Certification Report
EAL 2 Evaluation of
CA Spectrum® Network Fault Manager r9 SP1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2009
Document number: 383-4-113-CR
Version: 1.0
Date: 08 September 2009
Pagination: i to iii, 1 to 10
CCS Certification Report CA Spectrum®
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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 2, for conformance to the Common Criteria for Information Technology Security
Evaluation, Version 3.1 Revision 2. 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 located in Ottawa, Ontario.
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 08
September 2009, 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 at: http://www.cse-cst.gc.ca/its-sti/services/cc/cp-pc-eng.html
and http://www.commoncriteriaportal.org/
This certification report makes reference to the following trademarked or registered
trademarks:
• CA is a trademark of CA.
• Spectrum is a registered trademark of CA.
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....................................................................................................................................3
5 Common Criteria Conformance........................................................................................................3
6 Security Policy.....................................................................................................................................4
7 Assumptions and Clarification of Scope...........................................................................................4
7.1 SECURE USAGE ASSUMPTIONS .............................................................................................4
7.2 ENVIRONMENTAL ASSUMPTIONS..........................................................................................4
7.3 CLARIFICATION OF SCOPE.....................................................................................................5
8 Architectural Information .................................................................................................................5
9 Evaluated Configuration....................................................................................................................6
10 Documentation....................................................................................................................................6
11 Evaluation Analysis Activities ...........................................................................................................7
12 ITS Product Testing ...........................................................................................................................7
12.1 ASSESSMENT OF DEVELOPER TESTS.....................................................................................8
12.2 INDEPENDENT FUNCTIONAL TESTING...................................................................................8
12.3 INDEPENDENT PENETRATION TESTING .................................................................................8
12.4 CONDUCT OF TESTING ..........................................................................................................9
12.5 TESTING RESULTS .................................................................................................................9
13 Results of the Evaluation....................................................................................................................9
14 Evaluator Comments, Observations and Recommendations .........................................................9
15 Acronyms, Abbreviations and Initializations...................................................................................9
16 References..........................................................................................................................................10
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Executive Summary
CA Spectrum® Network Fault Manager r9 SP1 (hereafter referred to as Spectrum), from CA,
is the Target of Evaluation for this Evaluation Assurance Level (EAL) 2 evaluation.
Spectrum is a network management system that monitors the state of managed elements
including devices, host systems and connections. Status information such as fault and
performance data from these elements is collected and stored. Spectrum analyzes this
information to track conditions within the network that it monitors. If an abnormal condition
is detected, the event is analyzed and the appropriate users are alerted. Spectrum presents the
user with possible causes and proposed solutions to the problem.
Spectrum:
• provides auditing of user actions;
• provides identification and authentication of its users;
• provides access control based on assigning security communities, privileges and rules
to a specific user or to a group of which the user is a member; and
• provides management of user accounts and their security attributes.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
2 September 2009 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 Spectrum, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the 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 assurance requirements for the evaluated security
functionality. The evaluation was conducted using the Common Methodology for
Information Technology Security Evaluation, Version 3.1 Revision 2, for conformance to the
Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 2.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that Spectrum 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
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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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 evaluation is
CA Spectrum® Network Fault Manager r9 SP1 (hereafter referred to as Spectrum), from CA.
2 TOE Description
Spectrum is a network management system that monitors the state of managed elements
including devices, host systems and connections. Status information such as fault and
performance data from these elements is collected and stored. Spectrum analyzes this
information to track conditions within the network that it monitors. If an abnormal condition
is detected, the event is analyzed and the appropriate users are alerted. Spectrum presents the
user with possible causes and proposed solutions to the problem.
Spectrum:
• provides auditing of user actions;
• provides identification and authentication of its users;
• provides access control based on assigning security communities, privileges and rules
to a specific user or to a group of which the user is a member; and
• provides management of user accounts and their security attributes.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Spectrum is identified in Section 7
of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: CA Spectrum® Network Fault Manager r9 SP1 Security Target
Version: 1.5
Date: 14 August 2009
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 2, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 2.
Spectrum is:
a. Common Criteria Part 2 conformant, with security functional requirements based only
upon functional components in Part 2;
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b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 conformant, with all security the assurance requirements in the
EAL 2 package.
6 Security Policy
Spectrum implements the Spectrum Discretionary Access Control Policy to control the
access of processes acting on behalf of users to event records stored by the TOE. Spectrum
uses roles and the concept of a “security community” to manage the aggregation and
assignment of access privileges to individual users and groups of users. Details of this
security policy can be found in Section 7 of the ST.
In addition, Spectrum implements policies pertaining to security audit, 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 Spectrum 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:
• An individual is appointed to act as the Super User for the TOE. This individual is
responsible for initial installation and configuration of the TOE as well as performing
patches and updates to the TOE and its operating environment when required.
• Administrators of the TOE (including the Super User) are not careless, willfully
negligent nor hostile, and follow the guidance instructions provided with the TOE.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
• The TOE is physically protected from unauthorized modifications to its software.
• The network monitored by the TOE is isolated from other networks.
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7.3 Clarification of Scope
In its evaluated configuration, the TOE is divided between two separate computers. The
Spectrum Host computer (which may run on either the Windows 2003 Server SP2 or Solaris
10 operating systems) runs the TOE’s server and database components. The Spectrum Client
computer (which may also run on either the Windows 2003 Server SP2 or the Solaris 10
operating systems) runs the OneClick Console which provides remote administrative access
to the TOE.
8 Architectural Information
The Spectrum Network Fault Manager r9.0 SP1 consists of two major components, the
Spectrum Host and the Spectrum Client.
The Spectrum Host is a computer running either the Windows 2003 Server SP2 or the Solaris
10 operating systems. The following software components of the TOE execute on the
Spectrum host:
• SpectroSERVER. SpectroSERVER is the primary server for the SPECTRUM
product; it functions as a database server, modeling engine, and device manager.
SpectroSERVER processes events, generates alarms, and tracks statistics concerning
managed elements.
• SpectroSERVER Database. The SpectroSERVER relies on this object-oriented
database which contains model types that define how a managed element is
represented, and models that represent specific managed elements.
• Archive Manager. The Archive Manager is used to log and retrieve historical event
records, which it provides to users via the Web Server when access to the stored
information is requested.
• Distributed Data Manager. The Distributed Data Manager (DDM) database stores
the logged historical event records of the elements which SPECTRUM manages on
its monitored network. The DDM database is updated with the information which is
sent to it via the Archive Manager.
• Web Server. The Tomcat Web Server contains two components: the OneClick
Server and the Report Manager. The OneClick Server allows users from a remote
machine to connect to the TOE to manage the TOE’s users, access control features,
and perform the TOE’s network management capabilities on the models of elements
within the network the TOE manages. Report Manager allows users generate up-to-
date reports about the inventory, availability, performance, change and fault history
of network assets managed by SPECTRUM.
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• Report Database. The Report Database stores the information which the Report
Manager extracts from the SpectroSERVER Database. This information is kept
current by the Report Manager by extracting the information at regular intervals.
The Spectrum Client is a computer running either the Windows 2003 Server SP2 or the
Solaris 10 operating systems. The Spectrum OneClick Console is installed on the client
system. The OneClick Console is designed to deliver Spectrum information to remote users.
9 Evaluated Configuration
The evaluated configuration for Spectrum comprises:
a. A Spectrum Host computer running either the Windows 2003 Server SP2 or the
Solaris 10 operating systems. The following software components are installed on the
Spectrum Host computer;
• SpectroServer;
• SpectroServer Database;
• Archive Manager;
• Distributed Data Manager;
• WebServer; and
• Report Database.
b. A Spectrum Client computer also running either the Windows 2003 Server SP2 or the
Solaris 10 operating systems. The following software components are installed on the
Spectrum Client computer;
• OneClick Console.
10 Documentation
The CA documents provided to the consumer are as follows:
• Spectrum Installation Guide, r9.0;
• Report Manager Installation and Administration Guide, Document 5169;
• Spectrum OneClick Administration Guide, Document 5166;
• OneClick Console User Guide, Document 5130;
• Spectrum Control Panel User Guide, Document 5029;
• Spectrum SpectroServer Performance Administration Guide r9.0; and
• Evaluated Configuration for CA Spectrum Network Fault Manager, R9.0 SP1, July
2009.
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11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Spectrum, including the
following areas:
Development: The evaluators analyzed the Spectrum 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 Spectrum security
architectural description and determined that the initialization process was 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 were correct.
Guidance Documents: The evaluators examined the Spectrum preparative user guidance
and operational user guidance and determined that it sufficiently and unambiguously
described 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 were complete and sufficiently detailed to
result in a secure configuration.
Life-cycle support: An analysis of the Spectrum configuration management system and
associated documentation was performed. The evaluators found that the Spectrum
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 Spectrum during distribution to the
consumer.
Vulnerability assessment: The evaluators conducted an independent vulnerability analysis
of Spectrum. Additionally, the evaluators conducted a search of public domain vulnerability
databases to identify Spectrum potential vulnerabilities. The evaluators identified potential
vulnerabilities for testing applicable to the Spectrum in its operational environment.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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12.1 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.
12.2 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 was the following list of EWA-Canada’s 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 provide the procedures for determining
the system configuration in order to ensure that the TOE that is tested is correct;
c. Identification and Authentication: The objective of this test goal is to ensure that the
identification and authentication requirements have been met;
d. Audit: The objective of this test goal is to ensure that the audit data is recorded and can
be viewed; and
e. Users and Roles: The objective of this test goal is to ensure the users and roles
functionality is correct.
12.3 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:
• Reconnaissance;
• Port Scanning;
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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• Misuse; and
• Denial-of-service.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
12.4 Conduct of Testing
Spectrum 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.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that Spectrum behaves as specified in its ST and functional specification.
13 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.
14 Evaluator Comments, Observations and Recommendations
The complete documentation for Spectrum includes Installation, Administration, User and
Performance guides.
The installation and configuration of Spectrum is straightforward and well described in the
documentation.
CA’s Configuration Management (CM) and Quality Assurance (QA) activities are well
established and rigorously followed, thereby providing a solid foundation for all product
development activities.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
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Acronym/Abbreviation/
Initialization
Description
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
QA
Program for the Accreditation of Laboratories
- Canada
Quality Assurance
ST Security Target
TOE Target of Evaluation
16 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.1, August 2005.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 2, September 2007.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 2, September 2007.
d. CA Spectrum Network Fault Manager r9 SP1 Security Target, Version 1.5, 14
August 2009.
e. Evaluation Technical Report for EAL 2 Common Criteria Evaluation of CA
Spectrum Network Fault Manager r9.0 SP1, Version 1.0, 2 September 2009.