Certification Report
EMC® ProSphere™ v2.0
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: 383-4-237-CR
Version: 1.0
Date: 26 June 2013
Pagination: i to iii, 1 to 8
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,
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 26 June
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:
 EMC is a registered trademark of EMC Corporation; and
 ProSphere is a trademark of EMC Corporation
Reproduction of this report is authorized provided the report is reproduced in its entirety.
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TABLE OF CONTENTS
Disclaimer....................................................................................................................................... i
Foreword........................................................................................................................................ii
Executive Summary...................................................................................................................... 1
1 Identification of Target of Evaluation ................................................................................ 2
2 TOE Description ................................................................................................................... 2
3 Evaluated Security Functionality........................................................................................ 2
4 Security Target...................................................................................................................... 2
5 Common Criteria Conformance.......................................................................................... 2
6 Security Policy....................................................................................................................... 3
7 Assumptions .......................................................................................................................... 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 3
8 Evaluated Configuration...................................................................................................... 3
9 Documentation ...................................................................................................................... 4
10 Evaluation Analysis Activities ............................................................................................. 4
11 ITS Product Testing.............................................................................................................. 5
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 5
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 5
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 6
11.4 CONDUCT OF TESTING ............................................................................................... 6
11.5 TESTING RESULTS...................................................................................................... 7
12 Results of the Evaluation...................................................................................................... 7
13 Evaluator Comments, Observations and Recommendations ........................................... 7
14 Acronyms, Abbreviations and Initializations..................................................................... 7
15 References.............................................................................................................................. 8
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Executive Summary
EMC® ProSphere™ v2.0 (hereafter referred to as ProSphere), from EMC Corporation
Corporation, is the Target of Evaluation for this Evaluation Assurance Level (EAL) 2
augmented evaluation.
ProSphere gives an enterprise-level view of an organization’s data center. It enables
administrators to discover, monitor, and report on all storage-related resources across the
data center from a single workstation. ProSphere also allows administrators to monitor
capacity utilization of the environment, measure application performance, and be notified of
conditions that require attention, such as performance thresholds. ProSphere is deployed as a
collection of interdependent virtual machines (VM) configured at the VM and virtual
application (vApp) level.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
21 May 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 ProSphere, 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 3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 3. The following augmentation is claimed: e.g. ALC_FLR.2 – Flaw
Reporting Procedures.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the ProSphere 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® ProSphere™ v2.0 (hereafter referred to as ProSphere), from EMC
Corporation
2 TOE Description
ProSphere gives an enterprise-level view of an organization’s data center. It enables
administrators to discover, monitor, and report on all storage-related resources across the
data center from a single workstation. ProSphere also allows administrators to monitor
capacity utilization of the environment, measure application performance, and be notified of
conditions that require attention, such as performance thresholds. ProSphere is deployed as a
collection of interdependent virtual machines (VM) configured at the VM and virtual
application (vApp) level.
A detailed description of the ProSphere architecture is found in Section 1.4 of the Security
Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for ProSphere is identified in Section 6
of the ST.
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: EMC® ProSphere™ v2.0 Security Target
Version: 0.7
Date: 1 May 2013
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.
ProSphere is:
a) Common Criteria Part 2 conformant, with security functional requirements based
only upon functional components in Part 2;
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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: ALC_FLR.2 – Flaw Reporting
Procedures.
6 Security Policy
ProSphere implements an access control policy to control user access to the system; details
of this security policy can be found in Section 6 of the ST.
In addition, ProSphere implements policies pertaining to security audit, user data protection,
identification and authentication, Protection of the TOE and security management. Further
details on these security policies may be found in Section 6 of the ST.
7 Assumptions
Consumers of ProSphere 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:
 Administrators are non-hostile, appropriately trained, and follow all administrative
guidance.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 The TOE is located within a controlled access facility; and
 The TOE is installed on the appropriate hypervisor and hardware.
8 Evaluated Configuration
The evaluated configuration for the ProSphere software only TOE comprises:
 a GPC with VMware ESXI Server running the following software:
o ProSphere Application v2.0.0.0.271
o Discovery Engine v3.1.0.0.265
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o Historical Database v2.0.0.0.254
 a GPC with VMware ESXI Server running the following software:
o Discovery Engine Collector v3.1.0.0.265
The following publications entitled EMC ProSphere v2.0 Administrators Guide, EMC
ProSphere v2.0 Deployment Guide, EMC ProSphere v2.0 Security Configuration Guide and
EMC ProSphere v2.0 Guidance Documentation Supplement describes the procedures
necessary to install and operate ProSphere in its evaluated configuration.
9 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. EMC ProSphere v2.0 Administrators Guide, April, 2013;
b. EMC ProSphere v2.0 Deployment Guide April, 2013;
c. EMC ProSphere v2.0 Release Notes April 26, 2013;
d. EMC ProSphere v2.0 Security Configuration Guide April, 2013;
e. EMC ProSphere v2.0 RestAPI April 2013; and
f. EMC ProSphere v2.0 Guidance Documentation Supplement, v0.1, 1 May 2013.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of ProSphere, including
the following areas:
Development: The evaluators analyzed the ProSphere 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 ProSphere 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 ProSphere 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 ProSphere configuration management system and
associated documentation was performed. The evaluators found that the ProSphere
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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 ProSphere during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by EMC Corporation for the
ProSphere. 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 ProSphere. Additionally, the evaluators conducted a search of public domain vulnerability
databases to identify ProSphere potential vulnerabilities. The evaluators identified potential
vulnerabilities for testing applicable to ProSphere in its operational environment.
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.
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.
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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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. TLS 1.0 or higher: The objective of this test case is to confirm that ProSphere supports
TLS 1.0;
c. LDAP for login: The objective of this test goal is to confirm that ProSphere uses LDAP
to authenticate a user;
d. Security Compliance Message: The objective of this test goal is to confirm that the login
banner can be created and edited and requires users to acknowledge it before accessing
Proshere; and
e. Verify Secure Communications: The objective of this test goal is to confirm that
communications between TOE components is not in the clear.
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. Port Scan: The objective of this test goal is to scan the TOE using a port scanner to reveal
any potential avenues of attack;
b. Tool Scanning: The objective of this test goal is to scan the TOE for known and unknown
weaknesses relevant to TOE type;
c. Misuse: the objective of this test goal is to perform an administrative action that could
render the system vulnerable; and
d. Multiple Administrative Sessions: The objective of this test goal is to confirm that the
TOE supports multiple Security Administrator sessions and that the last change made is
what is saved and retained.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
ProSphere was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place on site at the EMC QA facility in
Hopkinton, MA, as the required operational environment is not supported in the EWA
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Information Technology Security Evaluation and Testing Facility (ITSET). 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 ProSphere 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.
13 Evaluator Comments, Observations and Recommendations
The developer maintains a complete set of user guidance including security configuration
recommendations. The developer also performs regular security assessments and scans of the
TOE in order to maintain security.
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
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
GPC General Purpose Computer
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
LDAP Lightweight Directory Access Protocol
PALCAN Program for the Accreditation of Laboratories
- Canada
QA Quality Assurance
SFR Security Functional Requirement
SSL Secure Socket Layer
ST Security Target
TLS Transport Layer Security
TOE Target of Evaluation
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Acronym/Abbreviation/
Initialization
Description
vApp Virtual Application
VM Virtual Machine
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. EMC® ProSphere™ v2.0 Security target, v0.7, 1 May 2013.
e. ETR for EAL 2+ EMC® ProSphere™ v2.0, version 1.3, 21 May 2013.