Certification Report
EAL 2+ Evaluation of
EMC® Symmetrix® Access Control, Enginuity™ 5771
with EMC® Solutions Enabler 6.3
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2007 Government of Canada, Communications Security Establishment
Document number: 383-4-61-CR
Version: 0.9
Date: 13 November 2007
Pagination: i to v, 1 to 8
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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 2.3, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 2.3. 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 (CSE), 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 CSE, 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 (CSE).
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 Standard 17025, General requirements for the
accreditation of calibration and testing 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 Electronic Warfare Associates-Canada, Ltd.
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 13
November 2007, 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 at: http://www.cse-cst.gc.ca/services/common-criteria/trusted-
products-e.html and on the official Common Criteria Program website at
http://www.commoncriteriaportal.org/
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This certification report makes reference to the following trademarked or registered
trademarks:
• Symmetrix®, Symmetrix® DMX-3, and EMC® are registered trademarks of EMC
Corporation,
• Symmetrix DMX™ is a trademark of EMC Corporation,
• Solaris™ is a trademark of Sun Microsystems,
• Microsoft, and Windows are either trademarks or registered trademarks of Microsoft
Corporation in the United States and/or other countries.
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 and Clarification of Scope............................................................................. 3
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 3
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 3
7.3 CLARIFICATION OF SCOPE.......................................................................................... 4
8 Architectural Information ................................................................................................... 4
9 Evaluated Configuration...................................................................................................... 4
10 Documentation ...................................................................................................................... 4
11 Evaluation Analysis Activities ............................................................................................. 5
12 ITS Product Testing.............................................................................................................. 5
12.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 6
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 6
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 6
12.4 CONDUCT OF TESTING ............................................................................................... 7
12.5 TESTING RESULTS...................................................................................................... 7
13 Results of the Evaluation...................................................................................................... 7
14 Evaluator Comments, Observations and Recommendations ........................................... 7
15 Acronyms, Abbreviations and Initializations..................................................................... 7
16 References.............................................................................................................................. 8
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Executive Summary
The EMC® Symmetrix® Access Control, Enginuity™ 5771 with EMC® Solutions Enabler
6.3, from EMC Corporation (hereafter referred to as Symmetrix®) was the Target of
Evaluation (TOE) for this Evaluation Assurance Level (EAL) 2+ evaluation.
The Symmetrix® provides direct-attached and Storage Area Network (SAN) attached
storage to configured servers. The Symmetrix® provides the ability to combine several
individual drives into useful logical groups, provides fault tolerance for stored data, and
manages access to the data that it stores. The Symmetrix® accomplishes this through
custom-built hardware and software. The Symmetrix® is designed to allow customers to
scale both system performance and storage capacity. Symmetrix® provides granular control
over management of Logical Units (LUNs) on the Symmetrix®.
Electronic Warfare Associates-Canada, Ltd. is the Common Criteria Evaluation Facility that
conducted the evaluation. This evaluation was completed on 30 October 2007 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 Symmetrix®, 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+ assurance requirements for the evaluated
security functionality. The evaluation was conducted using the Common Methodology for
Information Technology Security Evaluation, Version 2.3 (with applicable final
interpretations), for conformance to the Common Criteria for Information Technology
Security Evaluation, version 2.3.
The Communications Security Establishment, as the CCS Certification Body, declares that
the Symmetrix® 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) at http://www.cse-cst.gc.ca/services/common-criteria/trusted-products-
e.html and on the official International Common Criteria Program website at
http://www.commoncriteriaportal.org.
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+ evaluation is
the EMC® Symmetrix® Access Control, Enginuity™ 5771 with EMC® Solutions Enabler
6.3 , from EMC Corporation (hereafter referred to as Symmetrix®).
2 TOE Description
Symmetrix® provides direct-attached and Storage Area Network (SAN) attached storage to
configured servers. Symmetrix® provides the ability to combine several individual drives
into useful logical groups, provides fault tolerance for stored data, and manages access to the
data that it stores. Symmetrix® accomplishes this through custom-built hardware and
software. Symmetrix® is designed to allow customers to scale both system performance and
storage capacity. Symmetrix® provides granular control over management of Logical Units
(LUNs).
In a typical deployment scenario, individual application servers are attached to the
Symmetrix® either directly or via a SAN through a Fibre Channel switch. These application
servers are then configured to use storage on the Symmetrix®, in the form of LUNs, as
storage for their applications. The Symmetrix® is administered via the Solutions Enabler
software running on an attached management computer.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the Symmetrix® is identified in
Section 5 of the Security Target (ST).
4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: EMC Corporation EMC® Symmetrix® Access Control, Enginuity™ 5771.with
EMC® Solutions Enabler 6.3 Security Target, Version: 1.0, Date: 30 October 2007.
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version 2.3, for conformance to the Common Criteria for Information
Technology Security Evaluation, Version 2.3.
The Symmetrix® is:
a. Common Criteria Part 2 conformant; with security functional requirements based only
upon functional components in Part 2;
b. Common Criteria Part 3 conformant, with security assurance requirements based only
upon assurance components in Part 3; and
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c. Common Criteria EAL 2 augmented, with all the security assurance requirements in the
EAL 2 package as well as ALC_FLR.1 – Basic Flaw Remediation.
6 Security Policy
The following statements are representative of the Security Policy:
Authentication and Security Management. An Administrator must authenticate to the IT
Environment before being able to perform any TSF-mediated actions. The TSF enforces the
Discretionary Access Control SFP to restrict the ability to modify or delete access control
group rights, access control group identifiers, and LUN identifiers to the administrator.
Protection of User Data. All user data stored on the TOE is protected through the use of
discretionary access controls enforced on external host Access Control Groups and on LUNs.
External hosts are allowed to configure a LUN if the host’s access control group has the
appropriate rights on the LUN. A valid Access Control Group of the TOE is allowed to Read
and Write to a LUN if the Access Control Group and the LUN are members of the same
Storage Group. Data integrity is protected through the use of Redundant Array of
Independent/Inexpensive Disks (RAID) technology. The TOE environment protects TSF
data from modification when it is transmitted between separate parts of the TOE.
For security policy enforcement please refer to the Security Target.
7 Assumptions and Clarification of Scope
Consumers of the the Symmetrix® 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 the TOE.
7.1 Secure Usage Assumptions
The following Secure Usage assumptions are listed in the ST:
• There are one or more appropriately trained individuals assigned to manage the
Symmetrix® and the security information it contains; and
• Administrators and TOE users are non-hostile, appropriately trained, and follow all
administrator guidance.
7.2 Environmental Assumptions
The following Environmental assumptions are listed in the ST:
• Physical security will be provided for the TOE and its environment.
For more information about the Symmetrix® security environment, refer to Section 3 of the
ST (TOE Security Environment).
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7.3 Clarification of Scope
The Symmetrix® is intended for use by a non-hostile and well-managed user community. It
relies on the environment to provide it physical and logical protection.
8 Architectural Information
The TOE is composed of software running on custom-built hardware, both of which were
developed by EMC Corporation.
The software-only TOE consists of two main components:
• EMC® Symmetrix® Access Control and Enginuity™; and
• EMC® Solutions Enabler.
The EMC® Symmetrix® Access Control and Enginuity™ provides an Integrated Cached
Disk Array (ICDA) which are networked storage solutions involving arrays of disks intended
for enterprise or government installations with extreme capacity, scalability, availability,
reliability, and performance requirements. External host-based software to administer the
ICDA is provided by EMC® Solutions Enabler. The EMC® Symmetrix® Access Control
and Enginuity software executes on the Symmetrix® DMX-3 hardware and the EMC®
Solutions Enabler software executes on a standard PC running a Windows operating system
(Microsoft Windows 2000 SP4, Microsoft Windows Server 2003; SP1, R2, or Microsoft
Windows Server 2003 (Itanium); SP1) or Sun Solaris 10 (Sun OS 5.10).
9 Evaluated Configuration
The TOE is a software-only TOE consisting of EMC® Symmetrix® Access Control,
Enginuity™ 5771 with EMC® Solutions Enabler 6.3. Symmetrix® Access Control was
tested on the Symmetrix® DMX-3 and Solutions Enabler was tested on a standard PC
running a Windows operating system (Microsoft Windows 2000 SP4, Microsoft Windows
Server 2003; SP1, R2, or Microsoft Windows Server 2003 (Itanium); SP1) or Sun Solaris 10
(Sun OS 5.10).
10 Documentation
The EMC Corporation documents provided to the consumer are as follows:
a. Symmetrix DMX-3 Physical Planning Guide;
b. Symmetrix DMX-3 Product Guide;
c. Symmetrix DMX-3 Quick Start Power Connection Guide;
d. Symmetrix DMX Series and DL6000 Series Unpacking Guide; and
e. Symmetrix DMX-3 Product Guide.
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11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the Symmetrix®,
including the following areas:
Configuration management: An analysis of the Symmetrix® CM system and associated
documentation was performed. The evaluators found that the Symmetrix® configuration
items were clearly marked, and could be modified and controlled. The developer’s
configuration management system was observed during a site visit, and it was found to be
mature and well developed.
Secure delivery and operation: The evaluators examined the delivery documentation and
determined that it described all of the procedures required to maintain the integrity of the
Symmetrix® during distribution to the consumer. The evaluators examined and tested the
installation, generation and start-up procedures, and determined that they were complete and
sufficiently detailed to result in a secure configuration.
Life cycle: The flaw remediation process was carefully reviewed. There are adequate
procedures in place to track and correct security flaws, identify corrective actions, and
distribute the flaw information and corrections. A verification of this process was performed
during the site visit.
Design documentation: The evaluators analysed the Symmetrix® functional specification
and high-level design; they determined that the documents were internally consistent, and
completely and accurately instantiated all interfaces and security functions. The evaluators
also independently verified that the correspondence mappings between the design documents
were correct.
Guidance documents: The evaluators examined the Symmetrix® guidance documentation
and determined that it sufficiently and unambiguously described how to securely use and
administer the product, and that it was consistent with the other documents supplied for
evaluation.
Vulnerability assessment: The evaluator validated the developer’s vulnerability analysis
and found that it sufficiently described each of the potential vulnerabilities along with a
sound rationale as to why it was not exploitable in the intended environment. Additionally,
the evaluators conducted an independent review of public domain vulnerability databases,
and all evaluation deliverables to provide assurance that the developer has considered all
potential vulnerabilities.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 2+ consists of the following three steps: assessing developer tests,
performing independent functional tests, and performing independent penetration tests.
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12.1 Assessment of Developer Tests
The evaluators verified that the developer had met their testing responsibilities by reviewing
the developer’s test plan, test approach, test procedure and test results, and examining their
test evidence, as documented in the Evaluation Technical Report (ETR)2
.
The evaluators analyzed the developer’s test coverage analysis, and found that the
correspondence between tests identified in the developer’s test documentation and the
functional specification was complete and accurate.
12.2 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. These tests focused on:
• Security Management; and
• User Data Protection.
12.3 Independent Penetration Testing
Subsequent to the examination of the developer's vulnerability analysis and the independent
review of public domain vulnerability databases and all evaluation deliverables, limited
independent evaluator penetration testing was conducted. The penetration tests focused on:
• Generic vulnerabilities;
• Bypassing;
• Tampering; and
• Direct attacks.
Penetration testing included data interception attacks, denial of service attacks, spoofing
attacks, unauthorized access to data attacks, and privilege escalation attacks.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
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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12.4 Conduct of Testing
The Symmetrix® was subjected to a comprehensive suite of formally documented,
independent functional and penetration tests. The testing took place at the developer’s
Massachusetts facility.
The detailed testing activities, including configurations, procedures, test cases, expected
results and observed results are documented in the ETR.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the Symmetrix® behaves as specified in its ST and functional
specification. The penetration testing resulted in a PASS verdict, as the evaluators were
unable to exploit any of the identified potential vulnerabilities in the Symmetrix® in its
intended operating environment.
13 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.
14 Evaluator Comments, Observations and Recommendations
The Symmetrix® is straightforward to configure, use and integrate into a corporate network.
EMC Corporation Configuration Management (CM) and Quality Assurance (QA) provide
the requisite controls for managing all CM/QA activities.
EWA-Canada performed separate site visits to review developer processes (ACM, ADO,
ALC, and ATE) and to repeat a sample of developer’s tests. Though development security
was not part of the evaluation, the evaluators observed that the developer was exceptionally
conscious of security. The physical, procedural, and personnel security measures meet or
exceed the assurance requirements of higher-level CC evaluations. This is reported on in the
CC Evaluation Site Visit Report. This document contains proprietary and confidential EMC
information.
15 Acronyms, Abbreviations and Initializations
Acronym/Abbreviation/
Initialization
Description
CCEF Common Criteria Evaluation Facility
CC Common Criteria
CCS Canadian Common Criteria Evaluation and Certification
Scheme
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Acronym/Abbreviation/
Initialization
Description
CPL Certified Products list
CM Configuration Management
CSE Communications Security Establishment
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
ICDA Integrated Cached Disk Array
IT Information Technology
LUN Logical Unit Number
PALCAN Program for the Accreditation of Laboratories Canada
PC Personal Computer
QA Quality Assurance
RAID Redundant Array of Independent/Inexpensive Disks
SAN Storage Area Network
SFP Security Function Policy
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) Publication
#4, Technical Oversight, Version 1.0.
b. Common Criteria for Information Technology Security Evaluation, version 2.3,
August 2005.
c. Common Methodology for Information Technology Security Evaluation, version 2.3,
August 2005.
d. EMC Corporation EMC® Symmetrix® Access Control, Enginuity™ 5771 with
EMC® Solutions Enabler 6.3 Security Target, Version 1.0, 30 October, 2007.
e. Evaluation Technical Report (ETR) EMC® Symmetrix® Access Control,
Enginuity™ 5771 with EMC Solutions Enabler 6.3, EAL 2+ Evaluation, Common
Criteria Evaluation Number: 383-4-61, Document No. 1543-000-D002, Version 1.7,
30 October 2007.