Certification Report
EAL 4+ Evaluation of VMware® vSphere 5.0
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2012
Document number: 383-4-189-CR
Version: 1.0
Date: 18 May 2012
Pagination: i to iii, 1 to 9
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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,
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 CGI Information Systems and Management
Consultants Inc. 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 18 May
2012, 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 trademark:
• VMware is a registered trademark of VMware Incorporated.
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...................................................................................................................... 3
5 Common Criteria Conformance.......................................................................................... 3
6 Security Policies .................................................................................................................... 3
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 .......................................................................... 7
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
11.3 INDEPENDENT PENETRATION TESTING....................................................................... 7
11.4 CONDUCT OF TESTING ............................................................................................... 8
11.5 TESTING RESULTS...................................................................................................... 8
12 Results of the Evaluation...................................................................................................... 8
13 Acronyms, Abbreviations and Initializations..................................................................... 8
14 References.............................................................................................................................. 9
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Executive Summary
VMware® vSphere 5.0 (hereafter referred to as vSphere 5.0), from VMware, Inc., is the
Target of Evaluation for this Evaluation Assurance Level (EAL) 4 augmented evaluation.
vSphere 5.0 is a virtualization solution that provides an environment for the hosting and
management of virtual machines on industry standard x86-compatible hardware platforms.
vSphere 5.0 incorporates CAVP-validated cryptography to protect communications between
its components.
CGI Information Systems and Management Consultants Inc. is the CCEF that conducted the
evaluation. This evaluation was completed on 8 May 2012 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 vSphere 5.0, 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 4 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.2 – Basic Flaw
Reporting Procedures.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the vSphere 5.0 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) 4 augmented
evaluation is VMware® vSphere 5.0 (hereafter referred to as vSphere 5.0), from VMware,
Inc.
2 TOE Description
vSphere 5.0 is a virtualization solution that provides an environment for the hosting and
management of virtual machines on industry standard x86-compatible hardware platforms.
vSphere 5.0 comprises the components:
• ESXi, which is the virtualization layer that runs directly on industry standard x86-
compatible hardware;
• vCenter Server, that provides for central management of ESXi and the virtual
machines running on ESXi;
• vSphere Client and vSphere Web Client, that provide user interfaces to vCenter
Server; and
• VMware Update Manager that provides automated patch management of ESXi.
A detailed description of the vSphere 5.0 architecture is found in Section 1.4 of the Security
Target (ST).
3 Evaluated Security Functionality
The complete list of evaluated security functionality for vSphere 5.0 is identified in Sections
5 and 6 of the ST.
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in vSphere 5.0:
Cryptographic Algorithm Standard Certificate #
Triple-DES (3DES) FIPS 46-3 970, 971, 972, 973
Advanced Encryption Standard (AES) FIPS 197 1421, 1422, 1423
Secure Hash Algorithm (SHA-1) FIPS 180-3 1289 1290, 1291
Keyed-Hash Message Authentication Code FIPS 198 840, 841, 842, 843
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Cryptographic Algorithm Standard Certificate #
(HMAC-SHA-1)
Rivest Shamir Adleman (RSA) FIPS 186-2 696, 697, 698, 699
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: VMware, Inc. VMware® vSphere 5.0 Security Target
Version: 0.7
Date: 19 April 2012
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.
vSphere 5.0 is:
a. Common Criteria Part 2 extended, with functional requirements based on functional
components in Part 2, except for the following explicitly stated requirements defined in
the ST;
• EXT_FAU_ARP.1 - System Event Automatic Response;
• EXT_FAU_STG.1 - External Audit Trail Storage;
• EXT_FIA_VC_LOGIN.1 - vCenter Server User Login Request; and
• EXT_VDS_VMM.1 - ESXi Virtual Machine Domain Separation.
b. Common Criteria Part 3 conformant, with security assurance requirements based on
assurance components in Part 3; and
Common Criteria EAL 4 augmented, with all the security assurance requirements in EAL 4,
as well as the following: ALC_FLR.2 - Flaw Reporting Procedures.
6 Security Policies
vSphere 5.0 implements access control policies that control user access to data and
operations specific to the definition, configuration, and management of virtual machines and
to audit data.
vSphere 5.0 implements an information flow control policy that governs the flow of
information between virtual machines.
Additional detail on the access control and flow control policies is found in Section 6 of the
ST.
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In addition, vSphere 5.0 implements policies pertaining to security audit, alarm generation,
cryptographic support, user data protection, identification and authentication, security
management, protection of the TSF, virtual machine domain separation, and TOE access.
Further details on these security policies may be found in Sections 6.1 of the ST.
7 Assumptions and Clarification of Scope
Consumers of vSphere 5.0 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:
• Users are non-hostile, appropriately trained, and follow all user guidance.
7.2 Environmental Assumptions
The following Environmental Assumption is listed in the ST:
• vSphere 5.0 will be located within controlled access facilities which will prevent
unauthorized physical access.
7.3 Clarification of Scope
The claims of the TOE are relevant to the management, separation, isolation, and protection
of the virtual machine structures, and not of the functionality and actions that take place
within a virtual machine. vSphere 5.0 incorporates CAVP-validated cryptography and was
not subjected to CMVP (FIPS-140) validation.
8 Evaluated Configuration
vSphere 5.0 is a software-only TOE comprising ESXi 5.0, vCenter Server 5.0, VMware
Update Manager 5.0, vSphere Client 5.0, and vSphere Web Client 5.0.
The publication entitled VMware, Inc. vSphere 5.0 Guidance Documentation Supplement,
Version 0.2, 3 May 2012 describes the procedures necessary to install and operate vSphere
5.0 in its evaluated configuration.
9 Documentation
The VMware, Inc. documents provided to the consumer are as follows:
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a. VMware, Inc. VMware® ESXi 5.0 and vCenter Server 5.0 Guidance Documentation
Supplement v0.1 July 18, 2011;
b. vSphere Installation and Setup, vSphere 5.0, ESXi 5.0, vCenter Server 5.0 EN-000588-00
July 2011;
c. vSphere Networking ESXi 5.0.0, vCenter Server 5.0.0 EN-000599-00 July 2011;
d. vSphere Virtual Machine Administration ESXi 5.0 vCenter Server 5.0 EN-000523-00
July 2011;
e. vSphere PowerCLI User’s Guide VMware vSphere PowerCLI 5.0 EN-000462-00;
f. vSphere Command-Line Interface Concepts and Examples EN-000489-00;
g. Getting Started with vSphere Command-Line Interfaces ESXi 5.0 vCenter Server 5.0
EN-000488-00;
h. Installing and Administering VMware vSphere Update Manager vSphere Update
Manager 5.0 EN-000457-00; and
i. VMware, Inc. vSphere 5.0 Guidance Documentation Supplement, Version 0.2, 3 May
2012.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of vSphere 5.0, including
the following areas:
Development: The evaluators analyzed the vSphere 5.0 functional specification, design
documentation, and a subset of the implementation representation; they determined that the
design accurately describes the TOE security functionality (TSF) interfaces and the TSF
subsystems and modules, and how the TSF implements the security functional requirements
(SFRs). The evaluators analyzed the vSphere 5.0 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 vSphere 5.0 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.
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Life-cycle support: An analysis of the vSphere 5.0 configuration management system and
associated documentation was performed. The evaluators found that the vSphere 5.0
configuration items were clearly marked and could be modified and controlled by automated
tools. The developer’s configuration management system was observed during a site visit,
and it was found to be mature and well-developed and operated in accordance with the CM
plan. The evaluators confirmed that the access control measures as described in the CM plan
are effective in preventing unauthorised access to the configuration items.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of vSphere 5.0 during distribution to the
consumer.
The evaluators examined the development security procedures during a site visit and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the vSphere 5.0 design and implementation. The
evaluators determined that the developer has used a documented model of the TOE life-cycle
and well-defined development tools that yield consistent and predictable results.
The evaluators reviewed the flaw remediation procedures used by VMware, Inc. for vSphere
5.0. 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 vSphere 5.0. Additionally, the evaluators conducted a review of public domain
vulnerability databases and a focused search of all evaluation deliverables. The evaluators
identified potential vulnerabilities for testing applicable to vSphere 5.0 in its operational
environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 4 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 their test results, as documented in the ETR2
.
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, TOE design and security architecture
description 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 is the
following list of evaluator 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. Centralized logging and cryptography: The objective of this test goal is to configure and
exercise remote logging, and verify traffic encryption;
c. vSphere environment management: The objective of this test goal is to exercise the
vSphere management functions by creating and managing virtual networks and virtual
machines; and
d. Web, CLI, and vSphere PowerCLI interfaces: The objective of this test goal is to exercise
the management of vSphere over these interfaces.
11.3 Independent Penetration Testing
Subsequent to the independent review of public domain vulnerability databases and a
focused review of all evaluation deliverables, limited independent evaluator penetration
testing was conducted. The penetration tests focused on:
• Scanning ports to ensure unnecessary ports are not open; and
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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• Testing that the TOE is not vulnerable to vulnerabilities by running test tools (e.g.
Nessus, HP WebInspect, Medusa).
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
vSphere 5.0 was subjected to a comprehensive suite of formally documented, independent
functional and penetration tests. The testing took place at the Information Technology
Security Evaluation and Test (ITSET) Facility at CGI Information Systems and Management
Consultants Inc. 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 vSphere 5.0 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 4+ level of assurance. The overall verdict
for the evaluation is PASS. These results are supported by evidence in the ETR.
13 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation
/
Initialization
Description
CAVP Cryptographic Algorithm Validation Program
CCEF Common Criteria Evaluation Facility
CCS Canadian Common Criteria Evaluation and Certification
Scheme
CLI Command Line Interface
CPL Certified Products list
CM Configuration Management
CMVP Cryptographic Module Validation Program
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FIPS Federal Information Processing Standard
IT Information Technology
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Acronym/Abbreviation
/
Initialization
Description
ITSET Information Technology Security Evaluation and Testing
PALCAN Program for the Accreditation of Laboratories Canada
SFR Security Functional Requirements
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
x86-compatible A computer system that is compatible with Intel's x86 CPU
family.
14 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 3, July 2009.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 3, July 2009.
d. VMware, Inc. VMware® vSphere 5.0 Security Target, Version 0.7, 2012/04/19.
e. VMware, Inc. VMware vSphere 5.0 Common Criteria EAL4+ Evaluation Technical
Report (ETR), Version 1.0, May 8, 2012.