Certification Report
EMC® VMAX™ Series Appliances with HYPERMAX™
OS 5977
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2015
Document number: 383-4-302-CR
Version: 1.0
Date: 30 July 2015
Pagination: i to iii, 1 to 10
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. 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, 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, 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.
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, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
This certification report is associated with the certificate of product evaluation dated 30 July
2015, 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 (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
This certification report makes reference to the following registered trademarks or
trademarks:
 EMC is a registered trademark of EMC Corporation; and
 VMAX and HYPERMAX are trademarks of EMC 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 Security Policy....................................................................................................................... 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 6
10 ITS Product Testing.............................................................................................................. 7
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
10.4 CONDUCT OF TESTING ............................................................................................... 8
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Acronyms, Abbreviations and Initializations..................................................................... 9
13 References............................................................................................................................ 10
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Executive Summary
EMC® VMAX™ Series Appliances with HYPERMAX™ OS 5977 (hereafter referred to as
EMC® VMAX™), from EMC Corporation, is the Target of Evaluation. The results of this
evaluation demonstrate that EMC® VMAX™ meets the requirements of Evaluation
Assurance Level (EAL) 2 augmented for the evaluated security functionality.
EMC® VMAX™ is a storage solution which provides a physical storage array combined
with operating and management software to fulfill an organization’s data storage and
availability needs. Application servers can use the storage array to store mission-critical data
and facilitate the sharing of important files. The TOE can monitor the integrity of stored user
data against unintentional corruption, control access to stored user data and storage space,
and control access to administrative functions.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
30 July 2015 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® VMAX™, and the security
functional/assurance 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.
Communications Security Establishment, as the CCS Certification Body, declares that the
EMC® VMAX™ 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).
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this EAL 2+ evaluation is EMC® VMAX™ Series
Appliances with HYPERMAX™ OS 5977 (hereafter referred to as EMC® VMAX™), from
EMC Corporation.
2 TOE Description
EMC® VMAX™ is a storage solution which provides a physical storage array combined
with operating and management software to fulfill an organization’s data storage and
availability needs. Application servers can use the storage array to store mission-critical data
and facilitate the sharing of important files. The TOE can monitor the integrity of stored user
data against unintentional corruption, control access to stored user data and storage space,
and control access to administrative functions.
The TOE includes the VMAX 100K, 200K, and 400K hardware and the following software
components:
 HYPERMAX Operating System 5977,
 Solutions Enabler 8.0.2 (Command Line Interface that allows management and
 configuration of VMAX arrays), and
 Unisphere for VMAX 8.0.2 (Web-based Graphical User Interface that allows
management and configuration of VMAX arrays).
A diagram of the EMC® VMAX™ architecture is as follows:
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3 Security Policy
EMC® VMAX™ implements a role-based access control policy to control administrative
access to the system. In addition, EMC® VMAX™ implements policies pertaining to the
following security functional classes:
 Security Audit,
 User Data Protection,
 Identification and Authentication,
 Security Management,
 Protection of the TSF, and
 TOE Access.
4 Security Target
The ST associated with this Certification Report is identified below:
EMC® VMAX™ (including VMAX 100K, 200K, and 400K) with HYPERMAX™ OS
5977, Solutions Enabler 8.0.2, and Unisphere for VMAX 8.0.2, Version 2.1, 27 July 2015.
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
EMC® VMAX™ is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following: ALC_FLR.2 - Flaw Reporting Procedures
b. Common Criteria Part 2 conformant; with security functional requirements based only
upon functional components in Part 2;
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
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6 Assumptions and Clarification of Scope
Consumers of EMC® VMAX™ 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.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 There are one or more competent individuals assigned to manage the TOE and the
security of the information it contains.
 Administrators who manage the TOE are not careless, negligent, or willfully hostile,
are appropriately trained, and follow all guidance.
 KVM or Ethernet connections will not be made to the Management Module Control
Station after deployment of the TOE.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The IT Environment will be configured in such a way as to allow TOE users to access
the information stored on the TOE.
 The IT Environment must block all traffic originating from outside of the controlled
access facility intended for the Solutions Enabler ports of the TOE.
 The TOE is located within a controlled access facility and is physically available to
authorized administrators only.
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7 Evaluated Configuration
The evaluated configuration for EMC® VMAX™ comprises:
 the VMAX 100K, 200K, and 400K in a Single Engine System Bay Rack configuration,
which includes one Engine and two Disk Array Enclosures
 the HYPERMAX OS 5977 installed on the VMAX hardware
 Solutions Enabler 8.0.2 and Unisphere for VMAX 8.0.2 installed on the administrative
host
The requirements for the TOE environment include:
 an administrative host with Windows Server 2012 R2 and Internet Explorer 11 installed
on general purpose hardware
 a server with a Host Bus Adapter connected to the Storage Area Network, running
Windows Server 2012 R2 installed on general purpose hardware
The publication entitled EMC Corporation EMC® VMAX™ (including VMAX 100K, 200K,
and 400K) with HYPERMAX™ OS 5977, Solutions Enabler 8.0.2, and Unisphere for VMAX
8.0.2 Guidance Documentation Supplement v0.7, July 27, 2015 describes the procedures
necessary to install and operate EMC® VMAX™ in its evaluated configuration.
8 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. EMC® VMAX Family with HYPERMAX OS Product Guide, June 2015;
b. EMC® VMAX Family 100K, 200K, and 400K Planning Guide, June 2015;
c. EMC® VMAX Family Security Configuration Guide, March 2015;
d. EMC® VMAX Family with HPERMAX OS 5977 Release Level HYPERMAX OS
5977.596.583 Release Notes, April 2012;
e. EMC® Solutions Enabler Array Management CLI User Guide Version 8.0.2, March
2015;
f. EMC® Solutions Enabler SRM Version 8.0.2 CLI User Guide, March 2015;
g. EMC® Solutions Enabler CLI Version 8.0.2 Command Reference, March 2015;
h. EMC® Solutions Enabler, VSS Provider, and SMI-S Provider Version 8.0.2 Release
Notes, May 2015;
i. EMC® Unisphere for VMAX Version 8.0.2 Release Notes, April 2015;
j. EMC® Solutions Enabler Version 8.0.2 Installation Guide, April 2015 ;
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k. EMC Corporation EMC® VMAX™ (including VMAX 100K, 200K, and 400K) with
HYPERMAX™ OS 5977, Solutions Enabler 8.0.2, and Unisphere for VMAX 8.0.2
Guidance Documentation Supplement v0.7, July 27, 2015 ; and
l. EMC® Unisphere for VMAX Version 8.0.2 Installation Guide, June 2015.
9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of EMC® VMAX™,
including the following areas:
Development: The evaluators analyzed the EMC® VMAX™ 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®
VMAX™ security architectural description and determined that the initialization process is
secure, 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® VMAX™ 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® VMAX™ configuration management system
and associated documentation was performed. The evaluators found that the EMC®
VMAX™ configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of EMC® VMAX™ during distribution to
the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the EMC®
VMAX™. 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.
All these evaluation activities resulted in PASS verdicts.
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10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 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 ETR1
.
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.
10.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation.
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 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. Block Storage Access Control Review: The objective of this test goal is to examine and
confirm the rules claimed for the Block Storage Access Control Policy:
c. De-allocation: The objective of this test goal is to confirm that the previous information
content of a resource is made unavailable upon removal of the disk from the storage
array;
d. RAID 5: The objective of this test goal is to confirm that the TOE supports RAID 5;
e. Unisphere and Roles: The objective of this test goal is to confirm that role enforcement is
performed on the Unisphere interface; and
f. Solutions Enabler and Roles: The objective of this test goal is to confirm that role
enforcement is performed on the Solutions Enabler interface.
10.3 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. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities.
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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b. Functionality available prior to login: The objective of this test goal is to attempt to
access sensitive information prior to login.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
EMC® VMAX™ was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The detailed testing activities, including
configurations, procedures, test cases, expected results and observed results are documented
in a separate Test Results document.
10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that EMC® VMAX™ behaves as specified in its ST and functional
specification.
11 Results of the Evaluation
This evaluation has provided the basis for a EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
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12 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FCoE Fibre Channel over Ethernet
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
OS Operating System
PALCAN Program for the Accreditation of
Laboratories - Canada
SAS Serially Attached SCSI
SCSI Small Computer System Interface
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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13 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 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. EMC® VMAX™ (including VMAX 100K, 200K, and 400K) with HYPERMAX™
OS 5977, Solutions Enabler 8.0.2, and Unisphere for VMAX 8.0.2, Version 2.1, 27
July 2015.
e. Evaluation Technical Report for EMC® VMAX™ (including VMAX 100K, 200K,
and 400K) with HYPERMAX™ OS 5977, Solutions Enabler 8.0.2, and Unisphere
for VMAX 8.0.2 Document No. 1852-000-D002, Version 0.3, 30 July 2015.