Certification Report
EAL 3+ Evaluation of
Netezza Performance Server®
Version 3.0
Issued by:
Communications Security Establishment
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© 2007 Government of Canada, Communications Security Establishment
Document number: 383-4-59-CR
Version: 1.0
Date: 17 September 2007
Pagination: i to iv, 1 to 11
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DISCLAIMER
The Information Technology (IT) product identified in this certification report, and its
associated certificate, have 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 IT Security Evaluation, Version 2.3. 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 (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 17
September 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/
This certification report makes reference to the following trademarked names:
• Netezza Performance Server®
• NPS®
which are registered trademarks of the Netezza Corporation.
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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 Architectural Information ................................................................................................... 5
9 Evaluated Configuration...................................................................................................... 5
10 Documentation ...................................................................................................................... 6
11 Evaluation Analysis Activities ............................................................................................. 6
12 ITS Product Testing.............................................................................................................. 7
12.1 ASSESSING DEVELOPER TESTS................................................................................... 7
12.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 7
12.3 INDEPENDENT PENETRATION TESTING....................................................................... 8
12.4 CONDUCT OF TESTING ............................................................................................... 8
12.5 TESTING RESULTS...................................................................................................... 8
13 Results of the Evaluation...................................................................................................... 9
14 Evaluator Comments, Observations and Recommendations ........................................... 9
15 Acronyms, Abbreviations and Initializations................................................................... 10
16 References............................................................................................................................ 11
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Executive Summary
The Netezza Preformance Server®
, from Netezza Corporation, (hereafter referred to as
NPS®
) is the Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3
augmented evaluation.
The NPS®
is a data warehousing product that provides support for Business Intelligence
applications. The NPS®
system allows users to analyze data trends by processing massive
amounts of data at high speed. The NPS®
is designed for databases ranging from
approximately 2 terabytes to 100 terabytes, depending on the model chosen. By combining
database, server, and storage into a single system architecture, the NPS®
architecture is
designed to allow efficient, ad-hoc querying and analytical searches of large amounts of data
at a high speed.
Electronic Warfare Associates-Canada, Ltd. is the Common Criteria Evaluation Facility that
conducted the evaluation. This evaluation was completed on 4 September 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 NPS®
, the security
requirements, and the level of confidence (evaluation assurance level) at which the product is
intended to satisfy the security requirements. Consumers of the NPS®
are advised to verify
that their operating environment is consistent with 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 3 Augmented 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 following augmentation is claimed:
ALC_FLR.2 – Flaw reporting procedures.
CSE, as the CCS Certification Body, declares that the NPS®
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-
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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cst.gc.ca/services/common-criteria/trusted-products-e.html and on the official International
Common Criteria Program website at http://www.commoncriteriaportal.org.
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1 Identification of Target of Evaluation
The Target of Evaluation (TOE) for this Evaluation Assurance Level (EAL) 3 augmented
evaluation is the Netezza Performance Server®
Version 3.0, from Netezza Corporation,
(hereafter referred to as NPS®
).
2 TOE Description
The NPS®
is a database appliance that integrates a database, server, and storage into a single
system architecture. The NPS®
architecture is designed to allow efficient, ad-hoc querying of
large amounts of data at high speed. In a typical deployment of the NPS®
, data is placed into
the NPS®
from a corporate data source (e.g. an e-commerce transactional database, a
corporate customer information database, or a corporate wide data collection system). End
users of the product access this data through a custom Business Intelligence application. This
Business Intelligence application provides the user with mechanisms to perform queries and
analysis on sets of data. The Business Intelligence application accesses the NPS®
appliance
on behalf of the user through standard ODBC (Open Database Connectivity) or JDBC (Java
Database Connectivity ) interfaces to submit SQL queries to the NPS®
. The NPS®
identifies
and authenticates all database users and implements a traditional discretionary access control
mechanism in order to control access to specific data. The NPS®
provides extensive logging
and audit capabilities.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for the NPS®
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: Netezza Corporation, Netezza Performance Server®
version 3.0, Netezza Security
Target
Version: 1.1
Date: 04 September 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 NPS®
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 3 Augmented, with all the security assurance requirements in
EAL 3, as well as ALC_FLR.2 - Flaw reporting procedures.
6 Security Policy
The TOE implements a traditional Discretionary Access Control Policy. Users who create
objects (databases, tables, etc.) are considered ‘owners’ of the objects which they create.
Object owners have full permissions on the objects which they own. Object owners may also
‘grant’ permissions (full or partial) on their objects to other users or groups. The permissions
for any individual user consist of a union of the permissions assigned to that user with the
permissions assigned to any group of which the user is a member.
In addition, the NPS®
implements policies pertaining to security audit, user data
protection, identification and authentication, and security management. Further details on
these security policies may be found in Section 5 of the ST.
7 Assumptions and Clarification of Scope
Consumers of the NPS®
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:
a. Personnel authorized to install, configure, and operate the NPS®
are non-hostile, possess
appropriate training and will adhere to the procedures for secure usage of the product
described in the ST.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
a. The NPS®
is installed in a physically secure location and only authorized individuals
are granted physical access to the NPS®
.
b. No general purpose computing capabilities such as compilers or user applications are
installed on the NPS®
.
For more information about the TOE security environment, refer to Section 3 of the ST (TOE
Security Environment).
7.3 Clarification of Scope
The NPS®
provides a level of protection that is appropriate for low robustness environments
processing unclassified information. It offers protection against inadvertent or casual
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attempts to breach system security, by unsophisticated attackers possessing a low attack
potential. It is not intended for situations which involve determined attempts by hostile or
well-funded attackers using sophisticated attack techniques.
8 Architectural Information
The NPS®
is composed of the following component subsystems:
a. Host;
b. Gigabit Ethernet Switch; and
c. Snippet Processing Units (SPU).
The Host component provides the central processing intelligence for the TOE, running a
version of the Linux operating system. All administrative functions and external interfaces
are provided by the Host. The Host receives incoming data requests and creates a query plan
which is optimized to achieve the quickest possible results. The host communicates with the
Snippet Processing Units (SPU) using the Gigabit Ethernet Switch. The SPUs are the basic
unit of storage and provide query processing, data storage, and data mirroring functionality.
Each SPU consists of a hard drive and a processor. Smaller NPS®
models include tens of
SPUs while larger models may contain hundreds of SPUs, yielding many terabytes of
storage. Typically multiple SPUs will be involved in processing data for a query. Each SPU
will process its portion of the query independently and return the results to the Host via the
Gigabit Ethernet Switch. The Host will perform final processing of the results and present
them to the external interface.
9 Evaluated Configuration
The NPS®
Security Target defines the following evaluated configurations of the TOE:
a. 5200;
b. 8050z;
c. 8150z;
d. 8250z;
e. 8450z; and
f. 8650z.
The NPS®
software evaluated on each of the TOE models was Release 3.0.6 [Build 6414]
running on Red Hat Enterprise Linux AS (Intel 32-bit) Version 4.
10 Documentation
The Netezza Corporation documents provided to the consumer are as follows:
a. Netezza Performance Server Administrator’s Guide, Document Number: 20282-6 Rev. 1,
Software Release: 3.0, Revised: 18 November 2005;
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b. Netezza Performance Server Database User’s Guide, Document Number: 20284-6 Rev.
1, Software Release: 3.0, Revised: 18 November 2005;
c. Netezza Performance Server Getting Started Tips, Document Number: 020293-6 Rev. 1,
Software Release: 3.0; and
d. Netezza Corporation, Netezza Performance Server 3.0, AGD & IGS Readme, Document
Version 0.2, 11 May 2007.
11 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of the NPS®
, including the
following areas:
Configuration management: An analysis of the NPS®
development environment and
associated documentation was performed. The evaluators found that the NPS®
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
NPS®
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.
Design documentation: The evaluators analysed the NPS®
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 NPS®
user and administrator 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.
Life-cycle support: The evaluators assessed 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 NPS®
design and
implementation. The documented flaw remediation process was carefully reviewed,
demonstrating that adequate procedures are in place to track and correct security flaws, and
distribute the flaw information and corrections.
Vulnerability assessment: The strength of function claim from the Security Target of the
NPS®
was validated through independent evaluator analysis. The evaluators also validated
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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. In addition, the evaluators analyzed the guidance documentation for
any ambiguities that could lead to an insecure configuration, performed an independent
vulnerability analysis and developed tests that focused on potential vulnerabilities in the
NPS®
.
All these evaluation activities resulted in PASS verdicts.
12 ITS Product Testing
Testing at EAL 3 consists of the following three steps: assessing developer tests in terms of
coverage and depth, performing independent functional tests, and performing independent
penetration tests.
12.1 Assessing Developer Tests
The evaluator assessed NPS®
test documentation for both coverage and depth. The testing
effort included multiple tests for each of the security functions provided by the product and
exercised all of the security relevant functionality of each of the externally visible TOE
interfaces. In selecting a subset of the developer’s tests for repetition during the evaluation,
the evaluators selected a sample of approximately 30% of the developer’s tests. Tests were
selected across the entire range of product security functionality and included at least one test
procedure for each of the security functions claimed by the TOE.
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. The following areas were tested:
a. Product Initialization;
b. Identification and Authentication;
c. Security Audit;
d. Security Management; and
e. 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;
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• Bypassing;
• Tampering; and
• Direct Attacks.
The evaluator conducted a port scan of the NPS®
. Only the ports listed in the installation
instructions were found to be open. The evaluator used a publicly available tool to scan the
NPS®
for generic vulnerabilities, and none were found. In addition, the evaluator performed
direct attacks on the NPS®
, attempting to bypass or break the TOE’s discretionary access
control security mechanisms.
The independent penetration testing did not uncover any exploitable vulnerabilities for the
NPS®
in the anticipated operating environment.
12.4 Conduct of Testing
The NPS®
was subjected to a comprehensive suite of formally documented, independent
functional tests. The testing took place at the Information Technology Security Evaluation
and Test (ITSET) Facility at Electronic Warfare Associates-Canada, Ltd. and at the
developer’s facility in Framingham, MA. 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 the Evaluation Technical Report (ETR)2
.
12.5 Testing Results
The developer’s tests and the independent functional tests yielded the expected results,
giving assurance that the NPS®
behaves as specified in its ST and functional specification.
The penetration testing resulted a PASS verdict, as the evaluators were unable to exploit any
of the identified potential vulnerabilities in the NPS®
in its intended operating environment.
13 Results of the Evaluation
This evaluation has provided the basis for an EAL 3+ 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
In all cases, the TOE is installed and configured by Netezza personnel. Upgrades to the
product are also performed by Netezza personnel.
2
The Evaluation Technical Report is a CCS document that contains information proprietary to the developer
and/or evaluator, and is not releaseable for public review.
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The user documentation for the NPS®
describes in detail the discretionary access control
policy implemented by the TOE as well as the extensive logging and auditing features of the
product. The developer has produced a guidance supplement which includes specific
instructions applicable to the evaluated configuration of the product.
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15 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
CSE Communications Security Establishment
DAC Discretionary Access Control
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
JDBC Java Database Connectivity
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
ODBC Open Database Connectivity
PALCAN Program for the Accreditation of Laboratories
Canada
SFP Security Function Policy
SPU Snippet Processing Unit
SQL Structured Query Language
ST Security Target
TOE Target of Evaluation
TSF TOE Security Function
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16 References
This section lists all documentation used as source material for this report:
a. Canadian Common Criteria Evaluation and Certification Scheme (CCS) and 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, CEM,
Version 2.3, August 2005.
d. Netezza Corporation, Netezza Performance Server®
version 3.0, Netezza Security
Target, Document Version 1.1, 4 September 2007.
e. Evaluation Technical Report (ETR) Netezza Performance Server®
, EAL 3+
Evaluation, Common Criteria Evaluation Number: 383-4-59, Document No. 1537-
000-D002, Version 1.0, 4 September 2007.