Certification Report
EAL 2 Evaluation of
Symantec Brightmail™
Gateway 9.0.1
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: 383-4-162-CR
Version: 1.0
Date: 26 January 2011
Pagination: I to iii, 1 to 10
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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 3.1R3,
for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1R3. 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 26
January 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 trademarked or registered
trademarks:
• Symantec is a registered trademark of Symantec 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..........................................................................................4
7.3 CLARIFICATION OF SCOPE.....................................................................................................4
8 Architectural Information .................................................................................................................4
9 Evaluated Configuration....................................................................................................................5
10 Documentation....................................................................................................................................5
11 Evaluation Analysis Activities ...........................................................................................................6
12 ITS Product Testing ...........................................................................................................................6
12.1 ASSESSMENT OF DEVELOPER TESTS.....................................................................................7
12.2 INDEPENDENT FUNCTIONAL TESTING...................................................................................7
12.3 INDEPENDENT PENETRATION TESTING .................................................................................7
12.4 CONDUCT OF TESTING ..........................................................................................................8
12.5 TESTING RESULTS .................................................................................................................8
13 Results of the Evaluation....................................................................................................................8
14 Evaluator Comments, Observations and Recommendations .........................................................8
15 Acronyms, Abbreviations and Initializations...................................................................................9
16 References............................................................................................................................................9
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Executive Summary
Symantec Brightmail™
Gateway 9.0.1 (hereafter referred to as Symantec Brightmail
Gateway), from Symantec, is the Target of Evaluation (TOE) for this Evaluation Assurance
Level (EAL) 2 evaluation.
Symantec Brightmail Gateway offers enterprises a comprehensive gateway-based message-
security solution which provides inbound and outbound email security capabilities in one
appliance. This appliance can be deployed as a physical or virtual appliance. Symantec
Brightmail Gateway does the following to protect the customer environment:
• Detects spam, denial-of-service attacks, and other inbound email threats.
• Leverages a global sender reputation and local sender reputation analysis to reduce
email infrastructure costs by restricting unwanted connections.
• Secures and protects public instant messaging communications with the same
management console that it uses to secure and protect email.
• Obtains visibility into messaging trends and events.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
29 December 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 the Symantec Brightmail Gateway,
the security requirements, and the level of confidence (evaluation assurance level) at which
the product is intended to satisfy the security requirements. Consumers are advised to verify
that their operating environment is consistent with that specified in the security target, and to
give due consideration to the comments, observations and recommendations in this
certification report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 2 assurance requirements for the evaluated security
functionality. The evaluation was conducted using the Common Methodology for
Information Technology Security Evaluation, Version 3.1R3, for conformance to the
Common Criteria for Information Technology Security Evaluation, version 3.1R3.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Symantec Brightmail Gateway evaluation meets all the conditions of the
Arrangement on the Recognition of Common Criteria Certificates and that the product will
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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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 evaluation is
Symantec Brightmail™
Gateway 9.0.1 (hereafter referred to as Symantec Brightmail
Gateway), from Symantec.
2 TOE Description
Symantec Brightmail Gateway offers enterprises a comprehensive gateway-based message-
security solution which provides inbound and outbound email security capabilities in one
appliance. This appliance can be deployed as a physical or virtual appliance. Symantec
Brightmail Gateway does the following to protect the customer environment:
• Detects spam, denial-of-service attacks, and other inbound email threats.
• Leverages a global sender reputation and local sender reputation analysis to reduce
email infrastructure costs by restricting unwanted connections.
• Secures and protects public instant messaging communications with the same
management console that it uses to secure and protect email.
• Obtains visibility into messaging trends and events.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Symantec Brightmail Gateway 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 Brightmail Gateway 9.0.1
Version: 1.4
Date: 23 December 2010
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1R3, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1R3.
Symantec Brightmail Gateway is:
a. Common Criteria Part 2 conformant, with security functional requirements based on
functional components in Part 2;
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b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 2 conformant, with all the security assurance requirements from
EAL 2 package.
6 Security Policy
Symantec Brightmail Gateway implements an incoming security policy that controls all
incoming network traffic via SMTP or Instant Messaging (IM) protocols. Details on this
security policy may be found in Section 3.2 of the ST.
In addition, Symantec Brightmail Gateway implements other policies pertaining to Security
Audit, User Data protection, Identification and Authentication, and Security Management.
Further details on these security policies may be found in the ST.
7 Assumptions and Clarification of Scope
Consumers of the Symantec Brightmail Gateway 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 Assumption is listed in the ST:
• Personnel authorized to install, configure, and operate Symantec Brightmail Gateway
possess appropriate training, are not hostile, and will adhere to the procedures for
secure usage of the product.
7.2 Environmental Assumptions
The following Environmental Assumption is listed in the ST:
• Symantec Brightmail Gateway resides within controlled access facilities, which will
prevent unauthorized physical access.
7.3 Clarification of Scope
Symantec Brightmail Gateway relies on the environment to provide it physical and logical
protection. Symantec Brightmail Gateway provides a level of protection that is appropriate
for low robustness environments processing unclassified information. It offers protection
against inadvertent or casual attempts to breach system security. It is not intended for
situations in which hostile and well funded attackers use sophisticated attacks from within
the physical zone.
8 Architectural Information
Symantec Brightmail Gateway is comprised of the following main components:
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• Control Center – enables Web-based configuration and administration of the TOE;
and
• Scanner – performs email filtering.
The Control Center enables Web-based configuration and administration of the TOE. With a
single Control Center, the end user can centrally configure, monitor, and manage all the
Scanners in the network. The Control Center also contains Quarantine, which is an optional
storage area for caught spam.
Each TOE installation has exactly one Control Center. The Control Center communicates
with the Agent on each Scanner. From the Control Center’s Web-based graphical user
interface, a TOE Administrator can:
• Configure, start and stop each Scanner;
• Specify email filtering options for groups of users or for all users at once;
• Monitor consolidated reports and logs for all Scanners;
• See summary information;
• Administer Quarantine; and
• View online help for Control Center screens.
The Scanner component performs email filtering, and a TOE installation can have one or
more Scanners. Each Scanner can reside on the same appliance or virtual machine as the
Control Center component or on a separate appliance or virtual machine.
9 Evaluated Configuration
The evaluated configuration for Symantec Brightmail Gateway Security comprises:
• Control Center – Brightmail Gateway v9.0.1-10 running on a VMware ESX Server
Version 4.0; and
• Scanner - Brightmail Gateway v9.0.1-10 running on a VMware ESX Server Version
4.0.
10 Documentation
The Symantec documents provided to the consumer are as follows:
• Operational User Guidance and Preparative Procedures Supplement Symantec
Brightmail Gateway Version 9.0.1;
• Symantec Brightmail™
Gateway 9.0.1 Getting Started;
• Symantec Brightmail™
Gateway 9.0 Installation Guide;
• Symantec Brightmail™
Gateway 9.0 Administration Guide; and
• Symantec Brightmail™
Gateway 9.0.1 Release Notes.
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11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the Symantec
Brightmail Gateway, including the following areas:
Development: The evaluators analyzed the Symantec Brightmail Gateway 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 Symantec Brightmail Gateway security architectural description and determined
that the initialization process was 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 are
correct.
Guidance Documents: The evaluators examined the Symantec Brightmail Gateway
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 Symantec Brightmail Gateway configuration
management system and associated documentation was performed. The evaluators found
that the Symantec Brightmail Gateway 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 Symantec Brightmail Gateway during
distribution to the consumer.
Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of Symantec Brightmail Gateway. Additionally, the evaluators conducted a review of public
domain vulnerability databases. The evaluators identified potential vulnerabilities for testing
applicable to the Symantec Brightmail Gateway in its operational environment.
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.
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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
.
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.
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:
• 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;
• 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
• Identification and Authentication: The objective of this test goal is to ensure that the
identification and authentication requirements have been met;
• Audit: The objective of this test goal is to ensure that the audit data is recorded and
can be viewed;
• Users and Roles: The objective of this test goal is to ensure the users and roles
functionality is correct; and
• User Data Protection: The objective of this test goal is to determine the TOE's ability
to protect user data.
12.3 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:
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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• Port Scanning: The objective of this test goal is to determine if the Scanner or
Control Centre opens any ports that could be exploited from the network;
• Internet Search: The objective of this test to search public domain information
sources for vulnerabilities for the TOE and its underlying software, and specific
hardware or design components used in the TOE;
• Scan for Weaknesses: The objective of this test case is to a scan for known and
unknown weaknesses relevant to the TOE type; and
• Leakage Verification: The objective of this test goal is to monitor the TOE for
leakage during start up and shut down.
The evaluator conducted a port scan of the Symantec Brightmail Gateway. The only ports
found to be open were ones that would be expected to be. The evaluator used a publicly
available tool to scan the Symantec Brightmail Gateway for weaknesses, and none were
found. The evaluator also used a publicly available packet capture tool to examine output
from the Symantec Brightmail Gateway 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
Symantec Brightmail Gateway 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.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the Symantec Brightmail Gateway behaves as specified in its ST,
functional specification, TOE design, and security architecture description.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL 2 level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
14 Evaluator Comments, Observations and Recommendations
The complete documentation for Symantec Brightmail Gateway includes a comprehensive
Installation and Security Guide and an Administrator’s Guide.
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Symantec Brightmail Gateway is straightforward to configure, use and integrate into a
corporate network.
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 Symantec Brightmail Gateway.
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
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IM Instant Messaging
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
Canada
SFR Security Functional requirements
SMTP Simple Mail Transfer Protocol
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
16 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 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1R3,
July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1R3, July 2009.
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d. Security Target Symantec Brightmail Gateway 9.0.1, Revision No. 1.4, 23 December
2010.
e. Evaluation Technical Report for EAL 2 Common Criteria of Symantec Corporation
Symantec Brightmail Gateway 9.0.1, Document No. 1665-000-D002, Version 1.2, 29
December 2010, Common Criteria Evaluation Number: 383-4-162.