Certification Report
EAL 3+ Evaluation of NetIQ® Sentinel™ Version 7.0.1
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2012
Document number: 383-4-202-CR
Version: 1.0
Date: 20 December 2012
Pagination: i to iii, 1 to 11
CCS Certification Report NetIQ Corporation
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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, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, 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 20
December 2012, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria Portal (the official website of
the Common Criteria Project).
This certification report makes reference to the following trademarks or registered
trademarks:
 NetIQ® is a registered trademark of NetIQ Corporation.
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.......................................................................................... 4
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 5
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 5
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 5
8 Evaluated Configuration...................................................................................................... 6
9 Documentation ...................................................................................................................... 7
10 Evaluation Analysis Activities ............................................................................................. 7
11 ITS Product Testing.............................................................................................................. 8
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 9
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 9
11.4 CONDUCT OF TESTING ............................................................................................. 10
11.5 TESTING RESULTS.................................................................................................... 10
12 Results of the Evaluation.................................................................................................... 10
13 Evaluator Comments, Observations and Recommendations ......................................... 10
14 Acronyms, Abbreviations and Initializations................................................................... 10
15 References............................................................................................................................ 11
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Executive Summary
NetIQ® Sentinel™ Version 7.0.1 (hereafter referred to as Sentinel 7.0.1), from NetIQ
Corporation, is the Target of Evaluation for this Evaluation Assurance Level (EAL) 3
augmented evaluation.
Sentinel 7.0.1 is a Security Information and Event Management Solution (SIEM) as well as a
compliance monitoring solution. Sentinel 7.0.1 acts as an aggregator, as well as a
consolidator for information from multiple systems (applications, databases, servers, storage,
and security devices). It analyzes and correlates the data, and reduces the data to the point
where it can be acted on, either automatically or manually.
Sentinel 7.0.1 automates log collection, analysis, and the reporting processes to ensure that
IT controls are effective in supporting threat detection and audit requirements. Sentinel 7.0.1
provides automated monitoring of security and compliance events as well as IT controls.
Finally Sentinel 7.0.1 provides real‐time reporting which allows one to take immediate
action if there is a security breach or non‐compliant event.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
28 November 2012 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 Sentinel 7.0.1, the security
requirements, and the level of confidence (evaluation assurance level) to which it is asserted
that the product satisfies its 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
.
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 Sentinel 7.0.1 evaluation meets all the conditions of the Arrangement on the
Recognition of Common Criteria Certificates and that the product will be listed on the CCS
Certified Products List (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation is NetIQ® Sentinel™ Version 7.0.1 (hereafter referred to as Sentinel 7.0.1), from
NetIQ Corporation.
2 TOE Description
Sentinel 7.0.1 is a Security Information and Event Management (SIEM) Solution as well as
a compliance monitoring solution. Sentinel 7.0.1 acts as an aggregator, as well as a
consolidator for information from multiple systems (applications, databases, servers, storage,
and security devices). It analyzes and correlates the data, and reduces the data to the point
where it can be acted on, either automatically or manually.
Sentinel 7.0.1 automates log collection, analysis, and the reporting processes to ensure that
IT controls are effective in supporting threat detection and audit requirements. Sentinel 7.0.1
provides automated monitoring of security and compliance events as well as IT controls.
Finally Sentinel 7.0.1 provides real-time reporting which allows one to take immediate action
if there is a security breach or non-compliant event.
A detailed description of the Sentinel 7.0.1 architecture is found in Section 1.7 of the
Security Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Sentinel 7.0.1 is identified in Section
6 of the ST.
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target: NetIQ® Sentinel™ Version 7.0.1
Version: 1.4
Date: November 6, 2012
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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.
Sentinel 7.0.1 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:
 SIEM_ANL.1 (EXP) - Event Analysis; and
 SIEM_RES.1 (EXP) - Incident Resolution
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 3 augmented, containing all security assurance requirements in
the EAL 3 package, as well as the following: ALC_FLR.1 – Basic Flaw Remediation.
6 Security Policy
Sentinel 7.0.1 implements a role-based access control policy to control user access to the
system, as well as an information flow control policy to control information entering the
system; details of these security policies can be found in Section 7 of the ST.
In addition, Sentinel 7.0.1 implements policies pertaining to security audit, identification and
authentication, and security management. Further details on these security policies may be
found in Section 7 of the ST.
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7 Assumptions and Clarification of Scope
Consumers of Sentinel 7.0.1 should consider assumptions about usage and environmental
settings as requirements for the product’s installation and its operating environment. This
will ensure the proper and secure operation of the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 Administrators of the TOE are appropriately trained to undertake the installation,
configuration and management of the TOE in a secure and trusted manner.
 Administrators of the TOE and users on the local area network are not careless,
willfully negligent, nor hostile, and will follow and abide by the instructions provided
by the TOE documentation.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The processing platforms on which the TOE resides are located within a facility that
provides controlled access.
 The TOE is configured to receive all events from network-attached devices.
 The TOE has a trusted source for system time via a NTP server.
7.3 Clarification of Scope
Sentinel 7.0.1 offers protection against inadvertent or casual attempts to breach system
security by unsophisticated attackers possessing basic attack potential. Sentinel 7.0.1 is not
intended for situations which involve determined attempts by hostile or well-funded attackers
using sophisticated attack techniques.
CCS Certification Report NetIQ Corporation
Sentinel 7.0.1
8 Evaluated Configuration
The evaluated configuration for Sentinel 7.0.1 comprises:
Component Requirement
Sentinel 7.0.1 Server GPC running SUSE Linux Enterprise Server (SLES) 11 SP1
64-bit and;
VMWare ESX 4.0;
Xen 4.0; or
Hyper‐V Server 2008 R2 with the DVD ISO file only
Sentinel Log Manager 1.2.0 GPC running SUSE Linux Enterprise Server (SLES) 11 SP1
64-bit and;
VMWare ESX 3.5 or 4.0; or
Xen 3.1.1
Data Collector GPC running SUSE Linux Enterprise Server (SLES) 11 SP1
64-bit
Correlation Engine GPC running SUSE Linux Enterprise Server (SLES) 11 SP1
64-bit
Console GPC running Windows 7 (Firefox 3.6 or IE 8) or SLED 11
SP1 / RHEL 6 (Firefox 3.6)
The publication entitled “Operational User Guidance and Preparative Procedures
Supplement: NetIQ Sentinel 7.0.1 Document Version 1.3” describes the procedures
necessary to install and operate Sentinel 7.0.1 in its evaluated configuration.
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9 Documentation
The NetIQ Corporation documents provided to the consumer are as follows:
a. Operational User Guidance and Preparative Procedures Supplement: NetIQ Sentinel 7.0.1
Document Version 1.3, September 2012
b. User Guide: Sentinel 7.0.1, April 2012;
c. Administration Guide: Sentinel 7.0.1, April 2012;
d. Overview Guide: Sentinel 7.0.1, April 2012;
e. NetIQ Sentinel 7.0.1 Quick Start Guide, April 2012; and
f. Installation and Configuration Guide: NetIQ Sentinel 7.0.1, April 2012
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Sentinel 7.0.1,
including the following areas:
Development: The evaluators analyzed the Sentinel 7.0.1 functional specification and design
documentation; they determined that the design completely and accurately describes the TOE
security functionality (TSF) interfaces, the TSF subsystems and how the TSF implements the
security functional requirements (SFRs). The evaluators analyzed the Sentinel 7.0.1 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 Sentinel 7.0.1 preparative user
guidance and operational user guidance and determined that it sufficiently and
unambiguously describes how to securely transform the TOE into its evaluated configuration
and how to use and administer the product. The evaluators examined and tested the
preparative and operational guidance, and determined that they are complete and sufficiently
detailed to result in a secure configuration.
Life-cycle support: An analysis of the Sentinel 7.0.1 configuration management system and
associated documentation was performed. The evaluators found that the Sentinel 7.0.1
configuration items were clearly marked and that the access control measures as described in
the configuration management documentation are effective in preventing unauthorized access
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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 Sentinel 7.0.1 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 Sentinel 7.0.1 during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by NetIQ Corporation for
Sentinel 7.0.1. 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 Sentinel 7.0.1. 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 Sentinel 7.0.1 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.
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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11.2 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 is 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. Identification and Authentication: The Objective of this test goal is to test the verification
of user attributes and identification and authentication of TOE users.
c. Security Management: The objective of this test goal is to confirm the TOE's ability to
maintain security attributes and that only administrators, and not users, may manage
users.
d. Incident Management: The objective of this test goal is to confirm that the TOE can
manage incidents that occur using filtering, correlation; and work flows.
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:
a. Port Scan: The objective of this test goal is to scan the TOE using a port scanner to reveal
an potential avenues of attack;
b. Vulnerability Identification: Tool Scanning: The objective of this test goal is to scan the
TOE for vulnerabilities using automated tools;
c. Information Leakage Verification: The objective of this test goal is to monitor the TOE
for leakage during start-up, shutdown, login, and other scenarios using a packet sniffer;
and
d. Privilege escalation: The objective of this test goal is to confirm that the TOE is not
vulnerable to the privilege escalation attack identified during the public domain search.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
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11.4 Conduct of Testing
Sentinel 7.0.1 was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place at the Information Technology
Security Evaluation and Test (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 Sentinel 7.0.1 behaves as specified in its ST and functional
specification and TOE design.
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
Sentinel 7.0.1 is a mature, well documented product. The documentation provides valuable
advice for implementing the TOE in a secure manner, and should be followed, particularly
with respect to the database implementation. Note that the use of the Command Line Utility
is not included in the evaluated configuration.
14 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
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
- Canada
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Acronym/Abbreviation/
Initialization
Description
SFR Security Functional Requirement
SIEM Security Information Event Management
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.
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: NetIQ® Sentinel™ Version 7.0.1, 1.4, November 6, 2012
e. Evaluation Technical Report for EAL 3+ Common Criteria Evaluation of NetIQ®
Sentinel™ 7.0.1, Version 1.1, 28 November 2012