Certification Report
EAL 2+ Evaluation of Data ONTAP® 8.0.0 7-Mode and
Data ONTAP® 8.0.1 7-Mode
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2011
Document number: 383-4-154-CR
Version: 1.0
Date: 27 October 2011
Pagination: i to iii, 1 to 9
CCS Certification Report NetApp, Inc.
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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 3, for conformance to the Common Criteria for Information Technology Security
Evaluation, Version 3.1 revision 3. 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 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, 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, Ontario.
By awarding a Common Criteria certificate, the CCS Certification Body asserts that the
product complies with the security requirements specified in the associated security target. A
security target is a requirements specification document that defines the scope of the
evaluation activities. The consumer of certified IT products should review the security
target, in addition to this certification report, in order to gain an understanding of any
assumptions made during the evaluation, the IT product's intended environment, its security
requirements, and the level of confidence (i.e., the evaluation assurance level) that the
product satisfies the security requirements.
This certification report is associated with the certificate of product evaluation dated 27
October 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 trademarked or registered
trademarks:
 NetApp and Data ONTAP are registered trademarks of NetApp, Inc.
 Windows is a registered trademark of Microsoft.
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 ................................................................................ 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.......................................................................................... 5
8 Evaluated Configuration...................................................................................................... 5
9 Documentation ...................................................................................................................... 5
10 Evaluation Analysis Activities ............................................................................................. 5
11 ITS Product Testing.............................................................................................................. 6
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 7
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Evaluator Comments, Observations and Recommendations ........................................... 8
14 Acronyms, Abbreviations and Initializations..................................................................... 9
15 References.............................................................................................................................. 9
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Executive Summary
Data ONTAP® 8.0.0 7-Mode and Data ONTAP® 8.0.1 7-Mode (hereafter referred to as
Data ONTAP), from NetApp, is the Target of Evaluation (TOE) for this Evaluation
Assurance Level (EAL) 2 Augmented evaluation.
Data ONTAP is a microkernel operating system included in the distribution of several of
NetApp’s storage solutions, including the Fabric Attached Storage (FAS) and V-Series
appliances. Data ONTAP is divided into three components: Write Anywhere File Layout®
(WAFL), Operating System Kernel and System Administration. The WAFL component is
responsible for implementing the discretionary access control policy. The Operating System
Kernel component provides the communications between the components of the Operating
System. The System Administration component provides an administrator with an interface
supporting operator functions, including enforcing identification and authentication and
managing user roles, as well as providing support for the Data ONTAP security
functionality.
EWA-Canada is the CCEF that conducted the evaluation. This evaluation was completed on
14 October 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 Data ONTAP, 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)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: ALC_FLR.3 - Systematic
Flaw Remediation
Communications Security Establishment Canada, 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
1
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
may not be releasable for public review.
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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 Evaluation Assurance Level (EAL) 2 Augmented
evaluation is Data ONTAP® 8.0.0 7-Mode and Data ONTAP® 8.0.1 7-Mode (hereafter
referred to as Data ONTAP), from NetApp.
2 TOE Description
Data ONTAP is a microkernel operating system included in the distribution of several of
NetApp’s storage solutions, including the Fabric Attached Storage (FAS) and V-Series
appliances. Data ONTAP is divided into three components: Write Anywhere File Layout®
(WAFL), Operating System Kernel and System Administration. The WAFL component is
responsible for implementing the discretionary access control policy. The Operating System
Kernel component provides the communications between the components of the Operating
System. The System Administration component provides an administrator with an interface
supporting operator functions, including enforcing identification and authentication and
managing user roles, as well as providing support for the Data ONTAP security
functionality.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Data ONTAP is identified in Section
6 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Security Target Data ONTAP® 8.0.0 7-Mode and Data ONTAP® 8.0.1 7-Mode
Version: 0.9
Date: 20 June 2011
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.
The Data ONTAP is:
a. Common Criteria Part 2 extended, with functional requirements based on functional
components in Part 2, except for the following explicitly stated requirement defined in
the ST;
 EXT_FPT_SEP.1, TSF Domain Separation for Software TOEs;
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b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
c. Common Criteria EAL 2 Augmented, with all the security assurance requirements in the
EAL 2, as well as the following: ALC_FLR.3 – Systematic Flaw Remediation.
6 Security Policy
Data ONTAP implements a role-based access control policy to control an administrative
user’s access to the system configuration, as well as a discretionary access control policy to
control users’ access to the data stored on the system; details of these security policies are
found in Sections 5 and 6 of the ST.
In addition, Data ONTAP implements policies pertaining to security audit, user data
protection, identification and authentication, protection of the TOE, TOE access and security
management. Further details on these security policies are found in Sections 5 and 6 of the
ST.
7 Assumptions and Clarification of Scope
Consumers of the Data ONTAP product 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 Data ONTAP.
7.1 Secure Usage Assumptions
The following Secure Usage Assumptions are listed in the ST:
 The administrative personnel are not hostile, are competent and will follow and abide by
the instructions provided by the administrator documentation; and
 Authorized users will maintain strong passwords.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
 Data ONTAP is assumed to be located at a physically secure location, with appropriate
security measures; and
 Any other networks with which the Data ONTAP communicates are assumed to be
securely managed and capable of supporting the operation and security of Data ONTAP.
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7.3 Clarification of Scope
Data ONTAP is designed and intended for use in a structured corporate environment. It
cannot prevent authorized administrators from carelessly configuring the TOE such that the
TOE security or the security of IT system monitored by the TOE is compromised.
Data ONTAP provides a level of protection that is appropriate for an assumed non-hostile
and well-managed user community. While it is designed to protect its user community
against inadvertent or casual attempts to breach system security, it is not intended for
situations in which determined attempts by hostile and well-funded attackers use
sophisticated attacks from within the physical zone.
While its user guidance documents do provide adequate advice for securing its operational
environment, it is primarily the user’s responsibility in ensuring that the networks and the
systems to which Data ONTAP is connected or installed upon are protected adequately.
8 Evaluated Configuration
The evaluated configuration consists of Data ONTAP Version 8.0.0 7-Mode and Data
ONTAP Version 8.0.1 7-Mode installed on the following hardware appliances:
 FAS; and
 V-Series.
9 Documentation
The NetApp documents provided to the consumer are as follows:
a. Data ONTAP® 8.0 7-Mode System Administration Guide;
b. Data ONTAP® 8.0 7-Mode Software Setup Guide;
c. Data ONTAP® 8.0 7-Mode Upgrade Guide; and
d. Data ONTAP® 8.0.0 7-Mode and Data ONTAP® 8.0.1 7-Mode Guidance
Documentation Supplement.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the 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
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architectural description and determined that the initialization process was 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 Data ONTAP 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 Data ONTAP configuration management system
and associated documentation was performed. The evaluators found that the Data ONTAP
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 Data ONTAP during distribution to the
consumer.
The evaluators reviewed the flaw remediation procedures used by NetApp for 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.
Vulnerability Assessment: The evaluators conducted an independent vulnerability analysis
of Data ONTAP. Additionally, the evaluators conducted a review of public domain
vulnerability databases. The evaluators identified potential vulnerabilities for testing
applicable to Data ONTAP in its operational environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 2 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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11.1 Assessment of Developer Tests
The evaluators verified that the developer has met their testing responsibilities by examining
their test evidence, and reviewing the 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’s 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;
b. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the
developer's tests on the evaluator’s TOE installation;
c. Concurrent Logins: The objective of this test is to show that two concurrent logins of the
same user do not interfere with each other;
d. Authentication Failure: The objective of this test is to confirm that a user will be locked
out after a configured number of unsuccessful authentication attempts, that the requested
audit data is generated and can be reviewed by users with appropriate roles; and
e. Password Strength: The objective of this test is to verify that password strength can be
reconfigured, and to test that strength.
2
The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and
may not be releasable for public review.
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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 Scanning: The objective of this test is to confirm that only those ports that should be
are open are;
b. Banner Grabbing: The objective of this test is to determine if any useful information can
be gained about the TOE; and
c. Leakage Verification: The objective of this test is monitor for leakage during start-up and
shut down.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 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 Testing (ITSET) Facility at EWA-Canada. 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.
11.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the Data ONTAP 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 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
NetApp, Inc. provides comprehensive guidance documents for the installation, configuration
and operation of Data ONTAP. It should be operated in accordance with these documents.
Data ONTAP is designed for and should operate in a corporate environment, where any other
IT based system/network with which Data ONTAP communicates should also be securely
managed and be capable of supporting the operation and security of Data ONTAP.
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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
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FAS Fabric Attached Storage
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
WAFL Write Anywhere File Layout®
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. Security Target Data ONTAP® 8.0.0 7-Mode and Data ONTAP® 8.0.1 7-Mode,
Revision No. 0.9, 20 June 2011.
e. Evaluation Technical Report (ETR) Data ONTap®, EAL 2+ Evaluation, Common
Criteria Evaluation Number: 383-4-154, Document No. 1709-000-D002, Version
1.0, 14 October 2011.