Certification Report
EAL 3+ Evaluation of Symantec™ Control Compliance
Suite v10.5.1
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Document number: 383-4-178-CR
Version: 1.0
Date: 16 September 2011
Pagination: i to iii, 1 to 9
CCS Certification Report Symantec
Symantec™ CCS v10.5.1
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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, 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 16
September 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 registered trademark:
• Symantec is a registered trademark of Symantec 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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Symantec™ CCS v10.5.1
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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.......................................................................................... 3
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 5
11 ITS Product Testing.............................................................................................................. 6
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 6
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Evaluator Comments, Observations and Recommendations ........................................... 8
14 Acronyms, Abbreviations and Initializations..................................................................... 8
15 References.............................................................................................................................. 9
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Executive Summary
The Symantec™ Control Compliance Suite v10.5.1 (hereafter referred to as the Symantec
CCS v10.5.1), from Symantec, is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 3 augmented evaluation.
Symantec™ CCS v10.5.1 is a software only IT risk and compliance management solution
which allows administrators to link administrator defined policies to specific technical and
procedural standards, and which automates the tracking of compliance to those policies
across the organization. It provides an agent-less or agent-based capability to audit and scan
managed devices and identify problems with system configurations and internal controls.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
9 September 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 Symantec CCS v10.5.1, the
security requirements, and the level of confidence (evaluation assurance level) at which the
product is intended to satisfy the security requirements. Consumers are advised to verify that
their operating environment is consistent with that specified in the security target, and to give
due consideration to the comments, observations and recommendations in this certification
report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 3 Augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using the Common
Methodology for Information Technology Security Evaluation, Version 3.1 Revision 3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
version 3.1 Revision 3. The following augmentation is claimed:
ALC_FLR.2 - Flaw Reporting Procedures.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Symantec™ CCS v10.5.1 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).
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
may not be releasable for public review.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation is Symantec™ Control Compliance Suite v10.5.1 (hereafter referred to as
Symantec CCS v10.5.1), from Symantec.
2 TOE Description
Symantec™ CCS v10.5.1 is a software only IT risk and compliance management solution
which allows administrators to link administrator defined policies to specific technical and
procedural standards, and which automates the tracking of compliance to those policies
across the organization. It provides an agent-less or agent-based capability to audit and scan
managed devices and identify problems with system configurations and internal controls.
A description of the Symantec™ CCS v10.5.1 architecture and functionality is found in
Sections 1.4.1 and 1.5.1 of the Security Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the Symantec™ CCS v10.5.1 is
identified in Section 6 of the Security Target (ST).
The following cryptographic modules were evaluated to FIPS 140-2 standard:
Cryptographic Modules Certificate #
Windows Server 2008 R2 Enhanced Cryptographic
Provider (RSAENH) Software Version: 6.1.7600.16385
1337
OpenSSL FIPS Runtime Module Software Version 1.2 1111
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation:
Cryptographic Algorithm Standard Certificate #
Advanced Encryption Standard (AES) FIPS 197 1168
Secure Hash Algorithm (SHA-1) FIPS 180-3 723
Rivest Shamir Adleman (RSA) ANSI X9.31
PKCS #1 v1.5
RSASSA-PSS
323
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
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Symantec™ CCS v10.5.1
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Title: Symantec™ Control Compliance Suite v10.5.1 Security Target
Version: 0.19
Date: 25 August, 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.
The Symantec CCS v10.5.1 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:
• EXT_CCS_SDC.1 – System Data Collection;
• EXT_CCS_ANL.1 – Analysis;
• EXT_CCS_ARP.1 – Security Alarms; and
• EXT_CCS_RDR.1 – Restricted Data Review.
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 3 Augmented, with all the security assurance requirements in the
EAL 3 package, as well as the following: ALC_FLR.2 – Flaw Reporting Procedures.
6 Security Policy
The Symantec CCS v10.5.1 implements Control Compliance System policies to collect
information from managed devices, analyze the data for compliance and send alerts based on
programmable alarms. Further details on these security policies may be found in Sections 5
and 6.2.6 of the ST.
In addition, Symantec CCS v10.5.1 implements policies pertaining to Security Audit,
Cryptographic Support, Security Management, Protection of the TOE Security Functionality,
and Trusted Path/Channel. Further details on these security policies may be found in Section
6.2 of the ST.
7 Assumptions and Clarification of Scope
Consumers of the Symantec CCS v10.5.1 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.
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7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
a. The administrator of the TOE is competent, non-hostile, appropriately trained and
follows all guidance; and
b. Components of the TOE critical to the security policy enforcement must be located
within controlled access facilities.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
a. The IT environment provides the TOE with reliable time stamps; and
b. The IT environment provides the TOE with identification and authentication of TOE
users.
7.3 Clarification of Scope
The Symantec CCS v10.5.1 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 Symantec CCS v10.5.1 comprises:
a. Control Compliance Suite Reporting and Analytic v10.5.1 10.50.530.20000;
b. Risk Management Server v10.5.1, 10.50.194.20000;
c. Response Assessment Manager v10.5, 10.50.166.10000;
d. bv-control Windows v10.5.1;
e. bv-control SQL Server v10.5.1;
f. bv-control Oracle Subsystem v10.5.1;
g. bv-control NDS/Netware v10.5.1; and
h. FIPS Validated cryptographic modules: Windows Server 2008 R2 Enhanced
Cryptographic Provider (RSAENH) Software Version: 6.1.7600.16385 (Certificate #
1337) and OpenSSL FIPS Runtime Module Software Version 1.2 (Certificate # 1111).
The third party software that the TOE relies upon is identified in Table 3 of the ST.
The publications entitled Symantec™ Control Compliance Suite Installation Guide and
Symantec™ Response Assessment Module Installation Guide describe the procedures
necessary to install Symantec CCS v10.5.1 in its evaluated configuration.
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9 Documentation
The Symantec documents provided to the consumer are as follows:
a. Symantec Corporation Control Compliance Suite 10.5.1 Guidance Documentation
Supplement;
b. Symantec™ Control Compliance Suite Installation Guide, Version 10.5;
c. Symantec™ Response Assessment Module 10.5 Installation Guide;
d. Symantec™ RMS Console and Information Server Getting Started Guide, Version 10.5;
e. Symantec™ Control Compliance Suite User Guide, Version 10.5;
f. Symantec™ Control Compliance Suite Planning and Deployment Guide, Version 10.5;
g. Symantec™ Response Assessment Module User Guide, Version 10.5;
h. Symantec™ bv-Control® for Microsoft® SQL Server Getting Started Guide, Version
10.5;
i. Symantec™ bv-Control® for Microsoft® NDS eDirectory Getting Started Guide,
Version 10.5;
j. Symantec™ bv-Control® for Netware® Server Getting Started Guide, Version 10.5;
k. Symantec™ bv-Control® for Oracle® Getting Started Guide, Version 10.5; and
l. Symantec™ bv-Control® for Windows® Getting Started Guide, Version 10.5.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the Symantec CCS
v10.5.1, including the following areas:
Development: The evaluators analyzed the Symantec CCS v10.5.1 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
Symantec CCS v10.5.1 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 maintained. The evaluators also independently
verified that the correspondence mappings between the design documents are correct.
Guidance Documents: The evaluators examined the Symantec CCS v10.5.1 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 Symantec CCS v10.5.1 configuration management
system and associated documentation was performed. The evaluators found that the
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Symantec CCS v10.5.1 configuration items were clearly marked and that the access control
measures as described in the configuration management documentation are effective in
preventing unauthorized access 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 Symantec CCS v10.5.1 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 Symantec CCS v10.5.1 during
distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by Symantec for Symantec
CCS v10.5.1. 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 Symantec CCS v10.5.1. 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 the Symantec CCS v10.5.1 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
the test evidence, and reviewing the test results, as documented in the ETR2
.
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
may not be releasable for public review.
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The evaluators analyzed the developer’s test coverage and depth analyses and found them to
be complete and accurate. The correspondence between the tests identified in the
developer’s test documentation and the functional specification and TOE design was
complete.
11.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer’s test documentation,
executing a sample of the developer’s test cases, and creating test cases that augmented the
developer’s 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. Security Management: The objective of this test goal is to ensure that role based access
control requirements have been met and that functionality pertaining to the creation,
access, review and approval of administrator defined CCS policies operate as specified.
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. Bypass: The objective of this test was to verify that browser sessions were successfully
destroyed;
b. Monitoring: The objective of this test was to verify that the TOE does not leak sensitive
information and to scan for unnecessary open ports; and
c. Misuse: The objective of this test is to verify that the TOE continues to operate when a
communication failure occurs.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
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11.4 Conduct of Testing
Symantec™ CCS v10.5.1 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 the Symantec CCS v10.5.1 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
The complete documentation for the Symantec CCS v10.5.1 includes a comprehensive
Installation and Security Guide and a User’s Guide.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
AES Advanced Encryption Standard
(AES)
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and Certification
Scheme
CCS Control Compliance Suite
CCSRA Control Compliance Suite Reporting and Analytics
CPL Certified Products list
EAL Evaluation Assurance Level
ESM Enterprise Security Manager
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation and
Testing
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Acronym/Abbreviation/
Initialization
Description
PALCAN Program for the Accreditation of Laboratories Canada
RAM Response Assessment Manager
RMS Risk Management Server
RSA Rivest Shamir Adleman
RSAENH Windows Server 2008 R2 Enhanced Cryptographic
Provider
SHA-1 Secure Hash Algorithm
SFR Security Functional Requirement
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. Symantec™ Control Compliance Suite v10.5.1 Security Target, Revision No. 0.19,
25 August, 2011.
e. Evaluation Technical Report (ETR) Symantec™ Control Compliance Suite v10.5.1,
EAL 3+ Evaluation, Common Criteria Evaluation Number: 383-4-178, Document
No. 1693-000-D002, Version 1.1, 09 September 2011.
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