Certification Report
EMC® NetWorker® v8.0.1.4
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2013
Document number: 383-4-242-CR
Version: 1.0
Date: 27 November 2013
Pagination: i to iii, 1 to 10
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, has been evaluated at an approved evaluation facility – established
under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the
Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision
4, for conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 4. This certification report, and its associated certificate, apply 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 Canada, 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 Canada, 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 Canada.
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, its security requirements,
and the level of confidence (i.e., the evaluation assurance level) that the product satisfies the
security requirements.
This certification report is associated with the certificate of product evaluation dated 27
November 2013, 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 or registered
trademarks:
 NetWorker is a registered trademark of EMC Corporation; and
 EMC is a registered 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 Evaluated Security Functionality ........................................................................................ 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policy....................................................................................................................... 3
7 Assumptions and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS................................................................................ 4
7.3 CLARIFICATION OF SCOPE .......................................................................................... 4
8 Evaluated Configuration...................................................................................................... 4
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 5
11 ITS Product Testing.............................................................................................................. 6
11.1 ASSESSMENT OF DEVELOPER TESTS........................................................................... 6
11.2 INDEPENDENT FUNCTIONAL TESTING......................................................................... 7
11.3 INDEPENDENT PENETRATION TESTING ....................................................................... 7
11.4 CONDUCT OF TESTING................................................................................................ 8
11.5 TESTING RESULTS ...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Evaluator Comments, Observations and Recommendations ........................................... 9
14 Acronyms, Abbreviations and Initializations..................................................................... 9
15 References............................................................................................................................ 10
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Executive Summary
EMC® NetWorker® v8.0.1.4 (hereafter referred to as EMC NetWorker), from EMC
Corporation, is the Target of Evaluation for this Evaluation Assurance Level (EAL) 2
augmented evaluation.
EMC NetWorker is a network-based backup software solution that centralizes, automates,
and accelerates data backup and recovery across the IT environment. EMC NetWorker
provides data protection for a variety of operating systems and data types. EMC NetWorker
reproduces online file system data at a protected location, while it maintains location and
obsolescence tracking information about the data. EMC NetWorker can then re-create the
data if the online version is inadvertently changed, lost, or corrupted.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
29 October 2013 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 NetWorker, the security
requirements, and the level of confidence (evaluation assurance level) to which it is asserted
that the product satisfies its security requirements. Consumers are advised to verify that their
operating environment is consistent with that specified in the security target, and to give due
consideration to the comments, observations and recommendations in this certification
report.
The results documented in the Evaluation Technical Report (ETR)1
for this product provide
sufficient evidence that it meets the EAL 2 augmented assurance requirements for the
evaluated security functionality. 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.The following augmentation is claimed: ALC_FLR..2 – Flaw
Reporting Procedures.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the EMC NetWorker 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).
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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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2 augmented
evaluation is EMC® NetWorker® v8.0.1.4 (hereafter referred to as EMC NetWorker), from
EMC Corporation.
2 TOE Description
EMC NetWorker is a network-based backup software solution that centralizes, automates,
and accelerates data backup and recovery across the IT environment. EMC NetWorker
provides data protection for a variety of operating systems and data types. EMC NetWorker
reproduces online file system data at a protected location, while it maintains location and
obsolescence tracking information about the data. EMC NetWorker can then re-create the
data if the online version is inadvertently changed, lost, or corrupted.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for EMC NetWorker is identified in
Section 6 of the (ST).
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in EMC NetWorker:
Cryptographic Algorithm Standard Certificate #
Triple-DES (3DES) NIST SP 800-67 690, 707, 1147, 1268
Advanced Encryption Standard
(AES)
FIPS 197 810, 860, 1171, 1951
(RSA) Rivest Shamir Adleman FIPS 186-2 338, 339
DSA (Digital Signature Algorithm) FIPS 186-3 300, 311, 554, 623, 92, 93,
98, 100, 239, 240, 281, 282
RSA (Rivest, Shamir, Adleman) RSASSA-PKS#1
v1.5 RSASSA-PSS
390, 412, 887, 1012
PRNG (Pseudorandom Number
Generator)
FIPS 186-2 466, 492, 943, 1027
DRBG (Deterministic Random Bit
Generator)
NIST SP 900-90A 2, 4, 122, 172
Secure Hash Algorithm (SHA-1) FIPS 180-4 807, 855, 1555, 1713
Hash Message Authentication Code
(HMAC)
FIPS 198-1 449, 477, 1040, 1177
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
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Title: EMC® NetWorker® v8.0.1.4 Security Target
Version: 1.1
Date: 29 October 2013
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 NetWorker is:
a. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirement defined in the
ST:
• EXT_FRU_DRP – Data Retention Periods.
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
c. Common Criteria EAL 2 augmented, containing all security assurance requirements in the
EAL 2 package, as well as the following: e.g. ALC_FLR.2 – Flaw Reporting Procedures.
6 Security Policy
EMC NetWorker implements an access control policy to control access to the system; details
of this security policy can be found in Section 6 of the ST.
In addition, EMC NetWorker implements other policies pertaining to security audit,
cryptographic support, user data protection, identification and authentication, security
management, protection of the TSF, resource utilization and TOE access. Further details on
these security policies may be found in Section 6 of the ST.
7 Assumptions and Clarification of Scope
Consumers of EMC NetWorker should consider assumptions about usage and environmental
settings as requirements for the product’s installation and its operating environment. This will
ensure the proper and secure operation of the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 There will be one or more competent individuals assigned to manage the TOE and the
security of the information it contains;
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 The authorized administrators are not careless, wilfully negligent, or hostile, and will
follow and abide by the instructions provided by the TOE documentation; and
 The TOE will be protected from unauthorized modification.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The IT environment will provide the TOE with the necessary reliable timestamp.
 The processing resources of the TOE will be located within controlled access
facilities, which will prevent unauthorized physical access; and
 The TOE is installed on the appropriate, dedicated hardware and operating system.
7.3 Clarification of Scope
EMC NetWorker incorporates CAVP-validated cryptography and was not subjected to
CMVP FIPS-140 validation.
8 Evaluated Configuration
The evaluated configuration for EMC NetWorker comprises:
The TOE is a distributed software-based application, EMC NetWorker v8.0.1.4, comprised of
the following:
 NetWorker Management Console (NMC) Applet v8.0.1.4 build 163 on General
Purpose Computer (GPC) hardware running Windows 7 SP1.
 NetWorker Management Console (NMC) Server v8.0.1.4 build 163 on GPC
Hardware running Windows Server 2008 R2 SP1.
 NetWorker Server v8.0.1.4 build 163 on GPC Hardware running Windows Server
2008 R2 SP1.
 NetWorker Client v8.0.1.4 build 163 on GPC hardware running either Microsoft
Windows 2008 R2 SP1 or Red Hat Enterprise Linux 6.
 NetWorker Storage Node v8.0.1.4 build 163 on GPC Hardware running Windows
Server 2008 R2 SP1.
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The publications entitled EMC® NetWorker® Release 8.0 Service Pack 1 Installation Guide
and EMC Corporation EMC NetWorker v8.0.1.4 Guidance Documentation Supplement v0.4
describe the procedures necessary to install and operate EMC NetWorker in its evaluated
configuration.
9 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. EMC® NetWorker® Release 8.0 Service Pack 1 Administration Guide, P/N 300-999-
719, REV A01;
b. EMC® NetWorker® Release 8.0 Service Pack 1 Command Reference Guide, P/N
300-999-721, REV A01;
c. EMC® NetWorker® Release 8.0 Service Pack 1 Error Message Guide, P/N 300-999-
724, REV A01;
d. EMC® NetWorker® Release 8.0 Service Pack 1 Installation Guide, P/N 300-999-
725, REV A01;
e. EMC® NetWorker® 8.0.1.4 Guidance Documentation Supplement v0.4
f. EMC® NetWorker® Release 8.0 and Service Packs Release Notes, P/N 300-013-567,
REV A05, December 14, 2012; and
g. EMC® NetWorker® 8.0 Cumulative Hotfixes, April 2013.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of EMC NetWorker,
including the following areas:
Development: The evaluators analyzed the EMC NetWorker 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
NetWorker 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 NetWorker 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.
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Life-cycle support: An analysis of the EMC NetWorker configuration management system
and associated documentation was performed. The evaluators found that the EMC
NetWorker configuration items were clearly marked. The developer’s configuration
management system was observed during a site visit, and it was found to be mature and well-
developed.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of EMC NetWorker during distribution to
the consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the EMC
NetWorker. 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.
Vulnerability assessment: The evaluators conducted an independent vulnerability analysis
of EMC NetWorker. Additionally, the evaluators conducted a search of public domain
vulnerability databases to identify EMC NetWorker potential vulnerabilities. The evaluators
identified potential vulnerabilities; subsequent to follow-on penetration testing (ref: section
11.3) it was verified that none of the potential vulnerabilities were exploitable in the
operational environment for EMC NetWorker.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
11.1 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 ETR2
.
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.
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and is
not releasable for public review.
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11.2 Independent Functional Testing
During this evaluation, the evaluator developed independent functional tests by examining
design and guidance documentation, examining the developer's test documentation, executing
a sample of the developer's test cases, and creating test cases that augmented the developer
tests.
All testing was planned and documented to a sufficient level of detail to allow repeatability of
the testing procedures and results. Resulting from this test coverage approach is the following
list of EWA-Canada 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. Known State Verification: The objective of this test goal is to confirm that the TOE can
be installed and configured into the evaluated configuration as identified in the ST;
c. Access of Private Key from Storage Node: The objective of this test goal is to verify that
the private key used for daemon authentication is not visible through the Storage Node
Command Line Interface (CLI);
d. Management of Security Attributes: and
a. Security Administrator: The objective of this test goal is to verify that the
security administrator is able to perform the operations as specified in the ST;
b. Application Administrator: The objective of this test goal is to verify that the
application administrator is able to perform the operations as specified in the
ST;
c. Audit Log Management: The objective of this test goal is to verify that the
security administrator is able to perform the audit log operations as specified
in the ST;
e. Roles and Permissions: The objective of this test goal is to verify that select users are able
to perform operations as specified in the roles and permissions attributed in the ST.
11.3 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. Tool Scanning: The objective of this test goal is to use Nessus to scan for potential
vulnerabilities;
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b. Information Leak verification: The objective of this test goal is to verify, using wireshark,
that traffic between the NetWorker Server and NetWorker Storage Node is protected;
c. Concurrent User Login: The objective of this test goal is to verify that concurrent
administrator login does not compromise the NetWorker system;
d. Power Failure: The objective of this test goal is to verify that a power failure does not
compromise the NetWorker system;
e. Backup with insufficient space: The objective of this test goal is to verify that an attempt
to backup data to a device with insufficient space does not compromise the NetWorker
system;
f. Restore file Permissions: The objective of this test goal is to verify that a client can only
restore files for which that user has permissions;
g. Invalid Data in CLI: The objective of this test goal is to verify that entering invalid data
will not create an invalid user; and
h. Bypassability: The objective of this test goal is to attempt to bypass the TOE Security
Functions.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
EMC NetWorker was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the developer’s site.
located at at 1111 International Blvd, Burlington, Ontario. The detailed testing activities,
including configurations, procedures, test cases, expected results and observed results are
documented in a separate Test Results document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results, giving
assurance that EMC NetWorker behaves as specified in its ST and functional specification.
12 Results of the Evaluation
This evaluation has provided the basis for an EAL 2+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
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13 Evaluator Comments, Observations and Recommendations
Note the inclusion of the encryption directive file during initial configuration of the
NetWorker client. Instructions for creating this directive may be found in the Guidance
Supplement, and must be followed to ensure protection of data between the parts of the TOE.
Customers without previous NetWorker experience may find it useful to engage EMC
Professional Services to ensure adherence to the evaluated configuration.
14 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
3DES Triple-Data Encryption Standard
AES Advanced Encryption Standard
CAVP Cryptographic Algorithm Validation Program
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and
Certification Scheme
CLI Command Line Interface
CPL Certified Products list
CM Configuration Management
CMVP Cryptographic Module Validation Program
DRBG Deterministic Random Bit Generator
DSA Digital Signature Algorithm
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FIPS Federal Information Processing Standard
GPC General Purpose Computer
HMAC Hash Message Authentication Code
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
NMC Networker Management Console
PALCAN Program for the Accreditation of Laboratories
- Canada
PRNG Pseudorandom Number Generator
RSA Rivest, Shamir, Aldeman
SFR Security Functional Requirement
SHA-1 Secure Hash Algorithm
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
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15 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® NetWorker® v8.0.1.4 Security Target, 1.1, 29 October 2013.
e. Evaluation Technical Report EMC® NetWorker® v8.0.1.4, 29 October 2013, v3.1.