National Information Assurance Partnership
Common Criteria Evaluation and Validation Scheme
Validation Report
IBM
WebSphere Application Server V7.0.0.19 (32-bit) with
interim fix for APAR PM53930
Report Number: CCEVS-VR-VID10442-2012
Dated: 25 May 2012
Version: 1.0
National Institute of Standards and Technology National Security Agency
Information Technology Laboratory Information Assurance Directorate
100 Bureau Drive 9800 Savage Road STE 6940
Gaithersburg, MD 20899 Fort George G. Meade, MD 20755-6940
®
TM
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ACKNOWLEDGEMENTS
Validation Team
Daniel P. Faigin
The Aerospace Corporation
El Segundo, California
Franklin Haskell
The Mitre Corporation
Bedford, MA
John Nilles
The Aerospace Corporation
Columbia, MD
Common Criteria Testing Laboratory
Dawn Campbell
Eve Pierre
Chris Keenan
SAIC
Columbia, MD
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Table of Contents
1 EXECUTIVE SUMMARY ............................................................................2
2 IDENTIFICATION.........................................................................................2
2.1 Interpretations ...........................................................................................4
3 SCOPE OF EVALUATION...........................................................................4
3.1 Threats.......................................................................................................4
3.2 Organizational Security Policies...............................................................5
3.3 Physical Scope ..........................................................................................5
3.4 Logical Scope............................................................................................7
3.5 Excluded Features.....................................................................................7
4 SECURITY POLICY......................................................................................7
4.1 Security Audit...........................................................................................8
4.2 Identification.............................................................................................8
4.3 Access Control..........................................................................................9
4.4 Security Management .............................................................................10
4.4.1 Administration Roles .........................................................................10
4.4.2 Naming Roles.....................................................................................12
4.4.3 Universal Description Discovery and Integration (UDDI) Roles......13
4.4.4 Messaging Roles ................................................................................14
4.5 Invocation of Secure Socket Layer (SSL) ..............................................16
5 CLARIFICATION OF SCOPE ....................................................................16
5.1 Assumptions............................................................................................16
5.2 Limitations and Exclusions.....................................................................16
6 ARCHITECTURAL INFORMATION ........................................................18
6.1 Product Application Server.....................................................................19
6.1.1 Required configuration of the Product Application Server ...............21
6.2 Product Hypertext Transfer Protocol (HTTP) Server and Product HTTP
Server Plug-in ........................................................................................................22
6.3 Product wsadmin Tool............................................................................22
7 Product Testing.............................................................................................23
7.1 Developer Testing...................................................................................23
7.2 Evaluation Team Independent Testing ...................................................23
7.3 Penetration Testing .................................................................................25
8 Documentation..............................................................................................26
8.1 Product Guidance....................................................................................26
8.2 Evaluation Evidence ...............................................................................27
9 RESULTS OF THE EVALUATION ...........................................................30
10 Validator Comments/Recommendations ......................................................31
11 Annexes.........................................................................................................32
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12 Security Target..............................................................................................32
13 Bibliography .................................................................................................32
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List of Figures
Figure 1. Product Overview................................................................................................. 19
List of Tables
Table 1. Evaluation Identifiers............................................................................................... 3
Table 2. Management Capabilities of Administration Roles............................................... 11
Table 3. Management Capabilities of Naming Roles .......................................................... 13
Table 4. Management Capabilities of UDDI Roles............................................................. 14
Table 5. Management Capabilities of Messaging Roles...................................................... 15
Table 6. TOE Security Assurance Requirements ................................................................ 30
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1 EXECUTIVE SUMMARY
The Target of Evaluation (TOE) is the WebSphere Application Server V7.0.0.19 (32-bit)
with interim fix for Authorized Program Analysis Report (APAR) PM53930. The
evaluation of the TOE was performed by Science Applications International Corporation
(SAIC) Common Criteria Testing Laboratory (CCTL) in Columbia, Maryland, United
States of America and was completed in May 2012. The evaluation was conducted in
accordance with the requirements of the Common Criteria and Common Methodology
for IT Security Evaluation (CEM), version 3.1 Revision 3. The evaluation was consistent
with National Information Assurance Partnership (NIAP) Common Criteria Evaluation
and Validation Scheme (CCEVS) policies and practices as described on their web site
(www.niap-ccevs.org).
The SAIC evaluation team determined that the TOE is Common Criteria Part 2 Extended
and Common Criteria Part 3 Conformant, and that the Evaluation Assurance Level (EAL)
for the product is EAL 4 augmented with ALC_FLR.2. The information in this
Validation Report is largely derived from the Evaluation Technical Report (ETR) and
associated test reports produced by the SAIC evaluation team. This Validation Report is
not an endorsement of the Target of Evaluation by any agency of the U.S. government,
and no warranty is either expressed or implied.
The TOE is IBM’s implementation of an application server, which is compliant with Java
EE 5 specification. The primary purpose of the product is to provide an environment for
running and managing user-supplied enterprise applications and their components. In
particular, the product provides the capabilities to identify users and to control what
resources a user can access through enterprise applications. In addition to its primary
purpose, the product provides tools for doing useful functions such as assembling and
troubleshooting enterprise applications.
The product, when configured as specified in ―WebSphere Application Server EAL4
AGD – Guidance‖, satisfies all of the security functional requirements stated in the IBM
WebSphere Application Server v7.0.0.19 (32-bit) with APAR PM53930
EAL4+ Security Target (ST).
2 IDENTIFICATION
The Common Criteria Evaluation and Validation Scheme (CCEVS) is a National
Security Agency (NSA) effort to establish commercial facilities to perform trusted
product evaluations. Under this program, security evaluations are conducted by
commercial testing laboratories called Common Criteria Testing Laboratories (CCTLs)
using the Common Evaluation Methodology (CEM) for Evaluation Assurance Level
(EAL) 1 through EAL 4 in accordance with National Voluntary Laboratory Assessment
Program (NVLAP) accreditation granted by the National Institute of Standards and
Technology (NIST).
The NIAP Validation Body assigns validators to monitor the CCTLs to ensure quality
and consistency across evaluations. Developers of information technology products
desiring a security evaluation contract with a CCTL and pay a fee for their product’s
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evaluation. Upon successful completion of the evaluation, the product is added to NIAP’s
Validated Products List.
Table 1 provides information needed to completely identify the product, including:
 The Target of Evaluation (TOE): the fully qualified identifier of the product as
evaluated;
 The Security Target (ST), describing the security features, claims, and assurances
of the product;
 The conformance result of the evaluation;
 The Protection Profile (PP) to which the product is conformant;
 The organizations and individuals participating in the evaluation.
Table 1. Evaluation Identifiers
Evaluated Product: WebSphere Application Server V7.0.0.19 (32-bit) with interim fix
for APAR PM53930
Sponsor: IBM, Inc.
11501 Burnet Road
Austin, Texas 78758
Developer: IBM, Inc.
11501 Burnet Road
Austin, Texas 78758
CCTL: Science Applications International Corporation
6841 Benjamin Franklin Drive
Columbia, MD 21046
Kickoff Date: 10 October 2010
Completion Date: 25 May 2012
CC: Common Criteria for Information Technology Security
Evaluation, Version 3.1, Revision 3, July 2009
Interpretations: None
CEM: Common Methodology for Information Technology Security
Evaluation, Part 2: Evaluation Methodology, Version 3.1,
Revision 3, July 2009.
Evaluation Class: EAL 4 augmented with ALC_FLR.2
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Description: The product is IBM’s implementation of an application server,
which is compliant with Java EE 5 specification. The primary
purpose of the product is to provide an environment for running
and managing user-supplied enterprise applications and their
components. In particular, the product provides the capabilities to
identify users and to control what resources a user can access
through enterprise applications. In addition to its primary purpose,
the product provides tools for doing useful functions such as
assembling and troubleshooting enterprise applications.
Disclaimer: The information contained in this Validation Report is not an
endorsement of the IBM WebSphere Application Server products
by any agency of the U.S. Government and no warranty of the
product is either expressed or implied.
PP: None
Evaluation Personnel: Science Applications International Corporation:
Dawn Campbell
Eve Pierre
Chris Keenan
Validation Body: National Information Assurance Partnership CCEVS
2.1 Interpretations
Not applicable.
3 SCOPE OF EVALUATION
3.1 Threats
The ST identifies the following threats that the TOE and its operating environment are
intended to counter:
 A caller gains access to a resource without the correct authority to access that
resource.
 An unidentified caller gains access to a protected resource.
 Data transferred between workstations is disclosed to, or modified by unidentified
users or processes, either directly or indirectly.
 The misconfiguration, inappropriate installation, or inappropriate development of
applications and operating system that the TOE interfaces with, compromises the
TOE security policies or security functions used to protect sensitive resources from
access by unauthorized remote1
callers.
1
A remote caller is a user from a remote JVM
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3.2 Organizational Security Policies
The ST identifies the following organizational security policy that the TOE and its
operating environment are intended to fulfill:
 The right to access a resource is determined on the basis of association of user or
group IDs to roles and of roles to resources.
This organizational security policy essentially implements the AC-3 (Access
Enforcement) control defined in NIST SP 800-53 Revision 3: ―the information system
enforces approved authorizations for logical access to the system in accordance with
applicable policy‖. In particular, it implements AC-3(3) when used with the Role Based
Access Control (RBAC) and access control policies as defined in Section 3.3 of this
document.
3.3 Physical Scope
The Target of Evaluation is:
 WebSphere Application Server V7.0.0.19 (32-bit) with the interim fix for APAR
PM53930.
The TOE consists of the following components, which are described in Section 6:
 Product Application Server
 Product Hypertext Transfer Protocol (HTTP) Server
 Product HTTP Server Plug-Ins
 Product wsadmin Tool
The TOE has been designed to control access to the data it hosts and the associated
management functions. This is accomplished by offering access to its objects and
functions through interfaces carefully designed to ensure that the applicable security
policies are enforced prior to allowing requested operations to succeed. However, the
TOE is an application program that depends on the supporting products identified above
and summarized below. As such, the TOE is dependent upon those products to enforce
their respective policies to ultimately protect the TOE and its data both at rest and while
in execution.
The following software components are not included in the TOE. They are part of the
TOE operational environment in the evaluated configuration:
 Operating system. The evaluated configuration of the TOE is supported on the
following operating systems:
o AIX® 6.1 (64-bit);
o HP-UX 11i v2 (64-bit PA-RISC);
o Linux® Redhat 5.1 on PPC (64-bit) / Intel™ / System z®;
o Linux SuSE Enterprise Edition 10 (SLES 10) on PPC (64-bit) / System z;
o Oracle Solaris 10 (64-bit);
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o Microsoft® Windows® Server 2008;
It is assumed that all hardware used within the operating environment is secured
such that no potential vulnerabilities could be introduced that would circumvent
the functionality described within this ST. This protection is assumed to be both
physical and logical (for example, appropriate use of network boundary protection
devices).
 Product Java 2 Software Development Kit (SDK). The SDK used by the evaluated
configuration is:
o On HP-UX: HP Java Development Kit (JDK) for Java 2 Platform
Standard Edition (J2SE) HP-UX 11i platform, adapted by IBM for IBM
Software, Version 6.0
o On Oracle Solaris: IBM SDK for Solaris, Java 2 Technology Edition,
Version 6.0
o On all other platforms: the IBM SDK for multiplatforms, Java
Technology Edition, V6.0
 Java Database Connectivity (JDBC) resource and any back-end servers. The
TOE was evaluated with the following JDBC provider, as well as the back-end
server used by this provider: IBM DB2® v8.2. The provider was configured to
run inside the Product Application Server component of the TOE and to access
data stored in the back-end server.
 Lightweight Directory Access Protocol (LDAP) server. The TOE was evaluated
with the following LDAP server, which was configured as the user registry: IBM
Tivoli® Directory Server 6.2.
 IBM Cryptography for C. The TOE was evaluated with IBM Cryptography for C
as the cryptographic service provider. IBM Cryptography for C is a FIPS 140-2
validated cryptographic module. The cryptographic module is provided by the
operational environment through IBM Global Security Kit (GSKitv7), which has
been separately evaluated.
Note that the TOE must be configured in accordance with the set of evaluated Guidance
documentation—in particular, the ―WebSphere Application Server EAL4 AGD –
Guidance‖ document—which can be downloaded from http://www.ibm.com/support/
docview.wss?uid=swg24030364. This documentation includes
• The Installation and Configuration Guide for the Certified System,
• Administrator’s Guide for the Certified System,
• Developers Guide for the Certified System.
The Guidance documentation includes links to pertinent on-line documents in the WAS
Information Center at http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/index.jsp?topic=
/com.ibm.websphere.base.doc/info/aes/ae/welcome_base.html. The web pages at the
Information Center link also include product information and operating environment
information not necessarily specific to the TOE, which have not been evaluated, and
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should be considered for informational purposes only as they may contain instructions
not suitable for use in the evaluated configuration. Only the Guidance documents
identified above and the links to web pages within the Installation and Configuration,
Administrator, and Developer’s Guides should be considered as specific guidance for the
TOE.
3.4 Logical Scope
The description of the security features of the product are described in further details in
Section 4. In summary, these functions are:
 Security Audit
 Identification
 Access Control
 Security Management
 Invocation of Secure Socket Layer (SSL)
3.5 Excluded Features
The Product Tools and Applications component has capabilities for product upgrading
and migration. These capabilities are not applicable in the evaluated configuration and
were excluded from evaluation.
The following product components are excluded from evaluation:
 Proxy Server
 Admin Console
 Admin Agent
 Job Manager
These components are not configured as part the TOE.
Refer to the User Guidance document for specific configuration requirements.
Product features that are not identified as part of the TOE and that are not explicitly
excluded are available in the evaluated configuration but were not covered by the
evaluation. These features do not contribute to meeting the security functional
requirements claimed for the TOE.
4 SECURITY POLICY
The TOE enforces the following security policies as described in the ST.
Note: Much of the description of the WebSphere Application Server security
policy has been extracted and reworked from the WebSphere Application Server
ST and Final ETR.
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4.1 Security Audit
The TOE provides an auditing mechanism for auditing identification and access control
events. The TOE provides the capability to enable and disable auditing; and for
reviewing the audit records to authorized administrators. The audit functions are able to
associate users with security relevant actions for identification, access control and for
enabling and disabling the audit function. The TOE relies on the operational
environment for audit record storage.
4.2 Identification
The TOE provides functions that identify a remote caller when the caller requests access
to a sensitive resource protected by the TOE. These functions are:2
 Ident.1—This function identifies a remote caller that requests access to a sensitive
resource using a remote HTTP/S Interface of the TOE.
 Ident.2—This function identifies a remote caller that requests access to a sensitive
resource using a remote Object Request Broker (ORB) interface of the TOE.
 Ident.3—This function identifies a remote caller that requests access to a sensitive
resource using a remote Java Message Service (JMS) interface of the TOE.
 Ident.4—This function re-identifies a remote caller that requests access to a sensitive
resource using a remote web services interface of the TOE. The TOE does initial
identification base on initiating request through Ident.1.
 Ident.6—This function permits a method in a deployed user web server application or
enterprise bean to assume the identity of another user.
 Ident.7—This function identifies a remote caller when the remote caller attempts to
access a sensitive transaction using the remote Web Services Transactions (WS-
Transactions) interface of the TOE.
For authentication, the TOE accepts the user information (user ID/password, token, or
certificate) and passes that information to the operational environment. The operational
environment determines if the information is valid and returns that status to the TOE. If
the information was valid the TOE creates a Subject that contains a credential with the
user information. The TOE uses the Subject for subsequent identification and
authorization checks. If the operational environment determines the identification
information is not valid, then the TOE does not create a Subject and instead throws a
login failure exception.
The TOE relies on the operational environment and on the user IDs and group IDs
maintained by the environment to authenticate claimed identities when TOE policy
requires authentication.
2
Note: Function Ident.5 is not applicable in this configuration of the product. The function is applicable to
the sibling products, ―WebSphere Application Server Network Deployment v7.0.0.19 (32-bit) with APAR
PM53930‖ and ―WebSphere Application Server for z/OS V7 Service level 7.0.0.19 with APAR PM55522‖.
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4.3 Access Control
The TOE provides access control functions that allow only authorized remote callers to
access to the sensitive resources. A sensitive resource is defined as a resource that:
 Resides in a server TOE component
 Can be accessed by a remote caller, which is an entity residing outside the server
TOE component in which the sensitive resource resides.
 Could be used by a remote caller to compromise the security of a deployed web
server application or deployed enterprise bean.
The following are the sensitive resources of the TOE:
 Methods and static web content of deployed user web server applications (user web
server applications that are deployed in the TOE)
 Methods of deployed user enterprise beans (user enterprise beans that are deployed in
the TOE)
 Transactions and activities of deployed user web server applications, deployed
enterprise beans, and the TOE
 The TOE naming directory
 The TOE Universal Description Discovery and Integration (UDDI) registry directory
 TOE configuration data
 TOE runtime state
 TOE local bus, queue destinations, temporary destinations, topic space, topic space
root, and topics
The following are the access control functions:3
 AC.1—This function controls access from remote callers to methods and HTML
pages in deployed web server applications.
 AC.2—This function controls access from remote callers to Methods in deployed
enterprise beans (including methods that are deployed as web services endpoints).
 AC.3—This function controls access from remote callers to TOE configuration data,
and TOE runtime state.
 AC.4—This function controls access from remote callers to the TOE naming
directory.
 AC.5—This function controls access from remote callers to transactions and
activities.
3
Note: Function AC.8 is not applicable in this configuration of the product. The function is applicable to
the sibling product, ―WebSphere Application Server Network Deployment v7.0.0.19 (32-bit) with APAR
PM53930‖.
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 AC.6—This function controls access from remote callers to messaging resources
(local bus, queue destinations, temporary destinations, topic space, topic space root,
and topics).
 AC.7—This function controls access from remote callers to UDDI resources.
 AC.9—This function controls access from remote callers to methods and attributes in
user MBeans.
The TOE bases access control decisions on identity and roles of the remote caller and
permissions required for the target resource. The TOE relies on the operational
environment and on the user IDs and group IDs maintained by the environment to
authenticate identity. Each resource’s configuration determines the permissions required
to access the resource. Permissions are defined for applications and deployed together.
Once deployed, these permissions can only be changed by a user with an ID mapped to
an Administrator role, Configurator administrator role, or for application data only, the
Deployer role.
The TOE builds an authorization table based on information from the applications for
Enterprise Java Beans (EJBs) and web resources, and admin policy files for the
Application Server. Upon a request the TOE will use the credential from the Subject
making the request and determine if the corresponding user (or group the user belongs to)
is in the role definition required for that resource. If the user/group is in the required role,
then the TOE grants access; otherwise, the TOE denies access.
4.4 Security Management
The TOE provides security management functions that provide a mechanism for
dynamically configuring some security attributes used by TOE access control functions
4.4.1 Administration Roles
The TOE maintains the following Administration roles:
 Administrator
 Configurator
 Monitor
 Operator
 Deployer
 AdminSecurityManager
 Auditor
These roles may be used to perform operations on objects as indicated in Table 2.
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Table 2. Management Capabilities of Administration Roles
Role Objects Operations
Administrator
Configurator
Monitor
Operator
Deployer
(configuration data for
applications only)
TOE configuration data Read
Administrator
Configurator
Deployer
(configuration data for
applications only)
TOE configuration data Modify
Note: This applies to all attributes
except the attributes that map
user/group IDs to administration roles.
Note: This includes the attributes listed
in SM 1.4 except for the runtime
attribute that stores the list of registered
UDDI publishers.
AdminSecurityManager TOE configuration data Modify attributes that map user/group
IDs to administration roles.
Administrator
Configurator
Monitor
Operator
Deployer
(application runtime state
only)
TOE runtime state Read
Administrator
Operator
Deployer
(application runtime state
only)
TOE runtime state Modify
Note: this includes the runtime attribute
that stores the list of registered UDDI
publishers.
Administrator Transactions and activities
Naming directory
Messaging
Registered UDDI Publishers
All operations
Modify attributes that map user/group
IDs to Naming roles
Modify attributes that map user/group
IDs to Messaging roles
Modify or delete attributes
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Role Objects Operations
Configurator Naming directory
Messaging
Modify attributes that map user/group
IDs to Naming roles
Modify attributes that map user/group
IDs to Messaging roles
Operator Registered UDDI Publishers Modify or delete attributes
Monitor Naming directory view
Auditor4
Security audit function Disable and enable
AdminSecurityManager Security audit function
The attributes that map
user/group IDs to administration
roles
Disable and enable
All operations
One or more
Administration roles
Protected methods in user
MBeans
invoke
One or more
Administration roles
Protected attributes in user
MBeans
read
One or more
Administration roles
Protected attributes in user
MBeans
write
4.4.2 Naming Roles
The TOE maintains the following Naming roles:
 COSNamingCreate
 COSNamingDelete
 COSNamingRead
 COSNamingWrite
These roles may be used to perform operations on objects as indicated in Table 3.
4
Enable and disable of the security audit function is audited.
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Table 3. Management Capabilities of Naming Roles
Role Objects Operations
COSNamingDelete TOE naming directory Delete access
COSNamingDelete
COSNamingCreate
TOE naming directory Create access
COSNamingDelete
COSNamingCreate
COSNamingRead
COSNamingWrite
TOE naming directory Read access
COSNamingDelete
COSNamingCreate
COSNamingWrite
TOE naming directory Write access
4.4.3 Universal Description Discovery and Integration (UDDI) Roles
The TOE maintains the following UDDI roles:
 SOAP_Publish_User
 V3SOAP_CustodyTransfer_User_Role
 V3SOAP_Publish_User_Role
 V3SOAP_Security_User_Role
 EJB_Publish_Role
These roles may be used to perform operations on objects as indicated in Table 4.
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Table 4. Management Capabilities of UDDI Roles
Role Objects Operations
SOAP_Publish_User or
V3SOAP_Publish_User_
Role, and
List of registered UDDI
Publishers
Protected UDDI registry
resources through the HTTP
interface
All operations on the Simple Object
Access Protocol (SOAP) V1, V2 and
V3 Publish API
V3SOAP_
CustodyTransfer_User_
Role, and
List of registered UDDI
Protected UDDI registry
resources through the HTTP
interface
All operations on the SOAP V3
Custody Transfer API
V3SOAP_Security_User_
Role
List of registered UDDI
Publishers
Protected UDDI registry
resources through the HTTP
interface
All operations on the SOAP V3
Security API
EJB_Publish_Role Protected UDDI registry
resources through the ORB
interface
All operations on the V2 Publish API
4.4.4 Messaging Roles
The TOE maintains the following Messaging roles:
 Browser
 Bus Connector
 Creator
 Receiver
 Sender
The Bus Connector roles (Messaging) have their own administrative commands that are
restricted to viewing and managing the users associated with the Bus Connector and
default bus roles. These roles may be used to perform operations on objects as indicated
in Table 5.
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Table 5. Management Capabilities of Messaging Roles
Role Objects Operations
Bus connector Local Bus Connect to the local bus for messaging
services.
Creator Queue destination Create a queue destination.
Sender Queue destination Send a message to a queue destination.
Receiver Receive a message from a queue
destination.
Browser Browse messages within a queue
destination.
Creator Temporary destination Create a temporary destination.
Sender Send a message to a temporary
destination.
Receiver Receive a message from a temporary
destination.
Browser Browse messages within a temporary
destination.
Sender Topic Space Send a message to a topic space
Receiver Receive a message from a topic space
Sender Topic Space Root Send a message to a topic space root
Receiver Receive a message from a topic space
root
Sender Topics Send a message to a topic
Receiver Receive a message from a topic
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4.5 Invocation of Secure Socket Layer (SSL)
The TOE provides an invocation of SSL function that requires a remote caller to invoke
TLS 1.0 using the configured algorithms so that the session is encrypted when the remote
caller issues a request to the TOE over the remote interface of the IBM HTTP Server
component. This function does not perform the actual SSL encryption, yet provides a
mechanism for requiring requests from remote callers to be encrypted.
The cryptographic operation and support requirements are provided by the operational
environment. The algorithms used are implemented in a FIPS validated cryptographic
module.
5 CLARIFICATION OF SCOPE
5.1 Assumptions
The ST identifies the following assumptions about the use of the product:
1. It is assumed that the operational environment supporting the TOE provides at
least one of the supported authentication mechanisms identified within the
evaluated configuration of the TOE.
2. It is assumed that the applications and operating system that the TOE interfaces,
will not compromise the security of the TOE and where applicable, that they have
been configured in accordance with manufacturer’s installation guides and/or its
evaluated configuration. It also is assumed that the developers of all user
applications (user web server applications and user enterprise beans), resource
adapters, and providers will comply with all the guidelines and restrictions
specified in the User Guidance document.
3. It is assumed that the operational environment provides accurate timestamp
information.
4. It is assumed that the operational environment supporting the TOE provides the
means to store, protect, and access data within files.
5. It is assumed that all software and hardware, including network and peripheral
devices, have been approved for the transmittal of protected data. Such items are
to be physically protected against threats to the confidentiality and integrity of the
data. It is assumed that all hardware used in the operating environment is secured.
6. It is assumed that there are one or more competent individuals that are assigned to
manage the TOE and the security of the information it contains. Such personnel are
assumed not to be careless, wilfully negligent or hostile. It also is assumed that this
individual will comply with all the guidelines specified in the User Guidance document.
5.2 Limitations and Exclusions
All evaluations (and all products) have limitations, as well as potential misconceptions
that need clarifying. This text covers some of the more important limitations and
clarifications of this evaluation. Note that:
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1. As with any evaluation, this evaluation only shows that the evaluated configuration
meets the security claims made, with a certain level of assurance (EAL 4 augmented
with ALC_FLR.2).
2. This evaluation only covers the specific edition and software version identified in this
document, and not any earlier or later versions released or in process.
3. The following product components are excluded from evaluation: Proxy Server,
Admin Console, Admin Agent, and Job Manager.
4. The TOE utilizes third-party software and hardware components in its operational
environment, as follows:
a. Operating System
b. Java 2 SDK - provides a Java execution environment (Java Virtual Machine
(JVM)) for the rest of the TOE.
c. JDBC resource and back-end servers - The UDDI and Built-in JMS Resource
services of the TOE use the provider and back-end server to store UDDI and
messaging data.
d. LDAP Server – provides the user registry.
e. IBM Cryptography for C – used for secure communication support.
5. The Operating System and the JVM must be regularly patched and maintained to
ensure a secure operating environment for the TOE. The IBM JDK support policy for
fix packs5
is located at http://www-01.ibm.com/support/docview.wss?rs=180&
uid=swg21138332. Based on this policy, The IBM WebSphere Application Server
Java SDK can be upgraded to the latest service release for the same Java SDK
version. Customers should download the latest version of the 1.6 JDK to ensure a
secure safe operating environment.
6. Applications that the TOE hosts are not covered in the evaluation. The application
developers are assumed to follow guidance for a certified system in User Guidance
and that administrators deploy only those applications. Consequently, some types of
applications, services, and Web Services must not be used in the evaluated
configuration.
The following types of applications must not be deployed in the evaluated
configuration:
5
A ―fix pack‖ is a cumulative collection of Authorized Program Analysis Reports (APAR) fixes. They are
intended to allow the user to move up to a specific maintenance level. They have the following
characteristics:
 They are cumulative.
 They are available for all supported operating systems.
 They contain many APARs.
 They are published on the IBM Support Portal.
 They are fully tested by IBM.
 They are available only in English.
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a. Applications provided with WebSphere Application Server, except for the
UDDI Registry Application
b. Session Initiation Protocol (SIP) applications
c. Portlet applications
d. Applications using request dispatching
The following types of services must not be used in the evaluated configuration:
a. Activity session service
b. Data Replication service
c. Compensation Scoping Service
d. Event service
e. WS-Notification services
The following types of web services must not be used in the evaluated configuration:
a. Web Services Gateway
b. Web service endpoints using JMS transport (only HTTP is in the evaluated
configuration)
c. Web Services JAX-WS applications (see Web Services above)
d. JAX-RPC web services using Kerberos (see Web Services above)
6 ARCHITECTURAL INFORMATION
This section provides a high level description of the TOE and its components as
described in the Security Target and design documentation.
The WebSphere Application Server TOE consists of a subset of the components provided
with the product. This subset is comprised of those product components that are used to
deploy and run user-supplied enterprise applications and to manage these applications by
means of a scripting tool.
Specifically, the WebSphere Application Server TOE consists of the following
WebSphere Application Server product components: Product Application Server, Product
HTTP Server, Product HTTP Server Plug-Ins, Product Tools and Applications, Product
Deployment Manager Server, and Product Node Agent Server.
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6.1 Product Application Server
The Product Application Server component is a set of containers, services, and resources
that provides an environment for running enterprise applications and their components
and for programmatically managing enterprise applications and their components. This
environment separates application logic from infrastructure. The enterprise application
developer implements applications (for example, an EJB to containing business logic to
access a legacy database). The Product Application Server implements infrastructure (for
example, a container for the EJB) so that each application need only implement business
logic. The infrastructure provides communication and security functions, which include,
for example, user identification and authorization. It provides centralized mechanisms to
deploy and manage enterprise applications within the infrastructure. Moreover, the
physical and logical measures in the environment that protect the Product Application
Server likewise protect the enterprise applications that reside with the server.
The containers are runtime wrappers that handle system functions, such as
communications and security, for enterprise application components and some types of
resources. The following containers are included:
 Enterprise bean container—handles system functions for enterprise beans.
 Web server container (contains an embedded HTTP server)—handles system
functions for web server applications.
 Resource adapter container—handles system functions for resources that
conform to the Java 2 Platform Extended Edition (J2EE) Connector Architecture
(JCA).
Application Server
Java
Client
HTTP Server
HTTP Server
Plug-In
Web Container
EJB Container
JDBC Provider
Naming Service
UDDI Registry
Tools and
Applications
Admin App
Web
Browser
Java
2
SDK
HTTP/S
IIOP (ORB)
Figure 1. Product Overview
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The services are Java API and remote interface implementations. They provide useful
functions, such as directory and security that components of enterprise applications can
use. A few of these services also are remotely available so that Java clients also can use
them. The following services are included:
 Services defined and documented in Java specifications. These services are
identified in the formal product documentation.
 Additional, product-specific services, which are also defined and documented in
the formal product documentation.
The resources are software modules that are used by some of the services for back-end
processing. The following resources are included:
 A built-in Java Database Connectivity (JDBC) provider, which is sometimes
referred to as the ―WebSphere Relational Resource Adapter‖—handles back-end
processing for the product JDBC API service and uses its own built-in database
server for storing and retrieving storage.
 A built-in Java Message Service (JMS) Provider, which is sometimes referred
to as the ―Default Messaging Provider‖—handles back-end processing for the
product messaging service.
 A naming resource—handles back-end processing for the product Java Naming
and Directory Interface (JNDI) and COSNaming services.
 The UDDI Registry Application, which provides a directory for storing web
services endpoints.
 Security resources—handles back-end processing for the product security
services using a user registry in the environment.
In this evaluation, it has been tested that when the TOE is in its evaluated configuration,
the Product Application Server protects each remotely accessible resource through
security checks for identification and access control.
In the evaluated configuration, the Product Application Server performs the following
functions:
 Starts up. The Product Application Server is started using the Java command
provided by the Product Java 2 SDK. The Product Application Server is run in a
single operating system process and JVM.
 Loads local components. The Product Application Server starts the following
components: User applications (that is, web server applications and enterprise
beans), and UDDI Registry Application. Note that the Application Server loads
policy definitions from the deployment descriptors which provide access control
definitions for the applications. The local components run in the same operating
system process and JVM that the Product Application Server is using. Therefore,
these components are called "local components."
For user applications, the TOE supports Enterprise JavaBean specifications 2.1
and lower. It supports Java Servlet specification 2.4 and lower.
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 Accepts local and remote requests. The Product Application Server accepts
requests over its local and remote interfaces. The requests over its local interfaces
come from the local components (web server applications and enterprise beans).
The Product Application Server receives these requests directly. The requests
over its remote interfaces come from Java clients. The Product Application
Server receives these requests indirectly by means of the Product Java 2 SDK.
 Processes requests for services. If the Product Application Server receives a
request for a service, the Product Application Server first performs any actions
required by the security configuration (for example, identification and access
control). If actions are successful, the Product Application Server processes the
requested service. In the evaluated configuration, the Product Application Server
enforces the security checks for the following services: Administration service;
Naming service; Messaging service (when the Product Application Server is
configured to use the Built-In JMS Provider); and UDDI Service.
 Processes requests for mapped methods and HTML pages. If the Product
Application Server receives a request for a mapped method or HTML page in a
user application or the UDDI Registry Application, the Product Application
Server first performs any actions required by the security configuration (for
example, identification and access control). If the actions are successful, the
Product Application server invokes the mapped method or HTML page.
 Web Services. The product supports two types of Web Services applications –
JAX-WS and JAX-RPC. However, the evaluated configuration of the product
includes only the support for JAX-RPC. As such, while the product includes a
number of web services support features, specifically WS-ReliableMessaging,
WS-SecureConversion, WS-Security, and WS-Kerberos, those features are
excluded due their reliance on JAX-WS. The support for JAX-WS and these other
specific features is excluded from the evaluated configuration due to very limited
use by customers, reliance on external security products (e.g., a KDC), and some
inherent limitations or conflicts among the available supporting functions.
Multiple instances of the Product Application Server can be configured on the network
and in a single operating system. Each instance of the Product Application Server runs in
its own process and JVM.
6.1.1 Required configuration of the Product Application Server
In the evaluated configuration, the Product Application Server must be configured as
described in the document, ―WebSphere Application Server EAL4 – AGD Guidance‖. In
particular, the TOE Single Signon (SSO) must be enabled in the evaluated configuration.
In subsequent sections, this document will be referenced as the ―User Guidance‖
document.
The following types of external resources must not be used in the evaluated
configuration:
 External Java Authorization Contract for Containers (JACC) provider, including
Tivoli Access Manager Server
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 External Trust Association Interceptor (TAI) resource
The following types of external resources are optional in the evaluated configuration:
 External Java Authentication and Authorization Service (JAAS) Login module
 External resource adapters
 Embedded WebSphere MQ client
6.2 Product Hypertext Transfer Protocol (HTTP) Server and Product
HTTP Server Plug-in
The Product HTTP Server is an HTTP server that is included with the product. This
server often is referred to as the ―IBM HTTP Server.‖ The Product HTTP Server accepts
HTTP requests from web clients and provides support for secure HTTPS connection.
The Product HTTP Server can be configured with a Product HTTP Server Plug-in. The
Product HTTP Server Plug-Ins component is a set of plug-ins for external HTTP servers.
An HTTP Server Plug-in re-routes requests from an external HTTP server to the
embedded HTTP server included in the web server container of the Product Application
Server component.
The Product HTTP Server and Product HTTP Server Plug-ins supplement the HTTP
server built into the Product Application Server web server container. While the
embedded web server can serve content, using an external Web Server and Web Server
plug-in as a front end to the Web container can provide additional security in a
production environment by enforcing secure SSL communications from clients and
routing HTTP requests to the Product Application Server..
The Product HTTP Server and Product HTTP Server Plug-in reside in the same process,
which is separate from the process in which the Product Application Server resides. The
Product HTTP Server receives HTTP requests by remote HTTP Clients. The Product
HTTP Server Plug-in forwards the requests to the Product Application Server. The
Product HTTP Server enforces secure communication (HTTPS) with cryptographic
support from the operational environment: IBM Cryptography for C.
6.3 Product wsadmin Tool
The Product wsadmin Tool (henceforth, wsadmin) is included in the TOE. Multiple
instances of wsadmin can be configured in the network or in a single node. Each instance
of wsadmin runs in its own operating system process and JVM. Wsadmin is a Java client
application. The administrator starts wsadmin by running a script (wsadmin.bat or
wsadmin.sh, depending on operating system). After wsadmin starts, an administrator can
use this tool to execute administrative scripting commands for the purpose of managing
the Product Application Server. Wsadmin must be configured as described in the User
Guidance document.
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7 PRODUCT TESTING
This section describes the testing efforts of the developer and the Evaluation Team. It is
derived from information contained in the Evaluation Team Test Report for the
WebSphere Application Server.
Evaluation team testing was conducted at the vendor’s development site March 5 through
March 9, 2012.
7.1 Developer Testing
IBM’s approach to security testing for WebSphere Application Server is security function
based. The majority of the testing of the WebSphere Application Server security
functions is performed by a series of automated tests. These tests can be mapped to the
security functions outlined in the WebSphere Application Server EAL4 Functional
Specification document. Together they demonstrate the security relevant behavior of
WebSphere Application Server at the interfaces defined in that document: Remote EJB
Wrapper Interfaces, Remote HTTP/S Interface, Remote Secure Messaging Interface,
Remote IHS-HTTPS Interface, Remote Naming Context Interfaces, Remote ORB
Listener Interface, Remote RMIConnectorService Interface, Remote Transactions and
Activities Interfaces, Remote UDDI Interfaces, Remote WS-Router Interfaces, and
Scripting Interfaces. The goal of the tests is to demonstrate that WebSphere Application
Server meets the security functional requirements specified in the ST. The automation
framework takes care of test setup, execution and cleanup for all provided tests. The
HTTP Header Manual Test Suite is executed by the automation, but requires some user
interaction. There are no dependencies between tests unless otherwise noted in a
particular test.
7.2 Evaluation Team Independent Testing
The evaluation team executed a sample of the vendor test suite, per the evaluated
configuration as described in the IBM WebSphere Application Server Security Target.
The tests were run on a selection of the test configurations described in the developer’s
test documentation. The documentation describes the different test configurations and
Editions of the TOE that were used in the test configurations.
The vendor has run all vendor tests on all platforms. The evaluation team executed the
majority of the vendor test suite. The team ran a large sample of the vendor test suite
since the majority is automated on the Windows and Solaris platforms.
The test environment included the following operating components that are external to
the TOE but are required in the TOE’s operational environment:
 Microsoft Windows 2008 Server.
The following is a list of additional software that must be installed in the test
environment on the STAF server machine.
 STAF (Software Testing Automation Framework) version 3.4.5
 STAF Services
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 STAX 3.4.5
 EMS (Environment Management System) 3.4.1
 Event Service 3.1.4
 EventManager Service 3.3.8
 Email Service 3.3.5
 HTTP Service 3.0.2
 CRON Service 3.3.8
 MTS (Manual Test System) Service 3.2.0
 AIS (Automation Infrastructure and Solutions) version 2.2.2
 JDOM 1.0 or higher
 Mantis
 Junit
 Cygwin 1.7.7 (Windows only)
 JDK 1.6
 DB2 v8.12
 Tivoli Directory Server v6.2
 Penetration testing tools such as a scanner and sniffer
The evaluation team performed the following additional functional tests:
 Access Control (AC.1)– Confirmed that a user is in the Everyone and/or
AllAuthenticatedUsers group(s) and that attempts to access a method which is
configured with a permission that denies access to that user ID then the user was
denied access to the method.
 Security Management (SM.1.2) – Ensured the TOE applies the default settings
as advertised in the ST by manually inspected the default mapping of user/group
IDs to roles.
 Cryptographic Support – Confirmed that that IBM HTTP Server does not
accept non-SSL connections on SSL port.
 New Role Definition – Confirmed the changes to the restrictions of functionality
to roles and functionality allotted to the new Auditor role
 New Identification logic (Ident.4 and audit) – Confirmed that for the Ident 4
function in Section 6.1.1.4, ―The user ID from the trust token must be in the
trusted list of the target server.‖ ―
The case (2) for testing whether a user ID from
the trust token is in the trusted list does not generate an audit event.
 Sort/Search Audit Records—Determined that some sort and search functionality
is available.
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 Validate Application Deployment Permission (Access Control) – Confirmed
that administrators can change application xml file information and these changes
are enforced by the TOE. This test also shows that the TOE correctly deploys
modified files and correctly parses these xml files.
7.3 Penetration Testing
The evaluation team conducted an open source search for vulnerabilities in the TOE,
identifying a number of vulnerabilities reported against previous WebSphere Application
Server versions. The team verified during examination of the CM system that patches
applied to previous versions are automatically included in subsequent versions and
therefore are also applied to the TOE.
The evaluation team conducted an updated open source search for vulnerabilities in the
TOE, identifying a number of vulnerabilities reported against WebSphere Application
Server or operating environment components. The evaluation team determined, through
analysis of vulnerability descriptions; consideration of the method of use of the TOE; and
with the assistance of IBM developers that only one of these reported vulnerabilities was
relevant to the TOE in its evaluated configuration. IBM indicated that an interim fix
(iFix) is available to correct the vulnerability. As such the iFix is made part of the TOE
and administrators are instructed to download the iFix from IBM.com. The iFix was
installed and test demonstrations showed that after the iFix was applied the vulnerability
was mitigated.
The evaluation team also performed a port scan of the TOE using Nmap. The evaluation
team confirmed that the only open ports identified by the scan were identified in the TOE
guidance as allowable open ports or were ports native to the operating system.
In addition to the open source search and port scan, the evaluation team considered other
potential vulnerabilities, based on a focused search of the evaluation evidence. Some of
the ideas for vulnerability tests identified by the evaluation team were already covered by
vendor functional tests or by the independent functional tests devised by the evaluation
team. Others were determined, through analysis, not to present exploitable vulnerabilities.
The evaluation team performed tests and/or analysis to confirm:
 The TOE is not susceptible to well known web server vulnerabilities. The team
used Wikto to scan the TOE for potential vulnerabilities; three were identified.
The team worked with IBM developers to test whether the potential
vulnerabilities identified affected the TOE. All were determined not be security
relevant and did not affect the TOE. Error code 404 was returned confirming that
perl and html are not supported on the TOE.
 The domain separation security of the SDK is enforced as indicated. Applications
cannot call protected TOE code because the SDK protects these files. Java
security is supported. The property file was examined; it contained TOE files and
system code only.
 The meLinkRequest.interface is disabled.
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 The connection between a browser and the IBM HTTP Server/HTTP(S) is
protected by FIPS certified algorithms and data is not transmitted in the clear.
 The flaws fixed from versions 19 to 21 are not security relevant to the TOE
evaluated configuration.
8 DOCUMENTATION
8.1 Product Guidance
The guidance documentation examined during the course of the evaluation and therefore
delivered with the TOE is:
Guidance Documentation Version Date
WebSphere® Application Server EAL4 AGD – Guidance
(WAS/EAL4/AGD/3.0)
3.0 2012-05-17
This document can be downloaded from http://www.ibm.com/support/docview.wss?
uid=swg24030364. This documentation includes
• The Installation and Configuration Guide for the Certified System,
• Administrator’s Guide for the Certified System,
• Developers Guide for the Certified System.
The Guidance documentation includes links to pertinent on-line documents in the
WebSphere Application Server (WAS) Information Center for ―Network Deployment
(Distributed operating systems), Version 7.0‖ at http://pic.dhe.ibm.com/infocenter/
wasinfo/v7r0/index.jsp?topic=/com.ibm.websphere.base.doc/
info/aes/ae/welcome_base.html. The specific online documents cited are:
Online Guidance Documentation Version Date
DB2 Information Center
http://publib.boulder.ibm.com/infocenter/db2luw/v8/index.jsp
Express (Distributed operating systems), Version 7.0
http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/index.jsp?topic=/com.ibm.websphere.javadoc.doc/web/api
docs/overview-summary.html
IBM HTTP Server for WebSphere Application Server, Version 7.0
http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/topic/com.ibm.websphere.ihs.doc/info/ihs/ihs/welcome_ih
s.html
IBM® Tivoli® Directory Server
http://publib.boulder.ibm.com/infocenter/tivihelp/v2r1/topic/com.ibm.IBMDS.doc/welcome.htm
Network Deployment (All operating systems), Version 7.0
http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/topic/com.ibm.websphere.nd.multiplatform.doc/info/ae/ae/
welcome_ndmp.html
Network Deployment (Distributed operating systems), Version 7.0
http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/topic/com.ibm.websphere.nd.doc/info/ae/ae/welcome_nd.h
tml
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Network Deployment (z/OS), Version 7.0
http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/topic/com.ibm.websphere.zseries.doc/info/zseries/ae/welc
ome_zseries.html
System Requirements for WebSphere Application Server V7.0
http://www-304.ibm.com/support/docview.wss?rs=180&uid=swg27012284
WebSphere Application Server (Distributed operating systems), Version 7.0
http://pic.dhe.ibm.com/infocenter/wasinfo/v7r0/topic/com.ibm.websphere.base.doc/info/aes/ae/welcome_b
ase.html
Note that, as User Guidance document covers three evaluated IBM WebSphere
Application Server products, some of these references may not be applicable to this
particular TOE.
The web pages at the Information Center link also include product information and
operating environment information not necessarily specific to the TOE, which have not
been evaluated, and should be considered for informational purposes only as they may
contain instructions not suitable for use in the evaluated configuration. Only the
Guidance documents identified above and the links to web pages within the Installation
and Configuration, Administrator, and Developer’s Guides should be considered as
specific guidance for the TOE.
The following online guidance must not be used: Installing Your Application Serving
Environment; and Migrating, Coexisting, and interoperating. In addition the online
guidance contains links to pdf files that can be downloaded. These pdf files are not
maintained and may contain outdated information. Therefore only the User guidance and
the specific web pages identified within the aforementioned guidance document should
be used.
8.2 Evaluation Evidence
In addition to the guidance documentation listed above, the following documentation was
submitted as evaluation evidence by the vendor. With the exception of the Security
Target, these documents may be proprietary and not available to the general public. This
list does not include small graphics files and email evidence.
Design Documentation Version Date
WAS EAL4 LLD Overview of Relevant Components 2
v2.0
2.0 2012-02-15
WebSphere Application Server EAL4 High Level Design
WAS/EAL4/HLD/2.0
2.0 2012-02-15
WebSphere Application Server EAL4 Functional Specification
WAS/EAL4/FS/2.0
2.0 2012-01-31
WebSphere Application Server Security Architecture ADV_ARC
WAS/EAL4/ARC/1.1
1.1 2011-06-13
WebSphere Application Server EAL4 Representation Correspondence
WAS/EAL4/RCR/1.1
1.1 2011-06-28
WebSphere Application Server EAL4 Low Level Design Non Relevant 1.1 2011-06-28
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WAS/EAL4/LLDNR/1.1
HLD: Jetstream Component High Level Design Topology Routing and
Management (TRM)
1.01 2004-10
LLD: ORBExtensions 1.0 2005-07-01
LLD: Overview of the Relevant TOE Components 1.1 2011-06-28
LLD: Activity Service 3.0 2011-08-22
LLD: AdminService 3.0 2008-12-04
LLD: Websphere Common Criteria: Security Auditing 2.0 2011-06-08
LLD: Authentication Service 5.0 2011-08-23
LLD: Common Security Interoperability version 2 (CSIv2) 3.0 2008-10-21
LLD: EJBCollaborator 5.0 2008-12-04
LLD: Enterprise JavaBeans Container (EJB Container) 2.0 2008-11-24
LLD: File Transfer Servlet 2.0 2005-10-27
LLD: HA-Manager 2.0 2005-10-13
LLD: HTTP channel 2.0 2005-03-14
WebSphere Application Server – EAL4 HTTP Server Low Level Design 3.0 2008-12-11
WebSphere Application Server – Messaging EAL4 Low Level Design 5.0 2008-12-15
LLD: NamingProvider 3.0 2008-10-20
WebSphere Application Server Role Based Authorization EAL4 Low
Level Design
4.0 2008-12-08
LLD: SSLChannel 3.0 2006-06-21
WebSphere Application Server – EAL4 TCPChannel V6.1 Low Level
Design
4.0 2011-07-05
LLD: Transaction Service 3.0 2008-12-23
LLD: UDDI Registry Component 3.0 2011-06-30
LLD: WebCollaborator 5.0 2009-02-17
LLD: WebContainer 4.0 2011-06-30
LLD: Web Services Engine 3.0 2011-06-20
LLD: WSAdmin 4.0 2011-06-10
LLD: WSSecurity 6.0 2011-10-19
LLD: z/OS Proxy Mbean Support 1.0 2006-08-16
WebSphere Application Server EAL4 Low Level Design For The
z/Runtime Component
4.0 2008-10-16
WebSphere Application Server for z/OS Version 7.0 Transaction Service
LLD – EAL4
5.0 2011-06-28
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Selected Source Description
WAS/EAL4/SC/1.0
1.0 2011-09-02
Life Cycle Documentation Version Date
WebSphere Application Server V7.0.0.19 (32-bit) with APAR PM53930,
WebSphere Application Server- Network Deployment V7.0.0.19 (32-bit)
with APAR PM53930, and WebSphere Application Server for z/OS V7,
service level 7.0.0.19 with APAR PM55522 Configuration List
WAS/EAL4/CL/2.7
2.7 2012-05-17
WebSphere Application Server V7.0.0.19, WebSphere Application
Server- Network Deployment V7.0.0.19, and WebSphere Application
Server for z/OS v 7.0, service level 7.0.0.19 EAL4 Configuration
Management
WAS/EAL4/ACM/2.0
2.0 2011-05-02
WebSphere Application Server V7.0.0.19, WebSphere Application
Server- Network Deployment V7.0.0.19, and WebSphere Application
Server for z/OS v 7.0.0.19 EAL4 Life Cycle Management
WAS/EAL4/ALC/2.1
2.1 2012-04-18
WebSphere Application Server EAL4 Delivery Documentation
WAS/EAL4/ADO/2.0
1.2 2012-03-07
WebSphere Application Server V7.0.0.19, WebSphere Application Server
- Network Deployment V7.0.0.19, and WebSphere Application Server for
z/OS V7.0.0.19 EAL4 Flaw Remediation
WAS/EAL4/FLR/1.2
1.2 2011-11-04
Access List -- 2011-03-22
CMVC 5.0 InfoCenter -- 2003-12-19
Information Technology Security Standards
ITCS104
8.0 2010-07-15
Security and Use Standards for IBM Employees
ITCS300
12.0 2010-10-15
MD5 Checksum Sample -- --
Mr. Build Process -- 2005-07-07
Mr. Build Verify -- 2005-11-13
Tequila Functional Specification 3.17 2010-10-15
Download Director Applet Functional Specification 8.30 2010-10-18
Test Documentation Version Date
Evaluation Team Test Report For IBM WebSphere Application Server ETR
Part 2 Supplement (SAIC and IBM Proprietary)
1.0 2012-03-13
WebSphere Application Server EAL/4 Security Target Functional Tests
(ATE_FUN) and Test Coverage Analysis (ATE_COV)
WAS/EAL4/ATE/2.1
2.1 2012-03-09
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Messaging Security Test Plan for Common Criteria WAS 7.0 EAL4
WAS/EAL4/ATE/3.1/MSGTST
3.01 2011-10-31
Transactions and Activities Test Plan for Common Criteria WAS 7.0.0.19
EAL4
WAS/EAL4/ATE/50/TATP
5.0 2011-10-20
Messaging Admin Scripting Test Suite-EAL4 Test Plan 3.0 2009-01-23
Test output files for supported platforms
Security Target Version Date
WebSphere Application Server v7.0.0.19 (32-bit) with APAR PM53930
EAL4+ Security Target
3.0 2012-05-17
9 RESULTS OF THE EVALUATION6
The evaluation team determined the product to be CC Part 2 conformant, CC Part 3
conformant, and to meet the requirements of EAL 4 augmented by ALC_FLR.2. In
short, the product satisfies the security technical requirements specified in ―WebSphere
Application Server v7.0.0.19 (32-bit) with APAR PM53930 EAL4+ Security Target‖ on
platforms specified in Section 3.3, ―Physical Scope.‖
The evaluation was conducted based upon version 3.1 Revision 3 of the CC and the
CEM. A verdict for an assurance component is determined by the resulting verdicts
assigned to the corresponding evaluator action elements. The evaluation team assigned a
Pass, Fail, or Inconclusive verdict to each work unit of each assurance component. For
Fail or Inconclusive work unit verdicts, the evaluation team advised the developer of
issues requiring resolution or clarification within the evaluation evidence. In this way, the
evaluation team assigned an overall Pass verdict to the assurance component only when
all of the work units for that component had been assigned a Pass verdict.
The CCEVS validation team reviewed the evidence provided by the evaluation team, and
agreed with their conclusion, and recommended to CCEVS management that an ―EAL4
augmented with ALC_FLR.2‖ certificate rating be issued for WebSphere Application
Server v7.0.0.19 (32-bit) with APAR PM53930.
The details of the evaluation are recorded in the Evaluation Technical Report (ETR),
which is controlled by the SAIC CCTL. The security assurance requirements are listed in
the following table.
Table 6. TOE Security Assurance Requirements
Assurance
Component ID
Assurance
Component Name
6
The terminology in this section is defined in CC Interpretation 008, specifying new language for
CC Part 1, section/Clause 5.4.
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Assurance
Component ID
Assurance
Component Name
ADV_ARC.1 Security Architecture Description
ADV_FSP.4 Complete Functional Specification
ADV_IMP.1 Implementation Representation of the TOE
ADV_TDS.3 Basic Modular Design
AGD_OPE.1 Operational User Guidance
AGD_PRE.1 Preparative Procedures
ALC_CMC.4 Production Support, Acceptance Procedures and
Automation
ALC_CMS.4 Problem Tracking CM Coverage
ALC_DEL.1 Delivery Procedures
ALC_DVS.1 Identification of Security Measures
ALC_FLR.2 Flaw Reporting Procedures
ALC_LCD.1 Developer Defined Life-cycle Model
ALC_TAT.1 Well-defined Development Tools
ATE_COV.2 Analysis of Coverage
ATE_DPT.1 Testing: Basic Design
ATE_FUN.1 Functional Testing
ATE_IND.2 Independent Testing – Sample
AVA_VAN.3 Focused Vulnerability Analysis
10 VALIDATOR COMMENTS/RECOMMENDATIONS
1. The TOE does not audit all management activities—in particular, it does not audit
changes in user access attributes. This may be a concern in environment that have
specific auditing requirements.
2. The administrator must ensure that the JVMs used in the environment are
trustworthy and regularly patched.
3. Customers are warned that the pdf files available on the IBM website are not
necessarily incorrect but are not maintained as an integral part of the set of
guidance documentation nor are they part of the evaluated configuration.
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11 ANNEXES
Not applicable.
12 SECURITY TARGET
The Security Target for the product evaluation is WebSphere Application Server
v7.0.0.19 (32-bit) with APAR PM53930 EAL4+ Security Target,Version 3.0, dated
May 17 2012.
13 BIBLIOGRAPHY
1. Common Criteria for Information Technology Security Evaluation – Part 1:
Introduction and general model, Version 3.1, Revision 3, July 2009.
2. Common Criteria for Information Technology Security Evaluation – Part 2:
Security functional components, Version 3.1, Revision 3, July 2009.
3. Common Criteria for Information Technology Security Evaluation – Part 3:
Security assurance components, Version 3.1, Revision 3, July 2009.
4. Common Methodology for Information Technology Security: Evaluation
methodology, Version 3.1, Revision 3, July 2009.
5. WebSphere Application Server v7.0.0.19 (32-bit) with APAR PM53930 EAL4+
Security Target, Version 3.0, dated May 17 2012