Certification Report
EAL 2+ Evaluation of Symantec™ Endpoint Protection
Version 11.0
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2008 Government of Canada, Communications Security Establishment Canada
Document number: 383-4-84
Version: 1.0
Date: 25 June 2008
Pagination: i to iv, 1 to 11
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
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 Canada, 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 Canada, or any other organization that
recognizes or gives effect to this report, and its associated certificate, is either expressed or
implied.
Version 1.0 25 June 2008
- Page i of iv -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
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 Canada.
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 EWA-Canada 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 25 June
2008, 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 http://www.commoncriteriaportal.es
This certification report makes reference to the following trademarked or registered
trademarks:
• Symantec is a registered trademark of Symantec Corporation.
• Microsoft, Windows Vista, Windows Server 2003, Windows 2000 and Windows XP are
either trademarks or registered trademarks of Microsoft Corporation in the United States
and/or other countries.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
Version 1.0 25 June 2008
- Page ii of iv -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation ................................................................................ 3
2 TOE Description ................................................................................................................... 3
3 Evaluated Security Functionality........................................................................................ 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 5
8 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 6
10 Documentation ...................................................................................................................... 6
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 9
12.4 CONDUCT OF TESTING ............................................................................................... 9
12.5 TESTING RESULTS...................................................................................................... 9
13 Results of the Evaluation...................................................................................................... 9
14 Evaluator Comments, Observations and Recommendations ......................................... 10
15 Acronyms, Abbreviations and Initializations................................................................... 10
Version 1.0 25 June 2008
- Page iii of iv -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
16 References............................................................................................................................ 10
Version 1.0 25 June 2008
- Page iv of iv -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
Executive Summary
The Symantec™ Endpoint Protection version 11.0, from Symantec Corporation, is the Target
of Evaluation for this Evaluation Assurance Level (EAL) 2 augmented evaluation.
Symantec™ Endpoint Protection combines Symantec AntiVirus™ with advanced threat
prevention to deliver defense against malware such as memory and file-based viruses,
rootkits, zero-day attacks, and mutating spyware on laptops, desktops or servers.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
24 June 2008 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 Symantec™ Endpoint Protection,
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 augmented 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. The following augmentations are claimed:
a. ALC_FLR.2 – Flaw reporting procedures; and
b. AVA_MSU.1 – Examination of guidance.
The Security Target claims conformance to the security requirements, security objectives,
and security environment statements for the defined TOE and its environment as they are
stated in the U.S. Government Protection Profile for Anti-Virus Applications for
Workstations in Basic Robustness Environments, Version 1.1, April 4, 2006.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Symantec™ Endpoint Protection 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).
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.
Version 1.0 25 June 2008
- Page 1 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
Version 1.0 25 June 2008
- Page 2 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 augmented
evaluation is Symantec™ Endpoint Protection version 11.0 from Symantec Corporation.
2 TOE Description
Symantec™ Endpoint Protection version 11.0 combines Symantec AntiVirus™ with
advanced threat prevention to deliver defense against malware such as memory and file-
based viruses, rootkits, zero-day attacks, and mutating spyware on laptops, desktops or
servers.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Symantec™ Endpoint Protection
version 11.0 is identified in Section 5 of the Security Target (ST).
The TOE implements FIPS-approved cryptographic functionality. The following
Government of Canada approved algorithm was evaluated for correct implementation in
Symantec™ Endpoint Protection:
Algorithm: Secure Hash Algorithm (SHA-1)
Standard: FIPS 180-2
Certificate #: 248
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target: Symantec™ Endpoint Protection version 11.0
Version: 1.6
Date: 02 June 2008
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 Symantec™ Endpoint Protection version 11.0 is:
a. 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:
• FAV_ACT_EXP.1 – Antivirus Actions,
• FAV_ALR_EXP.1 – Antivirus Alerts,
Version 1.0 25 June 2008
- Page 3 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
• FAV_SCN_EXP.1 – Antivirus Scanning,
• FPT_SEP_EXP.1- Partial TSF Domain Separation,
• FIA_PLA_EXP.1 – Performance and Log Alerts;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, containing all the security assurance requirements
in the EAL 2 package, as well as the following: ALC_FLR.2 – Flaw Reporting
Procedures and AVA_MSU.1 – Examination of Guidance.
Symantec™ Endpoint Protection version 11.0 conforms with the U.S. Government
Protection Profile for Anti-Virus Applications for Workstations in Basic Robustness
Environments, Version 1.1, April 4, 2006.
6 Security Policy
Symantec™ Endpoint Protection version 11.0 implements an anti-virus security policy. The
TOE is designed to help prevent memory-based and file-based viruses. If a memory-based
virus is detected on a host machine, the TOE will prevent the virus from further execution.
The TOE also provides for administrator-defined actions upon the detection of a virus-
infected file. The administrator can configure the TOE to clean the file, quarantine the file,
delete the file, or take no action on the file.
In addition, Symantec™ Endpoint Protection implements security policies pertaining to
security audit, cryptographic support, protection of the TOE Security Functions (TSF) and
security management. Further details on these security policies may be found in Sections 5
and 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of Symantec™ Endpoint Protection version 11.0 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
The following Secure Usage Assumptions are listed in the ST:
a) Administrators will back up the audit files and monitor disk usage to ensure audit
information is not lost.
b) Administrators are non-hostile, appropriately trained, and follow all administrator
guidance.
Version 1.0 25 June 2008
- Page 4 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
c) Administrators will implement secure mechanisms for receiving and validating
updated signature files from the anti-virus vendors, and for distributing the updates
to the central management systems.
7.2 Environmental Assumptions
The following assumptions are made about the operating environment of the TOE:
a) It is assumed that appropriate physical security is provided within the domain for the
value of the IT assets protected by the TOE and the value of the stored, processed,
and transmitted information.
b) The IT environment will provide a secure line of communications between
distributed portions of the TOE and between the TOE and remote administrators.
For more information about the TOE security environment, refer to Section 3 of the ST (TOE
Security Environment).
7.3 Clarification of Scope
The TOE is assured to provide effective security measures in a co-operative non-hostile
environment only if it is installed, managed, and used correctly. The operational environment
must be managed in accordance with assurance requirements documentation for delivery,
operation, and user/administrator guidance.
The Symantec™ Endpoint Protection version 11.0 relies on the environment to provide it
physical and logical protection.
8 Architectural Information
The TOE architecture comprises the following three components:
• Symantec™ Endpoint Protection Client. The Symantec™ Endpoint Protection
version 11.0 client software protects laptops, desktops and servers on an internal
network. It performs the anti-virus scanning and file deletion/quarantine functionality
of the TOE.
• Symantec™ Endpoint Protection Manager. The Symantec™ Endpoint Protection
version 11.0 Manager component provides the core management functionality of the
TOE including generating reports, managing policies, installing clients and
configuring administrative accounts and actions.
• Symantec™ Endpoint Protection Management Console. The Symantec™
Endpoint Protection version 11.0 Management console provides the Graphical User
Interface (GUI) which allows the TOE operator to configure and administer the
Symantec™ Endpoint Protection Manager.
Version 1.0 25 June 2008
- Page 5 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
9 Evaluated Configuration
The evaluated configuration for Symantec™ Endpoint Protection version 11.0 comprises:
• Symantec Endpoint Protection Client Version 11.0776.942 running on Microsoft
Windows® Vista, Microsoft Windows® Server 2003 Service Pack 1, Microsoft
Windows® XP Service Pack 2 or Microsoft Windows® 2000 Service Pack 3 and
higher; and
• Symantec™ Endpoint Protection Manager Version 11.0.780.1109 running on
Microsoft Windows® Server 2003 SP1, Microsoft Windows® XP Service Pack 2 or
Microsoft Windows® 2000 Service Pack 3 and higher.
10 Documentation
The Symantec documents provided to the consumer are as follows:
a. Symantec™ Endpoint Protection Getting Started Guide, PN: 12167130;
b. Installation Guide for Symantec™ Endpoint Protection and Symantec™ Network Access
Control, Documentation version 11.00.00.00.00;
c. Administration Guide for Symantec™ Endpoint Protection and Symantec™ Network
Access Control, Documentation version 11.00.00.00.03;
d. Client Guide for Symantec™ Endpoint Protection and Symantec™ Network Access
Control, Documentation version 11.00.00.00.02;
e. Symantec™ Endpoint Protection readme.txt, September 2007; and
f. Administrative Guidance and Installation, Generation, and Startup Procedures:
Symantec™ Endpoint Protection Version 11.0.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the Symantec™
Endpoint Protection version 11.0, including the following areas:
Configuration management: An analysis of Symantec™ Endpoint Protection version 11.0
configuration management system and associated documentation was performed. The
evaluators found that Symantec™ Endpoint Protection version 11.0 configuration items were
clearly marked. 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
Version 1.0 25 June 2008
- Page 6 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
Symantec™ Endpoint Protection version 11.0 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 Symantec™ Endpoint Protection
version 11.0 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 Symantec™ Endpoint Protection
version 11.0 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.
Life-cycle support: The evaluators reviewed the flaw remediation procedures used by
Symantec for the Symantec™ Endpoint Protection version 11.0. During a site visit, the
evaluators also examined the evidence generated by adherence to the procedures. 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.
Vulnerability assessment: The Symantec™ Endpoint Protection version 11.0 ST’s strength
of function claims were validated through independent evaluator analysis. The evaluators
examined the developer’s vulnerability analysis for the Symantec™ Endpoint Protection
version 11.0 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. The evaluators also examined the guidance and other
evaluation evidence to determine that the guidance identifies all possible modes of operation
of the TOE, their consequences and implications for maintaining secure operation.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
Version 1.0 25 June 2008
- Page 7 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
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 Symantec™ Endpoint Protection version 11.0. 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 evaluator 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. Resulting from this test coverage approach was the
following list of EWA-Canada 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. Initialization: The objective of this test goal is to provide the procedures for determining
the system configuration in order to ensure that the TOE that is tested is correct;
c. Audit: The objective of this test goal is to ensure that the audit data is recorded and can be
viewed;
d. Users and Roles: The objective of this test goal is to ensure the users and roles
functionality (account creation, account deletion and role assignment) performed by the TOE
is correct; and
e. Antivirus: The objective of this test goal is to test the antivirus functionality. Test cases
focused on antivirus actions and scanning performed by the TOE and antivirus alerts
generated by the TOE.
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.
Version 1.0 25 June 2008
- Page 8 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
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 Symantec™ Endpoint Protection version 11.0.
The only ports found to be open were ones that would be expected to be. The evaluator used
a publicly available tool to scan Symantec™ Endpoint Protection version 11.0 for
weaknesses, and none were found. The evaluator also used a publicly available packet
capture tool to examine output from Symantec™ Endpoint Protection version 11.0 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 Symantec™ Endpoint Protection version 11.0 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 EWA-Canada.
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 Symantec™ Endpoint Protection 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.
Version 1.0 25 June 2008
- Page 9 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
14 Evaluator Comments, Observations and Recommendations
The complete documentation for the Symantec™ Endpoint Protection version 11.0 includes a
comprehensive Installation and Security Guide and a User’s Guide.
The Symantec™ Endpoint Protection version 11.0 is straightforward to configure, use and
integrate into a corporate network.
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
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GUI Graphical User Interface
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
Canada
SHA-1 Secure Hash Algorithm
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functions
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.
Version 1.0 25 June 2008
- Page 10 of 11 -
CCS Certification Report Symantec Corporation
Symantec Endpoint Protection
___________________________________________________________________________
d. Security Target: Symantec™ Endpoint Protection version 11.0, Version 1.6, 02 June
2008.
e. Evaluation Technical Report (ETR) Symantec™ Endpoint Protection, EAL 2+
Evaluation, Common Criteria Evaluation Number: 383-4-84, Document No. 1569-
000-D002, Version 1.5, 24 June 2008.
Version 1.0 25 June 2008
- Page 11 of 11 -