Certification Report
EAL 3+ Evaluation of Xerox WorkCentre 5135/5150
Multifunction Systems
Issued by:
Communications Security Establishment Canada
Certification Body
Canadian Common Criteria Evaluation and Certification Scheme
© Government of Canada, Communications Security Establishment Canada, 2010
Document number: 383-4-125-CR
Version: 1.0
Date: 26 November 2010
Pagination: i to iii, 1 to 13
CCS Certification Report Xerox Corporation
Xerox 5135/5150
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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 2, for conformance to the Common Criteria for Information Technology Security
Evaluation, Version 3.1 Revision 2. 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.
CCS Certification Report Xerox Corporation
Xerox 5135/5150
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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 DOMUS IT Security Laboratory 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 26
November 2010, and the security target identified in Section 5 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:
• Xerox is a trademark of Xerox Corporation in the United States and/or other countries.
• Windows is a registered trademark of Microsoft Corporation.
Reproduction of this report is authorized provided the report is reproduced in its entirety.
CCS Certification Report Xerox Corporation
Xerox 5135/5150
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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...................................................................................................................... 4
5 Common Criteria Conformance.......................................................................................... 4
6 Security Policy....................................................................................................................... 4
7 Assumptions and Clarification of Scope............................................................................. 5
7.1 SECURE USAGE ASSUMPTIONS................................................................................... 5
7.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 5
7.3 CLARIFICATION OF SCOPE.......................................................................................... 6
8 Evaluated Configuration...................................................................................................... 6
9 Documentation ...................................................................................................................... 7
10 Evaluation Analysis Activities ............................................................................................. 7
11 ITS Product Testing.............................................................................................................. 8
11.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 8
11.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 9
11.3 INDEPENDENT PENETRATION TESTING..................................................................... 10
11.4 CONDUCT OF TESTING ............................................................................................. 10
11.5 TESTING RESULTS.................................................................................................... 10
12 Results of the Evaluation.................................................................................................... 10
13 Evaluator Comments, Observations and Recommendations ......................................... 11
14 Acronyms, Abbreviations and Initializations................................................................... 12
15 References............................................................................................................................ 12
CCS Certification Report Xerox Corporation
Xerox 5135/5150
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Executive Summary
Xerox WorkCentre 5135/5150 Multifunction Systems (hereafter referred to as Xerox
5135/5150), from Xerox Corporation, is the Target of Evaluation for this Evaluation
Assurance Level (EAL) 3 augmented evaluation
Xerox 5135/5150 is a family of multi-function devices that include copy, print, scan-to-
email1
, network scan2
, and FAX functionality. The product incorporates security features
such that temporary files created for these processes are encrypted and then overwritten as
the processes complete. Users are required to provide a valid username and password or
Common Access Card and PIN to access the product processes.
DOMUS IT Security Laboratory is the CCEF that conducted the evaluation. This evaluation
was completed on 5 November 2010 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 Xerox 5135/5150, 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)3
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 3.1 Revision 2, for
conformance to the Common Criteria for Information Technology Security Evaluation,
Version 3.1 Revision 2. The following augmentation is claimed: ALC_FLR.3 – Systematic
Flaw Remediation.
Communications Security Establishment Canada, as the CCS Certification Body, declares
that the Xerox 5135/5150 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
Scanned files are emailed to the user.
2
Scanned files are routed to a directory.
3
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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Xerox 5135/5150
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CCS Certification Report Xerox Corporation
Xerox 5135/5150
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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 Xerox WorkCentre 5135/5150 Multifunction Systems (hereafter referred to as
Xerox 5135/5150), from Xerox Corporation.
2 TOE Description
Xerox 5135/5150 is a family of multi-function devices that include copy, print, scan-to-
email4
, network scan5
, and FAX functionality. The product incorporates Image Overwrite
Security whereby temporary files created for these processes are overwritten either on
demand or as processes complete. Partitions of the hard drive used to store the temporary
files are encrypted using CAVP-validated cryptography. Users must provide a valid
username and password or Common Access Card and PIN to access the product processes.
3 Evaluated Security Functionality
The complete list of evaluated security functionality for Xerox 5135/5150 is identified in
Section 5 of the Security Target (ST).
The following Government of Canada approved cryptographic algorithms were evaluated for
correct implementation in Xerox 5135/5150:
Cryptographic Algorithm Standard Certificate #
Triple-DES (3DES) FIPS 46-3 990
Advanced Encryption Standard (AES) FIPS 197 1471, 1472
Rivest Shamir Adleman (RSA) FIPS 186-2 719
Secure Hash Algorithm (SHA-1) FIPS 180-2 1331
4
Scanned files are emailed to the user.
5
Scanned files are routed to a directory.
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Xerox 5135/5150
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4 Security Target
The ST associated with this Certification Report is identified by the following nomenclature:
Title: Xerox WorkCentre 5135/5150 Multifunction Systems Security Target
Version: 1.0
Date: 1 November 2010
5 Common Criteria Conformance
The evaluation was conducted using the Common Methodology for Information Technology
Security Evaluation, Version3.1 Revision 2, for conformance to the Common Criteria for
Information Technology Security Evaluation, Version 3.1 Revision 2.
Xerox 5135/5150 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
c. Common Criteria EAL 3 augmented, containing all security assurance requirements in
the EAL 3 package, as well as the following: ALC_FLR.3 – Systematic Flaw
Remediation.
6 Security Policy
Xerox 5135/5150 implements the following security policies:
ƒ an overwrite policy for the overwrite of temporary files created for the print, network
scan, scan-to-email, and FAX processes;
ƒ an information flow control policy that prevents data and commands from entering
the network via the FAX board;
ƒ encryption policies for the protection of temporary files stored on the hard drive and
for the protection of audit data output by the TOE;
ƒ an access control policy whereby users cannot access TOE processes without a valid
username and password, or Common Access Card and PIN; and
ƒ an access control policy that restricts IP addresses permitted to communicate with the
TOE.
In addition, Xerox 5135/5150 implements policies pertaining to security audit, identification
and authentication, and security management.
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Further details on these security policies may be found in Section 5 of the ST.
7 Assumptions and Clarification of Scope
Consumers of Xerox 5135/5150 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:
• The TOE has been delivered and installed by Xerox-authorized representatives using
Xerox delivery and installation guidance. The TOE has been configured by the
system administrator in accordance with the administrator and user guidance
delivered with the TOE.
• One or more system administrators are assigned to manage the TOE. Procedures exist
for granting a system administrator access to the system administrator password for
the TOE.
• The system administrators are not careless, willfully negligent or hostile, and will
follow the instructions provided in the administrator and user guidance delivered with
the TOE.
• All of the systems that communicate with the TOE are under the same management
and physical control as the TOE, and are covered by the same management and
security policy as the TOE.
7.2 Environmental Assumptions
The following Environmental Assumptions are listed in the ST:
• The TOE is installed in a standard office environment. Because the TOE is under
observation by office personnel, unauthorized physical modifications to the TOE and
unauthorized attempts to connect to the TOE via its physical interfaces are not
possible.
• The network that the TOE is connected to is monitored for unapproved activities
and/or attempts to attack network resources.
• All remote products that communicate with the TOE implement the communications
protocol in accordance with industry standard practice and work as advertised.
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• The IT environment will provide the TOE with the following services: Network Time
Protocol; Identification and Authentication; and Authorization.
7.3 Clarification of Scope
Xerox 5135/5150 incorporates CAVP-validated cryptography and was not subjected to
CMVP (FIPS-140) validation.
8 Evaluated Configuration
The software/firmware components of Xerox 5135/5150 are listed below. The administrator
can confirm their product configuration by printing a configuration sheet and checking
against the evaluated configuration list.
Software/Firmware Item WorkCentre 5135 WorkCentre 5150
System Software 021.120.060.00015 021.120.060.00015
Network Controller Software 061.100.08402 061.100.08402
UI Software 020.014.063 020.014.063
IOT Software 092.011.000 092.011.000
SIP (Copy Controller) Software 020.063.000 020.063.000
DADH Software (Options)
• DADH 75 016.028.000 016.028.000
• DADH 100 020.019.000 020.019.000
• DADH 100 Quiet Mode 025.018.000 025.018.000
High Capacity Trays Software 000.010.009 000.010.009
Finisher Software (Options)
• 1K LCSS 001.031.000 001.031.000
• LCSS 003.053.000 003.053.000
• HCSS 013.040.000 013.040.000
• HCSS with BookletMaker 024.016.000 024.016.000
• High Volume Finisher (HVF) 004.003.072 004.003.072
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Xerox 5135/5150
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Software/Firmware Item WorkCentre 5135 WorkCentre 5150
• HVF with BookletMaker 003.002.005 003.006.006
FAX Software 003.009.009 003.009.009
Scanner Software (options)
32, 38, 45, 55 PPM 017.005.000 017.005.000
65, 75, 87 PPM 004.022.000 004.022.000
9 Documentation
The Xerox Corporation documents provided to the consumer are as follows:
• System Administration CD 1, version 538E11432, December 16th
, 2008; and
• Xerox IUG CD 2, version 538E11443, December 16th
, 2008.
10 Evaluation Analysis Activities
The evaluation analysis activities involved a structured evaluation of Xerox 5135/5150,
including the following areas:
Development: The evaluators analyzed the Xerox 5135/5150 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 Xerox
5135/5150 security architectural description and determined that the initialization process is
secure and that the security functions are protected against tamper and bypass. The
evaluators also independently verified that the correspondence mappings between the design
documents are correct.
Guidance Documents: The evaluators examined the Xerox 5135/5150 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.
Life-cycle support: An analysis of Xerox 5135/5150 configuration management system and
associated documentation was performed. The evaluators found that the Xerox 5135/5150
configuration items were clearly marked and that the access control measures as described in
the configuration management documentation are effective in preventing unauthorized access
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to the configuration items. The developer’s configuration management system was also
observed during the site visit, and it was found to be mature and well-developed.
During the site visit the evaluators examined the development security procedures and
determined that they detailed sufficient security measures for the development environment
to protect the confidentiality and integrity of the Xerox 5135/5150 design and
implementation. The evaluators confirmed that the developer used a documented model of
the TOE life-cycle and that the life-cycle model provides for the necessary control over the
development and maintenance of the TOE.
The evaluators examined the delivery documentation and determined that it described all of
the procedures required to maintain the integrity of Xerox 5135/5150 during distribution to
the consumer.
The evaluators reviewed the flaw remediation procedures used by Xerox Corporation for
Xerox 5135/5150. During a site visit, the evaluators 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 Xerox 5135/5150. Additionally, the evaluators conducted a review of public domain
vulnerability databases, and a search of all evaluation deliverables. The evaluators identified
potential vulnerabilities for testing applicable to the Xerox 5135/5150 in its operational
environment.
All these evaluation activities resulted in PASS verdicts.
11 ITS Product Testing
Testing at EAL 3 consists of the following three steps: assessing developer tests, performing
independent functional tests, and performing penetration tests.
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 ETR6
.
6
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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Xerox 5135/5150
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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 and TOE design 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 DOMUS IT Security Laboratory 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. Image Overwrite: The objective of this test goal is to verify files created during the
printing, network scan, scan-to-email and LanFAX processes are overwritten;
c. Identification and Authentication: The objective of this test goal is to ensure that system
administrators are required to identify and authenticate themselves prior to gaining access
to system administration functions;
d. Network Identification: The objective of this test goal is to verify that the TOE can
prevent unauthorized use of installed network options;
e. Audit: The objective of this test goal is to ensure that the TOE generates audit logs;
f. Cryptographic Operations: The objective of this test goal is to ensure that the TOE
performs the specified cryptographic operations;
g. User Data Protection – IP Filtering: The objective of this test goal is to ensure the TOE
enforces the network information flow control policy controlling network traffic to and
from the TOE as configured by the system administrator;
h. Information Flow Security: The objective of this test goal is to ensure the TOE controls
and restricts information flow between the PSTN port of the optional FAX processing
board, if installed, and the network controller;
i. Security Management: The objective of this test goal is to determine the correct operation
of the management functions provided by the TOE; and
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Xerox 5135/5150
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j. User Data Protection – AES: The objective of this test goal is to ensure the TOE supports
encryption and decryption of designated portions of the hard disk where temporary files
are stored.
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:
• Port Scanning: The objective of this test goal is to determine if Xerox 5135/5150
opens any ports that could be exploited from the network;
• Session Fixation7
: The objective of this test goal is to determine if Xerox 5135/5150
is vulnerable to the session fixation attack; and
• Denial of Service (DOS) Attack: The objective of this test goal is to determine if
Xerox 5135/5150 is vulnerable to a DOS attack causing the network controller to
reboot.
The independent penetration testing did not uncover any exploitable vulnerabilities in the
intended operating environment.
11.4 Conduct of Testing
Xerox 5135/5150 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 DOMUS IT Security
Laboratory. 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 Xerox 5135/5150 behaves as specified in its ST and functional
specification and TOE design.
12 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.
7
Session fixation attacks attempt to exploit the vulnerability of a system which allows one person to fixate (set)
another person's session identifier (SID).
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Xerox 5135/5150
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13 Evaluator Comments, Observations and Recommendations
The evaluator found the guidance for the configuration, integration, and use of the Xerox
5135/5150 to be clear. The evaluator recommends that customers follow the provided
guidance documentation in order to deploy the Xerox 5135/5150 in its evaluated
configuration.
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Xerox 5135/5150
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14 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
CPL Certified Products list
CM Configuration Management
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
FAX Facsimile
IP Internet Protocol
IT Information Technology
ITSET Information Technology Security Evaluation
and Testing
PALCAN Program for the Accreditation of Laboratories
- Canada
PIN Personal Identification Number
PSTN Public Switched Telephone Network
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
15 References
This section lists all documentation used as source material for this report:
a. CCS Publication #4, Technical Oversight, Version 1.1, August 2005.
b. Common Criteria for Information Technology Security Evaluation, Version 3.1
Revision 2, September, 2007.
c. Common Methodology for Information Technology Security Evaluation, CEM,
Version 3.1 Revision 2, September, 2007.
d. Xerox WorkCentre 5135/5150 Multifunction Systems Security Target, 1.0, 1
November 2010.
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Xerox 5135/5150
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e. Evaluation Technical Report Version 1.0, Xerox Corporation Xerox WorkCentre
5135/5150 Multifunction Systems EAL3+, 5 November 2010.