Certification Report
SolarWinds® Log and Event Manager v5.70
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2014
Document number: 383-4-287-CR
Version: 1.0
Date: 15 October 2014
Pagination: i to iii, 1 to 9
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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, 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, 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, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
This certification report is associated with the certificate of product evaluation dated 15
October 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:
 SolarWinds® is a registered trademark of SolarWinds Worldwide LLC.
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 Security Policy....................................................................................................................... 3
4 Security Target...................................................................................................................... 4
5 Common Criteria Conformance.......................................................................................... 4
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 5
10 ITS Product Testing.............................................................................................................. 6
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 6
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
10.4 CONDUCT OF TESTING ............................................................................................... 7
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Evaluator Comments, Observations and Recommendations ........................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 8
14 References.............................................................................................................................. 9
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Executive Summary
SolarWinds® Log and Event Manager v5.70 (hereafter referred to as SolarWinds LEM),
from SolarWinds Worldwide, LLC, is the Target of Evaluation. The results of this evaluation
demonstrate that SolarWinds LEM meets the requirements of Evaluation Assurance Level
(EAL) 2 augmented for the evaluated security functionality.
SolarWinds LEM collects, stores, and normalizes log and event data from a variety of
sources, and displays that data in a web interface for monitoring, searching, and analysis.
Data is also available for scheduled and ad hoc reporting.
Alerts are created from normalized data that Solarwinds LEM uses to display
events/messages from Solarwinds LEM monitored devices. Log data is processed by
Solarwinds LEM’s policy engine to correlate data based on user defined Rules. These
actions can include notifying users, blocking an IP address, shutting down or rebooting a
workstation, and passing the alerts on to the Solarwinds LEM database for future analysis
and reporting within the Reports application.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
24 September 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 SolarWinds LEM, and the security
functional/assurance 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.
Communications Security Establishment, as the CCS Certification Body, declares that the
SolarWinds LEM 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 EAL 2+ evaluation is SolarWinds® Log and Event
Manager v5.70 (hereafter referred to as SolarWinds LEM), from SolarWinds Worldwide,
LLC.
2 TOE Description
SolarWinds LEM collects, stores, and normalizes log and event data from a variety of
sources, and displays that data in a web interface for monitoring, searching, and analysis.
Data is also available for scheduled and ad hoc reporting.
Alerts are created from normalized data that Solarwinds LEM uses to display
events/messages from Solarwinds LEM monitored devices. Log data is processed by
Solarwinds LEM’s policy engine to correlate data based on user defined Rules. These
actions can include notifying users, blocking an IP address, shutting down or rebooting a
workstation, and passing the alerts on to the Solarwinds LEM database for future analysis
and reporting within the Reports application.
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A diagram of the SolarWinds LEM architecture is as follows:
3 Security Policy
SolarWinds LEM implements a role-based access control policy to control administrative
access to the system. In addition, SolarWinds LEM implements policies pertaining to the
following security functional classes:
 Audit;
 Identification and Authentication;
 Security Management; and
 Log and Event Management.
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4 Security Target
The ST associated with this Certification Report is identified below:
SolarWinds® Log and Event Manager Software Security Target version 1.5, 25 August
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.
SolarWinds LEM is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following:
 ALC_FLR.2 Flaw Reporting Procedures.
b. 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:
 FNM_MDC – Monitor Data Collection;
 FNM_ANL – Monitor Analysis;
 FNM_RCT – Management React; and
 FNM_RDR – Restricted Data Review.
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
6 Assumptions and Clarification of Scope
Consumers of SolarWinds LEM 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.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 The Administrator will install and configure the TOE according to the administrator
guidance.
 Administrators are non-hostile, competent and on-going, and follow the
administrator guidance when using the TOE.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE has access to all the IT System data it needs to perform its functions;
 The TOE is appropriately scalable to the IT Systems the TOE monitors;
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 The TOE will be located in an environment that provides physical security,
uninterruptible power, and temperature control required for reliable operation; and
 There will be a network that supports communication between distributed
components of the TOE. This network functions properly.
7 Evaluated Configuration
The evaluated configuration for SolarWinds LEM comprises:
SolarWinds Log And Event Manager v5.7.0, build 9.
Solarwinds LEM is made up of two components:
 The virtual appliance is installed on a virtual platform running VMware vSphere 4,
Microsoft Hyper-V 2008 R2, or Microsoft Hyper-V 2012.
 The desktop component is installed on a GPC running one of Windows XP, Windows
Vista, Windows 7, Windows Server 2003, Windows Server 2008 or Windows Server
2008 R2.
The publication entitled.:
 SolarWinds Log & Event Manager Common Criteria Supplement, version 1.1, 29
August 2014.
describes the procedures necessary to install and operate SolarWinds LEM in its evaluated
configuration.
8 Documentation
The SolarWinds Worldwide, LLC documents provided to the consumer are as follows:
a. SolarWinds Log & Event Manager Quick Start Guide, version 5.6.6, 6 November 2013;
b. SolarWinds Log & Event Manager User Guide 5.7, 12 October 2013; and
c. SolarWinds Log & Event Manager Common Criteria Supplement, version 1.1, 29 August
2014.
9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of SolarWinds LEM,
including the following areas:
Development: The evaluators analyzed the SolarWinds LEM 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
SolarWinds LEM security architectural description and determined that the initialization
process is secure, that the security functions are protected against tamper and bypass, and that
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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 SolarWinds LEM 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 SolarWinds LEM configuration management system
and associated documentation was performed. The evaluators found that the SolarWinds
LEM configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of SolarWinds LEM during distribution to
the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the
SolarWinds LEM. 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.
All these evaluation activities resulted in PASS verdicts.
10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 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 ETR1
.
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.
10.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation.
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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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 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 confirm that the TOE can be installed
and configured, as identified in the ST, by following the instructions in the developer
supplied documentation;
c. Invalid Login Auditing: The objective of this test goal is to confirm that the TOE will log
invalid login attempts by an unknown user; and
d. Restrict SSH: The objective of this test goal is to confirm that the TOE will restrict SSH
access from an undefined IP address.
10.3 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. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities;
b. Port Scan: The objective of this test goal is to scan ports using nmap to verify which ports
are open;
c. Banner Grabbing: The objective of this test case is to determine if any useful information
can be gained from netcat scans of the TOE; and
d. Information Leakage: The objective of this test case is to use a packet capture package to
monitor for leakage of sensitive information during login and normal operation of the
TOE.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
SolarWinds LEM 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 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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10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that SolarWinds LEM behaves as specified in its ST and functional
specification.
11 Results of the Evaluation
This evaluation has provided the basis for a EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
12 Evaluator Comments, Observations and Recommendations
The evaluator recommends that potential operators of the TOE familiarize themselves with
the ST and relevant product documentation before operating the appliance. Given that the
appliance is installed in a virtual machine environment, it is also required that personnel
deploying the SolarWinds Log and Event Manager are properly trained in the operation of
the underlying hypervisor.
Care must be taken to ensure that network traffic between the appliance and monitored
devices is configured properly. As some features and access to the appliance is controlled
solely by IP address it is imperative to the secured operation of the appliance that IT
departments control access to these whitelisted devices.
13 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
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
LEM Log and Event Manager
PALCAN Program for the Accreditation of
Laboratories - Canada
SFR Security Functional Requirement
SSH Secure Shell
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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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. SolarWinds® Log and Event Manager Software Security Target version 1.5, 25
August 2014
e. Evaluation Technical Report for SolarWinds® Log and Event Manager Software,
version 1.1, 24 September 2014.