SERTIT, Postboks 814, 1306 Sandvika, NORWAY
Phone: +47 67 86 40 00 Fax: +47 67 86 40 09 E-mail: post@sertit.no Internet: www.sertit.no
Sertifiseringsmyndigheten for IT-sikkerhet Norwegian Certification Authority for IT Security
SERTIT-065 CR Certification Report
Issue 1.0 2 June 2015
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) V100R013C00
CERTIFICATION REPORT - SERTIT STANDARD REPORT TEMPLATE SD 009 VERSION 2.1 11.11.2011
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 2 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
ARRANGEMENT ON THE RECOGNITION OF COMMON CRITERIA CERTIFICATES IN
THE FIELD OF INFORMATION TECHNOLOGY SECURITY
SERTIT, the Norwegian Certification Authority for IT Security, is a member of the
above Arrangement and as such this confirms that the Common Criteria certificate
has been issued by or under the authority of a Party to this Arrangement and is the
Party’s claim that the certificate has been issued in accordance with the terms of
this Arrangement
The judgements contained in the certificate and Certification Report are those of
SERTIT which issued it and the Norwegian evaluation facility (EVIT) which carried
out the evaluation. There is no implication of acceptance by other Members of the
Agreement Group of liability in respect of those judgements or for loss sustained as
a result of reliance placed upon those judgements by a third party.
The Common Criteria Recognition Arrangement logo printed on the certificate
indicates that this certification is recognised under the terms of the CCRA May 23 r d
2000. The recognition under the CCRA is limited to EAL 4 and ALC_FLR CC part 3
components.
MUTUAL RECOGNITION AGREEMENT OF INFORMATION TECHNOLOGY SECURITY
EVALUATION CERTIFICATES (SOGIS MRA)
SERTIT, the Norwegian Certification Authority for IT Security, is a member of the
above Agreement and as such this confirms that the Common Criteria certificate has
been issued by or under the authority of a Party to this Agreement and is the Party’s
claim that the certificate has been issued in accordance with the terms of this
Agreement
The judgements contained in the certificate and Certification Report are those of
SERTIT which issued it and the evaluation facility (EVIT) which carried out the
evaluation. There is no implication of acceptance by other Members of the
Agreement Group of liability in respect of those judgements or for loss sustained as
a result of reliance placed upon those judgements by a third party. **
** Mutual Recognition under the SOGIS MRA recognition agreement applies to EAL 3.
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 3 of 28
Contents
1 Certification Statement 5
2 Abbreviations 6
3 References 8
4 Executive Summary 12
4.1 Introduction 12
4.2 Evaluated Product 12
4.3 TOE scope 14
4.4 Protection Profile Conformance 14
4.5 Assurance Level 14
4.6 Security Policy 14
4.7 Security Claims 14
4.8 Threats Countered 14
4.9 Threats Countered by the TOE’s environment 15
4.10 Threats and Attacks not Countered 15
4.11 Environmental Assumptions and Dependencies 15
4.12 IT Security Objectives 15
4.13 Non-IT Security Objectives 15
4.14 Security Functional Requirements 16
4.15 Security Function Policy 16
4.16 Evaluation Conduct 17
4.17 General Points 17
5 Evaluation Findings 18
5.1 Introduction 19
5.2 Delivery 19
5.3 Installation and Guidance Documentation 19
5.4 Misuse 19
5.5 Vulnerability Analysis 19
5.6 Developer’s Tests 20
5.7 Evaluators’ Tests 20
6 Evaluation Outcome 21
6.1 Certification Result 21
6.2 Recommendations 21
Annex A: Evaluated Configuration 23
TOE Identification 23
TOE Documentation 24
TOE Configuration 28
Environmental Configuration 28
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 4 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 6 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
2 Abbreviations
CC Common Criteria for Information Technology Security Evaluation
(ISO/IEC 15408)
CCRA Arrangement on the Recognition of Common Criteria Certificates in the
Field of Information Technology Security
CEM Common Methodology for Information Technology Security Evaluation
EAL Evaluation Assurance Level
EMS Element Management System
EOR Evaluation Observation Report
ETR Evaluation Technical Report
EVIT Evaluation Facility under the Norwegian Certification Scheme for IT
Security
EWP Evaluation Work Plan
LCT Local Craft Terminal
LMT Local Maintenance Terminal
MSTP Multi-Service Transmission Platform
NMS Network Management System
OSN Optical Switch Node
OTN Optical Transport Network
POC Point of Contact
PP Protection Profile
QP Qualified Participant
RADIUS Remote Authentication Dial-In User Service
RMT Remote Maintenance Terminal
RTN Radio Transmission Node
SDH Synchronous Digital Hierarchy
SERTIT Norwegian Certification Authority for IT Security
SFR Security Functional Requirement
SFTP Secure File Transfer Protocol
SPM Security Policy Model
SSH Secure Shell
SSL Secure Sockets Layer
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 7 of 28
ST Security Target
TLS Transport Layer Security
TOE Target of Evaluation
TSF TOE Security Functions
TSP TOE Security Policy
USP Universal Software Platform
WDM Wavelength Division Multiplexing
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 8 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
3 References
[1] Huawei USP running on Transmission Equipment Series (OptiX OSN
1800/3800/3800A/6800/6800A/8800/9600/9800, OptiX OSN 500/550/580,
OptiX OSN 1500(A/B)/3500/7500/7500 II, and OptiX RTN
360/380/905(1A/1C/1E/2A/2E)/950/950A/980/980L) V100R13C00 Security
Target, Version 1.7, 2014-12-12.
[2] Common Criteria Part 1, CCMB-2012-09-001, Version 3.1 R4, September
2012.
[3] Common Criteria Part 2, CCMB-2012-09-002, Version 3.1 R4, September
2012.
[4] Common Criteria Part 3, CCMB-2012-09-003, Version 3.1 R4, September
2012.
[5] The Norwegian Certification Scheme, SD001E, Version 8.0, 20 August 2010.
[6] Common Methodology for Information Technology Security Evaluation,
Evaluation Methodology, CCMB-2012-09-004, Version 3.1 R4, September
2012.
[7] Evaluation Technical Report Common Criteria EAL3+ Evaluation of the
Huawei USP running on Transmission Equipment Series (OptiX OSN
1800/3800/3800A/6800/6800A/8800/9600/9800, OptiX OSN 500/550/580,
OptiX OSN 1500(A/B)/3500/7500/7500 II, and OptiX RTN
360/380/905(1A/1C/1E/2A/2E)/950/950A/980/980L) V100R13C00 , 14-RPT-
360, v1.2, December 22, 2014
[8] Huawei Transmission Equipment Series Certified Configuration v1.4
[9] OSN 1800 I/II Compact Multi-Service Edge Optical Transport Platform
V100R005C10 Product Documentation-01
[10] OSN 1800 I/II Compact Multi-Service Edge Optical Transport Platform
V100R005C10 Product Documentation-01
[11] OSN 1800 V Packet Enhanced V100R005C10 Deploying Your Network 01
[12] OSN 1800 V Packet Enhanced V100R005C10 Installing, Operating and
Maintaining Your Network (For Field Engineer) 01
[13] OSN 1800 V Packet Enhanced V100R005C10 Operating and Maintaining
Your Network (For 1st Line Engineer) 01
[14] OSN 1800 V Packet Enhanced V100R005C10 Operating and Maintaining
Your Network (For 2nd Line Engineer) 01
[15] OSN 1800 V Packet Enhanced V100R005C10 Planning Your Network 01
[16] OptiX OSN 8800 V100R009C00 Product Documentation 01
[17] OptiX OSN 8800 V100R009C00 Product Documentation 01
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 9 of 28
[18] OptiX OSN 8800 V100R009C00 Product Documentation 01
[19] OptiX OSN 3800 V100R009C00 Product Documentation 01
[20] OptiX OSN 6800 V100R009C00 Product Documentation 01
[21] OptiX OSN 8800 6800A 3800A V100R008C00 Product Documentation
01(NA)
[22] OptiX OSN 8800 6800A 3800A V100R008C00 Product Documentation
01(NA)
[23] OSN 9800 V100R001C20 Planning Your Network 01
[24] OSN 9800 V100R001C20 Installing, Operating and Maintaining Your
Network (For Field Engineer) 01
[25] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 2nd
Line Engineer) 01
[26] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 1st
Line Engineer) 01
[27] OSN 9800 V100R001C20 Deploying Your Network 01
[28] OSN 9800 V100R001C20 Planning Your Network 01
[29] OSN 9800 V100R001C20 Installing, Operating and Maintaining Your
Network (For Field Engineer) 01
[30] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 2nd
Line Engineer) 01
[31] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 1st
Line Engineer) 01
[32] OSN 9800 V100R001C20 Deploying Your Network 01
[33] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 运 维 工 程 师 用 书 ） 01
[34] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 监 控 工 程 师 用 书 ） 01
[35] OSN 9600 V100R001C20 开 局 指 导 01
[36] OSN 9600 V100R001C20 规 划 指 导 01
[37] OSN 9600 V100R001C20 站 点 操 作 指 导 01
[38] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 运 维 工 程 师 用 书 ） 01
[39] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 监 控 工 程 师 用 书 ） 01
[40] OSN 9600 V100R001C20 开 局 指 导 01
[41] OSN 9600 V100R001C20 规 划 指 导 01
[42] OSN 9600 V100R001C20 站 点 操 作 指 导 01
[43] OSN 500 V100R007C20 Product Description 01(pdf).zip
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 10 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
[44] OSN 500 V100R007C20 Hardware Description 01(pdf).zip
[45] OptiX OSN 500 Quick Installation Guide 04(pdf).zip
[46] OptiX OSN 500 V100R007C20 Security White Paper.doc
[47] OptiX OSN 500 V100R007C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[48] OSN 550 V100R007C20 Product Description 01(pdf).zip
[49] OSN 550 V100R007C20 Hardware Description 01(pdf).zip
[50] OptiX OSN 550 Quick Installation Guide 03(pdf).zip
[51] OptiX OSN 550 Quick Installation Guide for Outdoor Cabinets
(APM30H&TMC11H) 04(pdf).zip
[52] OptiX OSN 550 V100R007C20 Security White Paper.doc
[53] OptiX OSN 550 V100R007C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[54] OSN 580 V100R007C20 Product Description 01(pdf).zip
[55] OSN 580 V100R007C20 Hardware Description 01(pdf).zip
[56] OptiX OSN 580 Quick Installation Guide 02(pdf).zip
[57] OptiX OSN 580 Quick Installation Guide for Outdoor Cabinets (Mini -
shelter) 01(pdf).zip
[58] OptiX OSN 580 V100R007C20 Security White Paper.doc
[59] OptiX OSN 580 V100R007C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[60] OSN 1500 V200R013C20 Product Description 01
[61] OSN 1500 V200R013C20 Hardware Description 01
[62] OSN 1500 Quick Installation Guide 13
[63] OptiX OSN 1500 V200R013C20 Security White Paper.doc
[64] OptiX OSN 1500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[65] OSN 1500 V200R013C20 Product Description 01
[66] OSN 1500 V200R013C20 Hardware Description 01
[67] OSN 1500 Quick Installation Guide 13
[68] OptiX OSN 1500 V200R013C20 Security White Paper.doc
[69] OptiX OSN 1500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 11 of 28
[70] OSN 3500 V200R013C20 Product Description 01
[71] OSN 3500 V200R013C20 Hardware Description 01
[72] OSN 3500 Quick Installation Guide 16
[73] OptiX OSN 3500 V200R013C20 Security White Paper.doc
[74] OptiX OSN 3500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[75] OSN 7500 V200R013C20 Product Description 01
[76] OSN 7500 V200R013C20 Hardware Description 01
[77] OSN 7500 Quick Installation Guide 16
[78] OptiX OSN 7500 V200R013C20 Security White Paper.doc
[79] OptiX OSN 7500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[80] OSN 7500 II V200R013C20 Product Description 01
[81] OSN 7500 II V200R013C20 Hardware Description 01
[82] OSN 7500 II Quick Installation Guide 07
[83] OptiX OSN 7500II V200R013C20 Security White Paper.doc
[84] OptiX OSN 7500II V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[85] RTN 360 V100R001C00 Product Documentation
[86] RTN 380 V100R002C00 Product Documentation
[87] RTN 905 1A&2A&1C V100R007C00 Product Documentation
[88] RTN 905 1A&2A&1C V100R007C00 Product Documentation
[89] RTN 905 1E&2E V100R007C00 Product Documentation
[90] RTN 950 V100R007C00 Product Documentation
[91] RTN 950A V100R007C00 Product Documentation
[92] RTN 980 V100R007C00 Product Documentation
[93] RTN 980L V100R007C00 Product Documentation
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 12 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
4 Executive Summary
4.1 Introduction
This Certification Report states the outcome of the Common Criteria security
evaluation of USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) version v100R13C00 to the Sponsor, Huawei Technologies, and is
intended to assist prospective consumers when judging the suitability of the IT
security of the product for their particular requirements.
Prospective consumers are advised to read this report in conjunction with the
Security Target[1] which specifies the functional, environmental and assurance
evaluation requirements.
4.2 Evaluated Product
The versions of the product evaluated were USP running on Huawei Transmission
Equipment Series (WDM/OTN, SDH/MSTP, RTN) and version:
WDM/OTN product series:
Chassis Product Version USP Software Version
OptiX OSN 1800 I V100R005C10SPC210 USPV100R013C00
OptiX OSN 1800 II V100R005C10SPC210 USPV100R013C00
OptiX OSN 1800 V V100R005C10SPC210 USPV100R013C00
OptiX OSN 8800 T64 V100R009C00SPC300 USPV100R013C00
OptiX OSN 8800 T32 V100R009C00SPC300 USPV100R013C00
OptiX OSN 8800 T16 V100R009C00SPC300 USPV100R013C00
OptiX OSN 6800 V100R009C00SPC300 USPV100R013C00
OptiX OSN 6800A V100R009C00SPC300 USPV100R013C00
OptiX OSN 3800 V100R009C00SPC300 USPV100R013C00
OptiX OSN 3800A V100R009C00SPC300 USPV100R013C00
OptiX OSN 9800 U64 V100R001C20SPC300 USPV100R013C00
OptiX OSN 9800 U32 V100R001C20SPC300 USPV100R013C00
OptiX OSN 9600 U64 V100R001C20SPC300 USPV100R013C00
OptiX OSN 9600 U32 V100R001C20SPC300 USPV100R013C00
SDH/MSTP product series:
Chassis Product Version USP Software Version
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 13 of 28
Chassis Product Version USP Software Version
OptiX OSN 500 V100R007C20SPH203 USPV100R013C00
OptiX OSN 550 V100R007C20SPH203 USPV100R013C00
OptiX OSN 580 V100R007C20SPH203 USPV100R013C00
OptiX OSN 1500A V200R013C20SPH303 USPV100R013C00
OptiX OSN 1500B V200R013C20SPH303 USPV100R013C00
OptiX OSN 3500 V200R013C20SPH303 USPV100R013C00
OptiX OSN 7500 V200R013C20SPH303 USPV100R013C00
OptiX OSN 7500 II V200R013C20SPH303 USPV100R013C00
RTN product series
Chassis Product Version USP Software Version
OptiX RTN 380 V100R002C00SPH201 USPV100R013C00
OptiX RTN 360 V100R001C00SPH101 USPV100R013C00
OptiX RTN 9051C V100R007C00SPH102 USPV100R013C00
OptiX RTN 9051A V100R007C00SPH102 USPV100R013C00
OptiX RTN 9052A V100R007C00SPH102 USPV100R013C00
OptiX RTN 9051E V100R007C00SPH102 USPV100R013C00
OptiX RTN 9052E V100R007C00SPH102 USPV100R013C00
OptiX RTN 950 V100R007C00SPH102 USPV100R013C00
OptiX RTN 950A V100R007C00SPH102 USPV100R013C00
OptiX RTN 980 V100R007C00SPH102 USPV100R013C00
OptiX RTN 980L V100R007C00SPH102 USPV100R013C00
These products are also described in this report as the Target of Evaluation (TOE). The
developer was Huawei Technologies.
The TOE is the Huawei USP running on Transmission Equipment Series (OptiX OSN
1800/3800/3800A/6800/6800A/8800/9600/9800, OptiX OSN 500/550/580, OptiX OSN
1500(A/B)/3500/7500/7500 II, and OptiX RTN
360/380/905(1A/1C/1E/2A/2E)/950/950A/980/980L),which consists of the hardware
and the software.
The Transmission network equipment provides management interfaces and service
interfaces, the interfaces are different in type and quantity for different divices.
The USP is the software core of the transmission equipment. It is the software
platform for managing and running communication networking functionalities.
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 14 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
Details of the evaluated configuration, including the TOE’s supporting guidance
documentation, are given in Annex A.
4.3 TOE scope
The TOE scope is described in the ST[1], chapter 1.4
4.4 Protection Profile Conformance
The Security Target[1] did not claim conformance to any protection profile.
4.5 Assurance Level
The assurance incorporated predefined evaluation assurance le vel EAL3, augmented
by ALC_CMC.4 and ALC_FLR.2. Common Criteria Part 3[4] describes the scale of
assurance given by predefined assurance levels EAL1 to EAL7. An overview of CC is
given in CC Part 1[2].
4.6 Security Policy
There are no Organizational Security Policies or rules with which the TOE must
comply.
4.7 Security Claims
The Security Target[1] fully specifies the TOE’s security objectives, the threats which
these objectives meet and security functional requirements and security functions to
elaborate the objectives. All of the SFR’s are taken from CC Part 2[3]; use of this
standard facilitates comparison with other evaluated products.
4.8 Threats Countered
T.UnwantedNetworkTraffic The traffic here only refers to the traffic on
management interfaces, that means, the Unwanted Network Traffic threat only
exist on management plane. The Unwanted network traffic may come from an
attacker and should be filtered. The overloaded traffic may c ause a failure of
the TOE to respond to system control and normal management operations.
T.UnauthenticatedAccess An unauthenticated person may attempt to bypass
the security of the TOE so as to access and use security functions and/or non -
security functions provided by the TOE, exhausting system resources.
T.UnauthorizedAccess A user with restricted action and information access
authorization gains access to unauthorized commands or information. This
threat also includes data leakage to non-intended person or device.
T.Eavesdrop An eavesdropper (remote attacker) is able to intercept, and
potentially modify, or re-use information assets that are exchanged between
the TOE and EMS.
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 15 of 28
4.9 Threats Countered by the TOE’s environment
There are no threats countered by the TOE’s environment.
4.10 Threats and Attacks not Countered
No threats or attacks that are not countered are described.
4.11 Environmental Assumptions and Dependencies
The environment is supposed to provide supporting mechanism to the TOE:
A syslog server to store logs;
An EMS to manage the TOE;
A RADIUS server to provide external authentication/authorization decisions.
4.12 IT Security Objectives
The following objectives must be met by the TOE:
O.DeviceAvail The TOE shall ensure its own availability.
O.DataFilter The TOE shall ensure that only allowed management traffic goes
through the TOE.
O.Authorization The TOE shall implement different authorization role tha t can
be assigned to users in order to restrict the functionality that is available to
individual administrators.
O.Authentication The TOE must authenticate users for access.
O.Audit The TOE shall provide functionality to generate audit records for
security-relevant administrator actions.
O.Communication The TOE must implement logical protection measures for
network communication between the TOE and LMT/RMT from the operational
environment.
4.13 Non-IT Security Objectives
The following objectives must be met by the operational environment:
OE.Physical The TOE (i.e., the complete system including attached peripherals,
such as a board, and CF card inserted in the transmission equipment) shall be
protected against unauthorized physical access.
OE.NetworkElements The operational environment shall provide securely and
correctly working network devices as resources that the TOE needs to
cooperate with. Behaviors of such network devices provided by operational
environment shall be also secure and correct. For example, EM S used for TOE
management, Syslog servers, and Radius servers for obtaining authentication
and authorization decisions.
OE.NetworkSegregation The operational environment shall provide segregation
by deploying the management interface in TOE into an indepen dent local
network.
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 16 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
OE.Person Personnel working as authorized administrators shall be carefully
selected for trustworthyness and trained for proper operation of the TOE.
4.14 Security Functional Requirements
The following functional requirements are met by the TOE:
FAU_GEN.1 Audit Data Generation
FAU_GNE.2 User Identity Association
FAU_SAR.1 Audit Review
FAU_SAR.2 Restricted Audit Review
FAU_STG.1 Protected Audit Trail Storage
FAU_STG.3 Action in Case of Possible Audit Data Loss
FDP_ACC.1 Subset Access Control
FDP_ACF.1 Security Attribute based Access Control
FDP_DAU.1 Basic Data Authentication
FDP_IFC.1 Subset Information Flow Control
FDP_IFF.1 Simple Security Attributes
FIA_AFL.1 Authentication Failure Handling
FIA_ATD.1 User Attribute Definition
FIA_SOS.1 Verification of Secrets
FIA_UAU.1 Timing of Authentication
FIA_UAU.5 Multiple Authentication Mechanisms
FIA_UID.1 Timing of identification
FMT_MOF.1 Management of Security Functions Behavior
FMT_MSA.1 Management of Security Attributes
FMT_MSA.3 Static Attribute Initialization
FMT_SMF.1 Specification of Management Functions
FMT_SMR.1 Security Roles
FPT_STM.1 Reliable Timestamps
FTA_SSL.3 TSF-initiated Termination
FTA_TSE.1 TOE Session Establishment
FTP_ITC.1 Trusted Channel(SFTP)
FTP_ITC.1 Trusted Channel (SSL)
FTP_ITC.1 Trusted Channel (WebLCT)
FTP_ITC.1 Trusted Channel (Mobile LCT) (for RTN products only)
4.15 Security Function Policy
The USP is the software core of the transmission equipment. It is the software
platform for managing and running communication networking functionalities.
USP provides service configuration and product software management features.
USP provides extensive security features. These features include different interfaces
for various access modes, enforced authentication prior to establishment of
administrative sessions with the TOE, and auditing of security -related management
activities, as well as flexible logging and auditing of events.
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 17 of 28
4.16 Evaluation Conduct
The evaluation was carried out in accordance with the requirements of the
Norwegian Certification Scheme for IT Security as described in SERTIT Document
SD001[5]. The Scheme is managed by the Norwegian Certification Authority for IT
Security (SERTIT). As stated on page 2 of this Certification Report, SERTIT is a
member of the Arrangement on the Recognition of Common Criteria Certificates in
the Field of Information Technology Security (CCRA), and the evaluation was
conducted in accordance with the terms of this Arrangement.
The purpose of the evaluation was to provide assurance about the effectiveness o f
the TOE in meeting its Security Target[1], which prospective consumers are advised to
read. To ensure that the Security Target[1] gave an appropriate baseline for a CC
evaluation, it was first itself evaluated. The TOE was then evaluated against this
baseline. Both parts of the evaluation were performed in accordance with CC Par t
3[4] and the Common Evaluation Methodology (CEM)[6].
SERTIT monitored the evaluation which was carried out by the Brightsight B.V.
Commercial Evaluation Facility (CLEF/EVIT). The evaluation was completed when the
EVIT submitted the final Evaluation Technical Report (ETR)[7] to SERTIT in 22-12-
2014. SERTIT then produced this Certification Report.
4.17 General Points
The evaluation addressed the security functionality claimed in the Security Target [1]
with reference to the assumed operating environment specified by the Security
Target[1]. The evaluated configuration was that specified in Annex A. Prospective
consumers are advised to check that this matches their identified requirements and
give due consideration to the recommendations and caveats of this report.
Certification does not guarantee that the IT product is free from security
vulnerabilities. This Certification Report and the belonging Certificate only reflect
the view of SERTIT at the time of certification. It is furthermore the responsibility of
users (both existing and prospective) to check whether any security vulnerabilities
have been discovered since the date shown in this report. This Certification Report is
not an endorsement of the IT product by SERTIT or any other organization that
recognizes or gives effect to this Certification Report, and no warranty of the IT
product by SERTIT or any other organization that recognizes or gives effect to this
Certification Report is either expressed or implied.
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 18 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
5 Evaluation Findings
The evaluators examined the following assurance classes and components taken from
CC Part 3[4]. These classes comprise the EAL 3 assurance package augmented with
ALC_CMC.4 and ALC_FLR.2.
Assurance class Assurance components
Development ADV_ARC.1 Security architecture description
ADV_FSP.3 Functional specification with complete summary
ADV_TDS.2 Architectural design
Guidance documents AGD_OPE.1 Operational user guidance
AGD_PRE.1 Preparative procedures
Life-cycle support ALC_CMC.4 Production support, acceptance procedures and
automation
ALC_CMS.3 Problem tracking CM coverage
ALC_DEL.1 Delivery procedures
ALC_DVS.1 Identification of security measures
ALC_LCD.1 Developer defined life-cycle model
ALC_FLR.2 Flaw reporting procedures
Security Target
evaluation
ASE_CCL.1 Conformance claims
ASE_ECD.1 Extended components definition
ASE_INT.1 ST introduction
ASE_REQ.2 Derived security requirements
ASE_SPD.1 Security problem definition
ASE_OBJ.2 Security objectives
ASE_TSS.1 TOE summary specification
Tests ATE_COV.2 Analysis of coverage
ATE_DPT.1 Testing: basic design
ATE_FUN.1 Functional testing
ATE_IND.2 Independent testing - sample
Vulnerability
assessment
AVA_VAN.2 Vulnerability analysis
All assurance classes were found to be satisfactory and were awarded an overall
“pass” verdict.
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 19 of 28
5.1 Introduction
The evaluation addressed the requirements specified in the Security Target [1]. The
results of this work were reported in the ETR[7] under the CC Part 3[4] headings. The
following sections note considerations that are of particular relevance to either
consumers or those involved with subsequent assurance maintenance and re -
evaluation of the TOE.
5.2 Delivery
On receipt of the TOE, the consumer is recommended to check that the evaluated
versions of its components have been supplied, and to check that the security of the
TOE has not been compromised in delivery.
5.3 Installation and Guidance Documentation
Installation of the TOE must be performed completely in accordance with the
guidance listed in the ST[1] chapter 1.4.1 and Preparative Procedures documents
provided by the developer. Huawei Transmission Equipment Series Certified
Configuration [8] describes all necessary steps to configure the TOE in the certified
configuration.
These documents are a collection of all security relevant operations and settings that
must be observed to ensure that the TOE operates in a secure manner.
5.4 Misuse
There is always a risk of intentional and unintentional misconfigurations that could
possibly compromise confidential information. The user should always follow the
guidance for the TOE in order to ensure that the TOE operates in a secure manner.
The guidance documents adequately describe the mode of operation of the TOE, all
assumptions about the intended environment and all requirements for external
security. Sufficient guidance is provided for the consumer to effectively use the TOE’s
security functions.
5.5 Vulnerability Analysis
The Evaluators’ vulnerability analysis was based on both public domain sources and
the visibility of the TOE given by the evaluation process.
The evaluators assessed which potential vulnerabilities were already tested by the
developer and assessed the results.
The remaining potential vulnerabilities were tested by Brightsight on the final
version of the TOE.
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 20 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
5.6 Developer’s Tests
The Developer Test Plan consists of 7 different categories, each containing between 1
and 11 tests. The categories are based on major groupings of security functionality,
and in combination cover all SFRs and TSFIs.
5.7 Evaluators’ Tests
For independent testing, the evaluator has decided to sample at least one test of
each category to be repeated in his presence, thereby guaranteeing a good spread of
these tests over the SFRs/TSFIs. The evaluator has also made certain that there is no
overlap between these tests and the evaluator independent tests, thereby maximizing
coverage.
All the repeated tests are performed by the developer under the witness of the
evaluator. The evaluator also analyzed the Developer Test Plan t o see where
additional ATE tests could be performed, and selected 6 additional tests
All of these tests were performed at the Huawei premises in Wuhan in October 2014.
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 21 of 28
6 Evaluation Outcome
6.1 Certification Result
After due consideration of the ETR[7], produced by the Evaluators, and the conduct
of the evaluation, as witnessed by the Certifier, SERTIT has determined that USP
running on Huawei Transmission Equipment Series (WDM/OTN, SDH/MSTP, RTN)
version v100R13C00 meet the Common Criteria Part 3 conformant requirements of
Evaluation Assurance Level EAL3 augmented with ALC_CMC.4 and ALC_FLR.2 for the
specified Common Criteria Part 2 conformant functionality, in the specified
environment, when running on platforms specified in Annex A.
6.2 Recommendations
Prospective consumers of USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) version v100R13C00 should understand the specific
scope of the certification by reading this report in conjunction with the Security
Target[1]. The TOE should be used in accordance with a number of environmental
considerations as specified in the Security Target.
Only the evaluated TOE configuration should be installed. This is specifi ed in Annex A
with further relevant information given above under Section 4.3 “TOE Scope” and
Section 5 “Evaluation Findings”.
The TOE should be used in accordance with the supporting guidance documentation
included in the evaluated configuration.
The above “Evaluation Findings” include a number of recommendations relating to the
secure receipt, installation, configuration and operation of the TOE.
The RTN360/380 series are full outdoor equipment. The user shall be aware about this
and take proper precaution/action to detect/prevent physical tampering as per
guidance instructs.
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 22 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 23 of 28
Annex A: Evaluated Configuration
TOE Identification
The TOE consists of: USP Running on Huawei Transmission Equipment Series (OptiX
OSN 1800/3800/3800A/6800/6800A/8800/9600/9800, OptiX OSN 500/550/580, OptiX
OSN 1500(A/B)/3500/7500/7500 II, and OptiX RTN
360/380/905(1A/1C/1E/2A/2E)/950/950A/980/980L)
Chassis of WDM/OTN product series
Chassis Product Version USP Software Version
OptiX OSN 1800 I V100R005C10SPC210 USPV100R013C00
OptiX OSN 1800 II V100R005C10SPC210 USPV100R013C00
OptiX OSN 1800 V V100R005C10SPC210 USPV100R013C00
OptiX OSN 8800 T64 V100R009C00SPC300 USPV100R013C00
OptiX OSN 8800 T32 V100R009C00SPC300 USPV100R013C00
OptiX OSN 8800 T16 V100R009C00SPC300 USPV100R013C00
OptiX OSN 6800 V100R009C00SPC300 USPV100R013C00
OptiX OSN 6800A V100R009C00SPC300 USPV100R013C00
OptiX OSN 3800 V100R009C00SPC300 USPV100R013C00
OptiX OSN 3800A V100R009C00SPC300 USPV100R013C00
OptiX OSN 9800 U64 V100R001C20SPC300 USPV100R013C00
OptiX OSN 9800 U32 V100R001C20SPC300 USPV100R013C00
OptiX OSN 9600 U64 V100R001C20SPC300 USPV100R013C00
OptiX OSN 9600 U32 V100R001C20SPC300 USPV100R013C00
Chassis of MSTP product series
Chassis Product Version USP Software Version
OptiX OSN 500 V100R007C20SPH203 USPV100R013C00
OptiX OSN 550 V100R007C20SPH203 USPV100R013C00
OptiX OSN 580 V100R007C20SPH203 USPV100R013C00
OptiX OSN 1500A V200R013C20SPH303 USPV100R013C00
OptiX OSN 1500B V200R013C20SPH303 USPV100R013C00
OptiX OSN 3500 V200R013C20SPH303 USPV100R013C00
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 24 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
Chassis Product Version USP Software Version
OptiX OSN 7500 V200R013C20SPH303 USPV100R013C00
OptiX OSN 7500 II V200R013C20SPH303 USPV100R013C00
Chassis of RTN product series
Chassis Product Version USP Software Version
OptiX RTN 380 V100R002C00SPH201 USPV100R013C00
OptiX RTN 360 V100R001C00SPH101 USPV100R013C00
OptiX RTN 9051C V100R007C00SPH102 USPV100R013C00
OptiX RTN 9051A V100R007C00SPH102 USPV100R013C00
OptiX RTN 9052A V100R007C00SPH102 USPV100R013C00
OptiX RTN 9051E V100R007C00SPH102 USPV100R013C00
OptiX RTN 9052E V100R007C00SPH102 USPV100R013C00
OptiX RTN 950 V100R007C00SPH102 USPV100R013C00
OptiX RTN 950A V100R007C00SPH102 USPV100R013C00
OptiX RTN 980 V100R007C00SPH102 USPV100R013C00
OptiX RTN 980L V100R007C00SPH102 USPV100R013C00
TOE Documentation
The supporting guidance documents evaluated were:
[a] Huawei Transmission Equipment Series Certified Configuration v1.4
[b] OSN 1800 I/II Compact Multi-Service Edge Optical Transport Platform
V100R005C10 Product Documentation-01
[c] OSN 1800 I/II Compact Multi-Service Edge Optical Transport Platform
V100R005C10 Product Documentation-01
[d] OSN 1800 V Packet Enhanced V100R005C10 Deploying Your Network 01
[e] OSN 1800 V Packet Enhanced V100R005C10 Installing, Operating and
Maintaining Your Network (For Field Engineer) 01
[f] OSN 1800 V Packet Enhanced V100R005C10 Operating and Maintaining
Your Network (For 1st Line Engineer) 01
[g] OSN 1800 V Packet Enhanced V100R005C10 Operating and Maintaining
Your Network (For 2nd Line Engineer) 01
[h] OSN 1800 V Packet Enhanced V100R005C10 Planning Your Network 01
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 25 of 28
[i] OptiX OSN 8800 V100R009C00 Product Documentation 01
[j] OptiX OSN 8800 V100R009C00 Product Documentation 01
[k] OptiX OSN 8800 V100R009C00 Product Documentation 01
[l] OptiX OSN 3800 V100R009C00 Product Documentation 01
[m] OptiX OSN 6800 V100R009C00 Product Documentation 01
[n] OptiX OSN 8800 6800A 3800A V100R008C00 Product Documentation
01(NA)
[o] OptiX OSN 8800 6800A 3800A V100R008C00 Product Documentation
01(NA)
[p] OSN 9800 V100R001C20 Planning Your Network 01
[q] OSN 9800 V100R001C20 Installing, Operating and Maintaining Your
Network (For Field Engineer) 01
[r] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 2nd
Line Engineer) 01
[s] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 1st
Line Engineer) 01
[t] OSN 9800 V100R001C20 Deploying Your Network 01
[u] OSN 9800 V100R001C20 Planning Your Network 01
[v] OSN 9800 V100R001C20 Installing, Operating and Maintaining Your
Network (For Field Engineer) 01
[w] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 2nd
Line Engineer) 01
[x] OSN 9800 V100R001C20 Operating and Maintaining Your Network (For 1st
Line Engineer) 01
[y] OSN 9800 V100R001C20 Deploying Your Network 01
[z] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 运 维 工 程 师 用 书 ） 01
[aa] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 监 控 工 程 师 用 书 ） 01
[bb] OSN 9600 V100R001C20 开 局 指 导 01
[cc] OSN 9600 V100R001C20 规 划 指 导 01
[dd] OSN 9600 V100R001C20 站 点 操 作 指 导 01
[ee] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 运 维 工 程 师 用 书 ） 01
[ff] OSN 9600 V100R001C20 运 维 指 导 （ 网 络 监 控 工 程 师 用 书 ） 01
[gg] OSN 9600 V100R001C20 开 局 指 导 01
[hh] OSN 9600 V100R001C20 规 划 指 导 01
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 26 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
[ii] OSN 9600 V100R001C20 站 点 操 作 指 导 01
[jj] OSN 500 V100R007C20 Product Description 01(pdf).zip
[kk] OSN 500 V100R007C20 Hardware Description 01(pdf).zip
[ll] OptiX OSN 500 Quick Installation Guide 04(pdf).zip
[mm] OptiX OSN 500 V100R007C20 Security White Paper.doc
[nn] OptiX OSN 500 V100R007C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[oo] OSN 550 V100R007C20 Product Description 01(pdf).zip
[pp] OSN 550 V100R007C20 Hardware Description 01(pdf).zip
[qq] OptiX OSN 550 Quick Installation Guide 03(pdf).zip
[rr] OptiX OSN 550 Quick Installation Guide for Outdoor Cabinets
(APM30H&TMC11H) 04(pdf).zip
[ss] OptiX OSN 550 V100R007C20 Security White Paper.doc
[tt] OptiX OSN 550 V100R007C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[uu] OSN 580 V100R007C20 Product Description 01(pdf).zip
[vv] OSN 580 V100R007C20 Hardware Description 01(pdf).zip
[ww] OptiX OSN 580 Quick Installation Guide 02(pdf).zip
[xx] OptiX OSN 580 Quick Installation Guide for Outdoor Cabinets (Mini -
shelter) 01(pdf).zip
[yy] OptiX OSN 580 V100R007C20 Security White Paper.doc
[zz] OptiX OSN 580 V100R007C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[aaa] OSN 1500 V200R013C20 Product Description 01
[bbb] OSN 1500 V200R013C20 Hardware Description 01
[ccc] OSN 1500 Quick Installation Guide 13
[ddd] OptiX OSN 1500 V200R013C20 Security White Paper.doc
[eee] OptiX OSN 1500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[fff] OSN 1500 V200R013C20 Product Description 01
[ggg] OSN 1500 V200R013C20 Hardware Description 01
[hhh] OSN 1500 Quick Installation Guide 13
[iii] OptiX OSN 1500 V200R013C20 Security White Paper.doc
USP running on Huawei Transmission Equipment Series (WDM/OTN,
SDH/MSTP, RTN) Version v100R13C00
EAL3+
Page 28 of 28 SERTIT-065 CR Issue 1.0
2 June 2015
TOE Configuration
The following configuration was used for testing:
Item Identifier
HARDWARE One of the hardware models listed in section
“TOE Identification” for each series
SOFTWARE The software listed in TOE Identification for
each series configured according to [a] in
section “TOE Documentation”.
MANUAL The appropriate guidance document in section
“TOE Documentation”, for each series
Environmental Configuration
The TOE is tested in the following test-set-up:
Android System
USP running on Huawei Transmission Equipment Series
(WDM/OTN, SDH/MSTP, RTN) Version v100R13C00
EAL3+
SERTIT-065 CR Issue 1.0
2 June 2015
Page 27 of 28
[jjj] OptiX OSN 1500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[kkk] OSN 3500 V200R013C20 Product Description 01
[lll] OSN 3500 V200R013C20 Hardware Description 01
[mmm] OSN 3500 Quick Installation Guide 16
[nnn] OptiX OSN 3500 V200R013C20 Security White Paper.doc
[ooo] OptiX OSN 3500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[ppp] OSN 7500 V200R013C20 Product Description 01
[qqq] OSN 7500 V200R013C20 Hardware Description 01
[rrr] OSN 7500 Quick Installation Guide 16
[sss] OptiX OSN 7500 V200R013C20 Security White Paper.doc
[ttt] OptiX OSN 7500 V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[uuu] OSN 7500 II V200R013C20 Product Description 01
[vvv] OSN 7500 II V200R013C20 Hardware Description 01
[www] OSN 7500 II Quick Installation Guide 07
[xxx] OptiX OSN 7500II V200R013C20 Security White Paper.doc
[yyy] OptiX OSN 7500II V200R013C20 Security Configuration, Maintenance, and
Hardening Manual.doc
[zzz] RTN 360 V100R001C00 Product Documentation
[aaaa] RTN 380 V100R002C00 Product Documentation
[bbbb] RTN 905 1A&2A&1C V100R007C00 Product Documentation
[cccc] RTN 905 1A&2A&1C V100R007C00 Product Documentation
[dddd] RTN 905 1E&2E V100R007C00 Product Documentation
[eeee] RTN 950 V100R007C00 Product Documentation
[ffff] RTN 950A V100R007C00 Product Documentation
[gggg] RTN 980 V100R007C00 Product Documentation
[hhhh] RTN 980L V100R007C00 Product Documentation
Further discussion of the supporting guidance material is given in Section 5.3
“Installation and Guidance Documentation”.