Certification Report
US Federal Shavlik Protect Standard v9.1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2014
Document number: 383-4-283-CR
Version: 1.0
Date: 4 December 2014
Pagination: i to iii, 1 to 10
CCS Certification Report US Federal Shavlik Protect Standard v9.1
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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
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 CSC Security Testing/Certification Laboratories.
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 4
December 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).
 Shavlik is a registered trademark of Shavlik.
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...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
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 ............................................................................................. 6
10 ITS Product Testing.............................................................................................................. 7
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
10.4 CONDUCT OF TESTING ............................................................................................... 8
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Evaluator Comments, Observations and Recommendations ........................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 9
14 References............................................................................................................................ 10
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Executive Summary
US Federal Shavlik Protect Standard v9.1 (hereafter referred to as Shavlik Protect Standard),
from Shavlik, is the Target of Evaluation. The results of this evaluation demonstrate that
Shavlik Protect Standard meets the requirements of Evaluation Assurance Level (EAL) 2
augmented for the evaluated security functionality.
Shavlik Protect Standard provides patch management, asset inventory, scripts for IT
management and Information Assurance Vulnerability Alert (IAVA) reporting. These
functions combine to provide a centralized IT management solution that supports keeping all
machines up to date and protected from vulnerabilities.
CSC Security Testing/Certification Laboratories is the CCEF that conducted the evaluation.
This evaluation was completed on 4 December 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 Shavlik Protect Standard, 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
Shavlik Protect Standard 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 US Federal Shavlik Protect
Standard v9.1 (hereafter referred to as Shavlik Protect Standard), from Shavlik.
2 TOE Description
Shavlik Protect Standard provides patch management, asset inventory, scripts for IT
management and Information Assurance Vulnerability Alert (IAVA) reporting. These
functions combine to provide a centralized IT management solution that supports keeping all
machines up to date and protected from vulnerabilities.
A diagram of the Shavlik Protect Standard architecture is as follows:
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3 Security Policy
Shavlik Protect Standard implements a role-based access control policy to control
administrative access to the system. In addition, Shavlik Protect Standard implements
policies pertaining to the following security functional classes:
Security Audit;
User Data Protection;
Identification and Authorization;
Security Management;
Protection of the TSF;
Resource Utilization; and
Data Collection.
4 Security Target
The ST associated with this Certification Report is identified below:
Shavlik U.S. Federal Shavlik Protect Standard v9.1 Security Target, v0.6, November 21,
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.
Shavlik Protect Standard is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following:
 ALC_FLR.2
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:
 FDC_ANA.1 – System Analysis;
 FDC_SCN.1 – System Scan; and
 FDC_STG.1 – Scanned Data Storage.
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
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6 Assumptions and Clarification of Scope
Consumers of Shavlik Protect Standard 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:
 A FIPS 140-2 validated cryptographic algorithms in the TOE environment must
provide all cryptographic functionality for the TOE.
 All ports needed for proper operation of the TOE will be opened at the firewall. Also,
any firewall settings necessary for the TOE's operation will be configured to allow the
TOE to operate.
 The TOE is installed on a Management Workstation running Windows 2012R2
dedicated to the TOE and its Distribution Server.
 There are one or more competent individuals assigned to manage the TOE and the
security of the information it contains.
 The users who manage the TOE are non-hostile, appropriately trained, and follow all
guidance.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE environment provides the network connectivity required to allow the TOE
to provide secure patch management functions.
 The TOE environment is in a secure state and provides a sufficient level of protection
to itself and the TOE components.
 The TOE environment will provide identification and authentication functions for
users attempting to manage and use the TOE.
 The environment provides a sufficient level of protection to secure communications
between distribution servers (if deployed), agents (if deployed) and other TOE
components.
 The TOE environment provides the TOE with the necessary reliable timestamps.
 The TOE is located within a controlled access facility.
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7 Evaluated Configuration
The evaluated configuration for Shavlik Protect Standard is software only and is comprised
of:
 U.S. Federal Shavlik Protect Standard v9.1, Build 9.1.4472.0.
which is installed on general-purpose computing hardware running the Microsoft Windows
OS.
The publication entitled Shavlik Protect Installation and Setup Guide 9.1, describes the
procedures necessary to install and operate Shavlik Protect Standard in its evaluated
configuration.
8 Documentation
The Shavlik documents provided to the consumer are as follows:
 Online Help
 Shavlik Protect Installation and Setup Guide 9.1, 20 April 2014
 Shavlik Protect Upgrade Guide 9.1,
 Shavlik Protect Administration Guide 9.1, 20 April 2014
 Shavlik Protect Quick Start Guide 9.1, 20 April 2014
 Shavlik Protect Agent Quick Start Guide 9.1, 20 April 2014
 Shavlik Protect Virtual Machines Quick Start Guide 9.1,
 Shavlik Protect Best Practices Guide 9.1
 Shavlik Protect Migration Tool User’s Guide 9.1
 Shavlik Protect Report Views Guide 9.1
 Supported Products 9.1 List and,
 US Federal Shavlik Protect Standard v9.1 Guidance Documentation Supplement v0.5
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9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Shavlik Protect
Standard, including the following areas:
Development: The evaluators analyzed the Shavlik Protect Standard 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
Shavlik Protect Standard 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 Shavlik Protect Standard 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 Shavlik Protect Standard configuration management
system and associated documentation was performed. The evaluators found that the Shavlik
Protect Standard 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 Shavlik Protect Standard during
distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the Shavlik
Protect Standard. 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.
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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.
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. Security Roles: The objective of this test goal is to verify user role assignment;
c. Create Machine Group, Perform Scan and View Audit: The objective of this test goal is
to verify that the TOE captures audit information of machines scanned, patches deployed
and security violations;
d. Start up and shut down of audit: The objective of this test goal is to verify that the start-
up and shut down of the protect console service will generate an audit in the event
viewer;
e. Access Control: The objective of this test goal is to verify the role based access controls;
f. Resource Utilization: The objective of this test goal is to verify resource utilization
capabilities through the setting of the number of scans to be performed;
g. TSF Integrity: The objective of this test goal is to verify that the TOE’s executables are
digitally signed;
h. Patch Deployment Rollback: The objective of this test goal is to verify the capabilities of
the patch deployment and rollback;
i. Patch Deployment Signature Verification: The objective of this test goal verifies the
signature verification performed by the TOE During Patch Deployment; and
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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j. Import and Export: The objective of this test goal is to verify the TOE`s capability of
importing and exporting digitally signed patch files.
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. SQL Bypass of RBAC: The objective of this test goal is to attempt to bypass the Protect
Console through authorized access at the application database;
c. Agent GUI: The objective of this test goal is to verify that local administrators on target
machine cannot interact with the TSF; and
d. Inter-TOE Communication: The objective of this test goal verifies that inter-TOE
Communication is appropriately protected.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
Shavlik Protect Standard 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. 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.
10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that Shavlik Protect Standard behaves as specified in its ST and
functional specification.
11 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.
12 Evaluator Comments, Observations and Recommendations
The evaluator found U.S. Federal Shavlik Protect Standard v9.1 to be an intuitive patch and
configuration management tool that provides robust security measures. The evaluator
recommends that users follow the US Federal Shavlik Protect Standard v9.1 Guidance
Documentation Supplement if they wish to deploy the evaluated configuration. Departure
from the evaluated configuration should only be performed in consideration of the
deployment scenario and associated risk profile.
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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
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
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. Shavlik U.S. Federal Shavlik Protect Standard v9.1 Security Target, v0.6, November
21, 2014.
e. Evaluation Technical Report Shavlik U.S. federal Shavlik Protect Standard v9.1,
v1.9, December 4, 2014.