Certification Report
EAL 2+ Evaluation of
EMC® Disk Library v3.1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2008 Government of Canada, Communications Security Establishment
Evaluation number: 383-4-63-CR
Version: 0.9
Date: 22 January 2008
Pagination: i to v, 1 to 10
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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 (CSE), 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 CSE, 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 (CSE).
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 Electronic Warfare Associates-Canada, Ltd.
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 22
January 2008, 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/services/common-criteria/trusted-
products-e.html and on the official Common Criteria Program website at
http://www.commoncriteriaportal.org/
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This certification report makes reference to the following trademarked or registered
trademarks:
• EMC® is a registered trademark of EMC Corporation,
• Microsoft and Windows are either trademarks or registered trademarks of Microsoft
Corporation in the United States and/or other countries.
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.......................................................................................... 4
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 5
8 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 5
10 Documentation ...................................................................................................................... 5
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
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..................................................................... 9
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16 References.............................................................................................................................. 9
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Executive Summary
The EMC® Disk Library v3.1, from EMC Corporation (hereafter referred to as EMC® DL
v3.1) was the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2+
evaluation.
The EMC® DL V3.1 is a disk-based backup solution which provides emulated physical
tapes that can be used by backup servers connected to a Storage Area Network (SAN).
These backup servers are used by an organization to perform backup of corporate user
machines or corporate data servers. Since the EMC® DL V3.1 is a disk-based backup
solution, it offers significant speed improvements over traditional tape backup. However,
since it emulates a traditional tape storage solution, it can be used in conjunction with an
organization’s existing backup solution. In a typical deployment scenario, the EMC® DL
V3.1 is connected to a SAN through one or more Fibre Channel connections. Backup servers
are also connected to this SAN to allow them to make use of the EMC® DL V3.1.
Electronic Warfare Associates-Canada, Ltd. is the Common Criteria Evaluation Facility that
conducted the evaluation. This evaluation was completed on 08 January 2008 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 the EMC® DL V3.1, 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 2.3 (with applicable final
interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3.
The Communications Security Establishment, as the CCS Certification Body, declares that
the EMC® DL V3.1 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) at http://www.cse-cst.gc.ca/services/common-criteria/trusted-
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-e.html and on the official International Common Criteria Program website at
http://www.commoncriteriaportal.org.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level EAL 2+ evaluation is
the EMC Disk Library v3.1, from EMC Corporation (hereafter referred to as EMC® DL
V3.1).
2 TOE Description
The EMC Disk Library provides a disk-based backup solution in a SAN environment. The
product ensures that user data is stored securely and is also designed to ensure the integrity
of the data that is entrusted to it.
The EMC® DL V3.1 provides the ability for administrators to configure virtual tapes. A
virtual tape is the basic unit of storage provided to backup servers. Each virtual tape is
created with either a fixed capacity or a variable capacity. The storage provided by the
virtual tape exists on the drive storage system provided by the EMC® DL V3.1 and is stored
using disks configured in a RAID 5 (Redundant Array Independent/Inexpensive Disks)
configuration. RAID 5 provides for data integrity when an individual disk drive fails.
Each virtual tape that is created by an administrator can be assigned to a virtual tape library.
A virtual tape library is a collection of virtual tapes. This virtual tape library is also
configured to support a certain number of virtual tape drives. Since the EMC® DL V3.1 is
designed to emulate traditional tape based backup hardware, the library, drives, and tapes
must all be emulated. The virtual tape drive in the EMC® DL V3.1 emulates the interface of
a traditional tape drive and allows a backup server to read and write data to a virtual tape.
In addition to grouping together virtual tapes and virtual tape drives, a virtual tape library
also is assigned to one or more backup servers. Each backup server is connected to the SAN
through a Fibre Channel card. Each Fibre Channel port on a Fibre Channel card has a World
Wide Port Name (WWPN) associated with it that is transmitted through the SAN with every
data request. Administrators of the EMC® DL V3.1 can configure the access permissions
for each virtual tape library based on the backup server WWPN. This allows an
administrator to restrict access to the virtual tapes contained within each virtual library to
authorized backup servers.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the EMC® DL V3.1 is identified in
Section 5 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: EMC Corporation EMC® Disk Library v3.1 Security Target, Version: 1.02, Date: 8
January 2008.
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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.
The EMC Disk Library v3.1 is:
a. Common Criteria Part 2 conformant; with functional requirements based only upon
functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, with all the security assurance requirements in the
EAL 2 package as well as ALC_FLR.1 Basic Flaw Remediation.
6 Security Policy
The following statements are representative of the Security Policy:
Authentication and Security Management. An Administrator must authenticate to the IT
Environment before being able to perform any TSF-mediated actions. The TSF enforces the
Discretionary Access Control SFP to restrict the ability to configure virtual tapes, virtual tape
drives, virtual tape libraries, and administrator access.
Protection of User Data. All user data stored on the TOE is protected by the virtual tapes
that have been configured by the Administrator. Access to the virtual tapes is limited to
backup servers that have been granted access by the Administrator. Additionally the
integrity of the data entrusted to the TOE is ensured through its use of RAID.
For more information on security policy enforcement please refer to the EMC® Disk Library
v3.1 Security Target.
7 Assumptions and Clarification of Scope
Consumers of the EMC® DL V3.1 product 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:
• There are one or more appropriately trained individuals assigned to manage the
EMC® DL V3.1 and the security information it contains; and
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• Administrators and TOE users are non-hostile, appropriately trained, and follow all
administrator guidance.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
• Physical security will be provided for the TOE and its environment.
For more information about the EMC® DL V3.1 security environment, refer to Section 3 of
the ST (TOE Security Environment).
7.3 Clarification of Scope
The EMC® DL V3.1 is intended for use by a non-hostile and well-managed user community.
It relies on the environment to provide it physical and logical protection.
8 Architectural Information
The TOE is composed of two software components, the EMC Disk Library and the EMC
Disk Library Management Console.
The EMC Disk Library provides a disk-based backup solution in a SAN environment. The
product ensures that user data is stored securely and is also designed to ensure the integrity
of the data that is entrusted to it. The EMC Disk Library runs on custom-built hardware
developed by EMC Corporation.
The EMC Disk Library Management Console handles administration of the EMC® DL V3.1,
either through the EMC Disk Library Management Console GUI or the EMC Disk Library
Management Console CLI (Command Line Interface) via a Secure Shell (SSH) connection.
Administrators can create and manage virtual tapes, virtual tape drives, and virtual tape
libraries through the EMC Disk Library Management Console which is installed on a general
purpose computer with a Windows Server 2003 SP2 operating system.
9 Evaluated Configuration
The TOE is a purpose-built hardware/software appliance (models DL4100, DL4200, and
DL4400), and a software application which runs on a standard PC running Microsoft
Windows Server 2003 SP2. EMC® Disk Library v3.1 Build 1549 was tested with the
Management Console installed on a standard PC running Microsoft Windows Server 2003
SP2.
10 Documentation
The EMC Corporation documents provided to the consumer are as follows:
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a. EMC CLARiiON Disk Library 3.0 Administrator's Guide;
b. EMC Disk Library 3.01 Command Line Interface (CLI) Reference;
c. EMC Disk Library 3.01 Quick Start Guide;
d. EMC Disk Library 3.0 Release Notes; and
e. EMC Disk Library v3.1 Common Criteria Administrative Guide Supplement.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the EMC Disk Library
v3.1, including the following areas:
Configuration management: An analysis of the EMC® DL V3.1 CM system and
associated documentation was performed. The evaluators found that the EMC® DL V3.1
configuration items were clearly marked, and could be modified and controlled. 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 the
EMC® DL V3.1 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.
Life cycle: The flaw remediation process was carefully reviewed. There are adequate
procedures in place to track and correct security flaws, identify corrective actions, and
distribute the flaw information and corrections. A verification of this process was performed
during the site visit.
Design documentation: The evaluators analysed the EMC® DL V3.1 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 the EMC® DL V3.1 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.
Vulnerability assessment: The EMC® DL V3.1 ST’s strength of function claims were
validated through independent evaluator analysis. The evaluators also validated the
developer’s vulnerability analysis 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
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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 2+ consists of the following three steps: assessing developer tests,
performing independent functional tests, and performing independent penetration tests.
12.1 Assessment of Developer Tests
The evaluators verified that the developer had met their testing responsibilities by reviewing
the developer’s test plan, test approach, test procedure and test results, and examining their
test evidence, as documented in the Evaluation Technical Report (ETR)2
.
The evaluators analyzed the developer’s test coverage analysis, and found that the
correspondence between tests identified in the developer’s test documentation and the
functional specification was complete and 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. These tests focused on:
• Security Management; and
• User Data Protection.
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;
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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• Tampering; and
• Direct attacks.
Penetration tests included buffer overflow attacks, data interception attacks, denial of service
attacks, and attacks against externally accessible TOE components.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
12.4 Conduct of Testing
The EMC® DL V3.1 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the developer’s
Massachusetts facility.
The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in the ETR.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the EMC® DL V3.1 behaves as specified in its ST and functional
specification. The penetration testing resulted in a PASS verdict, as the evaluators were
unable to exploit any of the identified potential vulnerabilities in the EMC® DL V3.1 in its
intended operating environment.
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 EMC® DL V3.1 is straightforward to configure, use and integrate into a corporate
network.
EMC Corporation Configuration Management (CM) and Quality Assurance (QA) provide
the requisite controls for managing all CM/QA activities.
EWA-Canada performed separate site visits to review developer processes (ACM, ADO,
ALC, and ATE) and to repeat a sample of developer’s tests. Though development security
was not part of the evaluation, the evaluators observed that the developer was exceptionally
conscious of security. The physical, procedural, and personnel security measures meet or
exceed the assurance requirements of higher-level CC evaluations. This is reported on in the
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CC Evaluation Site Visit Report. This document contains proprietary and confidential EMC
information.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CC Common Criteria
CCS Canadian Common Criteria Evaluation and Certification
Scheme
CLI Command Line Interface
CPL Certified Products list
CM Configuration Management
CSE Communications Security Establishment
DL Disk Library
EAL Evaluation Assurance Level
EMC® DL V3.1 EMC Disk Library
ETR Evaluation Technical Report
GUI Graphical User Interface
IT Information Technology
PALCAN Program for the Accreditation of Laboratories Canada
PC Personal Computer
QA Quality Assurance
RAID Redundant Array Independent/Inexpensive Disks
SAN Storage Area Network
SFP Security Function Policy
SSH Secure Shell
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
WWPN World Wide Port Name
16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) and CCS
Publication #4, Technical Oversight, Version 1.0.
b. Common Criteria for Information Technology Security Evaluation, version 2.3,
August 2005; and
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c. Common Methodology for Information Technology Security Evaluation, CEM,
version 2.3, August 2005.
d. EMC Corporation EMC® Disk Library v3.1 Security Target, Version 1.02, 8 January
2008.
e. Evaluation Technical Report (ETR) EMC® Disk Library v3.1, EAL 2+ Evaluation,
Common Criteria Evaluation Number: 383-4-63, Document No. 1542-000-D002,
Version 1.4, 8 January 2008.