Certification Report
EAL 2 Evaluation of NetIQ®
AppManager™
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, 2011
Evaluation number: 383-4-137-CR
Version: 1.0
Date: 4 April 2011
Pagination: i to iii, 1 to 7
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, 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 4 April
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:
• AppManager™
and NetIQ®
are trademarks and registered trademarks of NetIQ
Corporation; and,
• Windows is a registered trademark of Microsoft Corporation in the United States 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 ...........................................................................................................4
11 ITS Product Testing ...........................................................................................................................5
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 5
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 6
11.4 CONDUCT OF TESTING ............................................................................................... 6
11.5 TESTING RESULTS...................................................................................................... 6
12 Results of the Evaluation....................................................................................................................7
13 Evaluator Comments, Observations and Recommendations .........................................................7
14 Acronyms, Abbreviations and Initializations...................................................................................8
15 References............................................................................................................................................8
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Executive Summary
NetIQ®
AppManager™
7.0.1 (hereafter referred to as AM 7.0.1), from NetIQ Corporation, is
the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 evaluation.
AM 7.0.1 is a suite of software applications that provides enterprise users the ability to make
changes to application and system configurations, monitor applications and systems
performance, and generate events and alerts based on predefined parameters.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
15 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 the AM, 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 3.1 Revision 3, for conformance to the
Common Criteria for Information Technology Security Evaluation, version 3.1 Revision 3.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the AM 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) 2 evaluation is
NetIQ®
AppManager™
7.0.1 (hereafter referred to as AM 7.0.1), from NetIQ Corporation.
2 TOE Description
AM 7.0.1 is a software only TOE comprising the components: Console, Repository,
Management Server, Managed Client, and Deployment Server. Detail on these components
is found in Section 1.3.2 of the ST.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for AM 7.0.1 is identified in Sections 5
and 6 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: NetIQ®
AppManager™
7.0.1 Security Target
Version: v23
Date: January 13, 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.
AM 7.0.1 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:
• WMPP_ADM.1(EX): Data Review;
• WMPP_ALR.1(EX): Data Alarms; and
• WMPP_STG.1(EX): Data Loss Prevention.
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
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c. Common Criteria EAL 2 conformant, with all the security assurance requirements from
EAL 2 package.
6 Security Policy
AM 7.0.1 implements policies pertaining to its Windows Management Performance Proxy
functionality, audit, user data protection, identification and authentication, and security
management. Details on these security policies may be found in Sections 5 and 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of AM 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:
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 administrators are not careless, wilfully negligent, or hostile, and will
follow and abide by the instructions provided by the TOE documentation.
c. The TOE has access to all the IT System data it needs to perform its functions.
d. The TOE will be managed in a manner that allows it to appropriately address changes in
the IT System the TOE monitors.
e. The TOE is appropriately scalable to the IT System the TOE monitors.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
a. The server components of the TOE will be located within controlled access facilities,
which will prevent unauthorized physical access.
b. The TOE will be able to rely on the IT environment to determine the identity of users.
c. The TOE will be able to rely on the IT environment to obtain a reliable time stamp.
d. The systems, networks and all components will be available for use.
e. The systems will be configured to allow for proper usage of the application.
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f. All networks will allow for communications between the components.
7.3 Clarification of Scope
AM 7.0.1 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 AM 7.0.1 comprises the components:
• Console 7.0.25063.0/7.0.11258.0 running on Windows Server 2003;
• Repository 7.0.40392.0/7.0.40392.4 running on Windows Server 2003;
• Management Server 7.0.25058.0 running on Windows Server 2003;
• Managed Client 7.0.25020.0 running on Windows Server 2003 and Windows Server
2008; and
• Deployment Server 7.0.40469.0 running on Windows Server 2003.
9 Documentation
The NetIQ documents provided to the consumer are as follows:
a. NetIQ®
AppManager™
Administrator Guide, July 2010;
b. NetIQ®
AppManager™
Installation Guide, October 2010;
c. NetIQ®
AppManager™
Control Center User Guide, August 2010; and
d. NetIQ®
AppManager™
AppManager Operator Console User Guide, March 2007.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the AM, including the
following areas:
Development: The evaluators analyzed the AM 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 AM 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, and that security domains are
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maintained. The evaluators also independently verified that the correspondence mappings
between the design documents are correct.
Guidance Documents: The evaluators examined the AM 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 AM 7.0.1 configuration management system and
associated documentation was performed. The evaluators found that the AM 7.0.1
configuration items were clearly marked. The developer’s configuration management system
was observed during the 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 AM 7.0.1 during distribution to the
consumer.
Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of AM 7.0.1. Additionally, the evaluators conducted a review of public domain vulnerability
databases to identify AM 7.0.1 potential vulnerabilities. The evaluators identified potential
vulnerabilities for testing applicable to the AM in its operational environment.
All these evaluation activities resulted in PASS verdicts.
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 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 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. Claimed Functionality: The objective of this test goal is to exercise the TOE claimed
functionality by verifying administrator roles functionality.
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. The independent penetration testing did not
uncover any exploitable vulnerabilities in the intended operating environment.
11.4 Conduct of Testing
AM 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 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 AM 7.0.1 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 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
AM 7.0.1 includes a comprehensive Installation and Security Guide, and Users Guide. AM
7.0.1 is straightforward to configure, use and integrate into a corporate network.
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14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
AM AppManager
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and Certification Scheme
CPL Certified Products list
CM Configuration Management
CVE Common Vulnerabilities and Exposures
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
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. NetIQ®
AppManager™
7.0.1 Security Target, v23, January 13, 2011.
e. Evaluation Technical Report (ETR) NetIQ®
AppManager™
7.0.1, EAL 2 Evaluation,
Common Criteria Evaluation Number: 383-4-137, Document No. 1634-000-D002,
Version 2.0, 15 March 2011.