Certification Report
EAL 3+ Evaluation of
Data ONTAP Version 7.3.1.1
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada 2009
Document number: 383-4-98-CR
Version: 1.0
Date: 5 November 2009
Pagination: i to iii, 1 to 9
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using
the Common Methodology for Information Technology Security Evaluation, Version 2.3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 2.3.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 (CSEC).
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 Standard 17025, General requirements for the
accreditation of calibration and testing 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 DOMUS IT Security Laboratory 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 5
November 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 (CPL) and the Common Criteria portal (the official website of
the Common Criteria Project).
This certification report makes reference to the following trademarked or registered
trademarks:
• NetApp and Data ONTAP are trademarks of NetApp, Inc.
• Windows is a registered trademark of Microsoft Corp.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer..................................................................................................................................................... i
Foreword..................................................................................................................................................... ii
Executive Summary.....................................................................................................................................1
1 Identification of Target of Evaluation ..............................................................................................2
2 TOE Description .................................................................................................................................2
3 Evaluated Security Functionality......................................................................................................2
4 Security Target....................................................................................................................................2
5 Common Criteria Conformance........................................................................................................2
6 Security Policy.....................................................................................................................................3
7 Assumptions and Clarification of Scope...........................................................................................3
7.1 SECURE USAGE ASSUMPTIONS .............................................................................................3
7.2 ENVIRONMENTAL ASSUMPTIONS..........................................................................................3
7.3 CLARIFICATION OF SCOPE.....................................................................................................4
8 Architectural Information .................................................................................................................4
9 Evaluated Configuration....................................................................................................................4
10 Documentation....................................................................................................................................5
11 Evaluation Analysis Activities ...........................................................................................................5
12 ITS Product Testing ...........................................................................................................................6
12.1 ASSESSMENT OF DEVELOPER TESTS.....................................................................................6
12.2 INDEPENDENT FUNCTIONAL TESTING...................................................................................7
12.3 INDEPENDENT PENETRATION TESTING .................................................................................7
12.4 CONDUCT OF TESTING ..........................................................................................................8
12.5 TESTING RESULTS .................................................................................................................8
13 Results of the Evaluation....................................................................................................................8
14 Evaluator Comments, Observations and Recommendations .........................................................8
15 Acronyms, Abbreviations and Initializations...................................................................................8
16 References............................................................................................................................................9
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Executive Summary
Data ONTAP Version 7.3.1.1 (hereafter referred to as Data ONTAP), from NetApp, Inc., is
the Target of Evaluation for this Evaluation Assurance Level (EAL) 3 augmented evaluation.
Data ONTAP is a proprietary microkernel operating system developed by NetApp, Inc. It
provides data management functions that include providing secure data storage and multi-
protocol access.
Data ONTAP is a software product that is distributed with the following Network Appliance
storage solution products: FAS, V-Series and NearStore.
For a complete list of NetApp Storage Controllers on which TOE operates, refer to the
release notes for Data ONTAP.
DOMUS IT Security Laboratory is the CCEF that conducted the evaluation. This evaluation
was completed on 30 October 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 Data ONTAP, 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 3 augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using the Common
Methodology for Information Technology Security Evaluation, Version 2.3 (with applicable
final interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3. The following augmentations are claimed: ALC_FLR.3 –
Systematic flaw remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that Data ONTAP 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).
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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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation is Data ONTAP Version 7.3.1.1 (hereafter referred to as Data ONTAP), from
NetApp, Inc..
2 TOE Description
Data ONTAP is a proprietary microkernel operating system developed by NetApp, Inc. It
provides data management functions that include providing secure data storage and multi-
protocol access.
Data ONTAP is a software product that is distributed with the following Network Appliance
storage solution products: FAS, V-Series and NeatStore.
For a complete list of NetApp Storage Controllers on which TOE operates, refer to the
release notes for Data ONTAP® 7.3.1.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Data ONTAP is identified in Section
6 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: NetApp Data ONTAP Version 7.3.1.1 Security Target
Version: 6
Date: 21 October 2009
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, version 2.3.
Data ONTAP 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:
• FPT_RVM_SW_EXP.1,
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• FPT_SEP_SW_EXP.1;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 3 augmented, containing all security assurance requirements in
the EAL 3 package, as well as the following: ALC_FLR.3 – Systematic flaw
remediation.
6 Security Policy
Data ONTAP implements a role-based access control policy to control admin user’s access to
the system configuration, as well as a discretionary access control policy to control users’
access to the data stored on the system; details of these security policies are found in Section
5 and 6 of the ST.
In addition, Data ONTAP implements policies pertaining to security audit, user data
protection, identification and authentication, and security management. Further details on
these security policies are found in Section 5 and 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of Data ONTAP 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 Data ONTAP.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
• The administrative and non-administrative users are assumed to be trusted and not
careless, wilfully negligent, or hostile. The administrative users must follow and abide by
the instructions provided by the user guidance documentations. These documents are
listed in Section 10.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
• Data ONTAP is assumed to be located at a physically secure location, with appropriate
physical security measures.
• Any other IT based systems (networks) with which Data ONTAP communicates are
assumed to be securely managed and capable of supporting the operation and security of
Data ONTAP.
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7.3 Clarification of Scope
Data ONTAP is designed and intended for use in a structured corporate environment. It can
not prevent authorized administrators from carelessly configuring the TOE such that the TOE
security or the security of IT system monitored by the TOE is compromised.
Data ONTAP provides a level of protection that is appropriate for an assumed non-hostile
and well-managed user community. While it is designed to protect its user community
against inadvertent or casual attempts to breach system security, it is not intended for
situations in which determined attempts by hostile and well-funded attackers use
sophisticated attacks from within the physical zone.
While its user guidance documents do provide adequate advice for securing its operational
environment, it is primarily the users’ responsibility in ensuring that the networks and the
systems which Data ONTAP is connected to or installed on are protected adequately.
8 Architectural Information
Data ONTAP is divided into three subsystems: WAFL (Write Anywhere File Layout) File
System, System Administration and Operating System Kernel.
WAFL File System The TOE’s WAFL File subsystem is responsible for
implementing the TOE’s DAC (Discretionary Access Control)
SFP (Security Function Policy). The DAC SFP includes
enforcing access rules to user data based on client type, client
security attributes, file types, file security attributes and access
request (create, read, write, execute, delete, change permission,
and change owner).
System Administration The System Administration subsystem includes providing an
operator interface supporting operator functions including
enforcing identification and authentication, user roles and
providing the necessary user interface commands that enable
an operator to support the TOE’s security functionality. The
System Administration function is performed by the NetApp
Administrator role, and this functionality is only available via
the local Command Line Interface (CLI) on the TOE. System
Administration functions performed at the CLI are audited by
default.
Operating System Kernel The operating system kernel subsystem provides scheduling
services, manages memory, and provides services to allow the
other components of the system to communicate with each
other. Although critical for the correct operation of the system,
the kernel does not perform any security functions.
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9 Evaluated Configuration
The evaluated configuration consists of Data ONTAP Version 7.3.1.1 installed on the
following hardware appliances.
• FAS, V-Series or NearStore
The interfaces which must be disabled or maintained in a Common Criteria environment are:
Service’s Default State Evaluated State
Command Line Interface (CLI) ON ON
File Transfer Protocol (FTP) OFF OFF
Network Data Management Protocol (NDMP) OFF OFF
Remote Shell (rsh) ON OFF
Secure Shell (ssh) OFF OFF
Serial Console ON ON
Simple Network Management Protocol (SNMP) ON OFF
Telnet ON OFF
Trivial File Transfer Protocol (TFTP) OFF OFF
10 Documentation
The NetApp, Inc. documents provided to the consumer are as follows:
a. Installation, Generation and Startup Procedures for Common Criteria Deployments
Version 001 (and its attachments);
b. Administrator and User Guidance for Data ONTAP Common Criteria Deployments
Revision 01 (and its supplements with details provided in the document).
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Data ONTAP,
including the following areas:
Configuration management: An analysis of Data ONTAP configuration management
system and associated documentation was performed. The evaluators found that Data
ONTAP 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.
Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of Data
ONTAP during distribution to the consumer. The evaluators examined and tested the
installation, generation and start-up procedures, and determined that they were complete and
sufficiently detailed to result in a secure configuration.
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Design documentation: The evaluators analysed Data ONTAP functional specification and
high-level design; they determined that the documents were internally consistent, and
completely and accurately instantiated all interfaces and security functions. The evaluators
also independently verified that the correspondence mappings between the design documents
were correct.
Guidance documents: The evaluators examined Data ONTAP administrator guidance
documentation and determined that it sufficiently and unambiguously described how to
securely use and administer the product, and that it was consistent with the other documents
supplied for evaluation.
Life-cycle support: The evaluators examined the development security procedures during a
site visit and determined that they detailed sufficient security measures for the development
environment to protect the confidentiality and integrity of Data ONTAP design and
implementation.
The evaluators reviewed the flaw remediation procedures used by NetApp, Inc. for Data
ONTAP. 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.
Vulnerability assessment: Data ONTAP ST’s strength of function claims were validated
through independent evaluator analysis. The evaluators examined the developer’s
vulnerability analysis for Data ONTAP and found that it sufficiently described each of the
potential vulnerabilities along with a sound rationale as to why it was not exploitable in the
intended environment. Additionally, the evaluators conducted an independent review of
public domain vulnerability databases, and all evaluation deliverables to provide assurance
that the developer has considered all potential vulnerabilities.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 3 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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
.
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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NetApp employs a rigorous testing process that tests all releases.
The evaluators analyzed the developer’s test coverage analysis and found it to be accurate.
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 DOMUS IT Security Laboratory 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. System Data Protection: The objective of these tests is to determine the TOE's ability to
protect itself, its system data and system configuration;
c. Audit: The objective of these tests is to ensure that Administrative User Access Events
Logging requirements have been met;
d. Discretionary Access Control: The objective of these tests is to determine the TOE's
ability in managing and protecting user data placed under its control.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis and the independent
review of public domain vulnerability databases and all evaluation deliverables, limited
independent evaluator penetration testing was conducted. The penetration tests focused on:
• Generic vulnerabilities;
• Bypassing;
• Tampering; and
• Direct attacks
The evaluator conducted a port scan. The only ports found to be open were ones that would
be expected to be. The evaluator used a publicly available tool to scan for weaknesses, and
no applicable ones were found. The evaluator also made direct attacks aimed at tampering
with the security operation of the TOE, and none were successful.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
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12.4 Conduct of Testing
Data ONTAP 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 DOMUS IT Security Laboratory. 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 Data ONTAP behaves as specified in its ST and functional
specification.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL 3+ 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
NetApp, Inc. provides comprehensive guidance documents for the installation, configuration
and operation of Data ONTAP. It should be operated in accordance with these documents.
Data ONTAP is designed for and should operate in a corporate environment, where other IT
based system/network with which Data ONTAPP communicates should also be securely
managed, capable of supporting the operation and security of Data ONTAP.
Data ONTAP is straightforward to securely configure, manage and integrate in its intended
environment.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CIFS Common Internet File System
CPL Certified Products list
CM
CSEC
Configuration Management
Communications Security Establishment
Canada
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Acronym/Abbreviation/
Initialization
Description
CLI
DAC
EAL
Command Line Interface
Discretionary access control
Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
NFS Network File System
PALCAN
SFP
Program for the Accreditation of Laboratories
Canada
Security Function Policy
ST Security Target
TOE
WAFL
Target of Evaluation
Write Anywhere File Layout
16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) Publication
#4, Technical Oversight, Version 1.0.
b. Common Criteria for Information Technology Security Evaluation, version 2.3,
August 2005.
c. Common Methodology for Information Technology Security Evaluation, CEM,
version 2.3, August 2005.
d. NetApp Data ONTAP Version 7.3.1.1 Security Target , v6, 21 October 2009
e. NetApp, Inc., Data ONTAP Version 7.3.1.1 Target of Evaluation, Evaluation
Technical Report, Version 1.1