Certification Report
EAL 2+ Evaluation of EMC Corporation
EMC® Celerra® Network Server Version 5.5 running on EMC®
Celerra® NSX and EMC® Celerra® NS series
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2007 Government of Canada, Communications Security Establishment
Document number: 383-4-62-CR
Version: 1.0
Date: 15 October 2007
Pagination: i to v, 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 2.3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 2.3. 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 (CSE), 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 CSE, 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 (CSE).
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 Standard 17025, General requirements for the
accreditation of calibration and testing 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 Electronic Warfare Associates-Canada, Ltd.
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 15
October 2007, 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 at: http://www.cse-cst.gc.ca/services/common-criteria/trusted-
products-e.html and on the official Common Criteria Program website at
http://www.commoncriteriaportal.org/
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This certification report makes reference to the following trademarked or registered
trademarks:
• EMC®, Celerra® and CLARiiON® are registered trademark symbols of EMC
Corporation;
• Microsoft, and Windows are either trademarks or registered trademarks of Microsoft
Corporation in the United States and/or other countries.
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 ................................................................................ 3
2 TOE Description ................................................................................................................... 3
3 Evaluated Security Functionality........................................................................................ 3
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 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 6
10 Documentation ...................................................................................................................... 6
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
12.4 CONDUCT OF TESTING ............................................................................................... 8
12.5 TESTING RESULTS...................................................................................................... 9
13 Results of the Evaluation...................................................................................................... 9
14 Evaluator Comments, Observations and Recommendations ........................................... 9
15 Acronyms, Abbreviations and Initialisations..................................................................... 9
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16 References............................................................................................................................ 10
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Executive Summary
The EMC® Celerra® Network Server Version 5.5 running on EMC® Celerra® NSX and
EMC® Celerra® NS series from EMC Corporation (hereafter referred to as EMC® Celerra®
Network Server Version 5.5) is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 2+ evaluation.
The EMC® Celerra® Network Server Version 5.5 is a Network Attached Storage (NAS)
server that provides Internet Protocol (IP) or Fibre Channel1
access to storage, either locally
or on a Storage Area Network (SAN). The purpose of a SAN is to allow many different
application servers to share storage provided by centrally managed storage devices. The
EMC® Celerra® Network Server Version 5.5 supports several protocols to provide file
sharing access to centrally managed storage.
Electronic Warfare Associates-Canada, Ltd. is the Common Criteria Evaluation Facility that
conducted the evaluation. This evaluation was completed on 21 September 2007 and was
carried out in accordance with the rules of the Canadian Common Criteria Evaluation and
Certification Scheme (CCS).
The scope of the evaluation is defined by the security target, which identifies assumptions
made during the evaluation, the intended environment for the EMC® Celerra® Network
Server Version 5.5 , 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)2
for this product provide
sufficient evidence that it meets the EAL 2+ assurance requirements for the evaluated
security functionality. The evaluation was conducted using the Common Methodology for
Information Technology Security Evaluation, Version 2.3 (with applicable final
interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3.
1
Fibre Channel is a serial data transfer interface that operates over copper wire and/or optical fiber at data rates
currently supported at 400 MB/s.
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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The Communications Security Establishment, as the CCS Certification Body, declares that
the EMC® Celerra® Network Server Version 5.5 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) at http://www.cse-
cst.gc.ca/services/common-criteria/trusted-products-e.html and on the official International
Common Criteria Program website at http://www.commoncriteriaportal.org.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2+ evaluation is
the EMC® Celerra® Network Server Version 5.5 running on EMC® Celerra® NSX and
EMC® Celerra® NS series from EMC Corporation (hereafter referred to as EMC® Celerra®
Network Server Version 5.5).
2 TOE Description
The EMC® Celerra® Network Server Version 5.5 is a Network Attached Storage (NAS)
server that provides Internet Protocol (IP) or Fibre Channel access to storage, either locally
or on a Storage Area Network (SAN). The purpose of a SAN is to allow many different
application servers to share storage provided by centrally managed storage devices. The
EMC® Celerra® Network Server Version 5.5 supports several protocols to provide file
sharing access to centrally managed storage.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the EMC® Celerra® Network
Server Version 5.5 is identified in Section 5 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 Celerra Network Server Version 5.5 running on EMC®
Celerra® NSX series and EMC® Celerra® NS series Security Target, Version: 1.0, Date: 20
September 2007.
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, version 2.3.
The EMC® Celerra® Network Server Version 5.5 is:
a. Common Criteria Part 2 conformant; with functional requirements based only upon
functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, with all the security assurance requirements in the
EAL 2 package as well as ALC_FLR.1 – Basic flaw remediation.
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6 Security Policy
The following statements are representative of the Security Policy:
Authentication and Security Management. Users must authenticate to the EMC®
Celerra® Network Server Version 5.5 before being able to perform any TSF-mediated
actions. A user authenticating to the EMC® Celerra® Network Server Version 5.5 must
provide a user name and password for a valid user account. The EMC® Celerra® Network
Server Version 5.5 implements role-based security management. Roles are assigned to
individuals at the time their user accounts are established.
Discretionary Access Control. The TOE enforces the Discretionary Access Control
Security Functional Policy (SFP) on Users by assigning access privileges to Users based on
their UserID and GroupIDs. The ability to perform operations on objects, which are
governed by the Discretionary Access Control SFP, is granted to Users by an object’s owner.
Thus, a User is allowed to perform an operation on an object so long as permission is granted
to the User within the object’s Access Control List (ACL). A User can also be denied the
ability to perform an operation on an object if the contents of the object’s ACL deny the
desired operation based on the UserID or GroupID of the User.
For security policy enforcement please refer to the Security Target.
7 Assumptions and Clarification of Scope
Consumers of the EMC® Celerra® Network Server Version 5.5 product should consider
assumptions about usage and environmental settings as requirements for the product’s
installation and its operating environment. This will ensure the proper and secure operation
of the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage assumptions are listed in the ST:
• There will be one or more appropriately trained individuals assigned to manage the
EMC® Celerra® Network Server Version 5.5 and the security information it
contains; and
• The authorized administrators are not careless, willfully negligent, or hostile, and will
follow and abide by the instructions provided by the EMC® Celerra® Network
Server Version 5.5 documentation.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
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• The array(s) upon which the EMC® Celerra® Network Server Version 5.5 is
installed resides in a physically secure location and only authorized individuals are
granted physical access to the host.
For more information about the EMC® Celerra® Network Server Version 5.5 security
environment, refer to Section 3 of the ST (TOE Security Environment).
7.3 Clarification of Scope
The EMC® Celerra® Network Server Version 5.5 is intended for use by a non-hostile and
well-managed user community. It relies on the environment to provide it physical and logical
protection.
8 Architectural Information
The TOE is composed of software running on purpose-built hardware, both of which are
developed by EMC Corporation. The software operates on the Control Station and Data
Mover hardware. The EMC® Celerra® Network Server Version 5.5 is composed of the
following:
• Control Station – 1 to 2 Control Stations v5.5 are present in the Celerra® Network
Server. The Control Station is a dedicated management computer that monitors and
controls all components of the EMC® Celerra® Network Server Version 5.5. The
Control Station provides access to the administrative functionality of the EMC®
Celerra® Network Server Version 5.5 software. It contains utilities for installing and
configuring the EMC® Celerra® Network Server Version 5.5, maintaining the
system, and monitoring system performance. The Control Station runs a set of
programs that are collectively referred to as the Control Station software. The
Control Station connects internally to each of the Data Movers within the EMC®
Celerra® Network Server Version 5.5. Only Control Station Administrators are
granted access to the Control Station.
• Data Movers – 1 to 8 Data Movers are present in a Celerra® Network Server running
Data Access in Real Time (DART) operating system v5.5. The Data Movers are the
Celerra® Network Server Version 5.5 components that perform the actual transfer of
data between the storage system and the network client. Administrators do not
typically manage a Data Mover directly. Rather, the Control Station is used to send
commands to an individual Data Mover. There are several different models of Data
Movers. However, use and management of all Data Movers is performed the same
way.
• Optional internal CLARiiON® storage array, which provides midrange Storage Area
Network storage.
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9 Evaluated Configuration
The TOE is a NAS product which runs on the following Celerra® Network Server models:
NS20, NS40, NS40G, NS80, NS80G, NS350, NS500, NS500G, NS700, NS700G, NS704,
NS704G, and NSX.
The evaluated configuration of the TOE includes the following Data Mover models: X-Blade
40 (installed on the NS20, NS40, and NS40G models), X-Blade 60 and X-Blade 65 (installed
on the NS80, NS80G, and NSX models), NS500 (installed on the NS350, NS500, and
NS500G models), and NS700 (installed on the NS700, NS700G,NS704, and NS704G
models).
The evaluated configuration includes software components Control Station version 5.5 and
DART version 5.5.
For more information on the evaluated configuration, refer to the Security Target.
10 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. Configuring Celerra® – Quick Start;
b. Celerra® Network Server Integrated Configuration – Phase 1 and Phase 2 Setup
Guide;
c. Celerra® Network Server v5.5 Release Notes; and
d. EMC Corporation Celerra® Network Server Version 5.5 running on EMC Celerra®
NSX and EMC Celerra® NS series Common Criteria Administrative Guide
Supplement.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the EMC® Celerra®
Network Server Version 5.5, including the following areas:
Configuration management: An analysis of the EMC® Celerra® Network Server Version
5.5 CM system and associated documentation was performed. The evaluators found that the
EMC® Celerra® Network Server Version 5.5 configuration items were clearly marked, and
could be modified and controlled. The developer’s configuration management system was
observed during a site visit, and it was found to be mature and well developed.
Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of the
EMC® Celerra® Network Server Version 5.5 during distribution to the consumer. The
evaluators examined the installation, generation and start-up procedures, and determined that
they were complete and sufficiently detailed to result in a secure configuration.
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Design documentation: The evaluators analysed the EMC® Celerra® Network Server
Version 5.5 functional specification and high-level design; they determined that the
documents were internally consistent, and completely and accurately instantiated all
interfaces and security functions. The evaluators also independently verified that the
correspondence mappings between the design documents were correct.
Guidance documents: The evaluators examined the EMC® Celerra® Network Server
Version 5.5 administrator guidance documentation and determined that it sufficiently and
unambiguously described how to securely use and administer the product, and that it was
consistent with the other documents supplied for evaluation.
Life cycle: The flaw remediation process was carefully reviewed. There are adequate
procedures in place to track and correct security flaws, identify corrective actions, and
distribute the flaw information and corrections. A verification of this process was performed
during the site visit.
Vulnerability assessment: The EMC® Celerra® Network Server Version 5.5 ST’s strength
of function claims were validated through independent evaluator analysis. The evaluators
also validated the developer’s vulnerability analysis and found that it sufficiently described
each of the potential vulnerabilities along with a sound rationale as to why it was not
exploitable in the intended environment. Additionally, the evaluators conducted an
independent review of public domain vulnerability databases, and all evaluation deliverables
to provide assurance that the developer has considered all potential vulnerabilities.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 2+ consists of the following three steps: assessing developer tests,
performing independent functional tests, and performing independent penetration tests.
12.1 Assessment of Developer Tests
The evaluators verified that the developer had met their testing responsibilities by reviewing
the developer’s test plan, test approach, test procedure and test results, and examining their
test evidence, as documented in the Evaluation Technical Report (ETR)3
.
The evaluators analyzed the developer’s test coverage analysis, and found that the
correspondence between tests identified in the developer’s test documentation and the
functional specification was complete and accurate.
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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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. These tests focused on:
• Initialization;
• Identification and authentication;
• Security Management;
• Access control; and
• User Data protection.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis and the independent
review of public domain vulnerability databases and all evaluation deliverables, limited
independent evaluator penetration testing was conducted. The penetration tests focused on:
• Generic vulnerabilities;
• Bypassing;
• Tampering; and
• Direct attacks.
Penetration testing included data interception attacks, attempting to access data while in
transmission between mutually authenticated servers as well as denial-of-service attacks,
attempting to prevent legitimate users of a service from using that service.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
anticipated operating environment.
12.4 Conduct of Testing
The EMC® Celerra® Network Server Version 5.5 was subjected to a comprehensive suite of
formally documented, independent functional and penetration tests. The testing took place at
the developer’s Massachusetts facility.
The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in the ETR.
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12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the EMC® Celerra® Network Server Version 5.5 behaves as specified
in its ST and functional specification. The penetration testing resulted in a PASS verdict, as
the evaluators were unable to exploit any of the identified potential vulnerabilities in the
EMC® Celerra® Network Server Version 5.5 in its intended operating environment.
13 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.
14 Evaluator Comments, Observations and Recommendations
The complete documentation for the EMC® Celerra® Network Server Version 5.5 includes
a comprehensive set of Installation, Configuration and Administration Guide’s. There are
also numerous other EMC-generated technical guides and white papers on the Celerra®.
The EMC® Celerra® Network Server Version 5.5 is straightforward to configure, use and
integrate into a corporate network.
EMC Corporation Configuration Management (CM) and Quality Assurance (QA) provide
the requisite controls for managing all CM/QA activities.
EWA-Canada performed separate site visits to review developer processes (ACM, ADO,
ALC, and ATE) and to repeat a sample of developer’s tests. Though development security
was not part of the evaluation, the evaluators observed that the developer was exceptionally
conscious of security. The physical, procedural, and personnel security measures meet or
exceed the assurance requirements of higher-level CC evaluations. This is reported on in the
CC Evaluation Site Visit Report. This document contains proprietary and confidential EMC
information.
15 Acronyms, Abbreviations and Initialisations
Acronym/Abbreviation/
Initialization
Description
ACL Access Control List
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and Certification
Scheme
CPL Certified Products list
CM Configuration Management
CSE Communications Security Establishment
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Acronym/Abbreviation/
Initialization
Description
DART Data Access in Real Time
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security Evaluation and Testing
PALCAN Program for the Accreditation of Laboratories Canada
QA Quality Assurance
SAN Storage Area Network
SFP Security Function Policy
SP Storage Processor
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) and CCS
Publication #4, Technical Oversight, Version 1.0.
b. Common Criteria for Information Technology Security Evaluation, version 2.3,
August 2005.
c. Common Methodology for Information Technology Security Evaluation, CEM,
version 2.3, August 2005.
d. EMC Corporation Celerra® Network Server v5.5 Security Target, Revision No. 1.0,
20 September 2007.
e. Evaluation Technical Report (ETR) EMC® Celerra® Network Server Version 5.5
running on EMC® Celerra® NSX and EMC® Celerra® NS series, EAL 2+
Evaluation, Common Criteria Evaluation Number: 383-4-62, Document No. 1544-
000-D002, Version 3, 21 September 2007.