Certification Report
NetIQ® Secure Configuration Manager™ 5.9.1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2014
Document number: 383-4-265-CR
Version: 1.0
Date: 28 November 2014
Pagination: i to iii, 1 to 10
CCS Certification Report NetIQ Corporation
NetIQ SCM 5.9.1
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. This certification report, and its associated certificate, applies only to
the identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, and no warranty for the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, is either expressed or implied.
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NetIQ SCM 5.9.1
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
This certification report is associated with the certificate of product evaluation dated 28
November 2014, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
This certification report makes reference to the following trademarks or registered
trademarks:
 NetIQ® is a registered trademark of NetIQ Corporation
 Secure Configuration Manager ™ is a trademark of NetIQ Corporation
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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NetIQ SCM 5.9.1
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation................................................................................. 2
2 TOE Description ................................................................................................................... 2
3 Security Policy....................................................................................................................... 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
6.3 CLARIFICATION OF SCOPE.......................................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 6
10 ITS Product Testing.............................................................................................................. 7
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
10.4 CONDUCT OF TESTING ............................................................................................... 8
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Evaluator Comments, Observations and Recommendations ........................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 9
14 References............................................................................................................................ 10
CCS Certification Report NetIQ Corporation
NetIQ SCM 5.9.1
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Executive Summary
NetIQ® Secure Configuration Manager™ 5.9.1 (hereafter referred to as NetIQ SCM 5.9.1),
from NetIQ Corporation, is the Target of Evaluation. The results of this evaluation
demonstrate that NetIQ SCM 5.9.1 meets the requirements of Evaluation Assurance Level
(EAL) 2 augmented for the evaluated security functionality.
NetIQ SCM 5.9.1 is a software application that enables organizations to determine
organizational security policy compliance, to identify security vulnerabilities and potential
threats, and to assist in correcting exposures in a timely manner to reduce the risk of security
breaches, failed compliance audits or downtime. NetIQ SCM also provides reporting
capabilities, risk scoring to assist with prioritizing the discovered potential threats and
vulnerabilities, and an update service that integrates new expertise and security knowledge1
by providing new security checks for the latest vulnerabilities, updated policy templates, and
current manufacturer-recommended patches.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
27 October 2014 and was carried out in accordance with the rules of the Canadian Common
Criteria Evaluation and Certification Scheme (CCS).
The scope of the evaluation is defined by the Security Target, which identifies assumptions
made during the evaluation, the intended environment for NetIQ SCM 5.9.1, and the security
functional/assurance requirements. Consumers are advised to verify that their operating
environment is consistent with that specified in the security target, and to give due
consideration to the comments, observations and recommendations in this certification
report.
Communications Security Establishment, as the CCS Certification Body, declares that the
NetIQ SCM 5.9.1 evaluation meets all the conditions of the Arrangement on the Recognition
of Common Criteria Certificates and that the product will be listed on the CCS Certified
Products list (CPL) and the Common Criteria portal (the official website of the Common
Criteria Project).
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this EAL 2+ evaluation is NetIQ® Secure Configuration
Manager™ 5.9.1 (hereafter referred to as NetIQ SCM 5.9.1), from NetIQ Corporation.
2 TOE Description
NetIQ SCM 5.9.1 is a software application that enables organizations to determine
organizational security policy compliance, to identify security vulnerabilities and potential
threats, and to assist in correcting exposures in a timely manner to reduce the risk of security
breaches, failed compliance audits or downtime. NetIQ SCM 5.9.1 also provides reporting
capabilities, risk scoring to assist with prioritizing the discovered potential threats and
vulnerabilities, and an update service that integrates new expertise and security knowledge
by providing new security checks for the latest vulnerabilities, updated policy templates, and
current manufacturer-recommended patches.
A diagram of the NetIQ SCM 5.9.1 architecture is as follows:
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3 Security Policy
NetIQ SCM 5.9.1 implements a role-based access control policy to control administrative
access to the system. In addition, NetIQ SCM 5.9.1 implements policies pertaining to the
following security functional classes:
 Security Audit
 Cryptographic Operations
 User Data Protection
 Identification and Authentication
 Protection of the TOE
 Security Management
 Secure Communications
The following cryptographic modules were evaluated to the FIPS 140-2 standard:
Cryptographic Module Certificate
OpenSSL FIPS Object Module v1.2 #1051
Network Security Services (NSS) Cryptographic Module
(Extend ECC) v3.12.4
#1279
Network Security Services (NSS) v3.12.4 #1475
4 Security Target
The ST associated with this Certification Report is identified below:
NetIQ® Secure Configuration Manager™ 5.9.1 Security Target v3.0, August 27,2014
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
NetIQ SCM 5.9.1 is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following:
 ALC_FLR.1 – Basic flaw remediation
b. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST:
 FPT_SEP_EXT.1 – Partial TSF domain separation
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
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NetIQ SCM 5.9.1
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6 Assumptions and Clarification of Scope
Consumers of NetIQ SCM 5.9.1 should consider assumptions about usage and environmental
settings as requirements for the product’s installation and its operating environment. This
will ensure the proper and secure operation of the TOE.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 All networks will allow for communications between the components;
 The TOE has access to all the IT System data it needs to perform its functions;
 The TOE will be managed in a manner that allows it to appropriately address
changes in the IT System the TOE monitors;
 The TOE component for Core Services must be connected to the Internet, behind
appropriate boundary protection mechanisms, in order to receive updated content
information from the NetIQ servers;
 Administrators will implement procedures for reviewing and validating updated
content files from NetIQ, and for applying the updates; and
 The authorized administrators are not careless, willfully negligent, or hostile, and
will follow and abide by the instructions provided by the TOE documentation.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE will be able to rely on the IT environment to determine the identity of users;
 The server components of the TOE will be located within controlled access facilities,
which will prevent unauthorized physical access; and
 The TOE will be able to rely on the IT environment to obtain a reliable time stamp.
6.3 Clarification of Scope
The FIPS validation is vendor affirmed and the cryptographic modules have been ported in
accordance with FIPS IG G.5.
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7 Evaluated Configuration
The evaluated configuration for NetIQ SCM 5.9.1 comprises:
 The SCM Console v5.9.1 and the SCM Core Services v5.9.1 components installed on
a GPC running Windows Server 2012 R2;
 A security Agent installed on a monitored system running either Sun Solaris 5.1.1 or
Windows Server 2012
The publication entitled NetIQ Secure Configuration Manager 5.9.1 Operation User
Guidance and Preparative Procedures v1.0 describes the procedures necessary to install and
operate NetIQ SCM 5.9.1 in its evaluated configuration.
8 Documentation
The NetIQ Corporation documents provided to the consumer are as follows:
a. NetIQ Secure Configuration Manager 5.9.1 Operation User Guidance and Preparative
Procedures, v1.0, 27 October 2014
b. NetIQ Secure Configuration Manager Installation Guide, July 2013
c. NetIQ Secure Configuration Manager Windows Agent Installation and Configuration
Guide, July 2013; and
d. NetIQ Secure Configuration Manager User Guide, July 2013.
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9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of NetIQ SCM 5.9.1,
including the following areas:
Development: The evaluators analyzed the NetIQ SCM 5.9.1 functional specification and
design documentation; they determined that the design completely and accurately describes
the TOE security functionality (TSF) interfaces, the TSF subsystems and how the TSF
implements the security functional requirements (SFRs). The evaluators analyzed the NetIQ
SCM 5.9.1 security architectural description and determined that the initialization process is
secure, that the security functions are protected against tamper and bypass, and that security
domains are maintained. The evaluators also independently verified that the correspondence
mappings between the design documents are correct.
Guidance Documents: The evaluators examined the NetIQ SCM 5.9.1 preparative user
guidance and operational user guidance and determined that it sufficiently and
unambiguously describes how to securely transform the TOE into its evaluated configuration
and how to use and administer the product. The evaluators examined and tested the
preparative and operational guidance, and determined that they are complete and sufficiently
detailed to result in a secure configuration.
Life-cycle support: An analysis of the NetIQ SCM 5.9.1 configuration management system
and associated documentation was performed. The evaluators found that the NetIQ SCM
5.9.1 configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of NetIQ SCM 5.9.1 during distribution to
the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the NetIQ
SCM 5.9.1. The evaluators concluded that the procedures are adequate to track and correct
security flaws, and distribute the flaw information and corrections to consumers of the
product
All these evaluation activities resulted in PASS verdicts.
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10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR1
.
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification was complete.
10.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach is the
following list of test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Agent Push: The objective of this test goal is to confirm that the TOE can push an agent
installation out to a PC;
c. Agent Uninstall: The objective of this test goal is to confirm that the TOE can uninstall
an agent from a PC;
d. Group Policy Pull: The objective of this test goal is to confirm that the TOE can pull
group policy settings from Windows 2012 servers;
e. Security Check: The objective of this test goal is to have the TOE perform a security
check on a monitored system; and
f. Software Inventory: The objective of this test goal is to confirm that the TOE can
determine what software a monitored system has installed.
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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10.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
a. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities.
b. Information Leakage Verification: The objective of this test goal is to monitor the TOE
for leakage during start-up, shutdown, login, and other scenarios using a packet sniffer;
and
c. Agent Restart: The objective of this test goal is to attempt to disable the agent on a
monitored system.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
NetIQ SCM 5.9.1 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the Information
Technology Security Evaluation and Test Facility. The CCS Certification Body witnessed a
portion of the independent testing. The detailed testing activities, including configurations,
procedures, test cases, expected results and observed results are documented in a separate
Test Results document.
10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that NetIQ SCM 5.9.1 behaves as specified in its ST and functional
specification.
11 Results of the Evaluation
This evaluation has provided the basis for an EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
12 Evaluator Comments, Observations and Recommendations
The evaluator recommends reading and understanding about potential Windows domain
requirements before deployment of this product.
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13 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GPC General Purpose Computer
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
PALCAN Program for the Accreditation of
Laboratories - Canada
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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14 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. NetIQ® Secure Configuration Manager™ 5.9.1 Security Target v3.0, August 27,2014
e. Evaluation Technical Report for EAL 2+ Common Criteria Evaluation of NetIQ
Corporation NetIQ® Secure Configuration Manager™ 5.9.1 Document No. 1824-
000-D002 Version 1.2, 27 October 2014.