Certification Report
EMC SourceOne™ v7.2
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2016
Document number: 383-4-306-CR
Version: 1.0
Date: 11 January 2016
Pagination: i to iii, 1 to 10
CCS Certification Report EMC Corporation
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. This certification report, and its associated certificate, applies only to
the identified version and release of the product in its evaluated configuration. The evaluation
has been conducted in accordance with the provisions of the CCS, and the conclusions of the
evaluation facility in the evaluation report are consistent with the evidence adduced. This
report, and its associated certificate, are not an endorsement of the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, and no warranty for the IT product by the
Communications Security Establishment, or any other organization that recognizes or gives
effect to this report, and its associated certificate, is either expressed or implied.
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FOREWORD
The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a
third-party evaluation service for determining the trustworthiness of Information Technology
(IT) security products. Evaluations are performed by a commercial Common Criteria
Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is
managed by the Communications Security Establishment.
A CCEF is a commercial facility that has been approved by the CCS Certification Body to
perform Common Criteria evaluations; a significant requirement for such approval is
accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the
Competence of Testing and Calibration Laboratories. Accreditation is performed under the
Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the
Standards Council of Canada.
The CCEF that carried out this evaluation is EWA-Canada.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security target,
in addition to this certification report, in order to gain an understanding of any assumptions
made during the evaluation, the IT product's intended environment, the evaluated security
functionality, and the testing and analysis conducted by the CCEF.
This certification report is associated with the certificate of product evaluation dated 11
January 2016, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
This certification report makes reference to the following trademark:
 SourceOne is a trademark of EMC Corporation
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation................................................................................. 2
2 TOE Description ................................................................................................................... 2
3 Security Policy....................................................................................................................... 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 7
10 ITS Product Testing.............................................................................................................. 8
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 8
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
10.4 CONDUCT OF TESTING ............................................................................................... 9
10.5 TESTING RESULTS...................................................................................................... 9
11 Results of the Evaluation...................................................................................................... 9
12 Acronyms, Abbreviations and Initializations..................................................................... 9
13 References............................................................................................................................ 10
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Executive Summary
EMC SourceOne™ v7.2, from EMC Corporation, is the Target of Evaluation. The results of
this evaluation demonstrate that EMC SourceOne v7.2 meets the requirements of Evaluation
Assurance Level (EAL) 2 augmented for the evaluated security functionality.
EMC SourceOne v7.2 is a software-based, distributed solution that archives content from
email, file, and Microsoft SharePoint servers and provides role-based search and discovery
capabilities. It is implemented as a collection of applications, processing services, databases,
and archives running on Windows based systems. In the evaluated configuration, all of the
TOE software components are running within a virtualized environment provided by
VMware ESXi 5.0.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
11 January 2016 and was carried out in accordance with the rules of the Canadian Common
Criteria Evaluation and Certification Scheme (CCS).
The scope of the evaluation is defined by the security target, which identifies assumptions
made during the evaluation, the intended environment for EMC SourceOne v7.2, and the
security functional/assurance requirements. Consumers are advised to verify that their
operating environment is consistent with that specified in the security target, and to give due
consideration to the comments, observations and recommendations in this certification
report.
Communications Security Establishment, as the CCS Certification Body, declares that the
EMC SourceOne v7.2 evaluation meets all the conditions of the Arrangement on the
Recognition of Common Criteria Certificates and that the product will be listed on the CCS
Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this EAL 2+ evaluation is EMC SourceOne™ v7.2, from
EMC Corporation.
2 TOE Description
EMC SourceOne v7.2 is a software-based, distributed solution that archives content from
email, file, and Microsoft SharePoint servers and provides role-based search and discovery
capabilities. It is implemented as a collection of applications, processing services, databases,
and archives running on Windows based systems. In the evaluated configuration, all of the
TOE software components are running within a virtualized environment provided by
VMware ESXi 5.0.
A diagram of the EMC SourceOne v7.2 architecture is as follows:
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3 Security Policy
EMC SourceOne v7.2 implements a role-based access control policy to control
administrative access to the system and user access to archived content. In addition, EMC
SourceOne v7.2 implements policies pertaining to the following security functional classes:
 Security Audit
 User Data Protection
 Identification and Authentication
 Security Management
 Protection of the TOE Security Functions
 Resource Utilization
4 Security Target
The ST associated with this Certification Report is identified below:
EMC SourceOne File Systems v7.2, Email Management v7.2, Discovery Manager v7.2, and
for Microsoft SharePoint v7.1 Security Target, Version 1.6, January 6, 2016.
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
EMC SourceOne v7.2 is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following: ALC_FLR.2 - Flaw Reporting Procedures,
b. Common Criteria Part 2 conformant, with security functional requirements based only
upon functional components in Part 2,
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
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6 Assumptions and Clarification of Scope
Consumers of EMC SourceOne v7.2 should consider assumptions about usage and
environmental settings as requirements for the product’s installation and its operating
environment. This will ensure the proper and secure operation of the TOE.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 There are one or more competent individuals assigned to manage the TOE and the
security of the information it contains.
 The users who manage the TOE are non-hostile, appropriately trained, and follow all
guidance.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE is installed on the appropriate, dedicated hardware and operating system.
 The TOE environment provides the network connectivity required to allow the TOE to
perform its functions.
 The IT environment provides the TOE with the necessary reliable timestamps.
 The TOE is located within a controlled access facility.
 The TOE software will be protected from unauthorized modification.
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7 Evaluated Configuration
The evaluated configuration for EMC SourceOne v7.2 comprises the following software
components:
 SourceOne Email Management v7.2 build 7.20.2524
o SourceOne Console software
o SourceOne Search software
o SourceOne Master Services software
o SourceOne Worker Services software
o SourceOne Web Service software
o SourceOne Native Archive Services software
o SourceOne Reporting software
o SourceOne Databases
o SourceOne Discovery Manager Client software (automatically installed with
SourceOne Email Management)
 SourceOne for Microsoft SharePoint v7.1 build 7.12.2075
o SourceOne SharePoint Solutions
o SourceOne for Microsoft SharePoint BCEs software
 SourceOne for File Systems v7.2 build 7.20.2524
o SourceOne for File Systems BCEs software
 SourceOne Discovery Manager v7.2 build 7.20.2524
o SourceOne Discovery Manager Client software
o SourceOne Discovery Manager Web Client software
o SourceOne Discovery Manager Server software
o SourceOne Discovery Manager Database
In the evaluated configuration, all of the TOE software components are running on
Windows-based platforms within a virtualized environment provided by VMware ESXi 5.0.
The Source One Discovery Manager Worker/Web Services/IIS Web Server, Master/Native
Archive/Console Server, Worker Server, and Database and Report Server operate with
Windows Server 2008 R2 SP1. The Discovery Manager client host computer is a standard
desktop with Windows 7 SP1. The evaluated configuration also includes Microsoft Exchange
Server 2010 and SharePoint Server 2010.
The publication entitled EMC SourceOne File Systems v7.2, Email Management v7.2,
Discovery Manager v7.2, Offline Access v7.2, and for Microsoft SharePoint v7.1 Guidance
Documentation Supplement, Version 0.3 describes the procedures necessary to install and
operate EMC SourceOne File Systems v7.2 in its evaluated configuration.
8 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. EMC SourceOne Email Management 7.2 Installation Guide, Rev01;
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b. EMC SourceOne Email Management 7.2 Administration Guide, Rev01;
c. EMC SourceOne 7.2 Search User Guide, Rev01;
d. EMC SourceOne Products Compatibility Guide, Rev47;
e. EMC SourceOne Email Management 7.2 Release Notes;
f. EMC SourceOne Discovery Manager 7.2 Installation and Administration Guide, Rev01;
g. EMC SourceOne Discovery Manager 7.2 Desktop User Guide, Rev01;
h. EMC SourceOne Discovery Manager 7.2 Web Application User Guide, Rev01;
i. EMC SourceOne Discovery Manager 7.2 Release Notes;
j. EMC SourceOne for Microsoft SharePoint 7.1 Installation Guide, Rev01;
k. EMC SourceOne for Microsoft SharePoint 7.1 Administration Guide, Rev01;
l. EMC SourceOne 7.2 for File Systems Administration Guide; Rev01;
m. EMC SourceOne for File Systems, Version 7.2, Installation Guide, Rev01;
n. EMC SourceOne for File Systems 7.2 Release Notes;
o. EMC SourceOne 7.2 Auditing and Reporting Installation and Administration Guide,
Rev01; and
p. EMC SourceOne File Systems v7.2, Email Management v7.2, Discovery Manager v7.2,
Offline Access v7.2, and for Microsoft SharePoint v7.1Guidance Documentation
Supplement, Version 0.3.
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9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of EMC SourceOne v7.2,
including the following areas:
Development: The evaluators analyzed the EMC SourceOne v7.2 functional specification
and design documentation; they determined that the design completely and accurately
describes the TOE security functionality (TSF) interfaces, the TSF subsystems and how the
TSF implements the security functional requirements (SFRs). The evaluators analyzed the
EMC SourceOne v7.2 security architectural description and determined that the initialization
process is secure, that the security functions are protected against tamper and bypass, and that
security domains are maintained. The evaluators also independently verified that the
correspondence mappings between the design documents are correct.
Guidance Documents: The evaluators examined the EMC SourceOne v7.2 preparative user
guidance and operational user guidance and determined that it sufficiently and
unambiguously describes how to securely transform the TOE into its evaluated configuration
and how to use and administer the product. The evaluators examined and tested the
preparative and operational guidance, and determined that they are complete and sufficiently
detailed to result in a secure configuration.
Life-cycle support: An analysis of the EMC SourceOne v7.2 configuration management
system and associated documentation was performed. The evaluators found that the EMC
SourceOne v7.2 configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of EMC SourceOne v7.2 during distribution
to the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the EMC
SourceOne v7.2. During a site visit, the evaluators also examined the evidence generated by
adherence to the procedures. The evaluators concluded that the procedures are adequate to
track and correct security flaws, and distribute the flaw information and corrections to
consumers of the product.
All these evaluation activities resulted in PASS verdicts.
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10 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
10.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing their test results, as documented in the ETR1
.
The evaluators analyzed the developer’s test coverage analysis and found it to be complete
and accurate. The correspondence between the tests identified in the developer’s test
documentation and the functional specification was complete.
10.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation.
All testing was planned and documented to a sufficient level of detail to allow repeatability
of the testing procedures and results. Resulting from this test coverage approach is the
following list of test goals:
a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests;
b. Auditing of Search Operations: The objective of this test goal is to verify that search
operations are audited for SourceOne Search users;
c. Auditing of Search Functions by Active Directory Group: The objective of this test goal
is to verify the search function permissions available to the Active Directory group and to
confirm that the search functions are audited;
d. Auditing of Discovery Manager Operations: The objective of this test goal is to examine
and confirm the auditing capabilities for the Discovery Manager; and
e. SourceOne Mapped Folder Access Control Policy: The objective of this test goal is to
examine and confirm the SourceOne mapped folder access control policy for SourceOne
Search.
10.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and all
evaluation deliverables, limited independent evaluator penetration testing was conducted.
The penetration tests focused on:
a. Use of automated vulnerability scanning tools to discover potential network, platform and
application layer vulnerabilities; and
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
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b. Misuse Testing by TOE: The purpose of this test is to determine how the TOE responds
to concurrent user logins.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
EMC SourceOne v7.2 was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The detailed testing activities, including
configurations, procedures, test cases, expected results and observed results are documented
in a separate Test Results document.
10.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
providing assurance that EMC SourceOne v7.2 behaves as specified in its ST and functional
specification.
11 Results of the Evaluation
This evaluation has provided the basis for a EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
12 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
PALCAN Program for the Accreditation of
Laboratories - Canada
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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13 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 4, September 2012.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 4, September 2012.
d. EMC SourceOne File Systems v7.2, Email Management v7.2, Discovery Manager
v7.2, and for Microsoft SharePoint v7.1 Security Target, Version 1.6, January 6,
2015.
e. Evaluation Technical Report for EAL 2+ Common Criteria Evaluation of EMC
SourceOne File Systems v7.2, Email Management v7.2, Discovery Manager v7.2,
Offline Access v7.2, and for Microsoft SharePoint v7.1, Version 1.0, January 11,
2016.