Certification Report
EAL 2+ Evaluation of Symantec™ Endpoint Protection
Version 12.1.2
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: 383-4-217-CR
Version: 1.0
Date: 20 May 2013
Pagination: i to iii, 1 to 11
CCS Certification Report Symantec Corporation
SEP v12.1.2
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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, 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 20 May
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).
This certification report makes reference to the following trademarks or registered
trademarks:
 Symantec™ is a registered trademark of Symantec Corporation.
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................................................................................. 3
2 TOE Description ................................................................................................................... 3
3 Evaluated Security Functionality........................................................................................ 3
4 Security Target...................................................................................................................... 4
5 Common Criteria Conformance.......................................................................................... 4
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 5
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 5
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 6
8 Evaluated Configuration...................................................................................................... 6
9 Documentation ...................................................................................................................... 7
10 Evaluation Analysis Activities ............................................................................................. 7
11 ITS Product Testing.............................................................................................................. 8
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 9
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 9
11.4 CONDUCT OF TESTING ............................................................................................. 10
11.5 TESTING RESULTS.................................................................................................... 10
12 Results of the Evaluation.................................................................................................... 10
13 Acronyms, Abbreviations and Initializations................................................................... 10
14 References............................................................................................................................ 11
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Executive Summary
Symantec™ Endpoint Protection Version 12.1.2 (hereafter referred to as SEP v12.1.2), from
Symantec Corporation, is the Target of Evaluation for this Evaluation Assurance Level
(EAL) 2 augmented evaluation.
SEP v12.1.2 is an antivirus application running on workstations (e.g., desktops and laptops),
along with a management component running on a central server to control and monitor
execution of the antivirus application.
SEP v12.1.2 combines Symantec Antivirus with advanced threat prevention to deliver a
defense against malware for laptops, desktops, and servers. It provides protection against
sophisticated attacks that evade traditional security measures, such as rootkits, zero-day
attacks, and mutating spyware.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
5 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 SEP v12.1.2, 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 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 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.
SEP v12.1.2 is conformant to the U.S. Government Protection Profile Anti-Virus
Applications for Workstations in Basic Robustness Environments, version 1.2, dated 25 July
2007.
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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Communications Security Establishment Canada, as the CCS Certification Body, declares
that the SEP v12.1.2 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).
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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™ Endpoint Protection Version 12.1.2 (hereafter referred to as SEP
v12.1.2), from Symantec Corporation.
2 TOE Description
SEP v12.1.2 is an antivirus application running on workstations (e.g., desktops and laptops),
along with a management component running on a central server to control and monitor
execution of the antivirus application.
SEP v12.1.2 combines Symantec Antivirus with advanced threat prevention to deliver a
defense against malware for laptops, desktops, and servers. It provides protection against
sophisticated attacks that evade traditional security measures, such as rootkits, zero-day
attacks, and mutating spyware.
A detailed description of the SEP v12.1.2 architecture is found in Section 1.7 of the Security
Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for SEP v12.1.2 is identified in Section
6.1 of the ST.
The following cryptographic modules were evaluated to the FIPS 140-2 standard:
Cryptographic Module Certificate #
Windows XP Enhanced Cryptographic Provider (RSAENH)
(Software Version: 5.1.2600.5507)
#989
Windows Server 2003 Enhanced Cryptographic Provider
(RSAENH) (Software Version: 5.2.3790.4313)
#1012
Windows Server 2003 Enhanced Cryptographic Provider
(RSAENH) (Software Version: 5.2.3790.3959)
#868
Windows Server 2003 Enhanced Cryptographic Provider
(RSAENH) (Software Versions 5.2.3790.0 and
5.2.3790.1830 [Service Pack 1])
#382
Windows Server 2008 Enhanced Cryptographic Provider
(RSAENH) (Software Versions: 6.0.6001.22202 and
6.0.6002.18005)
#1010
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The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in SEP v12.1.2:
Cryptographic Algorithm Standard Certificate #
Secure Hash Algorithm (SHA-1) FIPS 180-2 176, 613, 753, 816, 1081
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target Symantec™ Endpoint Protection Version 12.1.2
Version: 0.8
Date: 13 February 2013
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.
SEP v12.1.2 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:
 FAV_ACT_(EXT).1 - Anti-Virus Actions
 FAV_ALR_(EXT).1 - Anti-Virus Alerts
 FAV_SCN_(EXT).1 - Anti-Virus Scanning
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: ALC_FLR.2 – Flaw reporting procedures
d. SEP v12.1.2 is conformant with the U.S. Government Protection Profile Anti-Virus
Applications for Workstations in Basic Robustness Environments, version 1.2, dated 25
July 2007.5.
6 Security Policy
SEP v12.1.2 implements a role-based access control policy to control user access to the
system, detail of this security policy can be found in Section 7.1 of the ST.
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In addition, SEP v12.1.2 implements other policies pertaining to security audit. Further
details on these security policies may be found in Section 7.1 of the ST.
7 Assumptions and Clarification of Scope
Consumers of SEP v12.1.2 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:
 Administrators will back up audit files and monitor disk usage to ensure audit
information is not lost.
 Administrators are non-hostile, appropriately trained, and follow all administrative
guidance.
 Administrators will implement secure mechanisms for receiving and validating
updated signature files from the Anti-Virus vendors, and for distributing the updates
to the central management systems.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE receives alarms from the IT Environment to signal when audit logs are
nearing capacity.
 The IT environment will provide a separate domain for the TOE’s operation.
 The IT environment will ensure the TSF cannot be bypassed.
 The appropriate physical security is provided within the domain for the value of the
IT assets protected by the TOE and the value of the stored, processed, and transmitted
information.
 The IT environment will provide a secure line of communications between distributed
portions of the TOE and between the TOE and remote administrators.
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7.3 Clarification of Scope
SEP v12.1.2 offers protection against inadvertent or casual attempts to breach system
security by unsophisticated attackers possessing basic attack potential. SEP v12.1.2 is not
intended for situations which involve determined attempts by hostile or well-funded attackers
using sophisticated attack techniques.
8 Evaluated Configuration
The evaluated configuration for SEP v12.1.2 comprises:
 Windows XP (32-bit, SP-3, 64-bit, all SPs),
 Windows Server 2003 (32-bit, 64-bit, R2, SP1),
 Windows Server 2008 (32-bit, 64-bit)
Management system
 1 GB of RAM
 Hard disk: 4 GB or more free space
 Java Runtime Environment 1.6.0.u24
 Apache Tomcat 6.0.32
 Apache HTTP Server 2.2.16
Client systems  Windows XP (32-bit, SP-3, 64-bit, all SPs),
 Windows XP Embedded (SP-3),
 Windows Vista (32-bit, 64-bit),
 Windows 7 (32-bit, 64-bit),
 Windows 7 Embedded, Windows Server 2003 (32-bit, 64-bit, R2,
SP-2),
 Windows Server 2008 (32-bit, 64-bit),
 Windows Small Business Server 2011 (64-bit), or
 Windows Essential Business Server 2008 (64-bit),
 Mac OS X 10.5 or 10.6 (32-bit, 64-bit only),
 Mac OS X Server 10.5 or 10.6 (32-bit, 64-bit)
The publication entitled Operational and User Guidance and Preparative Procedures
Supplement Symantec Endpoint Protection Version 12.1, Document Version 1.4, February
11, 2013 describes the procedures necessary to install and operate SEP v12.1.2 in its
evaluated configuration.
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9 Documentation
The Symantec Corporation documents provided to the consumer are as follows:
a. Symantec™ Endpoint Protection and Symantec Network Access Control Implementation
Guide, Document Version 12.01.00.00.00, 2011; and
b. Operational and User Guidance and Preparative Procedures Supplement Symantec
Endpoint Protection Version 12.1, Document Version 1.4, February 11, 2013
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of SEP v12.1.2, including
the following areas:
Development: The evaluators analyzed the SEP v12.1.2 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 SEP v12.1.2 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 SEP v12.1.2 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 SEP v12.1.2 configuration management system and
associated documentation was performed. The evaluators found that the SEP v12.1.2
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 SEP v12.1.2 during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by developer for SEP v12.1.2.
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
security flaws, and distribute the flaw information and corrections to consumers of the
product.
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Vulnerability assessment: The evaluators conducted an independent vulnerability analysis
of SEP v12.1.2. Additionally, the evaluators conducted a search of public domain
vulnerability databases to identify SEP v12.1.2 potential vulnerabilities. The evaluators
identified potential vulnerabilities for testing applicable to SEP v12.1.2 in its operational
environment.
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.
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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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. Account creation/deletion: The objective of this test goal is to confirm the creation and
deletion of administrator accounts;
c. Audit: The objective of this test goal is to confirm that audit records are created for the
various events detected by the TOE and that they can be reviewed; and
d. Antivirus: The objective of this test goal is to confirm that the TOE can scan e-mail
messages and that the TOE reacts accordingly.
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;
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;
and
d. SQL Injection: The objective of this test goal is to determine if the TOE is vulnerable to
SQL injection attacks.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
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11.4 Conduct of Testing
SEP v12.1.2 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 SEP v12.1.2 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 Acronyms, Abbreviations and Initializations
Include acronyms, abbreviations, initializations used in the CR, e.g.
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
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 3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 3, July 2009.
d. US Government Protection Profile: Anti-Virus Applications for Workstations in
Basic Robustness Environments, 1.2, 25-JUL-2007
e. Security Target Symantec™ Endpoint Protection Version 12.1.2, 0.8, 13 February
2013.
f. Evaluation Technical Report for EAL 2+ Common Criteria Evaluation of Symantec
Corporation Symantec™ Endpoint Protection Version 12.1.2, Version 1.0, 5 March
2013.