Certification Report
EAL 2+ Evaluation of
Prism Microsystems
EventTracker Version 6.3 Build 93
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2010
Document number: 383-4-136-CR
Version: 1.0
Date: 10 September 2010
Pagination: i to iii, 1 to 9
CCS Certification Report Prism Microsystems, Inc.
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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 3, for conformance to the Common Criteria for Information Technology Security
Evaluation, Version 3.1 Revision 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.
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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 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/IEC 17025:2005, 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 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 2010, 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 trademarked or registered
trademarks:
• Windows is a registered trademark of Microsoft Corporation in the United States and
other countries; and
• Microsoft Access is a registered trademark of Microsoft Corporation.
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 ................................................................................ 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 Evaluated Configuration...................................................................................................... 5
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 6
11 ITS Product Testing.............................................................................................................. 7
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING ....................................................................... 8
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Evaluator Comments, Observations and Recommendations ........................................... 8
14 Acronyms, Abbreviations and Initializations..................................................................... 8
15 References.............................................................................................................................. 9
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Executive Summary
Prism Microsystems EventTracker Version 6.3 Build 93 (hereafter referred to as the
EventTracker Version 6.3), from Prism, is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 2 augmented evaluation.
EventTracker Version 6.3 is an Enterprise-class Security Information and Event
Management (SIEM) solution that automatically collects and provides real-time analysis of
logs and events from Windows systems and other devices that support the Syslog protocol.
EventTracker Version 6.3 also accepts batch feeds of log files.
EventTracker Version 6.3 performs analysis of the real-time feeds. The feeds are also
correlated to detect composite events. Alerts are generated for both single-feed events and
composite events according to the configured policy. A cache of recent real-time and
composite events is maintained for dashboard displays to administrators. The original logs
from all the sources (both real-time and batch) as well as composite events are retained in a
secure repository for later analysis and reporting. EventTracker Version 6.3 supplies both
analytics and reporting engines for forensic analysis. Reports may be used for long-term
trend analysis or compliance purposes.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
11 August 2010 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 EventTracker Version 6.3, 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 3.1 Revision 3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 3. The following augmentation is claimed:
ALC_FLR.2 - Flaw Reporting Procedures.
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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Communications Security Establishment Canada, as the CCS Certification Body, declares
that the EventTracker Version 6.3 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 Evaluation Assurance Level (EAL) 2 augmented
evaluation is Prism Microsystems EventTracker Version 6.3 Build 93 (hereafter referred to
as EventTracker Version 6.3), from Prism.
2 TOE Description
EventTracker Version 6.3 is an Enterprise-class Security Information and Event
Management (SIEM) solution that automatically collects and provides real-time analysis of
logs and events from Windows systems and other devices that support the Syslog protocol.
EventTracker Version 6.3 also accepts batch feeds of log files.
EventTracker Version 6.3 performs analysis of the real-time feeds. The feeds are also
correlated to detect composite events. Alerts are generated for both single-feed events and
composite events according to the configured policy. A cache of recent real-time and
composite events is maintained for dashboard displays to administrators. The original logs
from all the sources (both real-time and batch) as well as composite events are retained in a
secure repository for later analysis and reporting. EventTracker Version 6.3 supplies both
analytics and reporting engines for forensic analysis. Reports may be used for long-term
trend analysis or compliance purposes.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the EventTracker Version 6.3 is
identified in Section 6 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Prism Microsystems EventTracker Version 6.3 Build 93 Security Target
Version: 1.6
Date: 22 June 2010
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 3 for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 3.
EventTracker Version 6.3 is:
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a. Common Criteria Part 2 extended, with functional requirements based on functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST;
• IDS_ADC.1, Analyser Data Collection;
• IDS_ANL.1, Analyser Analysis;
• IDS_RCT.1, Analyser React;
• IDS_RDR.1, Restricted Data Review;
• IDS_STG.1 Analyser Data Storage; and
• IDS_STG.2 Analyser Data Storage.
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, with all the security assurance requirements in the
EAL 2, as well as the following: ALC_FLR.2 - Flaw Reporting Procedures.
6 Security Policy
Administrators configure policies to specify how the TOE will generate alerts to real time
feeds or to information that has been received as batch files and stored for later analysis.
In addition, EventTracker Version 6.3 implements policies pertaining to Audit and Security
Management. Further details on these security policies may be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of the EventTracker Version 6.3 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
The following Secure Usage Assumptions are listed in the ST:
a. There will be one or more competent individuals assigned to manage the TOE and the
security of the information it contains;
b. The authorized administrator is not careless, willfully negligent or hostile, and will
follow and abide by the instructions in the TOE documentation; and
c. The TOE is located in a controlled access facility and can only be accessed by authorized
users.
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7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
a. The IT Environment will protect information transmitted to the TOE from remote
systems;
b. The IT Environment will protect TOE data from modification from outside the TOE
Scope of Control;
c. The IT Environment will restrict access to authorized administrators that must be
identified and authenticated prior to accessing TOE functions and data;
d. The IT Environment must collect and forward to the TOE information about all
events that are indicative of inappropriate activity that may have resulted from
misuse, access, or malicious activity of IT System assets; and
e. Personnel working as authorized administrators shall be carefully selected and trained
for proper operation of the TOE and must ensure its physical security.
7.3 Clarification of Scope
The TOE depends on the operational environment to protect the integrity of the
communication between the TOE and the remote systems supplying real-time security events
to the TOE. The TOE does not perform Identification and Authentication. The operating
system EventTracker Version 6.3 is installed on must perform that function, and control what
users have access to the EventTracker Version 6.3 executables. EventTracker Version 6.3
considers all users with access to it to be a single role – administrators.
8 Evaluated Configuration
The evaluated configuration comprises Prism Microsystems EventTracker Version 6.3 Build
93 running on Windows 2003 Server and Windows 2008 Server.
The publication entitled EventTracker Common Criteria Installation Supplement v1.0
contains instructions for installing this system in the evaluated configuration.
9 Documentation
The Prism documents provided to the consumer are as follows:
a. EventTracker User’s Guide Version 6.3;
b. EventTracker Installation Guide Version 6.3;
c. EventTracker v6.3 Direct Log Archiver v1.0; and
d. EventTracker Common Criteria Installation Supplement v1.0.
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10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the EventTracker
Version 6.3, including the following areas:
Development: The evaluators analyzed the EventTracker Version 6.3 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 EventTracker Version 6.3 security architectural description and determined that
the initialization process is secure and 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 were correct.
Guidance Documents: The evaluators examined the EventTracker Version 6.3 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 EventTracker Version 6.3 configuration
management system and associated documentation was performed. The evaluators found
that the EventTracker Version 6.3 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.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of EventTracker Version 6.3 during
distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by Prism for EventTracker
Version 6.3. 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 evaluators conducted an independent vulnerability analysis
of EventTracker Version 6.3. Additionally, the evaluators conducted a review of public
domain vulnerability databases. The evaluators did not identify and potential vulnerabilities
for testing applicable to EventTracker Version 6.3 in its operational environment.
All these evaluation activities resulted in PASS verdicts.
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11 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
11.1 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
.
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 and TOE design was complete.
11.2 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. Initialization: The objective of this test goal is to confirm that the TOE can be installed
and configured into the evaluated configuration, as identified in the TOE Description of
the Security Target, by following all instructions in the developer’s Installation and
Administrative guidance;
b. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests on the evaluator’s TOE installation; and
c. Independent Evaluator Testing: The objective of this test goal is to exercise the TOE’s
claimed functionality through evaluator independent testing and to augment any areas
that were not covered during the repeat of developer testing including areas surrounding
system initialization, application monitoring and Service restart.
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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11.3 Independent Penetration testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, the independent vulnerability assessment did not uncover any
exploitable vulnerabilities in the intended operating environment. Based on this assessment,
the usual penetration testing was not conducted, however tests were run to assure that device
settings were proper, such that USB functionality could be disabled on the Agent PC, if so
configured.
11.4 Conduct of Testing
EventTracker Version 6.3 was subjected to a comprehensive suite of formally documented,
independent functional tests. The testing took place at the Information Technology Security
Evaluation and Testing (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.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that EventTracker Version 6.3 behaves as specified in its ST, functional
specification, TOE design, and security architecture description.
12 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.
13 Evaluator Comments, Observations and Recommendations
EventTracker Version 6.3 is straightforward to configure, use and integrate into a corporate
network by following the comprehensive Installation and User guidance.
Assumptions regarding the installation of the TOE and its operational environment must be
met to ensure a secure deployment.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
ACLs Access Control Lists
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
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Acronym/Abbreviation/
Initialization
Description
CPL Certified Products list
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
OS Operating System
PALCAN Program for the Accreditation of Laboratories
Canada
SIEM Security Information and Event Management
SFP Security Function Policy
SFR Security functional requirements
SNMP Simple Network Management Protocol
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
15 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) and CCS
Publication #4, Technical Oversight, Version 1.1, August 2005.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1Revision 3, July 2009.
d. Prism Microsystems EventTracker Version 6.3 Build 93 Security Target, Version 1.6,
22 June 2010.
e. Evaluation Technical Report (ETR) EventTracker Version 6.3 Build 93, EAL 2+
Evaluation, Common Criteria Evaluation Number: 383-4-136, Document No. 1636-
000-D002, Version 1.5, 11 August 2010.