Certification Report
EAL 2+ Evaluation of Symantec™ Network Access
Control Version 11.0
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2008 Government of Canada, Communications Security Establishment Canada
Evaluation number: 383-4-92
Version: 1.0
Date: 15 July 2008
Pagination: i to iv, 1 to 11
CCS Certification Report Symantec Corporation
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, have 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 2.3, for
conformance to the Common Criteria for IT Security Evaluation, Version 2.3. This
certification report, and its associated certificate, applies 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 Standard 17025, General requirements for the
accreditation of calibration and testing 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 15 July
2008, 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 at:
http://www.cse-cst.gc.ca/services/common-criteria/trusted-products-e.html and
http://www.commoncriteriaportal.es
This certification report makes reference to the following trademarked names:
• Symantec is a trademark of Symantec Corporation.
• Microsoft, Windows Vista, Windows Server 2003, Windows 2000, Windows 2003 and
Windows XP are either trademarks or registered trademarks of Microsoft Corporation in
the United States and/or 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 ................................................................................ 3
2 TOE Description ................................................................................................................... 3
3 Evaluated Security Functionality........................................................................................ 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 5
8 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 6
10 Documentation ...................................................................................................................... 6
11 Evaluation Analysis Activities ............................................................................................. 7
12 ITS Product Testing.............................................................................................................. 8
12.1 ASSESSING DEVELOPER TESTS................................................................................... 8
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 9
12.4 CONDUCT OF TESTING ............................................................................................... 9
12.5 TESTING RESULTS.................................................................................................... 10
13 Results of the Evaluation.................................................................................................... 10
14 Evaluator Comments, Observations and Recommendations ......................................... 10
15 Acronyms, Abbreviations and Initializations................................................................... 11
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16 References............................................................................................................................ 11
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Executive Summary
Symantec™ Network Access Control version 11.0, from Symantec Corporation, is the Target
of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 Augmented evaluation.
The primary purpose of SymantecTM
Network Access Control version 11.0 is to ensure that
network clients are compliant with an organization's security policies. The SymantecTM
Network Access Control version 11.0 client is installed on the endpoints on which network
access policies are to be enforced. Security policy compliance is enabled by using the host
integrity policies created in the SymantecTM
Endpoint Protection Manager component. The
host integrity policy is the security policy that serves as the basis for all evaluations and
actions. The SymantecTM
Network Access Control version 11.0 client is also designed to
report its host integrity compliance status to a SymantecTM
Enforcer. The SymantecTM
Enforcer is an appliance that works with SymantecTM
Network Access Control version 11.0
clients to help regulate their access to the network. The Enforcer ensures that all the
computers that connect to the network it protects run the SymantecTM
Network Access
Control version 11.0 client software and have a correct security policy. Together, host
integrity policies and hardware enforcement keep non-compliant computers off of the
network.
EWA-Canada is the Common Criteria Evaluation Facility that conducted the evaluation. This
evaluation was completed on 25 June 2008 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 Symantec™ Network Access
Control version 11.0, 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 the
security target, and to give due consideration to the comments, observations and
recommendations in this certification report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 2 Augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using the Common
Methodology for Information Technology Security Evaluation, Version 2.3 (with applicable
final interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, Version 2.3. The following augmentations are claimed:
a. ALC_FLR.2 – Flaw reporting procedures; and
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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b. AVA_MSU.1 – Examination of guidance.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Symantec™ Network Access Control version 11.0 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) EAL 2
Augmented evaluation is the Symantec™ Network Access Control version 11.0 from
Symantec.
2 TOE Description
The primary purpose of SymantecTM
Network Access Control version 11.0 is to ensure that
network clients are compliant with an organization's security policies. The SymantecTM
Network Access Control version 11.0 client is installed on the endpoints on which network
access policies are to be enforced. Security policy compliance is enabled by using the host
integrity policies created in the SymantecTM
Endpoint Protection Manager component. The
host integrity policy is the security policy that serves as the basis for all evaluations and
actions. The SymantecTM
Network Access Control version 11.0 client is also designed to
report its host integrity compliance status to a SymantecTM
Enforcer. The SymantecTM
Enforcer is an appliance that works with SymantecTM
Network Access Control version 11.0
clients to help regulate their access to the network. The Enforcer ensures that all the
computers that connect to the network it protects run the SymantecTM
Network Access
Control version 11.0 client software and have a correct security policy. Together, host
integrity policies and hardware enforcement keep non-compliant computers off of the
network.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Symantec™ Network Access
Control version 11.0 is identified in Section 5 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™ Network Access Control Version 11.0
Version: 1.6
Date: June 19, 2008
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, Version 2.3.
Symantec™ Network Access Control version 11.0 is:
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a. Common Criteria Part 2 extended, with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirement defined in
the ST:
• FIA_PLA_EXP.1 – Performance and Log Alerts;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, containing all the security assurance requirements
in the EAL 2 package, as well as the following: ALC_FLR.2 – Flaw Reporting
Procedures and AVA_MSU.1 – Examination of Guidance.
6 Security Policy
Symantec™ Network Access Control version 11.0 implements an information flow control
security policy. The TOE is designed to help prevent unwanted and non-compliant endpoints
from gaining access to the local area network. The client compares endpoint configuration
with defined security policies; a non-compliant endpoint is not allowed full access to the
network. Host integrity policies are configured to ensure that the client computers that
connect to an enterprise network run the required applications and data files. The client that
runs a host integrity check implements the host integrity policy settings defined by the
administrator.
In addition, Symantec™ Network Access Control version 11.0 implements security policies
pertaining to security audit and security management. Further details on these security
policies may be found in Sections 5 and 6 of the security target.
7 Assumptions and Clarification of Scope
Consumers of the Symantec™ Network Access Control version 11.0 product should consider
assumptions about usage and environmental settings as requirements for the product’s
installation and its operating environment. This will ensure the proper and secure operation
of the TOE.
7.1 Secure Usage Assumptions
The following secure usage assumptions are listed in the ST:
a. Administrators will back up the audit files and monitor disk usage to ensure audit
information is not lost.
b. Administrators are non-hostile, appropriately trained, and follow all administrator
guidance.
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7.2 Environmental Assumptions
The following environmental assumptions are listed in the ST:
a. It is assumed that appropriate physical security is provided within the domain for the
value of the IT assets protected by the TOE and the value of the stored, processed and
transmitted information.
b. The IT environment will provide a secure line of communication between distributed
portions of the TOE and between the TOE and the remote administrators.
For more information about the TOE security environment, refer to Section 3 of the ST (TOE
Security Environment).
7.3 Clarification of Scope
The TOE is assured to provide effective security measures in a co-operative non-hostile
environment only if it is installed, managed, and used correctly. The operational environment
must be managed in accordance with assurance requirements documentation for delivery,
operation, and user/administrator guidance.
Symantec™ Network Access Control version 11.0 relies on the environment to provide it
physical and logical protection.
8 Architectural Information
The TOE architecture comprises the following four components:
• Symantec™ Network Access Control Version Client. The Symantec™ Network
Access Control version 11.0 client software protects laptops, desktops and servers on
an internal network. It evaluates whether a computer is properly protected and
compliant before it is allowed to connect to the corporate network.
• Symantec™ Endpoint Protection Manager. The Symantec™ Endpoint Protection
version 11.0 Manager component provides the core management functionality of the
TOE including generating reports, managing policies, installing clients and
configuring administrative accounts and actions.
• Symantec™ Endpoint Protection Management Console. The Symantec™
Endpoint Protection version 11.0 Management console provides the Graphical User
Interface (GUI) which allows the TOE operator to configure and administer the
Symantec™ Endpoint Protection version 11.0 Manager.
• Symantec Enforcer 6100 Series. The Symantec™ Enforcer is an appliance that
works with Symantec™ Network Access Control version 11.0 clients to help regulate
their access to the network. The Symantec™ Enforcer ensures that all the computers
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that connect to the network it protects run the client software and have a correct
security policy.
9 Evaluated Configuration
The evaluated configuration for Symantec™ Network Access Control version 11.0
comprises:
• Symantec Network Access Control Client version 11.0.780.1109 running on
Microsoft Windows® 2000 Professional Service Pack 4, Microsoft Windows® 2000
Server Service Pack 3, Microsoft Windows® 2000 Advanced Server Service Pack 4,
Microsoft Windows® XP Service Pack 2 Professional Edition and Microsoft
Windows® Server 2003 Standard or Enterprise Edition.
• Symantec™ Endpoint Protection Manager version 11.0.776.942 running on
Microsoft Windows® 2003 R2, Microsoft Windows® XP Service Pack 2 or
Microsoft Windows® 2000 Service Pack 3; and
• Symantec™ Enforcer 6100 series appliance running software version 11.0 build
2038.
10 Documentation
Symantec™ Network Access Control version 11.0 documents provided to the consumer are
as follows:
a. Administration Guide for Symantec™ Endpoint Protection and Symantec Network
Access Control, Document No 11.00.00.00.03;
b. Symantec™ Network Access Control Enforcer Implementation Guide, Document No
11.00.00.00.01;
c. Symantec™ Network Access Control Enforcer Supplement, Document No
11.00.00.00.00;
d. Administrative Guidance and Installation, Generation, and Startup Procedures:
Symantec™ Network Access Control Version 11.0, Document Version 1.0, November 5,
2007;
e. Installation Guide for Symantec Endpoint Protection and Symantec Network Access
Control, Documentation version 11.00.00.00.00;
f. Symantec™ Network Access Control Getting Started Guide Documentation version
11.00.00.00.00; and
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g. Client Guide for Symantec™ Endpoint Protection and Symantec Network Access
Control, Documentation version 11.00.00.00.02.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the Symantec™
Network Access Control version 11.0, including the following areas:
Configuration management: An analysis of Symantec™ Network Access Control version
11.0 configuration management system and associated documentation was performed. The
evaluators found that Symantec™ Network Access Control version 11.0 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.
Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of
Symantec™ Network Access Control version 11.0 during distribution to the consumer. The
evaluators examined and tested the installation, generation and start-up procedures, and
determined that they were complete and sufficiently detailed to result in a secure
configuration.
Design documentation: The evaluators analysed the Symantec™ Network Access Control
version 11.0 functional specification and high-level design; they determined that the
documents were internally consistent, and completely and accurately instantiated all
interfaces and security functions. The evaluators also independently verified that the
correspondence mappings between the design documents were correct.
Guidance documents: The evaluators examined the Symantec™ Network Access Control
version 11.0 user and administrator guidance documentation and determined that it
sufficiently and unambiguously described how to securely use and administer the product,
and that it was consistent with the other documents supplied for evaluation.
Life-cycle support: The evaluators reviewed the flaw remediation procedures used by
Symantec for the Symantec™ Network Access Control version 11.0. During a site visit, the
evaluators also examined the evidence generated by adherence to the procedures. The
evaluators concluded that the procedures are adequate to track and correct security flaws, and
distribute the flaw information and corrections to consumers of the product.
Vulnerability assessment: Symantec™ Network Access Control version 11.0 ST’s strength
of function claims were validated through independent evaluator analysis. The evaluators
examined the developer’s vulnerability analysis for the Symantec™ Network Access Control
version 11.0 and found that it sufficiently described each of the potential vulnerabilities
along with a sound rationale as to why it was not exploitable in the intended environment.
Additionally, the evaluators conducted an independent review of public domain vulnerability
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databases, and all evaluation deliverables to provide assurance that the developer has
considered all potential vulnerabilities. The evaluators also examined the guidance and other
evaluation evidence to determine that the guidance identifies all possible modes of operation
of the TOE, their consequences and implications for maintaining secure operation.
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.
12.1 Assessing 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
.
Symantec employs a rigorous testing process that tests the changes and fixes in each release
of Symantec™ Network Access Control version 11.0. Comprehensive regression testing is
conducted for all releases. 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.
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:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Initialization: The objective of this test goal is to provide the procedures for determining
the system configuration in order to ensure that the TOE that is tested is correct;
c. Audit: The objective of this test goal is to ensure that the audit data is recorded and can be
viewed;
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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d. Users and Roles: The objective of this test goal is to ensure the users and roles
functionality is correct. The test cases focused on account creation, account deletion, role
assignment and security management functions; and
e. Information Flow Control: The objective of this test goal is to exercise the TOE's
information flow control functionality. Test cases focused on the detection of non-
compliant endpoints and the TOE’s ability to deny access to the network until the endpoint
is authenticated, authorized, and complaint to internal security policies.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis and the independent
review of public domain vulnerability databases and all evaluation deliverables, limited
independent evaluator penetration testing was conducted. The penetration tests focused on:
• Generic vulnerabilities;
• Bypassing;
• Tampering; and
• Direct attacks
The evaluator conducted a port scan of Symantec™ Network Access Control version 11.0.
The only ports found to be open were ones that would be expected to be. The evaluator used
a publicly available tool to scan Symantec™ Network Access Control version 11.0 for
weaknesses, and none were found. The evaluator also used a publicly available packet
capture tool to examine output from Symantec™ Network Access Control version 11.0
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™ Network Access Control version 11.0 was subjected to a comprehensive suite of
formally documented, independent functional 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.
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12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that Symantec™ Network Access Control version 11.0 behaves as specified
in its ST and functional specification.
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™ Network Access Control version 11.0 includes
a comprehensive Installation and Security Guide and a User’s Guide.
Symantec™ Network Access Control version 11.0 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, delivery and life-cycle processes as evidenced by the high-quality of the CC
evaluation evidence and its practical application for the Symantec™ Network Access Control
version 11.0 project.
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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
CM Configuration Management
CVE Common Vulnerabilities and Exposures
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GUI Graphical User Interface
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
Canada
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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 1.0.
b. Common Criteria for Information Technology Security Evaluation, Version 2.3,
August 2005.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 2.3, August 2005.
d. Security Target: Symantec™ Network Access Control Version 11.0, Revision No.
1.6, June 19, 2008.
e. Evaluation Technical Report (ETR) Symantec™ Network Access Control Version
11.0, EAL 2+ Evaluation, Common Criteria Evaluation Number: 383-4-92,
Document No. 1573-000-D002, Version 1.1, 25 June 2008.
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