Certification Report
EAL3+ Evaluation of CA Directory r12.0 SP3
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Evaluation number: 383-4-167-CR
Version: 1.0
Date: 1 March 2011
Pagination: i to iii, 1 to 10
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page i of iii -
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 3, for conformance to the Common Criteria for Information Technology Security
Evaluation, Version 3.1 Revision 3. 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.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page ii of iii -
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, 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 located in Ottawa, 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 1 March
2011, 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 registered trademarks:
 Oracle is a registered trademark of Oracle Corporation; and
 Windows is a registered trademark of Microsoft Corporation in the United States and
other countries.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page iii of iii -
TABLE OF CONTENTS
Disclaimer..................................................................................................................................................... i
Foreword..................................................................................................................................................... ii
Executive Summary.....................................................................................................................................1
1 Identification of Target of Evaluation ..............................................................................................3
2 TOE Description .................................................................................................................................3
3 Evaluated Security Functionality......................................................................................................3
4 Security Target....................................................................................................................................3
5 Common Criteria Conformance........................................................................................................3
6 Security Policy.....................................................................................................................................4
7 Assumptions and Clarification of Scope...........................................................................................4
7.1 SECURE USAGE ASSUMPTIONS .............................................................................................4
7.2 ENVIRONMENTAL ASSUMPTIONS..........................................................................................4
7.3 CLARIFICATION OF SCOPE.....................................................................................................4
8 Evaluated Configuration....................................................................................................................4
9 Documentation....................................................................................................................................4
10 Evaluation Analysis Activities ...........................................................................................................5
11 ITS Product Testing ...........................................................................................................................6
11.1 ASSESSMENT OF DEVELOPER TESTS.....................................................................................6
11.2 INDEPENDENT FUNCTIONAL TESTING...................................................................................6
11.3 INDEPENDENT PENETRATION TESTING .................................................................................7
11.4 CONDUCT OF TESTING ..........................................................................................................7
11.5 TESTING RESULTS .................................................................................................................7
12 Results of the Evaluation....................................................................................................................7
13 Evaluator Comments, Observations and Recommendations .........................................................7
14 Acronyms, Abbreviations and Initializations...................................................................................8
15 References............................................................................................................................................8
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 1 of 9 -
Executive Summary
CA Directory r12.0 SP3 (hereafter referred to as CA Directory), from CA, Incorporated, is
the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation.
CA Directory is a Directory software application that provides access control over electronic
data. CA Directory comprises the components: Directory Server; DXtools, and DXconsole.
Administrators initialize and configure the Directory Server using DXtools. Once initialized,
Administrators manage the Directory Server using DXconsole. CA Directory can be
deployed as a standalone Directory, a replicated Directory for high availability, or as a
distributed Directory. User data is stored in an external repository. CA Directory uses the
X.5011
access control scheme to control access to its repository data.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
1 February 2011 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 the CA Directory, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the 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)2
for this product provide
sufficient evidence that it meets the EAL 3 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 3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
version 3.1 Revision 3. The following augmentation is claimed: ALC_FLR.1 – Basic flaw
Remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the CA Directory 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
1
X.500 Series Standard for Electronic Directories including DAP, DSP, DISP, DOP
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.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 2 of 9 -
Certified Products list (CPL) and the Common Criteria portal (the official website of the
Common Criteria Project).
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 3 of 9 -
1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation is CA Directory r12.0 SP3 (hereafter referred to as CA Directory), from CA,
Incorporated.
2 TOE Description
CA Directory is a Directory software application that provides access control over electronic
data. CA Directory comprises the components: Directory Server; DXtools, and DXconsole.
Administrators initialize and configure the Directory Server using DXtools. Once initialized,
Administrators manage the Directory Server using DXconsole. CA Directory can be
deployed as a standalone Directory, a replicated Directory for high availability, or as a
distributed Directory. User data is stored in an external repository. CA Directory uses the
X.5013
access control scheme to control access to its repository data.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for CA Directory is identified in Section
2.5 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: CA Directory r12.0 SP3 Security Target for EAL3+
Version: 3.0
Date: 30 November 2010
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 3.1 Revision 3, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 3.
CA Directory is:
a. Common Criteria Part 2 conformant, with security functional requirements based only
on functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only on
assurance components in Part 3; and
3
X.500 Series Standard for Electronic Directories including DAP, DSP, DISP, DOP
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 4 of 9 -
c. Common Criteria EAL 3 augmented, containing all security assurance requirements in
the EAL 3 package, as well as the following: ALC_FLR.1– Basic Flaw Remediation.
6 Security Policy
CA Directory implements the X.501 access control scheme to control user access to its
repository data. In addition, CA Directory implements policies pertaining to Security Audit,
Data Protection, Identification and Authentication, Security Management, and High
Availability. Further details on these security policies may be found in Section 7 of the ST.
7 Assumptions and Clarification of Scope
Consumers of CA Directory 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 Assumption is listed in the ST:
 The TOE will be managed by one or more competent individuals who are not
careless, hostile, or willfully negligent and who will follow and abide by guidance
documentation.
7.2 Environmental Assumptions
The following Environmental Assumption is listed in the ST:
 The TOE will be located within controlled access facilities that will prevent
unauthorized physical access.
7.3 Clarification of Scope
CA Directory is not intended to be placed or operated in a hostile environment, and should
be protected by other products specifically designed to address sophisticated threats.
8 Evaluated Configuration
The evaluated configuration for CA Directory comprises CA Directory r12.0 SP3 Build 4346
running on Oracle Solaris 10 and on Windows Server 2003 SP2.
9 Documentation
The CA documents provided to the consumer are as follows:
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 5 of 9 -
a. CA Directory Administration Guide for r12.0;
b. CA Directory Installation Guide for r12.0;
c. CA Directory Reference Guide for r12.0; and
d. CA Directory Release Summary for r12.0.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the CA Directory,
including the following areas:
Development: The evaluators analyzed the CA Directory 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 CA Directory security
architectural description and determined that the initialization process is secure and 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 CA Directory preparative user
guidance and operational user guidance and determined that it sufficiently and
unambiguously described 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 CA Directory configuration management system
and associated documentation was performed. The evaluators found that the CA Directory
configuration items were clearly marked and that the access control measures as described in
the configuration management documentation are effective in preventing unauthorized access
to the configuration items. The developer’s configuration management system was also
observed during the site visit, and it was found to be mature and well developed.
During the site visit the evaluator examined the development security procedures and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the CA Directory design and implementation.
The evaluator confirmed that the developer used a documented model of the TOE life-cycle
and that the life-cycle model provides for the necessary control over the development and
maintenance of the TOE.
The evaluator examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of CA Directory during distribution to the
consumer.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 6 of 9 -
The evaluator reviewed the flaw remediation procedures used for CA Directory. During a
site visit, the evaluator examined the evidence generated by adherence to the procedures.
The evaluator 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 CA Directory. Additionally, the evaluators conducted a review of public domain
vulnerability databases, and a search of all evaluation deliverables.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 3 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 developers have met their testing responsibilities by
examining their test evidence, and reviewing their test results, as documented in the ETR4
.
The evaluators analyzed the developer’s test coverage and depth analysis and found them to
be complete and accurate. The correspondence between the tests identified in the
developer’s test documentation and the functional specification and TOE design was
complete.
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 was the
following list of EWA-Canada test goals:
a. Initialization: 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 TOE Description of
the Security Target, by following all instructions in the developer’s Installation and
Administrative guidance;
4
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
is not releasable for public review.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 7 of 9 -
b. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests; and
c. Independent Evaluator Testing: The objective of this test goal is to augment developer
testing of DXconsole commands.
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.
Penetration testing focused on the effects of communications disconnects on TOE operation.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
CA Directory was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. Testing took place at the Information Technology Security
Evaluation and Testing (ITSET) Facility at EWA-Canada and at the CA, Incorporated site.
The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in a separate Test Procedures and Test Results
document.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that CA Directory behaves as specified in its ST, functional specification,
TOE design, and security architecture description.
12 Results of the Evaluation
This evaluation has provided the basis for an EAL 3+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
13 Evaluator Comments, Observations and Recommendations
The complete documentation for the CA Directory includes comprehensive Evaluation,
Installation, and User Guides.
The CA Directory is straightforward to configure, use and integrate into a corporate network.
The developer has an extensive and robust automated test suite capable of insuring a proper
working product.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 8 of 9 -
14 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
DAP Directory Access Protocol
DISP Directory Information Shadowing Protocol
DOP Directory Operational binding management
Protocol
DSP Directory System Protocol
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
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
X.500 International Standard for Electronic Directories
including DAP, DSP, DISP, DOP
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 3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 3, July 2009.
d. CA Directory r12.0 SP3 Security Target for EAL3+, Version 3.0, 30 November 2010.
CCS Certification Report CA, Incorporated
CA Directory r12.0 SP3
___________________________________________________________________________
Version 1.0 1 March 2011
- Page 9 of 9 -
e. Evaluation Technical Report (ETR) for EAL3+ Common Criteria Evaluation of CA
Directory r12.0 SP3 , Document No. 1664-000-D002, Version 1.2, 1 February 2011,
Common Criteria Evaluation Number: 383-4-167.