Certification Report
EAL 3+ Evaluation of
Symantec Risk Automation Suite 4.0.5
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Evaluation number: 383-4-144-CR
Version: 1.0
Date: 21 March 2011
Pagination: i to iii, 1 to 9
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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 21
March 2011, 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:
• Symantec is a registered trademark of Symantec Corporation;
• Microsoft, Windows, Windows Server, and SQL Server are either trademarks or
registered trademarks of Microsoft Corporation in the United States and/or other
countries; and
• Safari is a registered trademark of Apple Inc. in the U.S. and other countries.
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.......................................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 4
10 Evaluation Analysis Activities ............................................................................................. 5
11 ITS Product Testing.............................................................................................................. 6
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 6
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
11.4 CONDUCT OF TESTING ............................................................................................... 7
11.5 TESTING RESULTS...................................................................................................... 7
12 Results of the Evaluation...................................................................................................... 8
13 Evaluator Comments, Observations and Recommendations ........................................... 8
14 Acronyms, Abbreviations and Initializations..................................................................... 8
15 References.............................................................................................................................. 8
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Executive Summary
Symantec Risk Automation Suite 4.0.5 (hereafter referred to as RAS 4.0.5), from Symantec
Corporation, is the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3
augmented evaluation.
RAS 4.0.5 is a suite of technologies that provides a view of the technology and risks present
in large IT networks by automating and integrating asset discovery, vulnerability detection,
configuration scanning and reporting, and asset compliance with policies and standards into a
single solution.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
7 March 2011 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 RAS 4.0.5, 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 3 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.1 - Basic Flaw
Remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the RAS 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.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation is Symantec Risk Automation Suite 4.0.5, (hereafter referred to as RAS 4.0.5),
from Symantec.
2 TOE Description
RAS 4.0.5 is an integrated suite of software components that provides a view of the
technology and risks present in large IT networks. RAS 4.0.5 comprises the main
components:
RAS Portal that provides data analysis, reporting, scheduling, workflow, and management
capabilities.
RAS Asset Discovery that discovers and inventories networks and network assets.
RAS Vulnerability Management that manages vulnerability scanners in vulnerability
detection and reporting.
RAS Configuration Management that performs configuration scans and maintains an
inventory of system configurations.
RAS Policy Management that evaluates system configurations and compliance with
industry standards and corporate policies.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the RAS 4.0.5 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: Security Target Symantec Risk Automation Suite 4.0.5
Version: 1.2
Date: February 9, 2011
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.
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RAS 4.0.5 is:
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:
• SDC_ADR_EXT.1 – System data collection;
• SDC_ADR_EXT.2 – System data analysis;
• SDC_ADR_EXT.3 – System data display; and
• SDC_ADR_EXT.4 – System data actions.
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 3 augmented, with all the security assurance requirements in the
EAL 3, as well as the following: ALC_FLR.1 - Basic Flaw Remediation.
6 Security Policy
RAS 4.0.5 implements policies pertaining to Security Audit, Identification and
Authentication, Scanning and Security Assessment, 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 RAS 4.0.5 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. The authorized administrators are not careless, willfully negligent, or hostile and will
follow and abide by the instructions provided by the TOE documentation, including the
administrator guidance and to periodically check the audit record; however, they are
capable of error; and
b. Personnel will be trained in the appropriate use of the TOE to ensure security.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
a. There are no general-purpose computing capabilities (e.g., the ability to execute arbitrary
code or applications) on the TOE;
b. The TOE is interoperable with the IT Systems it monitors;
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c. If email functionality is to be used, external email services will be available;
d. If external authentication is to be used, external authentication services will be available
via Active Directory authentication credentials;
e. The TOE will be located within controlled access facilities, which will prevent
unauthorized physical access such that the TOE can only be accessed by authorized
users; and
f. The operational environment provides the TOE with reliable time stamps.
7.3 Clarification of Scope
RAS 4.0.5 is not intended to be placed or operated in a hostile environment, and should be
protected by other products specifically designed to address sophisticated threats.
8 Evaluated Configuration
The evaluated configuration for RAS 4.0.5 comprises Symantec Risk Automation Suite
v4.5.0.2506 running on Microsoft Windows 2003 Server or Microsoft Windows 2008 Server
with Microsoft SQL Server 2005 or Microsoft SQL Server 2008, and browsers Internet
Explorer, Firefox, or Safari.
9 Documentation
The Symantec documents provided to the consumer are as follows:
a. Operational User Guidance and Preparative Procedures Supplement: Symantec Risk
Automation Suite Version 4.05;
b. Symantec Risk Automation Suite (SRAS) Quick Start Guide For Risk Automation Suite
v4.0 – Enterprise Edition;
c. Operational User Guidance and Preparative Procedures Supplement: Symantec Risk
Automation Suite Version 4.05;
d. Symantec Risk Automation Suite (SRAS) Off-Line Scanning Guide For Risk Automation
Suite v4.0 – Enterprise Edition;
e. Symantec Risk Automation Suite (SRAS) Policies & Controls - A Guide to Managing
Policies and Controls in the SRAS Portal For Risk Automation Suite v4.0 - Enterprise
Edition;
f. Symantec Risk Automation Suite (SRAS) A Guide to Reporting For Risk Automation
Suite v4.0 – Enterprise Edition;
g. Symantec Risk Automation Suite (SRAS) Portal A Guide to Managing Scans For Risk
Automation Suite v4.0 – Enterprise Edition;
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h. Symantec Risk Automation Suite (SRAS) Secure Content Automation Protocol (SCAP)
User Guide Supplement For Risk Automation Suite v4.0 – Enterprise Edition;
i. Symantec Risk Automation Suite (SRAS) Guide for RAS/SMP Integration For Risk
Automation Suite v4.0 – Enterprise Edition, and
j. Symantec Risk Automation Suite User Guide.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of RAS 4.0.5, including
the following areas:
Development: The evaluators analyzed the RAS 4.0.5 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 RAS 4.0.5 security
architectural description and determined that the initialization process is secure and that the
security functions are protected against tamper and bypass. The evaluators also
independently verified that the correspondence mappings between the design documents are
correct.
Guidance Documents: The evaluators examined the RAS 4.0.5 preparative user guidance
and operational user guidance and determined that it sufficiently and unambiguously
described 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 were complete and sufficiently detailed to
result in a secure configuration.
Life-Cycle Support: An analysis of the RAS 4.0.5 configuration management system and
associated documentation was performed. The evaluators found that the RAS 4.0.5
configuration items were clearly marked and that the access control measures as described in
the configuration management documentation are effective in preventing unauthorized access
to the configuration items. The developer’s configuration management system was also
observed during the site visit, and it was found to be mature and well developed.
During the site visit the evaluators examined the development security procedures and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the RAS 4.0.5 design and implementation. The
evaluators confirmed that the developer used a documented model of the TOE life-cycle and
that the life-cycle model provides for the necessary control over the development and
maintenance of the TOE.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of RAS 4.0.5 during distribution to the
consumer.
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The evaluators reviewed the flaw remediation procedures used for RAS 4.0.5. During a site
visit, the evaluators 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 RAS 4.0.5. Additionally, the evaluators conducted a review of public domain
vulnerability databases, and a search of all evaluation deliverables. The evaluators identified
potential vulnerabilities for testing applicable to the RAS 4.0.5 in its operational
environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 3 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 and depth analysis and found them 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:
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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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;
c. Identification and Authentication: The objective of this test goal is to augment testing of
concurrent logins, user lockout, and password strength;
d. Audit: The objective of this test goal is to augment testing of audit generation, audit
review, and audit security;
e. Roles: The objective of this test goal is to augment testing of role restrictions; and
f. Basic Functionality: The objective of this test goal is to augment testing of data
collection, data analysis, data display and data actions.
11.3 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 port scanning, banner grabbing, leakage verification, and
misuse testing.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
RAS 4.0.5 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 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 RAS 4.0.5 behaves as specified in its ST, functional specification, TOE
design, and security architecture description.
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12 Results of the Evaluation
This evaluation has provided the basis for an EAL 3+ 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
The complete documentation for the RAS includes a comprehensive installation guide, and
security guides and a user’s guide.
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 RAS 4.0.5.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
API Application Program Interface
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
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
OS Operating System
PALCAN Program for the Accreditation of Laboratories
Canada
QA Quality Assurance
RAS Risk Automation Suite
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. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
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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 3.1 Revision 3, July 2009.
d. Security Target Symantec Risk Automation Suite 4.0.5, Revision No. 1.2, February 9,
2011.
e. Evaluation Technical Report (ETR) Risk Automation Suite, EAL 3+ Evaluation,
Common Criteria Evaluation Number: 383-4-144, Document No. 1650-000-D002,
Version 1.1, 07 March 2011.