Certification Report
EAL 2+ Evaluation of EMC RecoverPoint version 3.4
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Evaluation number: 383-4-159-CR
Version: 1.0
Date: 10 June 2011
Pagination: i to iii, 1 to 7
CCS Certification Report EMC Corporation
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
3, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 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.
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, 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 10 June
2011, and the security target identified in Section 4 of this report.
This certification report makes reference to the following trademarks and registered
trademarks:
• Linux is a registered trademark of Linus Torvalds Inc.; and
• Dell, PowerEdge are trademarks of Dell 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
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation................................................................................. 1
2 TOE Description ................................................................................................................... 2
3 Evaluated Security Functionality........................................................................................ 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 2
6 Security Policy....................................................................................................................... 2
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 3
8 Evaluated Configuration...................................................................................................... 3
9 Documentation ...................................................................................................................... 4
10 Evaluation Analysis Activities ............................................................................................. 4
11 ITS Product Testing.............................................................................................................. 5
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 5
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 5
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 6
11.4 CONDUCT OF TESTING ............................................................................................... 6
11.5 TESTING RESULTS...................................................................................................... 6
12 Results of the Evaluation...................................................................................................... 6
13 Evaluator Comments, Observations and Recommendations ........................................... 6
14 Acronyms, Abbreviations and Initializations..................................................................... 6
15 References.............................................................................................................................. 7
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Executive Summary
EMC RecoverPoint version 3.4 (hereafter referred to as EMC RecoverPoint), from EMC
Corporation, is the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2
augmented evaluation.
EMC RecoverPoint is a software product that runs on RecoverPoint appliances (RPAs),
providing real-time data replication for systems and devices in an enterprise storage area
network (SAN) environment.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
5 May 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 EMC RecoverPoint, 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 augmented assurance requirements for the
evaluated security functionality. The evaluation was conducted using the Common
Methodology for Information Technology Security Evaluation, Version 3.1 Revision 3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
version 3.1 Revision 3. The following augmentation is claimed: ALC_FLR.2 - Flaw
Reporting Procedures.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the EMC RecoverPoint 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 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 augmented
evaluation is EMC RecoverPoint version 3.4 (hereafter referred to as EMC RecoverPoint),
from EMC.
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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2 TOE Description
EMC RecoverPoint is a software product that runs on RecoverPoint appliances (RPAs),
providing real-time data replication functionality for systems and devices in an enterprise
storage area network (SAN) environment.
Data replication is enabled by components identified as splitters (not included in the
evaluation) that simultaneously direct application writes to both normally designated storage
and to the RPA.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the EMC RecoverPoint version 3.4 is
identified in Sections 5 and 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 RecoverPoint version 3.4 Security Target
Version: 0.6
Date: 23 March 2011
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 3, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 3.
The EMC RecoverPoint is:
a. Common Criteria Part 2 extended, with functional requirements based on functional
components in Part 2, except for the following explicitly stated requirement defined in
the ST: EXT_FDP_ITT.1 - Basic recovery transfer protection.
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, containing all the security assurance requirements in
the EAL 2 package, as well as the following: ALC_FLR.2 - Flaw Reporting Procedures.
6 Security Policy
EMC RecoverPoint enforces: a Replication Access Control Policy on volumes 2
; a Group
Access Control Policy on volumes and splitters; and an Information Flow Control Policy on
data exchanged between RPAs.
In addition, EMC RecoverPoint implements policies pertaining to security audit, user data
protection, identification and authentication, security management, protection of the TSF,
and TOE access.
2
Refer ST Section 7.1.2 User Data Protection for additional detail on volumes.
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Further details on these security policies may be found in Sections 5 and 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of EMC RecoverPoint 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 Assumption is listed in the ST:
a. There are one or more competent individuals assigned to manage the TOE and the
security of the information it contains; and
b. 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:
a. All ports required for communication between local and remote TOE installations are
open, and the TOE is protected from all other traffic outside the controlled access facility
where the TOE is housed;
b. The processing resources of the TOE will be located within controlled access facilities,
which will prevent unauthorized physical access;
c. The TOE will be placed in a network infrastructure such that host information to be
replicated and restored will always maintain connection to the TOE; and
d. The TOE will be placed in a SAN which contains sufficient Logical Unit Number (LUN)
masking and port zoning to not allow unrelated hosts access to RecoverPoint owned
LUNs.
8 Evaluated Configuration
RecoverPoint version 3.4 is a software TOE that includes a customized Linux Kernel
2.6.32.9.
EMC RecoverPoint supports three replication configurations: Continuous Data Protection
(CDP), Continuous Remote Replication (CRR) and Concurrent Local and Remote (CLR). In
a CDP configuration, a local SAN connects to a local RPA for local replication. CDP is
designed to allow operational recovery from logical corruptions such as human errors or
viruses. In a CRR configuration, two geographically separated SANs are connected by two
RPA clusters for remote replication. CRR is designed to allow recovery primarily from
geographical or site disasters. The CLR configuration combines CDP and CRR replication
functionality.
The TOE runs on the Dell PowerEdge 1950 phase 3 (Gen3), Dell PowerEdge 2950 phase 3,
and Dell PowerEdge R610 (Gen4) RecoverPoint appliances (RPAs).
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The publication entitled RecoverPoint version 3.4 Security Configuration Guide describes
the procedures necessary to install and operate EMC RecoverPoint in its evaluated
configuration.
9 Documentation
The EMC documents provided to the consumer are as follows:
a. RecoverPoint version 3.4 Administrator’s Guide;
b. RecoverPoint version 3.4 Deployment Manager Product Guide;
c. RecoverPoint version 3.4 Installation Guide;
d. RecoverPoint version 3.4 Security Configuration Guide; and
e. RecoverPoint version 3.4 CLI Reference Guide.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the EMC RecoverPoint,
including the following areas:
Development: The evaluators analyzed the EMC RecoverPoint 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 EMC
RecoverPoint security architectural description and determined that the initialization process
is 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 EMC RecoverPoint preparative user
guidance and operational user guidance and determined that it sufficiently and
unambiguously describes 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 are complete and sufficiently
detailed to result in a secure configuration.
Life-Cycle Support: An analysis of the EMC RecoverPoint configuration management
system and associated documentation was performed. The evaluators found that the EMC
RecoverPoint configuration items were clearly marked. The developer’s configuration
management system was observed during a site visit, and it was found to be mature and well-
developed.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of EMC RecoverPoint during distribution to
the consumer.
The evaluators reviewed the flaw remediation procedures used for EMC RecoverPoint.
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
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security flaws, and distribute the flaw information and corrections to consumers of the
product.
Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of EMC RecoverPoint. Additionally, the evaluators conducted a review of public domain
vulnerability databases. The evaluators did not identify any potential vulnerabilities
applicable to the EMC RecoverPoint in its operational environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 2 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 ETR3
.
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification was complete.
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 the developer's test cases, and creating test cases that augmented the developer
tests.
For this evaluation, the TOE was tested at EMC development location in Tel Aviv Israel. All
evaluator 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
is the following list of EWA-Canada test goals:
a. Initialization: The objective of this test goal is to confirm that the TOE is installed and
configured into the evaluated configuration;
b. Repeat of Developer's Tests: The objective of this test goal is to repeat the complete set
of the developer's tests; and
c. Authentication and AlertsTests: The objective of this test goal is to exercise the TOE’s
authentication and email alerts functionality.
3
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
comprising port scanning.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
EMC RecoverPoint was subjected to formally documented, independent functional and
penetration tests. The testing took place at the EMC development location in Tel Aviv,
Israel. 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 EMC RecoverPoint 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 2+ 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 documentation for the EMC RecoverPoint includes a comprehensive Installation,
Administration, and Security Configuration Guide.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CDP Continuous Data Protection
CLR Concurrent Local and Remote Replication
CLI Command Line Interface
CPL Certified Products list
CRR Continuous Remote Replication
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
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Acronym/Abbreviation/
Initialization
Description
ITSET Information Technology Security Evaluation
and Testing
LUN Logical Unit Number
PALCAN Program for the Accreditation of Laboratories
Canada
RPA RecoverPoint appliance
SAN Storage Area Network
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. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 3, July 2009.
d. EMC Corporation EMC RecoverPoint version 3.4 Security Target, Version 0.6, 23
March 2011.
e. Evaluation Technical Report (ETR) EMC RecoverPoint version 3.4, EAL 2+
Evaluation, Common Criteria Evaluation Number: 383-4-159, Document No. 1669-
000-D002, Version 1.1, 5 May 2010.