Certification Report
EAL 3+ Evaluation of Novell Identity Manager 4.0.2
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2013
Document number: 383-4-214-CR
Version: 1.0
Date: 26 March 2013
Pagination: i to iii, 1 to 11
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 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 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, 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 26
March 2013, 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).
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.......................................................................................... 3
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 6
10 Evaluation Analysis Activities ............................................................................................. 7
11 ITS Product Testing.............................................................................................................. 8
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 9
11.4 CONDUCT OF TESTING ............................................................................................... 9
11.5 TESTING RESULTS...................................................................................................... 9
12 Results of the Evaluation...................................................................................................... 9
13 Acronyms, Abbreviations and Initializations..................................................................... 9
14 References............................................................................................................................ 11
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Executive Summary
Novell Identity Manager 4.0.2 (hereafter referred to as IDM 4.0.2), from NetIQ Corporation,
is the Target of Evaluation for this Evaluation Assurance Level (EAL) 3 augmented
evaluation.
IDM 4.0.2 is a data sharing and synchronization service that enables applications, directories,
and databases to share information. It links scattered information and enables policies that
govern automatic updates to designated systems when identity changes occur. IDM 4.0.2
provides the foundation for account provisioning, security, single sign-on, user self-service,
authentication, authorization, automated workflow, and Web services. It allows
administrators to integrate, manage, and control distributed identity information in a secure
manner.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
6 March 2013 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 IDM 4.0.2, 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 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 4, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. The following augmentation is claimed: ALC_FLR.1 – Basic Flaw
Remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the IDM 4.0.2 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) 3 augmented
evaluation is Novell Identity Manager 4.0.2 (hereafter referred to as IDM 4.0.2), from NetIQ
Corporation.
2 TOE Description
IDM 4.0.2 is a data sharing and synchronization service that enables applications, directories,
and databases to share information. It links scattered information and enables policies that
govern automatic updates to designated systems when identity changes occur. IDM 4.0.2
provides the foundation for account provisioning, security, single sign-on, user self-service,
authentication, authorization, automated workflow, and Web services. It allows
administrators to integrate, manage, and control distributed identity information in a secure
manner.
A detailed description of the IDM 4.0.2 architecture is found in Section 1.7 of the Security
Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for IDM 4.0.2 is identified in Section 7
of the ST.
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target: Novell Identity Manager 4.0.2
Version: 1.3
Date: 29 January 2013
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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.
IDM 4.0.2 is:
a. Common Criteria Part 2 conformant, with security functional requirements based only
upon functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 3 augmented, containing all security assurance requirements in
the EAL 3 package, as well as the following: ALC_FLR.1 – Basic Flaw Remediation
6 Security Policy
IDM 4.0.2 implements a role-based access control policy to control user access to the system,
as well as an information flow control policy to control information entering the system;
details of these security policies can be found in Section 7.3 of the ST.
In addition, IDM 4.0.2 implements insert other policies pertaining to security audit, user data
protection, identification and authentication, and security management. Further details on
these security policies may be found in Section 7 of the ST.
7 Assumptions and Clarification of Scope
Consumers of IDM 4.0.2 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:
ï‚· Administrators of the TOE are appropriately trained to undertake the installation,
configuration and management of the TOE in a secure and trusted manner.
ï‚· 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.
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7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
ï‚· The processing platforms on which the TOE resides are located within a facility that
provides controlled access.
ï‚· The TOE is configured to receive all passwords and associated data from
network‐attached systems.
ï‚· The TOE has a trusted source for system time via NTP server.
7.3 Clarification of Scope
IDM 4.0.2 offers protection against inadvertent or casual attempts to breach system security
by unsophisticated attackers possessing basic attack potential. IDM 4.0.2 is not intended for
situations which involve determined attempts by hostile or well-funded attackers using
sophisticated attack techniques.
8 Evaluated Configuration
The TOE consists of a set of software applications run on one or multiple distributed
systems; it can also run on a virtual machine. The TOE requires the following software
components:
Component Requirements
Administration Workstation Web Browsers
• Internet Explorer 7, 8, and 9.
• Mozilia Firefox 3, 3.5, 3.6, 4
Designer & Analyzer
• SLES 10 SP3 (32 and 64-bit)
• SLES 11 (32 and 64-bit)
• SLES 11 SPI (32 and 64-bit)
• Windows 7 (32 and 64-bit)
• Windows Server 2003 SP2 (32-bit only)
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• Windows Server 2008 R2: (64-bit only)
• Solaris 10 (64-bi t)
• Windows Server 2008 SPI or later (32 or 64
bit)
User Application Server 4.0.2 / Reporting
Server
• SLES 10 SP3 (32: and 64-bit)
• SLES 11 (32: and 64-bit)
• SLES 11 SPI (32: and 64-bit)
• OES 2: SP3 (32: and 64-bit)
• RHEL 5.4 (32: and 64-bit )
• RHEL 6.0 (32: and 64-bit )
• Windows Server 2003 SP2: (3 2: -bit only)
• Windows Server 2008 R2: (64-bit only)
• Windows Server 2008 SPI (32 and 64-bit
only)
Meta-directory 4.0.2. Server (Identity Vault,
Meta-directory Engine, and Remote loader)
• iManager 2.7.5
• SLES 10 SP3 (32 and 64-bit)
• SLES 11 ( 32 and 64-bit)
• SLES 11 SP1 (32 and 64-bit)
• RHEL 5.4 (32 and 64-bit)
• RHEL 6.0 (32 and 64-bit)
• Windows Server 2003 SP2 (32-bit only)
• Windows Server 2008 R2 (64-bit only)
Role Mapping Administrator Web Services • iManager 2.7.5
• SLES 10 SP3 (32 and 64-bit)
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• SLES 11 ( 32 and 64-bit)
• SLES 11 SPI (32 and 64-bit)
• RHEL 5.4 (32 and 64-bit )
• RHEL 6.0 (32 and 64-bit )
• Windows Server 2003 SP2 (32-bit only)
• Windows Server 2008 R2 (64-bit only)
Event Auditing Service • SLES 10 SP3 (32 and 64-bit)
• SLES 11 ( 32 and 64-bit)
• SLES 11 SPI (32 and 64-bit)
Virtual Machine Support ï‚· Xen v4.2
ï‚· Windows Server 2008 R2 Virtualization
with Hyper-V
ï‚· VMware ESX 4.0,ESXi 4.0,4.1, ESXi 5.0
ï‚· VMware Workstation 6.5.
The publication entitled Operational User Guidance and Preparative Procedures Supplement
Novell Identity Manager 4.0 describes the procedures necessary to install and operate IDM
4.0.2 in its evaluated configuration.
9 Documentation
The NetIQ Corporation documents provided to the consumer are as follows:
a. User Application: Administration Guide Novell identity Manager Roles Based
Provisioning Module 4.0;
b. Understanding Policies: Novell Identity Manager 4.0;
c. Identity Reporting Module Guide: Novell Identity Manager 4.0.2;
d. Overview Guide Novell Identity Manager 4.0;
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e. Installation Guide: Novell Identity Manager 4.0.2;
f. User Application: Installation Guide: Novell Identity Manager Roles Based Provisioning
Module 4.0.2;
g. Integrated Installation Guide: Novell Identity Manager 4.0;
h. Role Mapping Administrator Installation and Configuration Guide: Identity Manager
4.0.2; and
i. Installation Guide: eDirectory 8.8 SP7
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of IDM 4.0.2, including
the following areas:
Development: The evaluators analyzed the IDM 4.0.2 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 IDM 4.0.2 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 IDM 4.0.2 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 IDM 4.0.2 configuration management system and
associated documentation was performed. The evaluators found that the IDM 4.0.2
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 IDM 4.0.2 during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by developer for IDM 4.0.2
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 IDM 4.0.2. Additionally, the evaluators conducted a search of public domain vulnerability
databases to identify IDM 4.0.2 potential vulnerabilities. The evaluators identified potential
vulnerabilities for testing applicable to IDM 4.0.2 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
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. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. User account management: The objectives of this test goal is to confirm that the TOE
can create and modify the privilege level of user accounts, and that only administrators
can modify/delete security attributes of users ;
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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c. Event Analysis report generation: The objective of this test goal is to confirm that the
TOE can generate reports based upon audit entries for security activities; and
d. Access Control: The objective of this test goal is to confirm that the TOE implements
and enforces an access control policy for use of TOE functions.
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 objective of this test goal is to scan the TOE using a port scanner to
identify open ports for potential issues;
b. Vulnerability Identification: Tool Scanning: The objective of this test goal is to scan the
TOE for vulnerabilities using automated tools; and
c. Information Leakage Verification: The objective of this test goal is to monitor the TOE
for leakage during start-up, shutdown, login, and other scenarios using a packet sniffer.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
IDM 4.0.2 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,
giving assurance that IDM 4.0.2 behaves as specified in its ST and functional specification.
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 Acronyms, Abbreviations and Initializations
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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
RHEL Red Hat Enterprise Linux
SLES SUSE Linux Enterprise Server
ST Security Target
TOE Target of Evaluation
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14 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. Security Target: Novell Identity Manager 4.0.2, 1.3, 29 January 2013 .
e. Evaluation technical Report for EAL 3+ Common Criteria Evaluation of Novell
Identity Manager 4.0.2, v1.1, 6 March 2013.