Certification Report
NetApp Clustered Data ONTAP® 8.2.1
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment, 2015
Document number: 383-4-263-CR
Version: 1.0
Date: 5 January 2015
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, 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 5
January 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 or registered
trademarks:
 NetApp®, ONTAP® and WAFL®, are registered trademarks of NetApp, Inc.
 OnCommand™ is a trademark of NetApp, Inc.
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.......................................................................................... 4
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....................................................................... 8
10.4 CONDUCT OF TESTING ............................................................................................... 8
10.5 TESTING RESULTS...................................................................................................... 8
11 Results of the Evaluation...................................................................................................... 8
12 Evaluator Comments, Observations and Recommendations ........................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 9
14 References............................................................................................................................ 10
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Executive Summary
NetApp Clustered Data ONTAP® 8.2.1 (hereafter referred to as Data ONTAP), from
NetApp, Inc., is the Target of Evaluation. The results of this evaluation demonstrate that Data
ONTAP meets the requirements of Evaluation Assurance Level (EAL) 2 augmented for the
evaluated security functionality.
Data ONTAP is a microkernel operating system that supports multi-protocol services and
data management capabilities for consolidating and protecting data for enterprise applications
and users as well as the hardware appliances on which it runs. The TOE includes a separate
software-only management Graphical User Interface (GUI) called the OnCommand System
Manager. This GUI is used to manage the TOE security functionality (TSF). The TOE also
includes a separate software-only monitoring and diagnostic component called the
OnCommand™ Unified Manager (OCUM). The OCUM allows administrators to quickly
identify and troubleshoot problems that arise in the monitored storage cluster.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
11 November 2014 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 Data ONTAP, 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
Data ONTAP 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 NetApp Clustered Data
ONTAP® 8.2.1 (hereafter referred to as Data ONTAP), from NetApp, Inc.
2 TOE Description
Data ONTAP is a microkernel operating system that supports multi-protocol services and
data management capabilities for consolidating and protecting data for enterprise applications
and users as well as the hardware appliances on which it runs. The microkernel is included in
the distribution of several of NetApp’s storage solutions, including the Fabric Attached
Storage (FAS) and V-Series appliances. The software component of the TOE is divided into
six primary components, briefly described below:
 Write Anywhere File Layout® (WAFL) which is responsible for implementing the
TOE’s Discretionary Access Control (DAC) Security Function Policy (SFP).
 System Administration which provides an administrator with an interface supporting
operator functions and providing the necessary user interface commands that enable
an operator to support the TOE’s security functionality.
 Operating System (OS) Kernel which facilitates communication between the
components of the OS.
 Management Host which is responsible for host management and services
applications for the node.
 OnCommand™ System Manager which provides an authorized administrator with a
web-based GUI that supports administrator functions
 OnCommand™ Unified Manager which provides an authorized administrator with a
web-based GUI, a console interface, and an exposed API. Together, these interfaces
provide an authorized administrator the ability to view the status for capacity,
availability, and protection relationships of the monitored systems in the storage
cluster.
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A diagram of the Data ONTAP architecture is as follows:
3 Security Policy
Data ONTAP implements a role-based access control policy to control administrative access
to the system. In addition, Data ONTAP implements policies pertaining to the following
security functional classes:
Security Audit
User Data protection
Identification and Authentication
Security Management
Protection of the TOE Security Functionality
TOE Access
4 Security Target
The ST associated with this Certification Report is identified below:
Clustered Data ONTAP® 8.2.1 Security Target, version 1.0, November 7, 2014
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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.
Data ONTAP is:
a. EAL 2 augmented, containing all security assurance requirements listed, as well as the
following:
ALC_FLR.3 - Systematic Flaw Remediation.
b. Common Criteria Part 2 extended; with functional requirements based upon functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST:
FPT_SEP_EXT.1 - TSF domain separation for software TOEs.
c. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3.
6 Assumptions and Clarification of Scope
Consumers of Data ONTAP 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 will be one or more competent individuals assigned to manage the TOE and the
security of the information it contains.
 The system administrative personnel are not hostile and will follow and abide by the
instructions provided by the administrator documentation.
 Authorized users possess the necessary authorization to access at least some of the
information managed by the TOE and are expected to act in a cooperating manner in
a benign environment.
 Administrative functionality shall be restricted to authorized administrators.
6.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 Any other systems with which the TOE communicates are assumed to be under the
same management control.
 Security Management shall be provided to protect the Confidentiality and Integrity of
transactions on the network.
 The processing resources of the TOE critical to the SFP enforcement will be
protected from unauthorized physical modification by potentially hostile outsiders.
 The IT Environment will be configured to allow the TOE to retrieve reliable time
stamps by implementing the Network Time Protocol (NTP).
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 Physical security of the TOE and network, commensurate with the value of the TOE
and the data it contains, is assumed to be provided by the environment.
7 Evaluated Configuration
The evaluated configuration for Data ONTAP comprises:
The software Data ONTAP® 8.2.1 Cluster-Mode running on one of the following hardware
platforms:
 FAS8060;
 FAS8040;
 FAS8020;
 FAS6290 and V-Series 6290;
 FAS6280 and V-Series 6280;
 FAS6250 and V-Series 6250;
 FAS6240 and V-Series 6240;
 FAS6220 and V-Series 6220;
 FAS6210 and V-Series 6210;
 FAS6080;
 FAS6040;
 FAS3270 and V-Series 3270;
 FAS3250 and V-Series 3250;
 FAS3240 and V-Series 3240;
 FAS3220 and V-Series 3220;
 FAS3210 and V-Series 3210;
 FAS3170;
 FAS3160;
 FAS3140;
 FAS2240-2 and FAS2240-4; and
 FAS2220.
The publication entitled Clustered Data ONTAP® 8.2.1 Guidance Documentation
Supplement version 0.6 describes the procedures necessary to install and operate Data
ONTAP in its evaluated configuration.
8 Documentation
In addition to the documents identified in section 7, the following additional NetApp, Inc.
documents are provided to the consumer:
 Clustered Data ONTAP® 8.2.1 Guidance Documentation Supplement version 0.6
 Clustered Data ONTAP® 8.2 Commands: Manual Page Reference
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 Clustered Data ONTAP® 8.2 System Administration Guide For Cluster
Administrators
 Clustered Data ONTAP® 8.2 System Administration Guide for SVM Administrators
 Clustered Data ONTAP® 8.2 File Access and Protocols Management Guide for NFS
 Clustered Data ONTAP® 8.2 File Access and Protocols Management Guide for CIFS
 Clustered Data ONTAP® 8.2 Software Setup Guide
 Clustered Data ONTAP® 8.2 High-Availability Configuration Guide
 Clustered Data ONTAP® 8.2 Network Management Guide
 V-Series Systems Installation Requirements and Reference Guide
 Clustered Data ONTAP® 8.2 Physical Storage Management Guide
 Clustered Data ONTAP® 8.2 Logical Storage Management Guide
 Clustered Data ONTAP® 8.2 Data Protection Tape Backup and Recovery Guide
 Clustered Data ONTAP Security Guidance
 Clustered Data ONTAP® 8.2.1 Release Notes For Cluster-Mode
 OnCommand® Unified Manager 6.1 Administration Guide
 OnCommand® Unified Manager 6.1 Installation and Setup Guide
 OnCommand® System Manager 3.1 Managing Clustered Data ONTAP® Using the
GUI
 OnCommand® System Manager 3.1 Installation and Setup Guide.
9 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Data ONTAP, including
the following areas:
Development: The evaluators analyzed the Data ONTAP 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 Data ONTAP 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 Data ONTAP 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 Data ONTAP configuration management system and
associated documentation was performed. The evaluators found that the Data ONTAP
configuration items were clearly marked.
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The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of Data ONTAP during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by developer for the Data
ONTAP. 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.
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. Single Client Login: the objective of this test goal is to confirm that the System Manager
will not allow multiple connections under the same session;
c. Authentication Failure Handling, and Audit Data Generation and Audit Review: the
objective of this test goal is to confirm that users can be created and deleted; a user will
be locked out after a configured number of unsuccessful authentication attempts; a locked
out user can be unlocked; audit data can be generated and can be reviewed by users with
the appropriate roles; 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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d. Login Password Strength Verification and Reconfiguration: the objective of this test goal
is to confirm that the login password strength is enforced and that password strength
requirements can be reconfigured.
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.
b. Banner Grab: The objective of this test goal is to determine if any useful information can
be gained from a Banner; and
c. Leakage Verification: The objective of this test goal is to monitor for leakage during start
up, shutdown , login and other scenarios.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
10.4 Conduct of Testing
Data ONTAP was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place at the Information Technology
Security Evaluation and Test Facility. The CCS Certification Body witnessed a portion of the
independent testing. 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 Data ONTAP 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 Evaluator Comments, Observations and Recommendations
The evaluator recommends that potential operators of the TOE familiarize themselves with
the ST and relevant setup documentation before operating the device. The TOE should only
be operated by competent personnel and special care should be taken when setting access
controls for CIFS and NFS shares to prevent unintentional access.
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13 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
DAC Discretionary Access Control
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GUI Graphical User Interface
FAS Fabric Attached Storage
IT Information Technology
ITSET Information Technology Security
Evaluation and Testing
NTP Network Time Protocol
NFS Network File System
OCUM OnCommand Unified Manager
PALCAN Program for the Accreditation of
Laboratories - Canada
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
WAFL Write Anywhere File Layout
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14 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. Clustered Data ONTAP® 8.2.1 Security Target, version 1.0, November 7, 2014
e. Evaluation Technical Report for NetApp, Inc. Clustered Data ONTAP® 8.2.1,
Document No. 1817-000-D002 Version 1.0, 11 November 2014.