Certification Report
EAL 4+ Evaluation of
Netezza Performance Server v4.6.5
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2010
Document number: 383-4-112-CR
Version: 1.0
Date: 10 May 2010
Pagination: i to iii, 1 to 9
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using
the Common Methodology for Information Technology Security Evaluation, CEM, version
3.1R2, for conformance to the Common Criteria for Information Technology Security
Evaluation, version 3.1R2. 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 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 10 May
2010, 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:
 Netezza Performance Server®
 NPS®
which are registered trademarks of the Netezza Corporation.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer..................................................................................................................................................... i
Foreword..................................................................................................................................................... ii
Executive Summary.....................................................................................................................................1
1 Identification of Target of Evaluation ..............................................................................................2
2 TOE Description .................................................................................................................................2
3 Evaluated Security Functionality......................................................................................................2
4 Security Target....................................................................................................................................2
5 Common Criteria Conformance........................................................................................................2
6 Security Policy.....................................................................................................................................3
7 Assumptions and Clarification of Scope...........................................................................................3
7.1 SECURE USAGE ASSUMPTIONS .............................................................................................3
7.2 ENVIRONMENTAL ASSUMPTIONS..........................................................................................3
7.3 CLARIFICATION OF SCOPE.....................................................................................................4
8 Architectural Information .................................................................................................................4
9 Evaluated Configuration....................................................................................................................4
10 Documentation....................................................................................................................................5
11 Evaluation Analysis Activities ...........................................................................................................5
12 ITS Product Testing ...........................................................................................................................6
12.1 ASSESSMENT OF DEVELOPER TESTS.....................................................................................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...................................................................................8
16 References............................................................................................................................................9
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Executive Summary
The Netezza Performance Server v4.6.5 (hereafter referred to as NPS), from Netezza Corporation, is
the Target of Evaluation for this Evaluation Assurance Level (EAL) 4 augmented evaluation.
The NPS is a data warehousing product that provides support for Business Intelligence applications.
The NPS system allows users to analyze data trends by processing massive amounts of data at high
speed. The NPS is designed for databases ranging from approximately 2 terabytes to 100 terabytes,
depending on the model chosen. By combining database, server, and storage into a single system
architecture, the NPS architecture is designed to allow efficient, ad-hoc querying and analytical
searches of large amounts of data at a high speed.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on 14 April
2010 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 NPS, 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 4 augmented assurance requirements for the evaluated security
functionality. The evaluation was conducted using the Common Methodology for Information
Technology Security Evaluation, CEM, version 3.1R2, September 2007, for conformance to the
Common Criteria for Information Technology Security Evaluation, version 3.1R2, September 2007.
The following augmentations are claimed: e.g. ALC_FLR.3 – Systematic Flaw Remediation
NPS is conformant with the U.S. Government Protection Profile for Database Management Systems
in Basic Robustness Environments, Version 1.2, July 25, 2007.
Communications Security Establishment Canada, as the CCS Certification Body, declares that NPS
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) 4 augmented
evaluation is Netezza Performance Server v4.6.5 (hereafter referred to as NPS), from
Netezza Corporation.
2 TOE Description
The NPS is a data warehousing product that provides support for Business Intelligence
applications. The NPS system allows users to analyze data trends by processing massive
amounts of data at high speed. The NPS is designed for databases ranging from
approximately 2 terabytes to 100 terabytes, depending on the model chosen. By combining
database, server, and storage into a single system architecture, the NPS architecture is
designed to allow efficient, ad-hoc querying and analytical searches of large amounts of data
at a high speed.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for NPS 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: Netezza Corporation Netezza Performance Server v4.6.5 Security Target
Version: 0.6
Date: April 13, 2010
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, CEM, version 3.1R2, September 2007, for conformance to the Common
Criteria for Information Technology Security Evaluation, version 3.1R2, September 2007.
NPS 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:
• FIT_PPC_(EXT).1, IT environment protection profile compliance,
• FMT_MSA_(EXT).3, Static attribute initialisation,
• FPT_TRC_(EXT).1, Internal TSF consistency, and
• FTA_TAH_(EXT).1, TOE access history.
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b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3;
c. Common Criteria EAL 4 augmented, containing all security assurance requirements in
the EAL 4 package, as well as the following: ALC_FLR.3 – Systematic Flaw
Remediation; and
d. NPS is conformant with the U.S. Government Protection Profile for Database
Management Systems in Basic Robustness Environments, Version 1.2, July 25, 2007.
6 Security Policy
NPS implements a traditional Discretionary Access Control Policy. Users who create objects
(databases, tables, etc.) are considered ‘owners’ of the objects which they create. Object
owners have full permissions on the objects which they own. Object owners may also ‘grant’
permissions (full or partial) on their objects to other users or groups. The permissions for any
individual user consist of a union of the permissions assigned to that user with the
permissions assigned to any group of which the user is a member.
In addition, NPS implements policies pertaining to security audit, user data protection,
identification and authentication, and security management. Further details on these security
policies may be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of NPS 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:
 Personnel authorized to install, configure and operate the NPS are non-hostile,
possess appropriate training and will adhere to the procedures for secure usage of the
product described in the ST and the guidance documentation.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The NPS is installed in a physically secure location and only authorized individuals
are granted physical access to the NPS.
 No general purpose computing capabilities such as compilers or user applications are
installed on the NPS.
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7.3 Clarification of Scope
The NPS provides a level of protection that is appropriate for basic robustness environments.
It offers protection against inadvertent or casual attempts to breach security by attackers
possessing an enhanced-basic attack potential. It is not intended for situations which involve
determined attempts by hostile or well-funded attackers using sophisticated attack
techniques.
8 Architectural Information
The NPS is composed of the following component subsystems:
a. Host;
b. Gigabit Ethernet Switch; and
c. Snippet Processing Units (SPU).
The Host component provides the central processing intelligence for the TOE, running a
version of the Linux operating system. All administrative functions and external interfaces
are provided by the Host. The Host receives incoming data requests and creates a query plan
which is optimized to achieve the quickest possible results. The host communicates with the
SPUs using the Gigabit Ethernet Switch. The SPUs are the basic unit of storage and provide
query processing, data storage, and data mirroring functionality. Each SPU consists of a hard
drive and a processor. Smaller NPS models include tens of SPUs while larger models may
contain hundreds of SPUs, yielding many terabytes of storage. Typically multiple SPUs will
be involved in processing data for a query. Each SPU will process its portion of the query
independently and return the results to the Host via the Gigabit Ethernet Switch. The Host
will perform final processing of the results and present them to the external interface.
9 Evaluated Configuration
The evaluated configuration for NPS comprises the following models:
a. 5200;
b. 10100a;
c. 10200a;
d. 10400a;
e. 10600a;
f. 10800a; and
g. 10050a.
The NPS software evaluated on each of the TOE models was Release 4.6.5 [Build 10670]
running on Red Hat Enterprise Linux AS Version 4 Update 4.
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10 Documentation
The Netezza Corporation documents provided to the consumer are as follows:
 Netezza Performance Server System Administrator’s Guide, Document Number:
20282-11 Rev.3, Software Release: 4.6.5, Revised: August 18, 2009;
 Netezza Performance Server Database User’s Guide, Document Number: 20284-11
Rev.3, Software Release: 4.6.5, Revised: September 3, 2009;
 Netezza Advanced Security Administrator's Guide, Document Number: D20493 Rev.
1, Software Release: 4.6.5, Revised: August 19, 2009,
 Netezza Data Loading Guide, Document Number: D20525 Rev. 1, Software Release:
4.6.5, Revised: August 19, 2009
 Netezza Performance Server ODBC, JDBC and OLE DB Installation and
Configuration Guide, Document Number: 20751-11 Rev. 1, Software Release: 4.6.x,
Revised: February 6, 2009,
 Netezza Performance Server Getting Started Tips, Document Number: 020293-11
Rev.1, Software Release: 4.6, Revised: February 25, 2009;
 Netezza Performance Server Release Notes, Document Number: 20283-15 Rev.3,
Software Release: 4.6.5, Revised: September 8, 2009; and
 Netezza Corporation Netezza Performance Server v4.6.5 Guidance Documentation
Supplement, Document Version: 0.1, September 8, 2009.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of NPS, including the
following areas:
Development: The evaluators analyzed the NPS functional specification, design
documentation, and a subset of the implementation representation; they determined that the
design accurately describes the TOE security functionality (TSF) interfaces and the TSF
subsystems and modules, and how the TSF implements the security functional requirements
(SFRs). The evaluators analyzed the NPS security architectural description and determined
that the initialization process was 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 were correct.
Guidance Documents: The evaluators examined the NPS preparative user guidance and
operational user guidance and determined that it sufficiently and unambiguously described
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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 NPS configuration management system and
associated documentation was performed. The evaluators found that the NPS configuration
items were clearly marked and could be modified and controlled by automated tools. The
developer’s configuration management system was observed during a site visit, and it was
found to be mature and well-developed and operated in accordance with the CM plan. The
evaluators confirmed that the access control measures as described in the CM plan are
effective in preventing unauthorized access to the configuration items.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of NPS during distribution to the consumer.
The evaluators examined the development security procedures during a site visit and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the NPS design and implementation. The
evaluators determined that the developer has used a documented model of the TOE life-cycle
and well-defined development tools that yield consistent and predictable results.
The evaluators reviewed the flaw remediation procedures used by Netezza Corporation for
NPS. During a site visit, the evaluators also examined the evidence generated by adherence
to the procedures. The evaluators concluded that the procedures are adequate to track and
correct security flaws, and distribute the flaw information and corrections to consumers of
the product.
Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of NPS. Additionally, the evaluators conducted a review of public domain vulnerability
databases and a focused search of all evaluation deliverables. The evaluators identified
potential vulnerabilities for testing applicable to the NPS in its operational environment.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 4 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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12.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR2
.
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, TOE design and security architecture
description was complete.
12.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation,
executing a sample of the developer's test cases, and creating test cases that augmented the
developer tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach was the
following list of 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;
b. Initialization: The objective of this test goal is to provide the procedures for determining
the system configuration in order to ensure that the TOE that is tested is correct;
c. Identification and Authentication: The objective of this test goal is to ensure that the
identification and authentication requirements have been met;
d. Audit: The objective of this test goal is to ensure that the audit data is recorded and can be
viewed; and
e. Security Management: The objective of this test goal is to ensure the functionality around
creating, managing and deleting users and groups is correct.
12.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and a
focused review of all evaluation deliverables, limited independent evaluator penetration
testing was conducted. The penetration tests focused on:
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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a. Generic vulnerabilities;
b. Bypassing;
c. Tampering; and
d. Direct attacks.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
12.4 Conduct of Testing
NPS 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. Testing for the NPS was tested on
one model of the hardware that was physically located in the ITSET Facility and two models
were tested remotely, as they were physically located in the Netezza facility. The CCS
Certification Body witnessed a portion of the independent testing. The detailed testing
activities, including configurations, procedures, test cases, expected results and observed
results are documented in a separate Test Results document.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that NPS behaves as specified in its ST, functional specification, TOE
design and security architecture description.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL 4+ 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
In all cases, the TOE is installed and configured by Netezza personnel. Upgrades to the
product are also performed by Netezza personnel.
The user documentation for the NPS describes in detail the discretionary access control
policy implemented by the TOE as well as the extensive logging and auditing features of the
product. The developer has produced a guidance supplement which includes specific
instructions applicable to the evaluated configuration of the product.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
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Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CEM Common Methodology for Information
Technology Security Evaluation
CM Configuration Management
CPL Certified Products list
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
NPS Netezza Performance Server
PALCAN Program for the Accreditation of Laboratories
- Canada
SPU Snippet Processing Unit
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
16 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.1, August 2005.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1 R2,
September 2007.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 R2, September 2007.
d. U.S. Government Protection Profile for Database Management Systems in Basic
Robustness Environments, Version 1.2, July 25, 2007.
e. Netezza Corporation Netezza Performance Server v4.6.5 Security Target, 0.6, April
13, 2010.
f. Evaluation Technical Report for EAL 4+ Common Criteria Evaluation of Netezza
Corporation Netezza Performance Server, v4.6.5, Version 1.7, 14 April 2010