Certification Report
EAL 2 Evaluation of
Symantec™ Security Information Manager Version 4.5
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2007 Government of Canada, Communications Security Establishment
Document number: 383-4-71-CR
Version: 0.8
Date: 12 September 2007
Pagination: i to iv, 1 to 09
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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 2.3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 2.3. This certification report, and its associated certificate, apply 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 (CSE), 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 CSE, 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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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 (CSE).
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 Standard 17025, General requirements for the
accreditation of calibration and testing 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 Electronic Warfare Associates-Canada, Ltd.
located in Ottawa, Ontario.
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, its security
requirements, and the level of confidence (i.e., the evaluation assurance level) that the
product satisfies the security requirements.
This certification report is associated with the certificate of product evaluation dated 10
September 2007, 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 at: http://www.cse-cst.gc.ca/services/common-criteria/trusted-
products-e.html and on the Common Criteria Portal list of evaluated products at:
http://www.commoncriteriaportal.org/
This certification report makes reference to the following trademarked or registered
trademarks:
• Symantec is a registered trademark of Symantec Corporation
• Linux is a registered trademark of Linus Torvalds. Inc.
• Red Hat is a registered trademark of Red Hat, Inc.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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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 Evaluated Security Functionality........................................................................................ 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 2
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 3
7.3 CLARIFICATION OF SCOPE.......................................................................................... 3
8 Architectural Information ................................................................................................... 3
9 Evaluated Configuration...................................................................................................... 4
10 Documentation ...................................................................................................................... 4
11 Evaluation Analysis Activities ............................................................................................. 5
12 ITS Product Testing.............................................................................................................. 6
12.1 ASSESSMENT OF DEVELOPER TESTS.......................................................................... 6
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
12.4 CONDUCT OF TESTING ............................................................................................... 7
12.5 TESTING RESULTS...................................................................................................... 7
13 Results of the Evaluation...................................................................................................... 7
14 Evaluator Comments, Observations and Recommendations ........................................... 7
15 Acronyms, Abbreviations and Initializations..................................................................... 9
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16 References.............................................................................................................................. 9
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Executive Summary
The Symantec™ Security Information Manager Version 4.5, from Symantec Corporation
(hereafter referred to as SSIM), is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 2 evaluation.
The SSIM provides the ability to analyze historical security events and generate reports on
security metrics in support of satisfying security policy compliance needs. The SSIM
provides real-time event correlation and data archiving to protect against security threats and
to preserve critical security data. The SSIM collects, analyzes, and archives information from
security devices, critical applications, and services.
Electronic Warfare Associates-Canada, Ltd. is the CCEF that conducted the evaluation. This
evaluation was completed on 29 August 2007 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 the SSIM, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the security 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.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 2 assurance requirements for the evaluated security
functionality. The evaluation was conducted using the Common Methodology for
Information Technology Security Evaluation, Version 2.3 (with applicable final
interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3.
CSE, as the CCS Certification Body, declares that the SSIM 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) at http://www.cse-
cst.gc.ca/services/common-criteria/trusted-products-e.html and on the official International
Common Criteria Program website at http://www.commoncriteriaportal.org.
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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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 evaluation is
the Symantec™ Security Information Manager Version 4.5 (hereafter referred to as SSIM),
from Symantec Corporation.
2 TOE Description
The SSIM provides the ability to analyze historical security events and generate reports on
security metrics in support of satisfying security policy compliance needs. The SSIM
provides real-time event correlation and data archiving to protect against security threats and
to preserve critical security data. The SSIM collects, analyzes, and archives information from
security devices, critical applications, and services.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the SSIM is identified in Section 5
of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target for Common Criteria Evaluation: Symantec™ Security Information
Manager Version 4.5
Version: Version 1.7
Date: 24 August 2007
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, version 2.3.
The SSIM is:
a. Common Criteria Part 2 extended, with security functional requirements based upon
functional components in Part 2, as well as the following:
• SIM_ANL.1 Event Analysis
• SIM_RES.1 Incident Resolution
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
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c. Common Criteria EAL 2 conformant, containing all security assurance requirements
from EAL 2.
6 Security Policy
The TOE implements the Administrative Access Control SFP. This SFP determines and
enforces the privileges associated with operator roles. An authorized administrator can
define specific services available to administrators and users via the Management Console.
In addition, the SSIM implements policies pertaining to security audit, user data protection,
identification and authentication, and security management. Further details on these security
policies may be found in Section 5 of the ST.
7 Assumptions and Clarification of Scope
Consumers of the SSIM product 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.
7.1 Secure Usage Assumptions
Personnel authorized to install, configure, and operate the SSIM possess appropriate training,
are not hostile, and will adhere to the procedures for secure usage of the product.
7.2 Environmental Assumptions
The SSIM resides within controlled access facilities, which will prevent unauthorized
physical access.
7.3 Clarification of Scope
The SSIM relies on the environment to provide it physical and logical protection. The SSIM
provides a level of protection that is appropriate for low robustness environments handling
sensitive data. It offers protection against inadvertent or casual attempts to breach system
security. It is not intended for situations in which hostile and well-funded attackers use
sophisticated attacks from within the physical zone.
8 Architectural Information
The SSIM is composed of the following component subsystems:
• Agent - Facilitates communicating configuration information and event data between the
Event Service and the Event Collector;
• Configuration Service - Responsible for configuration of the TOE;
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• Correlation Engine - Provides filters rules to generate correlations in multiple events
and creates incidents when a rule is fired. This component also provides all incident
management functions;
• Database - Stores configuration information, event logs, and reports in addition to
events, correlated events, conclusions, and incidents;
• Event Collector - Receives inbound events from sensors and forwards to the Agent for
processing;
• Event Service - Communicates with Agent to push updated configurations and to receive
events for processing and forwarding to the Correlation Engine;
• Management Console - Allows configuration as well as review of configuration settings
and reports. There are two console management interfaces: one is web-based and the
other is Java-based. The web-based console is used to configure local items specific to
the appliance (such as network settings, date/time, etc.). The Java-based console is used
to view incidents, tickets, events and is also used in user & role administration. This
application is part of the Information Manager software and downloaded to a workstation
via a Web-browser; and
• Sensor - Receives events from point products attached to the network and forwards to
the Event Collector for aggregation.
9 Evaluated Configuration
The evaluated configuration for the SSIM comprises:
• SSIM 9650 running on SSIM Version 4.5.0.113 with Linux-based Operating
System, Red Hat version 4.0 running with Linux Kernel v2.6; and
• A PC Computer running on Windows 2000 Pro SP4, Windows XP SP2, Windows
2003 Server SP1 or Windows 2000 Advanced Server SP4, with any number of User
Interactive Programs and Third-party Applications installed and running.
10 Documentation
The Symantec Corporation documents provided to the consumer are as follows:
a. Symantec™ Security Information Manager 4.5 Installation Guide, 2006;
b. Symantec™ Security Information Manager 4.5 Administrator’s Guide;
c. Symantec™ Security Information Manager 4.5 User’s Guide;
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d. Symantec™ Security Information Manager 4.5 Release Notes; and
e. Administrative Guidance and Installation, Generation and Startup Procedures:
Symantec™ Security Information Manager 4.5.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the SSIM, including the
following areas:
Configuration management: An analysis of the SSIM CM system and associated
documentation was performed. The evaluators found that the SSIM configuration items were
clearly marked, and could be modified and controlled. The developer’s configuration
management system was observed during a site visit, and it was found to be mature and well
developed.
Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of the
SSIM during distribution to the consumer. The evaluators examined and tested the
installation, generation and start-up procedures, and determined that they were complete and
sufficiently detailed to result in a secure configuration.
Design documentation: The evaluators analysed the SSIM functional specification and
high-level design; they determined that the documents were internally consistent, and
completely and accurately instantiated all interfaces and security functions. The evaluators
also independently verified that the correspondence mappings between the design documents
were correct.
Guidance documents: The evaluators examined the SSIM user and administrator guidance
documentation and determined that it sufficiently and unambiguously described how to
securely use and administer the product, and that it was consistent with the other documents
supplied for evaluation.
Vulnerability assessment: The SSIM ST’s strength of function claims were validated
through independent evaluator analysis. The evaluators examined the developer’s
vulnerability analysis for the SSIM and found that it sufficiently described each of the
potential vulnerabilities along with a sound rationale as to why it was not exploitable in the
intended environment. Additionally, the evaluators conducted an independent review of
public domain vulnerability databases, and all evaluation deliverables to provide assurance
that the developer has considered all potential vulnerabilities.
All these evaluation activities resulted in PASS verdicts.
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12 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developers tests,
performing independent functional tests, and performing penetration tests.
12.1 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 ETR2
.
Symantec employs a rigorous testing process that tests the changes and fixes in each release
of the SSIM. Comprehensive regression testing is conducted for all releases.
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.
12.2 Independent Functional Testing
During this evaluation, the evaluators developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a sample of the developer's test cases, and creating test cases that augmented the
developer tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. The following areas were tested:
a. Product Initialization;
b. Identification and Authentication;
c. Audit;
d. Users and Roles;
e. User Data Protection; and
f. Basic Product Functionality.
2
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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12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis and the independent
review of public domain vulnerability databases and all evaluation deliverables, limited
independent evaluator penetration testing was conducted. The penetration tests focused on:
• Generic vulnerabilities;
• Bypassing;
• Tampering; and
• Direct attacks
The evaluator conducted a port scan of the SSIM. The only ports found to be open were ones
that would be expected to be. The evaluator used a publicly available tool to scan the SSIM
for weaknesses, and none were found. The evaluator also used a publicly available packet
capture tool to examine output from the SSIM during startup, shutdown and normal
operations. The evaluator searched the captured results in an attempt to extract information
which might be useful to a potential attacker; no useful information was uncovered.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
12.4 Conduct of Testing
The SSIM 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 (ITSET) Facility at Electronic Warfare Associates-Canada, Ltd.
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.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the SSIM behaves as specified in its ST and functional specification.
13 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.
14 Evaluator Comments, Observations and Recommendations
The complete documentation for the SSIM includes a comprehensive Installation and
Security Guide, an Administrator’s Guide and an User’s Guide.
The SSIM is straightforward to configure, use and integrate into a corporate network.
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Symantec is strongly committed to secure practices, the CC effort and effective configuration
management and delivery processes as evidenced by the high-quality of the CC evaluation
evidence and its practical application for the SSIM project.
Though life-cycle support development security is not part of this evaluation, the evaluator
observed that Symantec is particularly conscious of security. The physical, procedural, and
personnel security measures meet the assurance requirements of higher-level CC evaluations.
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15 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
CSE Communications Security Establishment
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
Canada
SFP Security Function Policy
SSIM Symantec Security Information Manager
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) Publication
#4, Technical Oversight, Version 1.0.
b. Common Criteria for Information Technology Security Evaluation, version 2.3,
August 2005.
c. Common Methodology for Information Technology Security Evaluation, CEM,
version 2.3, August 2005.
d. Security Target for Common Criteria Evaluation: Symantec Security Information
Manager Version 4.5, Version 1.7, 24 August 2007.
e. Evaluation Technical Report (ETR) Symantec™ Security Information Manager
Version 4.5, EAL 2 Evaluation, Common Criteria Evaluation Number: 383-4-71,
Document No. 1555-000-D002, Version 1.1, 29 August 2007.