Certification Report
Symantec® Security Information Manager 4.8.1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2014
Document number: 383-4-235-CR
Version: 1.0
Date: 24 March 2014
Pagination: i to iii, 1 to 7
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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
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. 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, 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, 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.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, its security requirements,
and the level of confidence (i.e., the evaluation assurance level) that the product satisfies the
security requirements.
This certification report is associated with the certificate of product evaluation dated 24
March 2014, 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:
 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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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
8 Evaluated Configuration...................................................................................................... 3
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 ........................................................................ 5
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 6
11.4 CONDUCT OF TESTING ............................................................................................... 6
11.5 TESTING RESULTS...................................................................................................... 6
12 Results of the Evaluation...................................................................................................... 6
13 Evaluator Comments, Observations and Recommendations ........................................... 6
14 Acronyms, Abbreviations and Initializations..................................................................... 7
15 References.............................................................................................................................. 7
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Executive Summary
Symantec® Security Information Manager 4.8.1 (hereafter referred to as SSIM), from
Symantec Corporation, is the Target of Evaluation for this Evaluation Assurance Level
(EAL) 2 augmented evaluation.
SSIM provides the ability to analyze historical security events and generate reports on
security metrics in support of satisfying security policy compliance needs. SSIM provides
real-time event correlation and data archiving to protect against security threats and to
preserve critical security data. SSIM collects, analyzes, and archives information from
security devices, critical applications, and services within the network.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
26 February 2014 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 SSIM, the security requirements,
and the level of confidence (evaluation assurance level) to which it is asserted that the
product satisfies its security requirements. Consumers are advised to verify that their
operating environment is consistent with that specified in the security target, and to give due
consideration to the comments, observations and recommendations in this certification
report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 2 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 4, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. The following augmentation is claimed: ALC_FLR.2 – Flaw
Reporting Procedures.
Communications Security Establishment, as the CCS Certification Body, declares that the
SSIM 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 augmented
evaluation is Symantec® Security Information Manager 4.8.1 (hereafter referred to as
SSIM), from Symantec Corporation.
2 TOE Description
SSIM provides the ability to analyze historical security events and generate reports on
security metrics in support of satisfying security policy compliance needs. SSIM provides
real-time event correlation and data archiving to protect against security threats and to
preserve critical security data. SSIM collects, analyzes, and archives information from
security devices, critical applications, and services within the network.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for SSIM is identified in Section 6 of the
ST.
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target Symantec® Security Information Manager Version 4.8.1
Version: 1.7
Date: 30 January 2014
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
SSIM is:
a. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST:
• SIM_ANL.1 – Event Analysis; and
• SIM_RES.1 – Incident Resolution.
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, containing all security assurance requirements in the
EAL 2 package, as well as the following: e.g. ALC_FLR.2 – Flaw Reprting Procedures.
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6 Security Policy
SSIM implements an Administrative Access Control policy to control user access to the
system; details of this security policy can be found in Section 6 of the ST.
In addition, SSIM implements insert other policies pertaining to security audit, identification
and authentication, and security management. Further details on these security policies may
be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of SSIM should consider assumptions about usage and environmental settings as
requirements for the product’s installation and its operating environment. This will ensure the
proper and secure operation of the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 Administrators of the TOE are appropriately trained to undertake the installation,
configuration and management of the TOE in a secure and trusted manner; and
 Administrators of the TOE and users on the local area network are not careless,
willfully negligent, nor hostile, and will follow and abide by the instructions provided
by the TOE documentation.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The processing platforms on which the TOE resides are located within a facility that
provides controlled access; and
 The processing platforms on which the TOE resides and the TOE software critical to
security policy enforcement will be protected from unauthorized physical
modification.
8 Evaluated Configuration
The evaluated configuration for SSIM is software only and comprises:
 SSIM Server running on RedHat Enterprise Linux 6.4 x86 64-bit OS; and
 Management Console running on one of the following Operating Systems:
 Windows-XP 32-bit SP3 and 64-bit SP2;
 Windows Server 2003 32-bit and 64-bit SP2;
 Windows Server 2008 32-bit and 64-bit SP2;
 Windows Vista 32-bit and 64-bit SP2; and
 Windows 7 32-bit and 64-bit.
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The following publications describe the procedures necessary to install and operate SSIM in
its evaluated configuration:
a. Symantec™ Security Information Manager 4.8.1 Installation Guide;
b. Symantec™ Security Information Manager 4.8.1 Administrator Guide; and
c. Symantec™ Security Information Manager 4.8.1 User Guide.
9 Documentation
The Symantec Corporation documents provided to the consumer are as follows:
a. Symantec™ Security Information Manager 4.8.1 Installation Guide;
b. Symantec™ Security Information Manager 4.8.1 Administrator Guide;
c. Symantec™ Security Information Manager 4.8.1 User Guide; and
d. Symantec™ Security Information Manager 4.8.1 Release Notes.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of SSIM, including the
following areas:
Development: The evaluators analyzed the SSIM 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 SSIM security
architectural description and determined that the initialization process is secure, 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 SSIM 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 SSIM configuration management system and
associated documentation was performed. The evaluators found that the SSIM 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 SSIM during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by developer for SSIM.
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
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security flaws, and distribute the flaw information and corrections to consumers of the
product.
Vulnerability assessment: The evaluators conducted an independent vulnerability analysis
of SSIM. Additionally, the evaluators conducted a search of public domain vulnerability
databases to identify SSIM potential vulnerabilities. The evaluators identified potential
vulnerabilities; subsequent to follow-on penetration testing (ref: section 11.3) it was verified
that none of the potential vulnerabilities were exploitable in the operational environment for
SSIM.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing 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.
11.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a sample of the developer's test cases, and creating test cases that augmented the
developer tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach is the
following list of EWA-Canada test goals:
a. Initialization: The goal of this test case is to verify that the Administrator can install and
configure the TOE following the guidance provided with the product, and duplicate the
settings and environment as detailed in the Security Target;
b. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
c. Security Management: The objective of this test goal is to verify that the SSIM Server
can integrate with an Active Directory Server;
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. Incident Management: The purpose of this test goal is to verify that incidents are audited
and tracked; and
e. Schedule and Distribute Reports: The purpose of this test goal is to verify that authorized
users can create and distribute standard reports and queries.
11.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
a. Port Scan: The purpose of this test case is to identify any suspicious open ports on the
TOE system;
b. Monitor, Information leakage: The purpose of this test goal is to monitor for data leakage
during login, logout and other scenarios; and
c. Bypass, Session Management: The objective of this test goal is to verify the secure
management of the SSIM Web Interface session.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
SSIM was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place at the Information Technology
Security Evaluation and Test (ITSET) Facility at EWA-Canada. The CCS Certification Body
witnessed a portion of the independent testing. The detailed testing activities, including
configurations, procedures, test cases, expected results and observed results are documented
in a separate Test Results document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that SSIM behaves as specified in its ST and functional specification.
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
The TOE must be operated in accordance with the Installation and Administration Guides
and must be installed within a non-hostile and well-managed operating environment. The
evaluator recommends that the users read the ST and make sure all the assumptions made
regarding the environment are true in the intended environment of the TOE. The evaluator
strongly recommends users of the TOE consult the Guidance Supplement for references on
relevant user guidance in order to configure the TOE in its evaluated configuration. An
unintentional misconfiguration due to a poorly trained administrator can easily lead to
security threats not being countered as expected. The evaluator noted throughout the testing
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and vulnerability assessment portions of the evaluation that there are a great deal of
configuration options available on the TOE and the Operational Environment.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
- Canada
SFR Security Functional Requirement
SIM Security Information Manager
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 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. Symantec® Security Information Manager Version 4.8.1 , 1.7, 30 January 2014.
e. Evaluation Technical Report, Symantec® Security Information Manager v8.4.1, v1.1,
26 February 2014.