Certification Report
EMC VNXe™ OE v3.1.1 with Unisphere and
VNXe3200™ Hardware
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2015
Document number: 383-4-330-CR
Version: 1.0
Date: 15 July 2015
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 15 July
2015, and the security target identified in Section 4 of this report.
The certification report, certificate of product evaluation and security target are posted on the
CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
This certification report makes reference to the following trademarks:
 VNXe™ and VNXe3200™ are trademarks of EMC Corporation.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation................................................................................. 2
2 TOE Description ................................................................................................................... 2
3 Security Policy....................................................................................................................... 3
4 Security Target...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Assumptions and Clarification of Scope............................................................................. 4
6.1 SECURE USAGE ASSUMPTIONS................................................................................... 4
6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 4
7 Evaluated Configuration...................................................................................................... 5
8 Documentation ...................................................................................................................... 5
9 Evaluation Analysis Activities ............................................................................................. 6
10 ITS Product Testing.............................................................................................................. 7
10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
10.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
10.4 CONDUCT OF TESTING ............................................................................................... 8
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Acronyms, Abbreviations and Initializations..................................................................... 9
13 References............................................................................................................................ 10
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Executive Summary
EMC VNXe™ OE v3.1.1 with Unisphere and VNXe3200™ Hardware (hereafter referred to
as VNXe3200™), from EMC Corporation, is the Target of Evaluation. The results of this
evaluation demonstrate that VNXe3200™ meets the requirements of Evaluation Assurance
Level (EAL) 2 augmented for the evaluated security functionality.
VNXe3200™ allows an organization to manage its storage needs separately from its
application and file servers. This allows for control over storage allocation, fault tolerance,
and backups versus storage that is directly attached to individual application or file servers.
The VNXe Operating Environment v3.1.1 provides Redundant Array of Independent Disks
(RAID) and storage capabilities and provides administrators the ability to manage and
configure the TOE via the Unified Element Manager Command Line Interface (UEMCLI)
and the Unisphere Graphical User Interface (GUI). The VNXe3200™ hardware platform
includes the back-end disk arrays. Together, these components provide Block and File access
to internal storage for external entities.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
15 July 2015 and was carried out in accordance with the rules of the Canadian Common
Criteria Evaluation and Certification Scheme (CCS).
The scope of the evaluation is defined by the security target, which identifies assumptions
made during the evaluation, the intended environment for VNXe3200™, 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
VNXe3200™ 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 VNXe™ OE v3.1.1
with Unisphere and VNXe3200™ Hardware (hereafter referred to as VNXe3200™), from
EMC Corporation.
2 TOE Description
VNXe3200™ allows an organization to manage its storage needs separately from its
application and file servers. This allows for control over storage allocation, fault tolerance,
and backups versus storage that is directly attached to individual application or file servers.
The VNXe Operating Environment v3.1.1 provides Redundant Array of Independent Disks
(RAID) and storage capabilities and provides administrators the ability to manage and
configure the TOE via the Unified Element Manager Command Line Interface (UEMCLI)
and the Unisphere Graphical User Interface (GUI). The VNXe3200™ hardware platform
includes the back-end disk arrays. Together, these components provide Block and File access
to internal storage for external entities.
A diagram of the VNXe3200™ architecture is as follows:
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3 Security Policy
VNXe3200™ implements a role-based access control policy to control administrative access
to the system. In addition, VNXe3200™ implements policies pertaining to the following
security functional classes:
 Security Audit
 User Data Protection
 Identification and Authentication
 Security Management
4 Security Target
The ST associated with this Certification Report is identified below:
EMC VNXe™ OE v3.1.1 with Unisphere and VNXe3200™ Hardware Security Target,
Version 1.2, July 8, 2015
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 4.
VNXe3200™ 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 VNXe3200™ should consider assumptions about usage and environmental
settings as requirements for the product’s installation and its operating environment. This
will ensure the proper and secure operation of the TOE.
6.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 There are one or more competent individuals assigned to manage the TOE and the
security of the information it contains.
 Administrators are non-hostile, appropriately trained, and follow all administrator
guidance.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 Physical security will be provided for the TOE and its environment.
 The IT environment provides the TOE with the necessary reliable timestamps.
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7 Evaluated Configuration
The evaluated configuration for VNXe3200™ comprises EMC VNXe Operating
Environment v3.1.1 software (includes EMC VNXe Unisphere) and EMC VNXe Unisphere
UEMCLI v3.0 running on the EMC VNXe3200™ hardware platform.
The TOE requires the following components in the operational environment:
 Management workstation used to access the Unisphere GUI via a web browser or the
UEMCLI
 LDAPv3-compatible Server
 NTP Server
 NIS Server
 Application Servers accessing Block storage
 Client Systems accessing File storage
The publication entitled EMC VNXe™ OE v3.1.1 with Unisphere and VNXe3200™
Hardware Guidance Documentation Supplement, Version 0.3, June 5, 2015 describes the
procedures necessary to install and operateVNXe3200™ in its evaluated configuration.
8 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. EMC Unisphere for VNXe Online Help, January 2015;
b. EMC VNXe Unisphere CLI User Guide, January 2015;
c. EMC VNXe Security Configuration Guide, May 2014;
d. EMC VNXe Series Quick Start, Revision 01;
e. EMC VNXe Series Using a VNXe3200 System with Fibre Channel or iSCSI LUNs, June
2014;
f. EMC VNXe Series Using a VNXe3200 System with NFS File Systems, November 2014;
g. EMC VNXe Series Using a VNXe3200 System with CIFS File Systems, November
2014;
h. VNXe Series VNXe3200 Hardware Information Guide, January 2015;
i. EMC VNXe3200 Installation Guide, July 2014; and
j. EMC VNXe™ OE v3.1.1 with Unisphere and VNXe3200™ Hardware Guidance
Documentation Supplement, Version 0.3, June 5, 2015.
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9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of TOE short name,
including the following areas:
Development: The evaluators analyzed the VNXe3200™ 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 TOE
short name 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 VNXe3200™ 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 VNXe3200™ configuration management system and
associated documentation was performed. The evaluators found that the VNXe3200™
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 VNXe3200™ during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the
VNXe3200™. 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. Local User Roles and Access Control Lists: The objective of this test goal is to verify the
enforcement of password composition rules and the use of the administrator role for
password changes;
c. Trusted Path: The objective of this test goal is to confirm that communication between
the TOE and the remote administrator is appropriately protected; and
d. Health Check: The objective of this test goal is to verify that the TOE can initiate a
system health check.
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
b. Misuse: The objective of this test goal is to deny real-time access to user data by causing
a network outage.
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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The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
VNXe3200™ 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 VNXe3200™ behaves as specified in its ST and functional
specification.
11 Results of the Evaluation
This evaluation has provided the basis for a EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
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12 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CIFS Common Internet File System
CPL Certified Products list
CM Configuration Management
DAE Disk Array Enclosure
DPE Disk Processor Enclosure
EAL Evaluation Assurance Level
EFD Enterprise Flash Drive
ETR Evaluation Technical Report
FC Fibre Channel
GUI Graphical User Interface
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
NFS Network File System
NIS Network Information Service
NTP Network Time Protocol
OE Operating Environment
PALCAN Program for the Accreditation of
Laboratories - Canada
RAID Redundant Array of Independent Disks
SAS Serial Attached SCSI
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
UEMCLI Unified Element Manager Command Line
Interface
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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 VNXe™ OE v3.1.1 with Unisphere and VNXe3200™ Hardware Security
Target, Version 1.2, July 8, 2015.
e. Evaluation Technical Report for EMC Corporation EMC VNXe™ OE v3.1.1 with
Unisphere and VNXe3200™ Hardware Document No. 1894-000 D002, Version 1.0,
15 July 2015.