a KPI to report. This value is configured on the traffic generator and used to perform Step 1: "Test Initialization and Qualification" described under the Section 7.1.4.
  • One of the ciphers and keys defined in Section 4.3.1.3 are RECOMMENDED to use for this benchmarking test.
7.1.3.3. Traffic Profile

Traffic profile: This test MUST be run with a relevant application traffic mix profile.

7.1.3.4. Test Results Validation Criteria

The following criteria are the test results validation criteria. The test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of total attempted transactions.
  2. Number of Terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
7.1.3.5. Measurement

Following KPI metrics MUST be reported for this benchmarking test:

Mandatory KPIs (benchmarks): Inspected Throughput, TTFB (minimum, average, and maximum), TTLB (minimum, average, and maximum) and Application Transactions Per Second

Note: TTLB MUST be reported along with the object size used in the traffic profile.

Optional KPIs: TCP Connections Per Second and TLS Handshake Rate

7.1.4. Test Procedures and Expected Results

The test procedures are designed to measure the inspected throughput performance of the DUT/SUT at the sustaining period of traffic load profile. The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (initial throughput) and meets the test results validation criteria when it was very minimally utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IP types: IPv4 only, IPv6 only, and IPv4 and IPv6 mixed traffic distribution.

7.1.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure traffic load profile of the test equipment to generate test traffic at the "Initial throughput" rate as described in Section 7.1.3.2. The test equipment SHOULD follow the traffic load profile definition as described in Section 4.3.4. The DUT/SUT SHOULD reach the "Initial throughput" during the sustain phase. Measure all KPI as defined in Section 7.1.3.5. The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Section 7.1.3.4.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to step 2.

7.1.4.2. Step 2: Test Run with Target Objective

Configure test equipment to generate traffic at the "Target inspected throughput" rate defined in Section 7.1.3.2. The test equipment SHOULD follow the traffic load profile definition as described in Section 4.3.4. The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective ("Target inspected throughput") in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.1.4.3. Step 3: Test Iteration

Determine the achievable average inspected throughput within the test results validation criteria. Final test iteration MUST be performed for the test duration defined in Section 4.3.4.

7.2. TCP/HTTP Connections Per Second

7.2.1. Objective

Using HTTP traffic, determine the sustainable TCP connection establishment rate supported by the DUT/SUT under different throughput load conditions.

To measure connections per second, test iterations MUST use different fixed HTTP response object sizes (the different load conditions) defined in Section 7.2.3.2.

7.2.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.2.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.2.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.2.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

Client IP address range defined in Section 4.3.1.2

Server IP address range defined in Section 4.3.2.2

Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2

Target connections per second: Initial value from product datasheet or the value defined based on requirement for a specific deployment scenario

Initial connections per second: 10% of "Target connections per second" (Note: Initial connections per second is not a KPI to report. This value is configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.2.4.

The client SHOULD negotiate HTTP and close the connection with FIN immediately after completion of one transaction. In each test iteration, client MUST send GET request requesting a fixed HTTP response object size.

The RECOMMENDED response object sizes are 1, 2, 4, 16, and 64 KByte.

7.2.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The Test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of total attempted transactions.
  2. Number of terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  4. Concurrent TCP connections MUST be constant during steady state and any deviation of concurrent TCP connections SHOULD be less than 10%. This confirms the DUT opens and closes TCP connections at approximately the same rate.
7.2.3.4. Measurement

TCP Connections Per Second MUST be reported for each test iteration (for each object size).

7.2.4. Test Procedures and Expected Results

The test procedure is designed to measure the TCP connections per second rate of the DUT/SUT at the sustaining period of the traffic load profile. The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (Initial connections per second) and meets the test results validation criteria when it was very minimally utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IP types: IPv4 only, IPv6 only, and IPv4 and IPv6 mixed traffic distribution.

7.2.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure the traffic load profile of the test equipment to establish "Initial connections per second" as defined in Section 7.2.3.2. The traffic load profile SHOULD be defined as described in Section 4.3.4.

The DUT/SUT SHOULD reach the "Initial connections per second" before the sustain phase. The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Section 7.2.3.3.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT continue to "Step 2".

7.2.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish the target objective ("Target connections per second") defined in Section 7.2.3.2. The test equipment SHOULD follow the traffic load profile definition as described in Section 4.3.4.

During the ramp up and sustain phase of each test iteration, other KPIs such as inspected throughput, concurrent TCP connections and application transactions per second MUST NOT reach the maximum value the DUT/SUT can support. The test results for specific test iterations SHOULD NOT be reported, if the above-mentioned KPI (especially inspected throughput) reaches the maximum value. (Example: If the test iteration with 64 KByte of HTTP response object size reached the maximum inspected throughput limitation of the DUT/SUT, the test iteration MAY be interrupted and the result for 64 KByte SHOULD NOT be reported.)

The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective ("Target connections per second") in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.2.4.3. Step 3: Test Iteration

Determine the achievable TCP connections per second within the test results validation criteria.

7.3. HTTP Throughput

7.3.1. Objective

Determine the sustainable inspected throughput of the DUT/SUT for HTTP transactions varying the HTTP response object size.

7.3.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.3.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.3.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.3.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

Client IP address range defined in Section 4.3.1.2

Server IP address range defined in Section 4.3.2.2

Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2

Target inspected throughput: Aggregated line rate of interface(s) used in the DUT/SUT or the value defined based on requirement for a specific deployment scenario

Initial throughput: 10% of "Target inspected throughput" Note: Initial throughput is not a KPI to report. This value is configured on the traffic generator and used to perform Step 1: "Test Initialization and Qualification" described under Section 7.3.4.

Number of HTTP response object requests (transactions) per connection: 10

RECOMMENDED HTTP response object size: 1, 16, 64, 256 KByte, and mixed objects defined in table 5.

+---------------------+---------------------+
| Object size (KByte) | Number of requests/ |
|                     | Weight              |
+---------------------+---------------------+
| 0.2                 | 1                   |
+---------------------+---------------------+
| 6                   | 1                   |
+---------------------+---------------------+
| 8                   | 1                   |
+---------------------+---------------------+
| 9                   | 1                   |
+---------------------+---------------------+
| 10                  | 1                   |
+---------------------+---------------------+
| 25                  | 1                   |
+---------------------+---------------------+
| 26                  | 1                   |
+---------------------+---------------------+
| 35                  | 1                   |
+---------------------+---------------------+
| 59                  | 1                   |
+---------------------+---------------------+
| 347                 | 1                   |
+---------------------+---------------------+
Figure 7: Table 5: Mixed Objects
7.3.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of attempt transactions.
  2. Traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  3. Concurrent TCP connections MUST be constant during steady state and any deviation of concurrent TCP connections SHOULD be less than 10%. This confirms the DUT opens and closes TCP connections at approximately the same rate.
7.3.3.4. Measurement

Inspected Throughput and HTTP Transactions per Second MUST be reported for each object size.

7.3.4. Test Procedures and Expected Results

The test procedure is designed to measure HTTP throughput of the DUT/ SUT. The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (Initial throughput) and meets the test results validation criteria when it was very minimal utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IPv4 and IPv6 traffic distribution and HTTP response object sizes.

7.3.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure traffic load profile of the test equipment to establish "Initial inspected throughput" as defined in Section 7.3.3.2.

The traffic load profile SHOULD be defined as described in Section 4.3.4. The DUT/SUT SHOULD reach the "Initial inspected throughput" during the sustain phase. Measure all KPI as defined in Section 7.3.3.4.

The measured KPIs during the sustain phase MUST meet the test results validation criteria "a" defined in Section 7.3.3.3. The test results validation criteria "b" and "c" are OPTIONAL for step 1.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.3.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish the target objective ("Target inspected throughput") defined in Section 7.3.3.2. The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.3.4.3. Step 3: Test Iteration

Determine the achievable inspected throughput within the test results validation criteria and measure the KPI metric Transactions per Second. Final test iteration MUST be performed for the test duration defined in Section 4.3.4.

7.4. HTTP Transaction Latency

7.4.1. Objective

Using HTTP traffic, determine the HTTP transaction latency when DUT is running with sustainable HTTP transactions per second supported by the DUT/SUT under different HTTP response object sizes.

Test iterations MUST be performed with different HTTP response object sizes in two different scenarios. One with a single transaction and the other with multiple transactions within a single TCP connection. For consistency both the single and multiple transaction test MUST be configured with the same HTTP version

Scenario 1: The client MUST negotiate HTTP and close the connection with FIN immediately after completion of a single transaction (GET and RESPONSE).

Scenario 2: The client MUST negotiate HTTP and close the connection FIN immediately after completion of 10 transactions (GET and RESPONSE) within a single TCP connection.

7.4.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.4.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.4.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.4.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

Client IP address range defined in Section 4.3.1.2

Server IP address range defined in Section 4.3.2.2

Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2

Target objective for scenario 1: 50% of the connections per second measured in benchmarking test TCP/HTTP Connections Per Second (Section 7.2)

Target objective for scenario 2: 50% of the inspected throughput measured in benchmarking test HTTP Throughput (Section 7.3)

Initial objective for scenario 1: 10% of "Target objective for scenario 1"

Initial objective for scenario 2: 10% of "Target objective for scenario 2"

Note: The Initial objectives are not a KPI to report. These values are configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.4.4.

HTTP transaction per TCP connection: Test scenario 1 with single transaction and test scenario 2 with 10 transactions.

HTTP with GET request requesting a single object. The RECOMMENDED object sizes are 1, 16, and 64 KByte. For each test iteration, client MUST request a single HTTP response object size.

7.4.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The Test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of attempt transactions.
  2. Number of terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  4. Concurrent TCP connections MUST be constant during steady state and any deviation of concurrent TCP connections SHOULD be less than 10%. This confirms the DUT opens and closes TCP connections at approximately the same rate.
  5. After ramp up the DUT MUST achieve the "Target objective" defined in Section 7.4.3.2 and remain in that state for the entire test duration (sustain phase).
7.4.3.4. Measurement

TTFB (minimum, average, and maximum) and TTLB (minimum, average and maximum) MUST be reported for each object size.

7.4.4. Test Procedures and Expected Results

The test procedure is designed to measure TTFB or TTLB when the DUT/SUT is operating close to 50% of its maximum achievable connections per second or inspected throughput. The test procedure consists of two major steps: Step 1 ensures the DUT/SUT is able to reach the initial performance values and meets the test results validation criteria when it was very minimally utilized. Step 2 measures the latency values within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IP types (IPv4 only, IPv6 only and IPv4 and IPv6 mixed traffic distribution), HTTP response object sizes and single and multiple transactions per connection scenarios.

7.4.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure traffic load profile of the test equipment to establish "Initial objective" as defined in Section 7.4.3.2. The traffic load profile SHOULD be defined as described in Section 4.3.4.

The DUT/SUT SHOULD reach the "Initial objective" before the sustain phase. The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Section 7.4.3.3.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.4.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish "Target objective" defined in Section 7.4.3.2. The test equipment SHOULD follow the traffic load profile definition as described in Section 4.3.4.

The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT MUST reach the desired value of the target objective in the sustain phase.

Measure the minimum, average, and maximum values of TTFB and TTLB.

7.5. Concurrent TCP/HTTP Connection Capacity

7.5.1. Objective

Determine the number of concurrent TCP connections that the DUT/ SUT sustains when using HTTP traffic.

7.5.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.5.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.5.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.5.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be noted for this benchmarking test:

  • Client IP address range defined in Section 4.3.1.2
  • Server IP address range defined in Section 4.3.2.2
  • Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2
  • Target concurrent connection: Initial value from product datasheet or the value defined based on requirement for a specific deployment scenario.
  • Initial concurrent connection: 10% of "Target concurrent connection" Note: Initial concurrent connection is not a KPI to report. This value is configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.5.4.
  • Maximum connections per second during ramp up phase: 50% of maximum connections per second measured in benchmarking test TCP/HTTP Connections per second (Section 7.2)
  • Ramp up time (in traffic load profile for "Target concurrent connection"): "Target concurrent connection" / "Maximum connections per second during ramp up phase"
  • Ramp up time (in traffic load profile for "Initial concurrent connection"): "Initial concurrent connection" / "Maximum connections per second during ramp up phase"

The client MUST negotiate HTTP and each client MAY open multiple concurrent TCP connections per server endpoint IP.

Each client sends 10 GET requests requesting 1 KByte HTTP response object in the same TCP connection (10 transactions/TCP connection) and the delay (think time) between each transaction MUST be X seconds.

X = ("Ramp up time" + "steady state time") /10

The established connections SHOULD remain open until the ramp down phase of the test. During the ramp down phase, all connections SHOULD be successfully closed with FIN.

7.5.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The Test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transaction) of total attempted transactions.
  2. Number of terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
7.5.3.4. Measurement

Average Concurrent TCP Connections MUST be reported for this benchmarking test.

7.5.4. Test Procedures and Expected Results

The test procedure is designed to measure the concurrent TCP connection capacity of the DUT/SUT at the sustaining period of traffic load profile. The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (Initial concurrent connection) and meets the test results validation criteria when it was very minimally utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IPv4 and IPv6 traffic distribution.

7.5.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure test equipment to establish "Initial concurrent TCP connections" defined in Section 7.5.3.2. Except ramp up time, the traffic load profile SHOULD be defined as described in Section 4.3.4.

During the sustain phase, the DUT/SUT SHOULD reach the "Initial concurrent TCP connections". The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Section 7.5.3.3.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.5.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish the target objective ("Target concurrent TCP connections"). The test equipment SHOULD follow the traffic load profile definition (except ramp up time) as described in Section 4.3.4.

During the ramp up and sustain phase, the other KPIs such as inspected throughput, TCP connections per second, and application transactions per second MUST NOT reach the maximum value the DUT/SUT can support.

The test equipment SHOULD start to measure and record KPIs defined in Section 7.5.3.4. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.5.4.3. Step 3: Test Iteration

Determine the achievable concurrent TCP connections capacity within the test results validation criteria.

7.6. TCP/HTTPS Connections per Second

7.6.1. Objective

Using HTTPS traffic, determine the sustainable SSL/TLS session establishment rate supported by the DUT/SUT under different throughput load conditions.

Test iterations MUST include common cipher suites and key strengths as well as forward looking stronger keys. Specific test iterations MUST include ciphers and keys defined in Section 7.6.3.2.

For each cipher suite and key strengths, test iterations MUST use a single HTTPS response object size defined in Section 7.6.3.2 to measure connections per second performance under a variety of DUT/SUT security inspection load conditions.

7.6.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.6.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.6.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.6.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

Client IP address range defined in Section 4.3.1.2

Server IP address range defined in Section 4.3.2.2

Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2

Target connections per second: Initial value from product datasheet or the value defined based on requirement for a specific deployment scenario.

Initial connections per second: 10% of "Target connections per second" Note: Initial connections per second is not a KPI to report. This value is configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.6.4.

RECOMMENDED ciphers and keys defined in Section 4.3.1.3

The client MUST negotiate HTTPS and close the connection with FIN immediately after completion of one transaction. In each test iteration, client MUST send GET request requesting a fixed HTTPS response object size. The RECOMMENDED object sizes are 1, 2, 4, 16, and 64 KByte.

7.6.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The test results validation criteria MUST be monitored during the whole test duration.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of attempt transactions.
  2. Number of terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  4. Concurrent TCP connections MUST be constant during steady state and any deviation of concurrent TCP connections SHOULD be less than 10%. This confirms the DUT opens and closes TCP connections at approximately the same rate.
7.6.3.4. Measurement

TCP connections per second MUST be reported for each test iteration (for each object size).

The KPI metric TLS Handshake Rate can be measured in the test using 1 KByte object size.

7.6.4. Test Procedures and Expected Results

The test procedure is designed to measure the TCP connections per second rate of the DUT/SUT at the sustaining period of traffic load profile. The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (Initial connections per second) and meets the test results validation criteria when it was very minimally utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IPv4 and IPv6 traffic distribution.

7.6.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure traffic load profile of the test equipment to establish "Initial connections per second" as defined in Section 7.6.3.2. The traffic load profile SHOULD be defined as described in Section 4.3.4.

The DUT/SUT SHOULD reach the "Initial connections per second" before the sustain phase. The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Section 7.6.3.3.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.6.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish "Target connections per second" defined in Section 7.6.3.2. The test equipment SHOULD follow the traffic load profile definition as described in Section 4.3.4.

During the ramp up and sustain phase, other KPIs such as inspected throughput, concurrent TCP connections, and application transactions per second MUST NOT reach the maximum value the DUT/SUT can support. The test results for specific test iteration SHOULD NOT be reported, if the above mentioned KPI (especially inspected throughput) reaches the maximum value. (Example: If the test iteration with 64 KByte of HTTPS response object size reached the maximum inspected throughput limitation of the DUT, the test iteration MAY be interrupted and the result for 64 KByte SHOULD NOT be reported).

The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective ("Target connections per second") in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.6.4.3. Step 3: Test Iteration

Determine the achievable connections per second within the test results validation criteria.

7.7. HTTPS Throughput

7.7.1. Objective

Determine the sustainable inspected throughput of the DUT/SUT for HTTPS transactions varying the HTTPS response object size.

Test iterations MUST include common cipher suites and key strengths as well as forward looking stronger keys. Specific test iterations MUST include the ciphers and keys defined in Section 7.7.3.2.

7.7.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.7.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.7.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.7.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

Client IP address range defined in Section 4.3.1.2

Server IP address range defined in Section 4.3.2.2

Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2

Target inspected throughput: Aggregated line rate of interface(s) used in the DUT/SUT or the value defined based on requirement for a specific deployment scenario.

Initial throughput: 10% of "Target inspected throughput" Note: Initial throughput is not a KPI to report. This value is configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.7.4.

Number of HTTPS response object requests (transactions) per connection: 10

RECOMMENDED ciphers and keys defined in Section 4.3.1.3

RECOMMENDED HTTPS response object size: 1, 16, 64, 256 KByte, and mixed objects defined in Table 5 under Section 7.3.3.2.

7.7.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed Application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of attempt transactions.
  2. Traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  3. Concurrent TCP connections MUST be constant during steady state and any deviation of concurrent TCP connections SHOULD be less than 10%. This confirms the DUT opens and closes TCP connections at approximately the same rate.
7.7.3.4. Measurement

Inspected Throughput and HTTP Transactions per Second MUST be reported for each object size.

7.7.4. Test Procedures and Expected Results

The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (Initial throughput) and meets the test results validation criteria when it was very minimally utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IPv4 and IPv6 traffic distribution and HTTPS response object sizes.

7.7.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure traffic load profile of the test equipment to establish "Initial throughput" as defined in Section 7.7.3.2.

The traffic load profile SHOULD be defined as described in Section 4.3.4. The DUT/SUT SHOULD reach the "Initial throughput" during the sustain phase. Measure all KPI as defined in Section 7.7.3.4.

The measured KPIs during the sustain phase MUST meet the test results validation criteria "a" defined in Section 7.7.3.3. The test results validation criteria "b" and "c" are OPTIONAL for step 1.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.7.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish the target objective ("Target inspected throughput") defined in Section 7.7.3.2. The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.7.4.3. Step 3: Test Iteration

Determine the achievable average inspected throughput within the test results validation criteria. Final test iteration MUST be performed for the test duration defined in Section 4.3.4.

7.8. HTTPS Transaction Latency

7.8.1. Objective

Using HTTPS traffic, determine the HTTPS transaction latency when DUT/SUT is running with sustainable HTTPS transactions per second supported by the DUT/SUT under different HTTPS response object size.

Scenario 1: The client MUST negotiate HTTPS and close the connection with FIN immediately after completion of a single transaction (GET and RESPONSE).

Scenario 2: The client MUST negotiate HTTPS and close the connection with FIN immediately after completion of 10 transactions (GET and RESPONSE) within a single TCP connection.

7.8.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.8.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.8.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.8.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

Client IP address range defined in Section 4.3.1.2

Server IP address range defined in Section 4.3.2.2

Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2

RECOMMENDED cipher suites and key sizes defined in Section 4.3.1.3

Target objective for scenario 1: 50% of the connections per second measured in benchmarking test TCP/HTTPS Connections per second (Section 7.6)

Target objective for scenario 2: 50% of the inspected throughput measured in benchmarking test HTTPS Throughput (Section 7.7)

Initial objective for scenario 1: 10% of "Target objective for scenario 1"

Initial objective for scenario 2: 10% of "Target objective for scenario 2"

Note: The Initial objectives are not a KPI to report. These values are configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.8.4.

HTTPS transaction per TCP connection: Test scenario 1 with single transaction and scenario 2 with 10 transactions

HTTPS with GET request requesting a single object. The RECOMMENDED object sizes are 1, 16, and 64 KByte. For each test iteration, client MUST request a single HTTPS response object size.

7.8.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The Test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of attempt transactions.
  2. Number of terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  4. Concurrent TCP connections MUST be constant during steady state and any deviation of concurrent TCP connections SHOULD be less than 10%. This confirms the DUT opens and closes TCP connections at approximately the same rate.
  5. After ramp up the DUT/SUT MUST achieve the "Target objective" defined in the parameter Section 7.8.3.2 and remain in that state for the entire test duration (sustain phase).
7.8.3.4. Measurement

TTFB (minimum, average, and maximum) and TTLB (minimum, average and maximum) MUST be reported for each object size.

7.8.4. Test Procedures and Expected Results

The test procedure is designed to measure TTFB or TTLB when the DUT/SUT is operating close to 50% of its maximum achievable connections per second or inspected throughput. The test procedure consists of two major steps: Step 1 ensures the DUT/SUT is able to reach the initial performance values and meets the test results validation criteria when it was very minimally utilized. Step 2 measures the latency values within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IP types (IPv4 only, IPv6 only and IPv4 and IPv6 mixed traffic distribution), HTTPS response object sizes and single, and multiple transactions per connection scenarios.

7.8.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure traffic load profile of the test equipment to establish "Initial objective" as defined in the Section 7.8.3.2. The traffic load profile SHOULD be defined as described in Section 4.3.4.

The DUT/SUT SHOULD reach the "Initial objective" before the sustain phase. The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Section 7.8.3.3.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.8.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish "Target objective" defined in Section 7.8.3.2. The test equipment SHOULD follow the traffic load profile definition as described in Section 4.3.4.

The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT MUST reach the desired value of the target objective in the sustain phase.

Measure the minimum, average, and maximum values of TTFB and TTLB.

7.9. Concurrent TCP/HTTPS Connection Capacity

7.9.1. Objective

Determine the number of concurrent TCP connections the DUT/SUT sustains when using HTTPS traffic.

7.9.2. Test Setup

Testbed setup SHOULD be configured as defined in Section 4. Any specific testbed configuration changes (number of interfaces and interface type, etc.) MUST be documented.

7.9.3. Test Parameters

In this section, benchmarking test specific parameters SHOULD be defined.

7.9.3.1. DUT/SUT Configuration Parameters

DUT/SUT parameters MUST conform to the requirements defined in Section 4.2. Any configuration changes for this specific benchmarking test MUST be documented.

7.9.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The following parameters MUST be documented for this benchmarking test:

  • Client IP address range defined in Section 4.3.1.2
  • Server IP address range defined in Section 4.3.2.2
  • Traffic distribution ratio between IPv4 and IPv6 defined in Section 4.3.1.2
  • RECOMMENDED cipher suites and key sizes defined in Section 4.3.1.3
  • Target concurrent connections: Initial value from product datasheet or the value defined based on requirement for a specific deployment scenario.
  • Initial concurrent connections: 10% of "Target concurrent connections" Note: Initial concurrent connection is not a KPI to report. This value is configured on the traffic generator and used to perform the Step1: "Test Initialization and Qualification" described under the Section 7.9.4.
  • Connections per second during ramp up phase: 50% of maximum connections per second measured in benchmarking test TCP/HTTPS Connections per second (Section 7.6)
  • Ramp up time (in traffic load profile for "Target concurrent connections"): "Target concurrent connections" / "Maximum connections per second during ramp up phase"
  • Ramp up time (in traffic load profile for "Initial concurrent connections"): "Initial concurrent connections" / "Maximum connections per second during ramp up phase"

The client MUST perform HTTPS transaction with persistence and each client can open multiple concurrent TCP connections per server endpoint IP.

Each client sends 10 GET requests requesting 1 KByte HTTPS response objects in the same TCP connections (10 transactions/TCP connection) and the delay (think time) between each transaction MUST be X seconds.

X = ("Ramp up time" + "steady state time") /10

The established connections SHOULD remain open until the ramp down phase of the test. During the ramp down phase, all connections SHOULD be successfully closed with FIN.

7.9.3.3. Test Results Validation Criteria

The following criteria are the test results validation criteria. The Test results validation criteria MUST be monitored during the whole sustain phase of the traffic load profile.

  1. Number of failed application transactions (receiving any HTTP response code other than 200 OK) MUST be less than 0.001% (1 out of 100,000 transactions) of total attempted transactions.
  2. Number of terminated TCP connections due to unexpected TCP RST sent by DUT/SUT MUST be less than 0.001% (1 out of 100,000 connections) of total initiated TCP connections.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
7.9.3.4. Measurement

Average Concurrent TCP Connections MUST be reported for this benchmarking test.

7.9.4. Test Procedures and Expected Results

The test procedure is designed to measure the concurrent TCP connection capacity of the DUT/SUT at the sustaining period of traffic load profile. The test procedure consists of three major steps: Step 1 ensures the DUT/SUT is able to reach the performance value (Initial concurrent connection) and meets the test results validation criteria when it was very minimally utilized. Step 2 determines the DUT/SUT is able to reach the target performance value within the test results validation criteria. Step 3 determines the maximum achievable performance value within the test results validation criteria.

This test procedure MAY be repeated multiple times with different IPv4 and IPv6 traffic distribution.

7.9.4.1. Step 1: Test Initialization and Qualification

Verify the link status of all connected physical interfaces. All interfaces are expected to be in "UP" status.

Configure test equipment to establish "Initial concurrent TCP connections" defined in Section 7.9.3.2. Except ramp up time, the traffic load profile SHOULD be defined as described in Section 4.3.4.

During the sustain phase, the DUT/SUT SHOULD reach the "Initial concurrent TCP connections". The measured KPIs during the sustain phase MUST meet the test results validation criteria "a" and "b" defined in Section 7.9.3.3.

If the KPI metrics do not meet the test results validation criteria, the test procedure MUST NOT be continued to "Step 2".

7.9.4.2. Step 2: Test Run with Target Objective

Configure test equipment to establish the target objective ("Target concurrent TCP connections"). The test equipment SHOULD follow the traffic load profile definition (except ramp up time) as described in Section 4.3.4.

During the ramp up and sustain phase, the other KPIs such as inspected throughput, TCP connections per second, and application transactions per second MUST NOT reach to the maximum value that the DUT/SUT can support.

The test equipment SHOULD start to measure and record KPIs defined in Section 7.9.3.4. Continue the test until all traffic profile phases are completed.

Within the test results validation criteria, the DUT/SUT is expected to reach the desired value of the target objective in the sustain phase. Follow step 3, if the measured value does not meet the target value or does not fulfill the test results validation criteria.

7.9.4.3. Step 3: Test Iteration

Determine the achievable concurrent TCP connections within the test results validation criteria.

8. IANA Considerations

The IANA has assigned IPv4 and IPv6 address blocks in [RFC6890] that have been registered for special purposes. The IPv6 address block 2001:2::/48 has been allocated for the purpose of IPv6 Benchmarking [RFC5180] and the IPv4 address block 198.18.0.0/15 has been allocated for the purpose of IPv4 Benchmarking [RFC2544]. This assignment was made to minimize the chance of conflict in case a testing device were to be accidentally connected to part of the Internet.

9. Security Considerations

The primary goal of this document is to provide benchmarking terminology and methodology for next-generation network security devices. However, readers should be aware that there is some overlap between performance and security issues. Specifically, the optimal configuration for network security device performance may not be the most secure, and vice-versa. The cipher suites recommended in this document are for test purpose only. The cipher suite recommendation for a real deployment is outside the scope of this document.

10. Contributors

The following individuals contributed significantly to the creation of this document:

Alex Samonte, Amritam Putatunda, Aria Eslambolchizadeh, Chao Guo, Chris Brown, Cory Ford, David DeSanto, Jurrie Van Den Breekel, Michelle Rhines, Mike Jack, Ryan Liles, Samaresh Nair, Stephen Goudreault, Tim Carlin, and Tim Otto.

11. Acknowledgements

The authors wish to acknowledge the members of NetSecOPEN for their participation in the creation of this document. Additionally, the following members need to be acknowledged:

Anand Vijayan, Chris Marshall, Jay Lindenauer, Michael Shannon, Mike Deichman, Ryan Riese, and Toulnay Orkun.

12. References

12.1. Normative References

[RFC2119]
Bradner, S., "Key words for use in RFCs to Indicate Requirement Levels", BCP 14, RFC 2119, DOI 10.17487/RFC2119, , <https://www.rfc-editor.org/info/rfc2119>.
[RFC8174]
Leiba, B., "Ambiguity of Uppercase vs Lowercase in RFC 2119 Key Words", BCP 14, RFC 8174, DOI 10.17487/RFC8174, , <https://www.rfc-editor.org/info/rfc8174>.

12.2. Informative References

[RFC2544]
Bradner, S. and J. McQuaid, "Benchmarking Methodology for Network Interconnect Devices", RFC 2544, DOI 10.17487/RFC2544, , <https://www.rfc-editor.org/info/rfc2544>.
[RFC2616]
Fielding, R., Gettys, J., Mogul, J., Frystyk, H., Masinter, L., Leach, P., and T. Berners-Lee, "Hypertext Transfer Protocol -- HTTP/1.1", RFC 2616, DOI 10.17487/RFC2616, , <https://www.rfc-editor.org/info/rfc2616>.
[RFC2647]
Newman, D., "Benchmarking Terminology for Firewall Performance", RFC 2647, DOI 10.17487/RFC2647, , <https://www.rfc-editor.org/info/rfc2647>.
[RFC3511]
Hickman, B., Newman, D., Tadjudin, S., and T. Martin, "Benchmarking Methodology for Firewall Performance", RFC 3511, DOI 10.17487/RFC3511, , <https://www.rfc-editor.org/info/rfc3511>.
[RFC5180]
Popoviciu, C., Hamza, A., Van de Velde, G., and D. Dugatkin, "IPv6 Benchmarking Methodology for Network Interconnect Devices", RFC 5180, DOI 10.17487/RFC5180, , <https://www.rfc-editor.org/info/rfc5180>.
[RFC6815]
Bradner, S., Dubray, K., McQuaid, J., and A. Morton, "Applicability Statement for RFC 2544: Use on Production Networks Considered Harmful", RFC 6815, DOI 10.17487/RFC6815, , <https://www.rfc-editor.org/info/rfc6815>.
[RFC6890]
Cotton, M., Vegoda, L., Bonica, R., Ed., and B. Haberman, "Special-Purpose IP Address Registries", BCP 153, RFC 6890, DOI 10.17487/RFC6890, , <https://www.rfc-editor.org/info/rfc6890>.
[RFC8446]
Rescorla, E., "The Transport Layer Security (TLS) Protocol Version 1.3", RFC 8446, DOI 10.17487/RFC8446, , <https://www.rfc-editor.org/info/rfc8446>.
[RFC9000]
Iyengar, J., Ed. and M. Thomson, Ed., "QUIC: A UDP-Based Multiplexed and Secure Transport", RFC 9000, DOI 10.17487/RFC9000, , <https://www.rfc-editor.org/info/rfc9000>.

Appendix A. Test Methodology - Security Effectiveness Evaluation

A.1. Test Objective

This test methodology verifies the DUT/SUT is able to detect, prevent, and report the vulnerabilities.

In this test, background test traffic will be generated to utilize the DUT/SUT. In parallel, the CVEs will be sent to the DUT/SUT as encrypted and as well as clear text payload formats using a traffic generator. The selection of the CVEs is described in Section 4.2.1.

  • Number of blocked CVEs
  • Number of bypassed (nonblocked) CVEs
  • Background traffic performance (verify if the background traffic is impacted while sending CVE toward DUT/SUT)
  • Accuracy of DUT/SUT statistics in term of vulnerabilities reporting

A.2. Testbed Setup

The same testbed MUST be used for security effectiveness test and as well as for benchmarking test cases defined in Section 7.

A.3. Test Parameters

In this section, the benchmarking test specific parameters SHOULD be defined.

A.3.1. DUT/SUT Configuration Parameters

DUT/SUT configuration parameters MUST conform to the requirements defined in Section 4.2. The same DUT configuration MUST be used for Security effectiveness test and as well as for benchmarking test cases defined in Section 7. The DUT/SUT MUST be configured in inline mode and all detected attack traffic MUST be dropped and the session SHOULD be reset

A.3.2. Test Equipment Configuration Parameters

Test equipment configuration parameters MUST conform to the requirements defined in Section 4.3. The same client and server IP ranges MUST be configured as used in the benchmarking test cases. In addition, the following parameters MUST be documented for this benchmarking test:

  • Background Traffic: 45% of maximum HTTP throughput and 45% of Maximum HTTPS throughput supported by the DUT/SUT (measured with object size 64 KByte in the benchmarking tests "HTTP(S) Throughput" defined in Section 7.3 and Section 7.7).
  • RECOMMENDED CVE traffic transmission Rate: 10 CVEs per second
  • It is RECOMMENDED to generate each CVE multiple times (sequentially) at 10 CVEs per second
  • Ciphers and keys for the encrypted CVE traffic MUST use the same cipher configured for HTTPS traffic related benchmarking tests (Section 7.6 - Section 7.9)

A.4. Test Results Validation Criteria

The following criteria are the test results validation criteria. The test results validation criteria MUST be monitored during the whole test duration.

  1. Number of failed application transaction in the background traffic MUST be less than 0.01% of attempted transactions.
  2. Number of terminated TCP connections of the background traffic (due to unexpected TCP RST sent by DUT/SUT) MUST be less than 0.01% of total initiated TCP connections in the background traffic.
  3. During the sustain phase, traffic SHOULD be forwarded at a constant rate (considered as a constant rate if any deviation of traffic forwarding rate is less than 5%).
  4. False positive MUST NOT occur in the background traffic.

A.5. Measurement

Following KPI metrics MUST be reported for this test scenario:

Mandatory KPIs:

  • Blocked CVEs: It SHOULD be represented in the following ways:

    • Number of blocked CVEs out of total CVEs
    • Percentage of blocked CVEs

  • Unblocked CVEs: It SHOULD be represented in the following ways:

    • Number of unblocked CVEs out of total CVEs
    • Percentage of unblocked CVEs

  • Background traffic behavior: It SHOULD be represented one of the followings ways:

    • No impact: Considered as "no impact'" if any deviation of traffic forwarding rate is less than or equal to 5 % (constant rate)
    • Minor impact: Considered as "minor impact" if any deviation of traffic forwarding rate is greater than 5% and less than or equal to10% (i.e. small spikes)
    • Heavily impacted: Considered as "Heavily impacted" if any deviation of traffic forwarding rate is greater than 10% (i.e. large spikes) or reduced the background HTTP(S) throughput greater than 10%
  • DUT/SUT reporting accuracy: DUT/SUT MUST report all detected vulnerabilities.

Optional KPIs:

  • List of unblocked CVEs

A.6. Test Procedures and Expected Results

The test procedure is designed to measure the security effectiveness of the DUT/SUT at the sustaining period of the traffic load profile. The test procedure consists of two major steps. This test procedure MAY be repeated multiple times with different IPv4 and IPv6 traffic distribution.

A.6.1. Step 1: Background Traffic

Generate background traffic at the transmission rate defined in Appendix A.3.2.

The DUT/SUT MUST reach the target objective (HTTP(S) throughput) in sustain phase. The measured KPIs during the sustain phase MUST meet all the test results validation criteria defined in Appendix A.4.

If the KPI metrics do not meet the acceptance criteria, the test procedure MUST NOT be continued to "Step 2".

A.6.2. Step 2: CVE Emulation

While generating background traffic (in sustain phase), send the CVE traffic as defined in the parameter section.

The test equipment SHOULD start to measure and record all specified KPIs. Continue the test until all CVEs are sent.

The measured KPIs MUST meet all the test results validation criteria defined in Appendix A.4.

In addition, the DUT/SUT SHOULD report the vulnerabilities correctly.

Appendix B. DUT/SUT Classification

This document aims to classify the DUT/SUT in four different categories based on its maximum supported firewall throughput performance number defined in the vendor datasheet. This classification MAY help user to determine specific configuration scale (e.g., number of ACL entries), traffic profiles, and attack traffic profiles, scaling those proportionally to DUT/SUT sizing category.

The four different categories are Extra Small (XS), Small (S), Medium (M), and Large (L). The RECOMMENDED throughput values for the following categories are:

Extra Small (XS) - Supported throughput less than or equal to1Gbit/s

Small (S) - Supported throughput greater than 1Gbit/s and less than or equal to 5Gbit/s

Medium (M) - Supported throughput greater than 5Gbit/s and less than or equal to10Gbit/s

Large (L) - Supported throughput greater than 10Gbit/s

Authors' Addresses

Balamuhunthan Balarajah
Berlin
Germany
Carsten Rossenhoevel
EANTC AG
Salzufer 14
10587 Berlin
Germany
Brian Monkman
NetSecOPEN
417 Independence Court
Mechanicsburg, PA 17050
United States of America