UNCLASSIFIED
© Government of Canada. This document is the property of the Government of Canada. It shall not be altered,
distributed beyond its intended audience, produced, reproduced or published, in whole or in any substantial part
thereof, without the express permission of CSE.
COMMON CRITERIA
CERTIFICATION REPORT
NetApp E-Series & EF-Series with SANtricity OS 11.50
3 January 2019
383-4-468
v1.2
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FOREWORD
This certification report is an UNCLASSIFIED publication, issued under the authority of the Chief,
Communications Security Establishment (CSE). Suggestions for amendments should be forwarded through
departmental communications security channels to your Client Services Representative at CSE.
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 Scheme –
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 Canadian CC Scheme, 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.
If your department has identified a requirement for this certification report based on business needs and would
like more detailed information, please contact:
ITS Client Services
Telephone: (613) 991-7654
E-mail: itsclientservices@cse-cst.gc.ca
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OVERVIEW
The Canadian Common Criteria Scheme 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 Certification Body, which is managed by
the Communications Security Establishment.
A CCEF is a commercial facility that has been approved by the 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.
By awarding a Common Criteria certificate, the 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.
The certification report, certificate of product evaluation and security target are posted to the Certified Products
list (CPL) for the Canadian CC Scheme and to the Common Criteria portal (the official website of the
International Common Criteria Project).
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TABLE OF CONTENTS
Executive Summary........................................................................................................................................1
1 Identification of Target of Evaluation......................................................................................................2
1.1 Common Criteria Conformance..................................................................................................................2
1.2 TOE Description..........................................................................................................................................2
1.3 TOE Architecture ........................................................................................................................................3
2 Security Policy .......................................................................................................................................4
2.1 Cryptographic Functionality .......................................................................................................................4
3 Assumptions and Clarifications of Scope.................................................................................................5
3.1 Usage and Environmental Assumptions.....................................................................................................5
3.2 Clarification of Scope..................................................................................................................................6
4 Evaluated Configuration.........................................................................................................................7
4.1 Documentation...........................................................................................................................................7
5 Evaluation Analysis Activities .................................................................................................................8
5.1 Development..............................................................................................................................................8
5.2 Guidance Documents .................................................................................................................................8
5.3 Life-cycle Support.......................................................................................................................................8
6 Testing Activities....................................................................................................................................9
6.1 Assessment of Developer Tests..................................................................................................................9
6.2 Conduct of Testing......................................................................................................................................9
6.3 Independent Functional Testing.................................................................................................................9
6.4 Independent Penetration Testing ........................................................................................................... 10
7 Results of the Evaluation......................................................................................................................11
7.1 Recommendations/Comments................................................................................................................ 11
8 Supporting Content..............................................................................................................................12
8.1 List of Abbreviations................................................................................................................................ 12
8.2 References............................................................................................................................................... 13
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LIST OF FIGURES
Figure 1 TOE Architecture ....................................................................................................................................3
LIST OF TABLES
Table 1 TOE Identification.......................................................................................................................................2
Table 2 Cryptographic Algorithm(s) ........................................................................................................................4
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EXECUTIVE SUMMARY
NetApp E-Series & EF-Series with SANtricity OS 11.50 (hereafter referred to as the Target of Evaluation, or TOE),
from NetApp, Inc., was the subject of this Common Criteria evaluation. A description of the TOE can be found in
Section 1.2. The results of this evaluation demonstrate that TOE meets the requirements of the conformance
claim listed in Table 1 for the evaluated security functionality.
Lightship Security is the CCEF that conducted the evaluation. This evaluation was completed 03 January 2019
and was carried out in accordance with the rules of the Canadian Common Criteria Scheme.
The scope of the evaluation is defined by the security target, which identifies assumptions made during the
evaluation, the intended environment for TOE, 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 Certification Body, declares that the TOE evaluation meets all
the conditions of the Arrangement on the Recognition of Common Criteria Certificates and that the product will
be listed on the Canadian Certified Products list (CPL) and the Common Criteria portal (the official website of the
International Common Criteria Project).
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1 IDENTIFICATION OF TARGET OF EVALUATION
The Target of Evaluation (TOE) is identified as follows:
Table 1 TOE Identification
TOE Name and Version NetApp E-Series & EF-Series with SANtricity OS 11.50
Developer NetApp, Inc.
Conformance Claim collaborative Protection Profile for Network Devices, v2.0 + Errata 20180314
1.1 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.
1.2 TOE DESCRIPTION
The TOE is a network device that provides networked storage for dedicated, high-bandwidth applications such
as data analytics, video surveillance, and disk-based backup. The TOE provides the following security functions:
• Protected Communications
• Secure Administration
• Trusted Update
• Audit
• Self-Test
• Cryptographic Operations
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1.3 TOE ARCHITECTURE
A diagram of the TOE architecture is as follows:
Figure 1 TOE Architecture
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2 SECURITY POLICY
The TOE implements policies pertaining to the following security functional classes:
• Security Audit
• Cryptographic Support
• Identification and Authentication
• Security Management
• Protection of the TSF
• Trusted Update
• TOE Access
• Trusted Path/Channels
Complete details of the security functional requirements (SFRs) can be found in the Security Target (ST)
referenced in section 8.2.
2.1 CRYPTOGRAPHIC FUNCTIONALITY
The following Government of Canada approved cryptographic algorithms were evaluated by the CAVP and used
by the TOE:
Table 2 Cryptographic Algorithm(s)
Cryptographic Algorithm Standard Certificate Number
Advanced Encryption Standard (AES) FIPS 197 3756
Rivest Shamir Adleman (RSA) FIPS 186-4 1932
Secure Hash Algorithm (SHS) FIPS 180-3 3126
Keyed-Hash Message Authentication Code (HMAC) FIPS 198 2458
Deterministic Random Bit Generation (DRBG) SP 800-90A 1031
Key Agreement Scheme SP 800-56A 73
Elliptic Curve Digital Signature Algorithm (ECDSA) FIPS 186-4 804
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3 ASSUMPTIONS AND CLARIFICATIONS OF SCOPE
Consumers of the TOE 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.
3.1 USAGE AND ENVIRONMENTAL ASSUMPTIONS
The following assumptions are made regarding the use and deployment of the TOE:
• The network device is to be physically protected in its operational environment and not subject to
physical attacks that compromise the security and/or interfere with the device’s physical
interconnections and correct operation. This protection is assumed to be sufficient to protect the device
and the data it contains. As a result, the cPP will not include any requirements on physical tamper
protection or other physical attack mitigations. The cPP will not expect the product to defend against
physical access to the device that allows unauthorized entities to extract data, bypass other controls, or
otherwise manipulate the device.
• The device is to provide networking functionality as its core function and not provide
functionality/services that could be deemed as general purpose computing. For example, the device
should not provide a computing platform for general purpose applications (unrelated to networking
functionality).
• A standard/generic network device does not provide any assurance regarding the protection of traffic
that traverses it. The intent is for the network device to protect data that originates on or is destined to
the device itself, to include administrative data and audit data. Traffic that is traversing the network
device, destined for another network entity, is not covered by the NDcPP. It is assumed that this
protection will be covered by cPPs for particular types of network devices (e.g., firewall).
• The Security Administrator(s) for the network device are to be trusted and to act in the best interest of
security for the organization. This includes being appropriately trained, following policy, and adhering to
guidance documentation. Administrators are trusted to ensure passwords/credentials have sufficient
strength and entropy and to lack malicious intent when administering the device. The network device is
not expected to be capable of defending against a malicious Administrator that actively works to bypass
or compromise the security of the device.
• The network device firmware and software is to be updated by an Administrator on a regular basis in
response to the release of product updates due to known vulnerabilities.
• The Administrator’s credentials (private key) used to access the network device are protected by the
platform on which they reside.
• The Administrator must ensure that there is no unauthorized access possible for sensitive residual
information (e.g. cryptographic keys, keying material, PINs, passwords etc.) on networking equipment
when the equipment is discarded or removed from its operational environment.
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3.2 CLARIFICATION OF SCOPE
• The TOE incorporates CAVP-validated cryptography and was not subjected to CMVP (FIPS-140)
validation.
• SSH must not be enabled/used in the evaluated configuration.
• The scope of the evaluation is limited to the secure management functionality of the TOE and does not
cover the network storage functionality.
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4 EVALUATED CONFIGURATION
The evaluated configuration for the TOE comprises the SANtricity OS 11.50.0000.0010 installed on the following
hardware appliances:
• E2812 (DE212C)1
• E2824 (DE224C)
• E2860 (DE460C)
• E5724 (DE224C)
• E5760 (DE460C)
• EF280
• EF570
The TOE operates with the following components in the environment:
• Audit Server. The TOE is capable of sending audit events to a Syslog server.
• LDAP Server. The TOE is capable of utilizing an LDAP server for authentication.
4.1 DOCUMENTATION
The following documents are provided to the consumer to assist in the configuration and installation of the TOE:
a. NetApp E-Series & EF-Series with SANtricity OS 11.50 Common Criteria Guide, v1.2
b. NetApp Installation and Setup Instructions for E-Series E5724, EF570, E2812, E2824, and EF280, 210-
06714+B0
c. NetApp Installation and Setup Instructions for E-Series E5760 and E2860, 210-06716+A0
d. NetApp SANtricity 11.40 Help Dashboard for System Manager
e. NetApp SANtricity 11.40 Help Dashboard for Embedded Command Line Interface
1
Disk shelf shown in parentheses. The disk shelf is an enclosure that contains the system shelf (E-series controller) and hot-
serviceable drive trays.
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5 EVALUATION ANALYSIS ACTIVITIES
The evaluation analysis activities involved a structured evaluation of the TOE. Documentation and process
dealing with Development, Guidance Documents, and Life-Cycle Support were evaluated.
5.1 DEVELOPMENT
The evaluators analyzed the documentation provided by the vendor; they determined that the design
completely and accurately describes the TOE security functionality (TSF) interfaces and how the TSF implements
the security functional requirements (SFRs). The evaluators determined that the initialization process is secure,
that the security functions are protected against tamper and bypass, and that security domains are maintained.
5.2 GUIDANCE DOCUMENTS
The evaluators examined the TOE 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.
Section 4.1 provides details on the guidance documents.
5.3 LIFE-CYCLE SUPPORT
An analysis of the TOE configuration management system and associated documentation was performed. The
evaluators found that the TOE configuration items were clearly marked.
The evaluators examined the delivery documentation and determined that it described all of the procedures
required to maintain the integrity of the TOE during distribution to the consumer.
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6 TESTING ACTIVITIES
Testing consists of the following three steps: assessing developer tests, performing independent functional tests,
and performing penetration tests.
6.1 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 ETR. The correspondence between the tests identified in
the developer’s test documentation and the functional specification was complete.
6.2 CONDUCT OF TESTING
The TOE was subjected to a comprehensive suite of formally documented, independent functional and
penetration tests. The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in a separate Test Results document.
6.3 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. The following testing activities were performed:
a. PP Assurance Activities: The evaluator performed the assurance activities listed in the claimed PP;
b. Verification of Cryptographic Implementation: The evaluator confirmed that the vendor employed the
Bouncy Castle v1.0.0 cryptographic module and that it was, in fact, being used by the TOE.
6.3.1 FUNCTIONAL TEST RESULTS
The developer’s tests and the independent functional tests yielded the expected results, providing assurance
that the TOE behaves as specified in its ST and functional specification.
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6.4 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 such as Heartbleed, Shellshock, FREAK, POODLE, and GHOST; and
b. Fuzz Testing: The evaluator conducted fuzz testing using unexpected inputs and malformed packets on
the TOE interfaces.
6.4.1 PENETRATION TEST RESULTS
The independent penetration testing did not uncover any exploitable vulnerabilities in the intended operating
environment.
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7 RESULTS OF THE EVALUATION
This evaluation has provided the basis for the conformance claim documented in Table 1. The overall verdict for
this evaluation is PASS. These results are supported by evidence in the ETR.
The IT product identified in this report has been evaluated at an approved evaluation facility established under
the Canadian Common Criteria Scheme using the Common Methodology for IT Security Evaluation, Version 3.1
Revision 4, for conformance to the Common Criteria for IT Security Evaluation, Version 3.1 Revision 4. These
evaluation results apply only to the specific version and release of the product in its evaluated configuration and
in conjunction with the complete certification report.
The evaluation has been conducted in accordance with the provisions of the Canadian Common Criteria Scheme
and the conclusions of the evaluation facility in the evaluation report are consistent with the evidence adduced.
This is not an endorsement of the IT product by CSE or by any other organization that recognizes or gives effect
to this certificate, and no warranty of the IT product by CSE or by any other organization that recognizes or gives
effect to this certificate, is expressed or implied.
7.1 RECOMMENDATIONS/COMMENTS
It is recommended that all guidance outlined in Section 4.1 be followed to configure the TOE in the evaluated
configuration.
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8 SUPPORTING CONTENT
8.1 LIST OF ABBREVIATIONS
Term Definition
CAVP Cryptographic Algorithm Validation Program
CCEF Common Criteria Evaluation Facility
CM Configuration Management
CMVP Cryptographic Module Validation Program
cPP Collaborative Protection Profile
CSE Communications Security Establishment
ETR Evaluation Technical Report
GC Government of Canada
IT Information Technology
ITS Information Technology Security
NDcPP collaborative Protection Profile for Network Devices
PP Protection Profile
SFR Security Functional Requirement
SSH Secure Shell
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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8.2 REFERENCES
Reference
Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 4, September 2012.
Common Methodology for Information Technology Security Evaluation, CEM, Version 3.1 Revision 4, September 2012.
NetApp E-Series & EF-Series with SANtricity OS 11.50 Security Target, Version 1.3, January 03, 2019.
NetApp E-Series & EF-Series with SANtricity OS 11.50 Evaluation Technical Report, 1.3, January 03, 2019.
NetApp E-Series & EF-Series with SANtricity OS 11.50 Assurance Activity Report, Version 1.4, January 03, 2019.