Certification Report
EAL 3+ Evaluation of EMC® Corporation
EMC® VNXe Operating Environment v2.0 with Unisphere™ running on VNXe Series
hardware models VNXe3300 and VNXe3100
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Document number: 383-4-181-CR
Version: 1.0
Date: August 9, 2011
Pagination: i to iii, 1 to 8
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1R3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1R3. This certification report, and its associated certificate, applies only to the
identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment Canada, or any other organization that recognizes
or gives effect to this report, and its associated certificate, and no warranty for the IT product
by the Communications Security Establishment Canada, or any other organization that
recognizes or gives effect to this report, and its associated certificate, is either expressed or
implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment Canada.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, General requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada located in Ottawa, Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security
target, in addition to this certification report, in order to gain an understanding of any
assumptions made during the evaluation, the IT product's intended environment, its security
requirements, and the level of confidence (i.e., the evaluation assurance level) that the
product satisfies the security requirements.
This certification report is associated with the certificate of product evaluation dated August
9, 2011 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 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:
 EMC® VNXe is a registered trademark of EMC Corporation.
 Unisphere™ is a trademark of EMC Corporation.
 Adobe® Flex™ is a registered trademark of Adobe Systems Incorporated.
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
2
2
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2
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3
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3
3
3
4
11 ITS Product Testing.............................................................................................................. 5
5
5
6
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Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation.................................................................................
2 TOE Description ...................................................................................................................
3 Evaluated Security Functionality........................................................................................
4 Security Target......................................................................................................................
5 Common Criteria Conformance..........................................................................................
6 Security Policy.......................................................................................................................
7 Assumptions and Clarification of Scope.............................................................................
7.1 SECURE USAGE ASSUMPTIONS...................................................................................
7.2 ENVIRONMENTAL ASSUMPTIONS ...............................................................................
8 Evaluated Configuration......................................................................................................
9 Documentation ......................................................................................................................
10 Evaluation Analysis Activities .............................................................................................
11.1 ASSESSMENT OF DEVELOPER TESTS ..........................................................................
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................
11.3 INDEPENDENT PENETRATION TESTING.......................................................................
11.4 CONDUCT OF TESTING ...............................................................................................
11.5 TESTING RESULTS......................................................................................................
12 Results of the Evaluation......................................................................................................
13 Evaluator Comments, Observations and Recommendations ...........................................
14 Acronyms, Abbreviations and Initializations.....................................................................
15 References..............................................................................................................................
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Executive Summary
The EMC VNXe Operating Environment v2.0 with Unisphere running on VNXe Series
hardware models VNXe3300 and VNXe3100 (hereafter referred to as VNXe OE), from
EMC, is the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3
augmented evaluation.
The software-only TOE provides Redundant Array of Independent Disks (RAID) storage
architectures, fault detection, isolation and diagnosis capabilities. The TOE also enables the
use of virtual storage elements and provides Network Attached Storage (NAS) services that
allow hosts on an IP network to access file systems via one of the supported file-based
protocols, namely Network File System (NFS) and Common Internet File System (CIFS).
The TOE is managed using the Unisphere GUI.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
11 July 2011 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 VNXe OE, 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 3.1R3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
version 3.1R3. The following augmentation is claimed:
 ALC_FLR.2 - Flaw Reporting Procedures.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the VNXe OE 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 EMC VNXe Operating Environment v2.0 with Unisphere running on VNXe
Series hardware models VNXe3300 and VNXe3100 (hereafter referred to as VNXe OE),
from EMC.
2 TOE Description
The software-only TOE provides Redundant Array of Independent Disks (RAID) storage
architectures, fault detection, isolation and diagnosis capabilities. The TOE also enables the
use of virtual storage elements and provides Network Attached Storage (NAS) services that
allow hosts on an IP network to access file systems via one of the supported file-based
protocols, namely Network File System (NFS) and Common Internet File System (CIFS).
The TOE is managed using the Unisphere GUI.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the VNXe OE 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: EMC Corporation EMC VNXe Operating Environment v2.0 with Unisphere running
on VNXe Series hardware models VNXe3300 and VNXe3100 Security Target.
Version: 7
Date: 12 July 2011
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1R3, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1R3.
The EMC VNXe Operating Environment v2.0 is:
a. Common Criteria Part 2 conformant, with security functional requirements based on
functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 3 Augmented, with all the security assurance requirements in the
EAL 3, as well as the following: ALC_FLR.2, Flaw Reporting Procedures.
6 Security Policy
The VNXe OE implements a Discretionary Access Control Policy on subjects trying to read
or write from the storage in the TOE environment.
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In addition, the VNXe OE enforces an NFS and CIFS Access Security Functional Policy
(SFP) on hosts accessing NFS Mounts and CIFS Shares.
7 Assumptions and Clarification of Scope
Consumers of the VNXe OE 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:
 The TOE will be managed by competent individuals that are non-hostile,
appropriately trained, and follow all guidance.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE is protected from physical access by being located in a controlled access
facility;
 The IT Environment will provide a secure place to store user data and provide
identification and authentication of users before allowing and actions on behalf of
those users;
 The TOE will have access to a hardware clock in the TOE environment; and
 The IT Environment will provide identification and authentication of users before
allowing and other TSF-mediated action of their behalf.
8 Evaluated Configuration
The VNXe OE Security Target defines the following software systems in the evaluated
configuration:
 EMC VNXe Operating Environment v2.0
The correct configuration is described in the EMC VNXe Security Configuration Guide.
9 Documentation
The EMC documents provided to the consumer are as follows:
 Using an EMC VNXe System with CIFS Shared Folders;
 Using an EMC VNXe System with NFS Shared Folders;
 Using an EMC VNXe System with Generic iSCSI Storage;
 EMC VNXe3300 System Installation Guide;
 EMC VNXe3100 System Installation Guide;
 VNXe Series Quick Start;
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 EMC VNXe Security Configuration Guide;
 EMC Unisphere CLI Version 1.5 User Guide; and
 Unisphere for VNXe Online Help (In HTML format).
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the VNXe OE including
the following areas:
Development: The evaluators analyzed the VNXe OE functional specification and design
documentation; they determined that the design completely and accurately describes the TOE
security functionality (TSF) interfaces, the TSF subsystems and how the TSF implements the
security functional requirements (SFRs). The evaluators analyzed the VNXe OE security
architectural description and determined that the initialization process was secure and that the
security functions are protected against tamper and bypass, and that security domains are
maintained. The evaluators also independently verified that the correspondence mappings
between the design documents are correct.
Guidance Documents: The evaluators examined the VNXe OE preparative user guidance
and operational user guidance and determined that it sufficiently and unambiguously
described how to securely transform the TOE into its evaluated configuration and how to use
and administer the product. The evaluators examined and tested the preparative and
operational guidance, and determined that they were complete and sufficiently detailed to
result in a secure configuration.
Life-Cycle Support: An analysis of the VNXe OE configuration management system and
associated documentation was performed. The evaluators found that the VNXe OE
configuration items were clearly marked and that the access control measures as described in
the configuration management documentation are effective in preventing unauthorized access
to the configuration items. The developer’s configuration management system was observed
during a site visit, and it was found to be mature and well developed.
During the site visit the evaluators examined the development security procedures and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the VNXe OE design and implementation. The
evaluators confirmed that the developer used a documented model of the TOE life-cycle and
that the life-cycle model provides for the necessary control over the development and
maintenance of the TOE.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of VNXe OE during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by VNXe OE. During a site
visit, the evaluators also examined the evidence generated by adherence to the procedures.
The evaluators concluded that the procedures are adequate to track and correct security flaws,
and distribute the flaw information and corrections to consumers of the product.
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Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of VNXe OE. Additionally, the evaluators conducted a review of public domain
vulnerability databases. The evaluators did not identify any potential vulnerabilities
applicable to the VNXe OE in its operational environment.
11 ITS Product Testing
Testing at EAL 3 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
11.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR2
.
The evaluators analyzed the developer’s test coverage and depth analysis and found them to
be complete and accurate. The correspondence between the tests identified in the
developer’s test documentation and the functional specification and TOE design was
complete.
11.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a sample of the developer's test cases, and creating test cases that augmented the
developer tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach was the
following list of EWA-Canada test goals:
 Initialization: The objective of this test goal is to confirm that the TOE can be
installed and configured into the evaluated configuration, as identified in the TOE
Description of the Security Target, by following all instructions in the developer’s
Installation and Administrative guidance;
 Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests on the evaluator’s TOE installation; and
 Independent Evaluator Testing: The objective of this test goal is to exercise the
TOE’s claimed functionality through evaluator independent testing and to augment
any areas that were not covered during the repeat of developer testing.
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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11.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
 Search for Generic Vulnerabilities: Vulnerability sites were searched for VNXe OE
vulnerabilities. No vulnerabilities were found;
 Bypassing by attempting to exploit the capabilities of TOE interfaces in an
unexpected way which could result in a violation of a TOE security policy. The TOE
could not be bypassed;
 Misuse of the TOE such that an administrator performs an error in the setup of the
TOE leading it to fault in a safe manner; and
 Port Scanning: The objective of this test is to determine if there are any opened ports
that could be exploited.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
VNXe OE was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place at the EMC development and testing
location in Hopkinton, Massachusetts. The detailed testing activities, including
configurations, procedures, test cases, expected results and observed results are documented
in a separate Test Procedures and Test Results document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the VNXe OE behaves as specified in its ST, functional specification,
TOE design, and security architecture description.
12 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.
13 Evaluator Comments, Observations and Recommendations
The complete documentation for the EMC VNXe Operating Environment v2.0 includes a
comprehensive Installation, Administration, and Security Configuration Guide.
The VNXe OE can be integrated into an existing network infrastructure and provide SAN
and NAS services to authorized clients.
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Configuration Management (CM) and Quality Assurance (QA) provide the requisite controls
for managing all CM/QA activities.
14 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
CLI Command Line Interface
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GUI Graphical User Interface
iSCSI Internet Small Computer System Interface
IT Information Technology
NAS Network Attached Storage
NFS Network File System
OE Operating Environment
OS Operating System
PALCAN Program for the Accreditation of Laboratories
Canada
QA Quality Assurance
SAN Storage Area Network
SFP Security Functional Policy
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
15 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 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1R3,
July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1R3, July 2009.
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d. EMC Corporation EMC VNXe Operating Environment v2.0 with Unisphere running
on VNXe Series hardware models VNXe3300 and VNXe3100 Security Target,
Revision No. 0.7, 12 July 2011.
e. Evaluation Technical Report (ETR) EMC VNXe Operating Environment v2.0 with
Unisphere running on VNXe Series hardware models VNXe3300 and VNXe3100,
EAL 3+ Evaluation, Common Criteria Evaluation Number: 383-4-181, Document
No. 1685-000-D002, Version 0.4, 11 July 2011.