Certification Report
EAL 3+ Evaluation of Riverbed Cascade Shark v9.6 and
Cascade Pilot v9.6
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2013
Document number: 383-4-206-CR
Version: 1.0
Date: 06 March 2013
Pagination: i to iii, 1 to 10
CCS Certification Report Riverbed Technology
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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, the 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.
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 06
March 2013, and the security target identified in Section 0 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 registered trademark:
 Cascade is a registered trademark of Riverbed Technology.
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...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 4
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7.3 CLARIFICATION OF SCOPE.......................................................................................... 5
8 Evaluated Configuration...................................................................................................... 5
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 6
11 ITS Product Testing.............................................................................................................. 7
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 9
12 Results of the Evaluation...................................................................................................... 9
13 Acronyms, Abbreviations and Initializations..................................................................... 9
14 References.............................................................................................................................. 9
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Executive Summary
Riverbed Cascade Shark v9.6 and Cascade Pilot v9.6 (hereafter referred to as Cascade Shark
v9.6 and Cascade Pilot v9.6), from Riverbed Technology, is the Target of Evaluation (TOE)
for this Evaluation Assurance Level (EAL) 3 augmented evaluation.
Cascade Shark v9.6 and Cascade Pilot v9.6 is a software-only TOE which collects traffic
data on a network, calculates performance metrics and alerts the administrators to problems
or other conditions.
Cascade Shark facilitates the capture and performance metric calculations of network traffic
at high speeds. Cascade Pilot integrates with one or more remote Cascade Shark appliances
to provide a centralized analysis and reporting Graphical User Interface (GUI) to
administrators of multiple Shark appliances.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
26 February 2013 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 Cascade Shark v9.6 and Cascade
Pilot v9.6, the security requirements, and the level of confidence (evaluation assurance level)
to which it is asserted that the product satisfies its 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 3.1 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
Remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Cascade Shark v9.6 and Cascade Pilot v9.6 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) augmented
evaluation is Riverbed Cascade Shark v9.6 and Cascade Pilot v9.6 (hereafter referred to as
Cascade Shark v9.6 and Cascade Pilot v9.6), from Riverbed Technology.
2 TOE Description
Cascade Shark v9.6 and Cascade Pilot v9.6 is a software-only TOE which collects traffic
data on a network, calculates performance metrics and alerts the administrators to problems
or other conditions.
Cascade Shark facilitates the capture and performance metric calculations of network traffic
at high speeds. Cascade Pilot integrates with one or more remote Cascade Shark appliances
to provide a centralized analysis and reporting Graphical User Interface (GUI) to
administrators of multiple Shark appliances.
The TOE supports secure communication between distributed TOE components and between
the TOE and its remote administrators using FIPS 140-2 validated cryptography.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Cascade Shark v9.6 and Cascade
Pilot v9.6 is identified in Section 6 of the ST.
The following cryptographic modules were evaluated to the FIPS 140-2 standard:
Cryptographic Module Certificate #
OpenSSL FIPS Object Module v2.0rc1 1747
Microsoft Windows 7 Kernel Mode Cryptographic
Primitives Library (cng.sys)
1328
Microsoft Windows 7 Cryptographic Primitives Library
(bcryptprimitives.dll)
1329
Windows XP Enhanced Cryptographic Provider (RSAENH) 989
Windows XP Enhanced DSS and Diffie-Hellman
Cryptographic Provider (DSSENH)
990
Microsoft Windows XP Kernel Mode Cryptographic
Module (FIPS.SYS)
997
Windows Vista Enhanced Cryptographic Provider
(RSAENH)
893
Windows Vista Enhanced DSS and Diffie-Hellman
Cryptographic Provider (DSSENH)
894
Microsoft Windows Vista Kernel Mode Security Support 1000
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Cryptographic Module Certificate #
Provider Interface (ksecdd.sys)
Windows Vista Enhanced Cryptographic Provider
(RSAENH)
1002
Windows Vista Enhanced DSS and Diffie-Hellman
Cryptographic Provider (DSSENH)
1003
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in Cascade Shark v9.6 and Cascade Pilot v9.6:
Cryptographic Algorithm Standard Certificate #
Advanced Encryption Standard (AES) FIPS 197 1884, 1168, 1178, 781,
553, 739, 756
Triple-DES (3DES) FIPS 46-3 846, 675, 676, 677, 549,
656,
Rivest Shamir Adleman (RSA) ANSI X9.31 559, 560, 731, 255, 258,
353, 354
Secure Hash Algorithm (SHA) FIPS 180-3 1081, 783, 785, 618, 753
Keyed-Hash Message Authentication
Code (HMAC)
FIPS 198 677, 428, 429, 412, 407
Random Number Generation (RNG) ANSI X9.31
Appendix A.2.4
649, 447, 448, 449, 321,
435
Digital Signature Algorithm (DSA) FIPS 186-3 386, 292, 226, 281
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Riverbed Technology Cascade Shark v9.6 and Cascade Pilot v9.6 Security Target
Version: 0.24
Date: 14 January 2013
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.
Cascade Shark v9.6 and Cascade Pilot v9.6 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:
 FCS_CKM_EXT.4 - Cryptographic Key Zeroization,
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 FCS_TLS_EXT.1 – Extended TLS,
 FCS_HTTPS_EXT.1 – Extended HTTPS,
 FIA_UAU_EXT.5 - Password-based Authentication Mechanism
 FPT_PTD_EXT.1 - Management of TSF Data,
 FPT_TST_EXT.1 – TSF Testing,
 NPM_ANL_EXT.1 - Analysis, and
 NPM_SDC_EXT.1 - System data collection.
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.2 – Flaw Remediation.
6 Security Policy
Cascade Shark v9.6 and Cascade Pilot v9.6 implements a role-based access control policy to
control access to TOE Security Function (TSF) data and administrative functions; details of
this security policy can be found in Section 6 of the ST.
In addition, Cascade Shark v9.6 and Cascade Pilot v9.6 implements policies pertaining to
security audit, cryptographic support, identification and authentication, security management,
protection of the TSF, TOE access, trusted path/channel, and network performance
management. Further details on these security policies may be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of Cascade Shark v9.6 and Cascade Pilot v9.6 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:
 TOE Administrators are trusted to follow and apply all administrator guidance in a
trusted manner.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 There are no general-purpose computing capabilities (e.g., compilers or user
applications) available on the TOE, other than those services necessary for the
operation, administration and support of the TOE, and
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 Physical security, commensurate with the value of the TOE and the data it contains, is
provided by the environment.
7.3 Clarification of Scope
Cascade Shark v9.6 and Cascade Pilot v9.6 offers protection against inadvertent or casual
attempts to breach system security by unsophisticated attackers possessing basic attack
potential. Cascade Shark and Cascade Pilot v9.6 is not intended for situations which involve
determined attempts by hostile or well-funded attackers using sophisticated attack
techniques.
8 Evaluated Configuration
The evaluated configuration for Cascade Shark v9.6 and Cascade Pilot v9.6 comprises the
following:
 Cascade Shark software v9.6 build number 1004.7291 and the Cascade Shark
operating system version 6.1 pre-installed on Cascade Shark hardware;
 Cascade Pilot software v9.6 build number 1004.7291 running on Windows 7 Ultimate
Edition, Windows XP Professional and Windows Vista Ultimate Edition;
 FIPS 140-2 validated cryptographic modules included with the Windows operating
systems required for the Cascade Pilot; and
 OpenSSL Object Module 2.0 included with the Cascade Shark.
The publication entitled Riverbed Technology Cascade Shark v9.6 and Cascade Pilot v9.6
Guidance Documentation Supplement Version 0.3 describes the procedures necessary to
install and operate Cascade Shark v9.6 and Cascade Pilot v9.6 in its evaluated configuration.
9 Documentation
The Riverbed Technology documents provided to the consumer are as follows:
a. Cascade® Shark Installation Guide, Version 9.6 , July 2012;
b. Cascade® Pilot Reference Manual, Version 9.6, July 2012;
c. Cascade® Shark Appliance Quick Start Guide, July 2012;
d. Cascade® Shark Appliance User’s Guide, Version 9.6, July 2012; and
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e. Riverbed Technology Cascade Shark v9.6 and Cascade Pilot Guidance Documentation
Supplement, Document Version: 0.3, February 15, 2012
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Cascade Shark v9.6 and
Cascade Pilot v9.6, including the following areas:
Development: The evaluators analyzed the Cascade Shark v9.6 and Cascade Pilot v9.6
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 Cascade Shark v9.6 and Cascade Pilot v9.6 security architectural
description and determined that the initialization process is secure and that the security
functions are protected against tamper and bypass. The evaluators also independently
verified that the correspondence mappings between the design documents are correct.
Guidance Documents: The evaluators examined the Cascade Shark v9.6 and Cascade Pilot
v9.6 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 Cascade Shark v9.6 and Cascade Pilot v9.6
configuration management system and associated documentation was performed. The
evaluators found that the Cascade Shark v9.6 and Cascade Pilot v9.6 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 also observed
during the 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 Cascade Shark v9.6 and Cascade Pilot v9.6
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 Cascade Shark v9.6 and Cascade Pilot
v9.6 during distribution to the consumer.
The evaluators reviewed the flaw remediation procedures used by Riverbed Technology for
Cascade Shark v9.6 and Cascade Pilot v9.6. During a site visit, the evaluators examined the
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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: The evaluators conducted an independent vulnerability analysis
of Cascade Shark v9.6 and Cascade Pilot v9.6. Additionally, the evaluators conducted a
review of public domain vulnerability databases, and a search of all evaluation deliverables.
The evaluators identified potential vulnerabilities for testing applicable to Cascade Shark
v9.6 and Cascade Pilot v9.6 in its operational environment.
All these evaluation activities resulted in PASS verdicts.
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 is the
following list of EWA-Canada test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
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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b. CLI Access: The objective of this test case is to confirm that the operator must
authenticate before performing any action on the CLI;
c. Web Access: The objective of this test case is to confirm that the modification of
communicated data over the HTTPS web interface will result in an error;
d. Pilot User Interface: The objective of this test case is to confirm that the modification of
communicated data over the Pilot user interface will result in an error;
e. Replay Attack: The objective to this test case is to confirm that the Cascade Shark does
not respond to replay attacks.
f. TLS Cipher Suites: The objective of this test case is to confirm that the Cascade Shark
implements only the TLS cipher suites as described in the ST; and
g. Concurrent Logins: The objective of this test case is to confirm that the Cascade Shark
does not allow privilege escalation upon concurrent logins.
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:
a. Port Scan: The objective of this test goal is to scan the TOE using a port scanner to reveal
any potential avenues of attack;
b. Vulnerability Identification: The objective of this test goal is to scan the TOE for
vulnerabilities using automated tools; and
c. Information Leakage Verification: The objective of this test goal is to monitor the TOE
for leakage during start-up, shutdown, login, and other scenarios using a packet sniffer.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
Cascade Shark v9.6 and Cascade Pilot v9.6 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 EWA-Canada.
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.
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11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that Cascade Shark v9.6 and Cascade Pilot v9.6 behaves as specified in its
ST and functional specification and TOE design.
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 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CLI Command Line Interface
CPL Certified Products List
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GUI Graphical User Interface
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
- Canada
SFR Security Functional Requirement
ST Security Target
TLS Transport Layer Security
TOE Target of Evaluation
TSF TOE Security Functionality
14 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.
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c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 3, July 2009.
d. Riverbed Technology Cascade Shark v9.6 and Cascade Pilot v9.6 Security Target,
version 0.24, 14 January 2013.
e. Evaluation Technical Report for EAL 3+ Common Criteria Evaluation of Riverbed
Technology Riverbed Cascade Shark v9.6 and Cascade Pilot v9.6 Document No.
1727-000-D002, version 1.0, 26 February 2013.