Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
Lexmark MX410, MX510, MX511, MX610,
MX611, MX710, MX711, XM1145, XM3150,
XM5163, XM5170, CX410, CX510 and Dell
B3465 and B5465 Multi-Function Printers
Security Target
Version 1.11
August 29, 2014
Lexmark International, Inc.
740 New Circle Road
Lexington, KY 40550
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
2
DOCUMENT INTRODUCTION
Prepared By:
Common Criteria Consulting LLC
15804 Laughlin Lane
Silver Spring, MD 20906
http://www.consulting-cc.com
Prepared For:
Lexmark International, Inc.
740 New Circle Road
Lexington, KY 40550
http://www.lexmark.com
Various text from clauses 5, 7-9, and 12 reprinted with permission from IEEE, 445 Hoes Lane,
Piscataway, New Jersey 08855, from IEEE "2600.2™-2009 Standard for a Protection Profile in
Operational Environment B", Copyright © 2009 IEEE. All rights reserved.
REVISION HISTORY
Rev Description
1.0 August 16, 2012, initial release
1.1 August 24, 2012, addressed lab EORs
1.2 August 28, 2012, additional update for models
1.3 January 17, 2013, updates for FSP consistency
1.4 January 28, 2013, added a printer model
1.5 April 24, 2013, addressed EORs resulting from AGD and ATE
1.6 May 6, 2013, name change for releasing held print jobs
1.7 May 9, 2013, additional app name change, CAVP cert, and change to FAC setting
1.8 May 15, 2013, updated TOE version and application info
1.9 August 6, 2013, updated TOE version
1.10 January 8, 2014, added an explicit statement regarding syslog transmissions
1.11 August 29, 2014, assurance continuity updates
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
3
TABLE OF CONTENTS
1. SECURITY TARGET INTRODUCTION................................................................. 9
1.1 Security Target Reference.......................................................................................... 9
1.2 TOE Reference............................................................................................................ 9
1.3 Evaluation Assurance Level....................................................................................... 9
1.4 Keywords ..................................................................................................................... 9
1.5 TOE Overview............................................................................................................. 9
1.5.1 Usage and Major Security Features ........................................................................... 9
1.5.2 TOE type.................................................................................................................. 10
1.5.3 Required Non-TOE Hardware/Software/Firmware................................................. 10
1.6 TOE Description ....................................................................................................... 10
1.6.1 Users ........................................................................................................................ 12
1.6.2 Objects (Assets) ....................................................................................................... 13
1.6.2.1 User Data .............................................................................................................. 13
1.6.2.2 TSF Data............................................................................................................... 14
1.6.2.3 Functions............................................................................................................... 14
1.6.3 Operations................................................................................................................ 15
1.6.4 Channels................................................................................................................... 15
1.7 Physical Boundary .................................................................................................... 15
1.8 Logical Boundary...................................................................................................... 15
1.8.1 Audit Generation...................................................................................................... 15
1.8.2 Identification and Authentication ............................................................................ 15
1.8.3 Access Control......................................................................................................... 15
1.8.4 Management............................................................................................................. 15
1.8.5 Fax Separation ......................................................................................................... 16
1.8.6 D.DOC Wiping ........................................................................................................ 16
1.8.7 Secure Communication............................................................................................ 16
1.8.8 Self Test ................................................................................................................... 16
1.9 TOE Data................................................................................................................... 16
1.9.1 TSF Data.................................................................................................................. 16
1.9.2 Authentication Data ................................................................................................. 19
1.9.3 Security Attributes ................................................................................................... 19
1.9.4 User Data ................................................................................................................. 19
1.10 Evaluated Configuration........................................................................................ 20
1.11 Rationale for Non-Bypassability and Separation................................................. 22
2. CONFORMANCE CLAIMS..................................................................................... 23
2.1 Common Criteria Conformance.............................................................................. 23
2.2 Protection Profile Conformance.............................................................................. 23
2.3 Security Requirement Package Conformance ....................................................... 23
3. SECURITY PROBLEM DEFINITION ................................................................... 24
3.1 Introduction............................................................................................................... 24
3.2 Assumptions............................................................................................................... 24
3.3 Threats ....................................................................................................................... 24
3.4 Organisational Security Policies.............................................................................. 25
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
4
4. SECURITY OBJECTIVES........................................................................................ 26
4.1 Security Objectives for the TOE ............................................................................. 26
4.2 Security Objectives for the Operational Environment.......................................... 26
5. EXTENDED COMPONENTS DEFINITION ......................................................... 28
5.1 Extended Security Functional Components ........................................................... 28
5.1.1 FPT_FDI_EXP Restricted forwarding of data to external interfaces ...................... 28
FPT_FDI_EXP.1............................................................................................................... 29
5.2 Extended Security Assurance Components............................................................ 29
6. SECURITY REQUIREMENTS................................................................................ 30
6.1 TOE Security Functional Requirements ................................................................ 30
6.1.1 Security Audit (FAU) .............................................................................................. 30
6.1.1.1 FAU_GEN.1 Audit Data Generation.................................................................... 30
6.1.1.2 FAU_GEN.2 User Identity Association ............................................................... 32
6.1.2 Cryptographic Support (FCS).................................................................................. 32
6.1.2.1 FCS_CKM.1 Cryptographic Key Generation....................................................... 32
6.1.2.2 FCS_CKM.4 Cryptographic Key Destruction...................................................... 32
6.1.2.3 FCS_COP.1 Cryptographic Operation ................................................................. 32
6.1.3 User Data Protection (FDP)..................................................................................... 33
6.1.3.1 FDP_ACC.1 Subset Access Control..................................................................... 33
6.1.3.2 FDP_ACF.1 Security Attribute Based Access Control ........................................ 33
6.1.3.3 FDP_RIP.1 Subset Residual Information Protection............................................ 35
6.1.4 Identification and Authentication (FIA) .................................................................. 35
6.1.4.1 FIA_AFL.1 Authentication Failure Handling....................................................... 35
6.1.4.2 FIA_ATD.1 User Attribute Definition ................................................................. 35
6.1.4.3 FIA_UAU.1 Timing of Authentication................................................................. 36
6.1.4.4 FIA_UAU.7 Protected Authentication Feedback ................................................. 36
6.1.4.5 FIA_UID.1 Timing of Identification .................................................................... 36
6.1.4.6 FIA_USB.1 User-Subject Binding ....................................................................... 36
6.1.5 Security Management (FMT) .................................................................................. 37
6.1.5.1 FMT_MOF.1 Management of Security Functions Behaviour.............................. 37
6.1.5.2 FMT_MSA.1 Management of Security Attributes ............................................... 37
6.1.5.3 FMT_MSA.3 Static Attribute Initialisation.......................................................... 38
6.1.5.4 FMT_MTD.1 Management of TSF Data.............................................................. 38
6.1.5.5 FMT_SMF.1 Specification of Management Functions ........................................ 40
6.1.5.6 FMT_SMR.1 Security Roles ................................................................................ 40
6.1.6 Protection of the TSF (FPT) .................................................................................... 41
6.1.6.1 FPT_FDI_EXP.1 Restricted forwarding of data to external interfaces ................ 41
6.1.6.2 FPT_STM.1 Reliable Time Stamps...................................................................... 41
6.1.6.3 FPT_TST.1 TSF Testing....................................................................................... 41
6.1.7 TOE Access (FTA) .................................................................................................. 41
6.1.7.1 FTA_SSL.3 TSF-Initiated Termination................................................................ 41
6.1.8 Trusted Path/Channels (FTP)................................................................................... 41
6.1.8.1 FTP_ITC.1 Inter-TSF Trusted Channel................................................................ 41
6.2 TOE Security Assurance Requirements ................................................................. 42
6.3 CC Component Hierarchies and Dependencies..................................................... 42
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
5
7. TOE SUMMARY SPECIFICATION....................................................................... 44
7.1 Security Functions .................................................................................................... 44
7.1.1 Audit Generation...................................................................................................... 44
7.1.2 Identification and Authentication ............................................................................ 45
7.1.2.1 Backup Password.................................................................................................. 46
7.1.2.2 Active Directory.................................................................................................... 46
7.1.3 Access Control......................................................................................................... 47
7.1.3.1 Internal Account Building Blocks ........................................................................ 51
7.1.3.2 LDAP+GSSAPI and Smart Card Authentication Client Building Blocks ........... 51
7.1.3.3 Common Processing ............................................................................................. 51
7.1.3.4 Function Access Control....................................................................................... 51
7.1.3.5 Postscript Access Control ..................................................................................... 53
7.1.4 Management............................................................................................................. 53
7.1.4.1 Reports Menu........................................................................................................ 53
7.1.4.2 Network/Ports Menu............................................................................................. 53
7.1.4.3 Security Menu....................................................................................................... 54
7.1.4.4 Settings Menu ....................................................................................................... 56
7.1.4.5 Security Reset Jumper........................................................................................... 58
7.1.5 Fax Separation ......................................................................................................... 58
7.1.6 D.DOC Wiping ........................................................................................................ 59
7.1.7 Secure Communications .......................................................................................... 59
7.1.8 Self Test ................................................................................................................... 59
8. PROTECTION PROFILE CLAIMS........................................................................ 60
8.1 TOE Type Consistency............................................................................................. 60
8.2 Security Problem Definition Consistency ............................................................... 60
8.3 Security Objectives Consistency.............................................................................. 60
8.4 Security Functional Requirements Consistency .................................................... 60
8.5 Security Assurance Requirements Consistency ..................................................... 61
9. RATIONALE .............................................................................................................. 62
9.1 Rationale for IT Security Objectives....................................................................... 62
9.1.1 Rationale Showing Threats to Security Objectives ................................................. 62
9.1.2 Rationale Showing Policies to Security Objectives................................................. 63
9.1.3 Rationale Showing Assumptions to Environment Security Objectives................... 64
9.2 Security Requirements Rationale............................................................................ 65
9.2.1 Rationale for Security Functional Requirements of the TOE Objectives................ 65
9.2.2 Security Assurance Requirements Rationale........................................................... 68
9.3 TOE Summary Specification Rationale.................................................................. 68
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
6
LIST OF FIGURES
Figure 1 - TOE Model ................................................................................................... 12
LIST OF TABLES
Table 1 - Technical Characteristics of the MFP Models.............................................. 11
Table 2 - Notational prefix conventions....................................................................... 12
Table 3 - Users ............................................................................................................. 13
Table 4 - User Data ...................................................................................................... 13
Table 5 - TSF Data....................................................................................................... 14
Table 6 - Functions....................................................................................................... 14
Table 7 - TSF Data....................................................................................................... 16
Table 8 - Authentication Data ...................................................................................... 19
Table 9 - Security Attributes ........................................................................................ 19
Table 10 - User Data .................................................................................................. 19
Table 11 - Source-Destination Combinations ............................................................ 22
Table 12 - Assumptions.............................................................................................. 24
Table 13 - Threats....................................................................................................... 24
Table 14 - Organizational Security Policies for the TOE .......................................... 25
Table 15 - Security Objectives for the TOE............................................................... 26
Table 16 - Security Objectives of the Operational Environment ............................... 26
Table 17 - Audit data requirements............................................................................ 30
Table 18 - Cryptographic Operations......................................................................... 32
Table 19 - Common Access Control SFP Rules ........................................................ 33
Table 20 - Management of Security Functions Behaviour......................................... 37
Table 21 - TSF Data................................................................................................... 38
Table 22 - FMT_SMR.1 Detail.................................................................................. 40
Table 23 - EAL2+ Assurance Requirements.............................................................. 42
Table 24 - TOE SFR Dependency Rationale ............................................................. 42
Table 25 - Access Control Items ................................................................................ 47
Table 26 - TOE Function Access Control SFP Rules ................................................ 51
Table 27 - Network/Ports Menu TSF Data ................................................................ 53
Table 28 - Security Menu TSF Data .......................................................................... 54
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
7
Table 29 - General Settings Menu TSF Data ............................................................. 56
Table 30 - Fax Settings Menu TSF Data.................................................................... 56
Table 31 - Email Settings Menu TSF Data ................................................................ 57
Table 32 - Print Settings/Setup Settings Menu TSF Data.......................................... 57
Table 33 - Threats, Policies and Assumptions to Security Objectives Mapping ....... 62
Table 34 - Threats to Security Objectives Rationale.................................................. 63
Table 35 - Policies to Security Objectives Rationale................................................. 64
Table 36 - Assumptions to Security Objectives Rationale......................................... 64
Table 37 - SFRs to Security Objectives Mapping...................................................... 65
Table 38 - Security Objectives to SFR Rationale....................................................... 66
Table 39 - SFRs to TOE Security Functions Mapping .............................................. 68
Table 40 - SFR to SF Rationale.................................................................................. 69
ACRONYMS LIST
AD.............................................................................................................Active Directory
AES.................................................................................Advanced Encryption Standard
AIO..................................................................................................................... All In One
BSD..................................................................................Berkeley Software Distribution
CAC................................................................................................ Common Access Card
CAVP ....................................................Cryptographic Algorithm Validation Program
CC...........................................................................................................Common Criteria
CM.........................................................................................Configuration Management
EAL .......................................................................................Evaluation Assurance Level
ESP .................................................................................Encapsulating Security Payload
FTP................................................................................................. File Transfer Protocol
GSSAPI ...............................Generic Security Services Application Program Interface
HTTP..................................................................................HyperText Transfer Protocol
I&A................................................................................. Identification & Authentication
IPP............................................................................................Internet Printing Protocol
IPSec.........................................................................................Internet Protocol Security
IPv4......................................................................................... Internet Protocol version 4
IPv6......................................................................................... Internet Protocol version 6
ISO..........................................................................International Standards Orgaization
IT .................................................................................................Information Technology
KDC.............................................................................................Key Distribution Center
KDF............................................................................................Key Derivation Function
LAN................................................................................................... Local Area Network
LDAP.................................................................. Lightweight Directory Access Protocol
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
8
MB.......................................................................................................................MegaByte
MFD ................................................................................................Multi-Finction Device
MFP...............................................................................................Multi-Function Printer
NTP...............................................................................................Network Time Protocol
OSP...................................................................................Organizational Security Policy
PIV..................................................................................... Personal Identity Verification
PJL ..................................................................................................Printer Job Language
PP............................................................................................................Protection Profile
RFC ..............................................................................................Request For Comments
SASL.............................................................Simple Authentication and Security Layer
SFP ............................................................................................. Security Function Policy
SFR.............................................................................. Security Functional Requirement
SMTP .............................................................................Simple Mail Transport Protocol
SNMP .................................................................Simple Network Management Protocol
ST................................................................................................................Security Target
TFTP ................................................................................. Trivial File Transfer Protocol
TOE...................................................................................................Target of Evaluation
TSF ............................................................................................... TOE Security Function
UI..................................................................................................................User Interface
URL........................................................................................ Uniform Resource Locator
USB.................................................................................................... Universal Serial Bus
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
9
1. Security Target Introduction
This Security Target (ST) describes the objectives, requirements and rationale for the Lexmark
MX410, MX510, MX511, MX610, MX611, MX710, MX711, XM1145, XM3150, XM5163,
XM5170, CX410, CX510 and Dell B3465 and B5465 Multi-Function Printers. The language
used in this Security Target is consistent with the Common Criteria for Information Technology
Security Evaluation, Version 3.1 and all international interpretations through October 10, 2012.
As such, the spelling of terms is presented using the internationally accepted English.
1.1 Security Target Reference
Lexmark MX410, MX510, MX511, MX610, MX611, MX710, MX711, XM1145, XM3150,
XM5163, XM5170, CX410, CX510 and Dell B3465 and B5465 Security Target, version 1.11,
August 29, 2014.
1.2 TOE Reference
Lexmark MX410(LW40.SB4.P439), MX510(LW40.SB4.P439), MX511(LW40.SB4.P439),
MX610(LW40.SB7.P439), MX611(LW40.SB7.P439), MX710(LW40.TU.P439),
MX711(LW40.TU.P439), XM1145(LW40.SB4.P439), XM3150(LW40.SB7.P439),
XM5163(LW40.TU.P439), XM5170(LW40.TU.P439), CX410(LW40.GM4.P439),
CX510(LW40.GM7.P439) and Dell B3465(LW40.SB7.P439) and B5465(LW40.TU.P439)
Multi-Function Printers
1.3 Evaluation Assurance Level
Assurance claims conform to EAL2 (Evaluation Assurance Level 2) augmented with
ALC_FLR.2 from the Common Criteria for Information Technology Security Evaluation,
Version 3.1.
1.4 Keywords
Hardcopy, Paper, Document, Printer, Scanner, Copier, Facsimile, Fax, Document Server,
Document Storage and Retrieval, Nonvolatile storage, Residual data, Temporary data, Network
interface, Shared communications medium, Multifunction Device, Multifunction Product, All-In-
One, MFD, MFP
1.5 TOE Overview
1.5.1 Usage and Major Security Features
The MFPs are multi-functional printer systems with scanning, fax, and networked capabilities. Their
capabilities extend to walk-up scanning and copying, scanning to fax, scanning to email, and
servicing print jobs through the network. The MFPs feature an integrated touch-sensitive operator
panel.
The major security features of the TOE are:
1. All Users are identified and authenticated as well as authorized before being granted
permission to perform any restricted TOE functions.
2. Administrators authorize Users to use the functions of the TOE.
3. User Document Data are protected from unauthorized disclosure or alteration.
4. User Function Data are protected from unauthorized alteration.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
10
5. TSF Data, of which unauthorized disclosure threatens operational security, are protected
from unauthorized disclosure.
6. TSF Data, of which unauthorized alteration threatens operational security, are protected
from unauthorized alteration.
7. Document processing and security-relevant system events are recorded, and such records
are protected from disclosure or alteration by anyone except for authorized personnel.
1.5.2 TOE type
Miscellaneous (Multifunction Hard Copy Device)
1.5.3 Required Non-TOE Hardware/Software/Firmware
The TOE is a complete MFP, including the firmware and hardware. To be fully operational, any
combination of the following items may be connected to the TOE:
1. A LAN for network connectivity. The TOE supports IPv4 and IPv6.
2. A telephone line for fax capability.
3. IT systems that submit print jobs to the MFP via the network using standard print
protocols.
4. IT systems that send and/or receive faxes via the telephone line.
5. An IT system acting as the remote syslog recipient of audit event records sent from the
TOE.
6. LDAP server to support Identification and Authentication (I&A). This component is
optional depending on the type(s) of I&A mechanisms used.
7. Card reader and cards to support Smart Card authentication using Common Access Card
(CAC) or Personal Identity Verification (PIV) cards. This component is optional
depending on the type(s) of I&A mechanisms used. The supported card readers are:
a. Omnikey 3121 SmartCard Reader,
b. Any other Omnikey SmartCard Readers that share the same USB Vendor IDs
and Product IDs with the above readers (example Omnikey 3021),
c. SCM SCR 331,
d. SCM SCR 3310v2.
1.6 TOE Description
The TOE provides the following functions related to MFPs:
1. Printing – producing a hardcopy document from its electronic form
2. Scanning – producing an electronic document from its hardcopy form
3. Copying – duplicating a hardcopy document
4. Faxing – scanning documents in hardcopy form and transmitting them in electronic form
over telephone lines, and receiving documents in electronic form over telephone lines and
printing them in hardcopy form
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
11
All of the TOE models included in the evaluation are complete MFPs in a single unit.
All of the MFPs included in this evaluation provide the same security functionality. Their
differences are in the speed of printing and support for color operations. The following tables
summarize the technical characteristics of the models.
Table 1 - Technical Characteristics of the MFP Models
Model Processor Color/Mono Pages Per
Minute
MX410 ARM v7 800 MHz Mono 40
MX510 ARM v7 800 MHz Mono 45
MX511 ARM v7 800 MHz Mono 45
MX610 ARM v7 800 MHz Mono 50
MX611 ARM v7 800 MHz Mono 50
MX710 ARM v7 800 MHz Mono 63
MX711 ARM v7 800 MHz Mono 70
XM1145 ARM v7 800 MHz Mono 45
XM3150 ARM v7 800 MHz Mono 50
XM5163 ARM v7 800 MHz Mono 63
XM5170 ARM v7 800 MHz Mono 70
CX410 ARM v7 800 MHz Color 32
CX510 ARM v7 800 MHz Color 32
B3465 ARM v7 800 MHz Mono 50
B5465 ARM v7 800 MHz Mono 70
The Target of Evaluation (TOE) is described using the standard Common Criteria terminology of
Users, Objects, Operations, and Interfaces. Two additional terms are introduced: Channel
describes both data interfaces and hardcopy document input/output mechanisms, and TOE
Owner is a person or organizational entity responsible for protecting TOE assets and establishing
related security policies. In this document, the terms User and Subject are used interchangeably.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
12
Figure 1 - TOE Model
The following prefixes are used to indicate different entity types:
Table 2 - Notational prefix conventions
Prefix Type of entity
U. User
D. Data
F. Function
T. Threat
P. Policy
A. Assumption
O. Objective
OE. Environmental objective
+ Security Attribute
1.6.1 Users
Users are entities that are external to the TOE and which interact with the TOE. There may be
two types of Users: Normal and Administrator.
TSF
Input
Channel
Output
Channel
Common MFP Functions
User Data
User
Document
Data
User
Function
TSF Data
TSF
Protected
Data
TSF
Confidential
Data
Fax
Functions
Copy
Functions
Scan
Functions
Print
Functions
Shared
Medium
Functions
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
13
Table 3 - Users
Designation Definition
U.USER Any authorized User.
U.NORMAL A User who is authorized to perform User Document Data processing
functions of the TOE.
In the remainder of this document, the term “Normal User” is used
interchangeably with U.NORMAL.
The TOE provides user-level permissions to access specific document
processing functions (e.g. print, copy). When it is necessary to distinguish
the specific permission, that information is supplied. Otherwise the generic
terms identified above are used.
U.ADMINISTRATOR A User who has been specifically granted the authority to manage some
portion or all of the TOE and whose actions may affect the TOE security
policy (TSP).
In the remainder of this document, the terms “Administrator” and
“Authorized Administrator” are used interchangeably with
U.ADMINISTRATOR.
The TOE provides user-level permissions to access specific management
functions. When it is necessary to distinguish the specific permission, that
information is supplied. Otherwise the generic terms identified above are
used.
1.6.2 Objects (Assets)
Objects are passive entities in the TOE, that contain or receive information, and upon which
Subjects perform Operations. Objects are equivalent to TOE Assets. There are three categories of
Objects: User Data, TSF Data, and Functions.
1.6.2.1 User Data
User Data are data created by and for Users and do not affect the operation of the TOE Security
Functionality (TSF). This type of data is composed of two types of objects: User Document
Data, and User Function Data.
Table 4 - User Data
Designation Definition
D.DOC User Document Data consists of the information contained in a user’s document. This
includes the original document itself in either hardcopy or electronic form, image data,
or residually-stored data created by the hardcopy device in RAM while processing an
original document and printed hardcopy output.
For this TOE, D.DOC includes:
1. User data contained in jobs submitted from the network for printing
2. Scanned data to be printed (copying)
3. Scanned data to be faxed
4. Scanned data to be emailed
5. User data in received faxes
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
14
Designation Definition
D.FUNC User Function Data are the information about a user’s document or job to be processed
by the TOE.
For this TOE, D.FUNC includes:
1. Job information for network print jobs
2. Job information for scanned data to be printed (copying)
3. Job information for scanned data to be faxed
4. Job information for scanned data to be emailed
5. Job information for user data in received faxes
1.6.2.2 TSF Data
TSF Data are data created by and for the TOE and that might affect the operation of the TOE.
This type of data is composed of two types of objects: TSF Protected Data and TSF Confidential
Data.
Table 5 - TSF Data
Designation Definition
D.PROT TSF Protected Data are assets for which alteration by a User who is neither an
Administrator nor the owner of the data would have an effect on the operational
security of the TOE, but for which disclosure is acceptable.
D.CONF TSF Confidential Data are assets for which either disclosure or alteration by a User
who is neither an Administrator nor the owner of the data would have an effect on the
operational security of the TOE.
1.6.2.3 Functions
Functions perform processing, storage, and transmission of data that may be present in the TOE.
These functions are described in the following table.
Table 6 - Functions
Designation Definition
F.PRT Printing: a function in which electronic document input is converted to physical
document output
F.SCN Scanning: a function in which physical document input is converted to electronic
document output
F.CPY Copying: a function in which physical document input is duplicated to physical
document output
F.FAX Faxing: a function in which physical document input is converted to a telephone-based
document facsimile (fax) transmission, and a function in which a telephone-based
document facsimile (fax) reception is converted to physical document output
F.SMI Shared-medium interface: a function that transmits or receives User Data or TSF Data
over a communications medium which is or can be shared by other users, such as
wired or wireless network media and most radio-frequency wireless media
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
15
1.6.3 Operations
Operations are a specific type of action performed by a Subject on an Object. Five types of
operations are addressed: those that result in disclosure of information (Read), those that result in
alteration of information (Create, Modify, Delete), and those that invoke a function (Execute).
1.6.4 Channels
Channels are the mechanisms through which data can be transferred into and out of the TOE.
Private Medium Interface: mechanism for exchanging information that use (1) wired electronic
methods over a communications medium which, in conventional practice, is not accessed by
multiple simultaneous Users; or, (2) Operator Panel and displays that are part of the TOE. It is an
input-output channel. The touch panel and phone line are private medium interfaces.
Shared-medium Interface: mechanism for exchanging information that use wired network
electronic methods over a communications medium which, in conventional practice, is or can be
simultaneously accessed by multiple Users. It is an input-output channel. The standard network
interface is a shared-medium interface.
Original Document Handler: mechanism for transferring User Document Data in hardcopy
form into the TOE. It is an input channel. The scanner is an original document handler.
Hardcopy Output Handler: mechanism for transferring User Document Data out of the TOE in
hardcopy form. It is an output channel. The printer is a hardcopy output handler.
1.7 Physical Boundary
This section provides context for the TOE evaluation by describing the physical boundary of the
TOE. The physical boundary of the TOE consists of all of the MFP hardware and firmware.
1.8 Logical Boundary
The TOE supports the security functions documented in the following sections.
1.8.1 Audit Generation
The TOE generates audit event records for security-relevant events and transmits them to a
remote IT system using the syslog protocol.
1.8.2 Identification and Authentication
The TOE supports I&A with a per-user selection of internal accounts (processed by the TOE) or
integration with an external LDAP server (in the operational environment). Smart Card
authentication may also be specified for users of the touch panel. A Backup Password
mechanism may also be enabled.
1.8.3 Access Control
Access controls configured for functions (e.g. fax usage) and menu access are enforced by the
TOE.
1.8.4 Management
Through web browser sessions, authorized administrators may configure access controls and
perform other TOE management functions.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
16
1.8.5 Fax Separation
The TOE ensures that only fax traffic is sent or received via the attached phone line. Incoming
traffic is processed as fax data only; no management access or other data access is permitted. In
the evaluated configuration, the only source for outgoing faxes is the scanner.
1.8.6 D.DOC Wiping
In the evaluated configuration, the TOE automatically overwrites RAM used to store user data as
soon as the buffer is released.
1.8.7 Secure Communication
The TOE protects the confidentiality and integrity of all information exchanged over the attached
network by using IPSec with ESP for all network communication.
1.8.8 Self Test
During initial start-up, the TOE performs self tests on its hardware components and the integrity
of the building blocks and security templates.
1.9 TOE Data
1.9.1 TSF Data
Table 7 - TSF Data
Item Description D.CONF D.PROT
Access Control
Authorizations
Access control authorizations specify the restrictions on
menus or functions. Items may be configured for no
security (accessible to everyone), disabled (not
accessible), or restricted by a specified security template.
X
Account Status Login status information is associated with all accounts
used to authenticate against a building block. For each
building block and account, the TOE tracks the number of
login failures, time of the earliest login failure, and lock
status.
X
Active Directory
Configuration
Configuration information used to join an Active
Directory Domain. Once joined, machine credentials are
generated and the LDAP+GSSAPI Building Block
parameters for communication with the Domain
Controller are automatically populated.
X
Analog Fax - Cancel
Faxes
Specifies whether pending faxes can be canceled by users. X
Analog Fax - Driver to
fax
Specifies whether driver fax jobs are treated as PS jobs
and printed or sent as faxes.
X
Analog Fax - Enable
Fax Receive
Specifies whether incoming faxes may be received. X
Analog Fax - Fax
Forwarding
Specifies whether fax forwarding of incoming faxes to a
destination other than the printer is enabled.
X
Analog Fax - Holding
Faxes
Defines conditions for holding incoming faxes. X
Date and Time
Parameters
Controls whether the time is tracked internally or from a
remote NTP server. If an NTP server is used, it specifies
the parameters for communication with the server.
X
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
17
Item Description D.CONF D.PROT
E-mail images sent
as
Specifies whether images forwarded via SMTP are sent as
an attachment or FTP’d to a file system and sent as a
URL.
X
Enable Audit Determines if the device records events in the secure audit
log and (if enabled) in the remote syslog.
X
Enable Fax Scans Specifies whether users can create faxes with the device’s
scanner.
X
Enable FTP/TFTP Enables FTP/TFTP server on the TOE. X
Enable HTTP Server Enables HTTP(S) server on the TOE. X
Enable Remote Syslog Determines if the device transmits logged events to a
remote server.
X
Fax Mode Specifies whether the fax function is operating in Analog
mode or as a Fax Server (outgoing faxes are forwarded to
a fax server via SMTP).
X
Fax Server - Enable
Analog Receive
This parameter controls whether incoming faxes are
supported when operating in fax server mode
X
Held Print Job
Expiration Timer
Specifies the amount of time a received print job is saved
for a user to release before it is automatically deleted.
X
Internal Account
Building Blocks
The building blocks specify Internal Accounts as the
mechanism to be used for I&A or authorizations and
specify memberships.
X
Internal Account
Groups
The set of Internal Account Groups may be used to
configure group membership for Internal Accounts and
authorizations for access controls using Internal Accounts.
X
IPSec Settings The configuration parameters for IPSec that require IPSec
with ESP for all network communication (IPv4 and/or
IPv6) with certificate validation.
X
Internal Accounts
Required User
Credentials
Specifies whether Internal Accounts use username and
password or just username for the I&A process.
X
Job Waiting Specifies whether a print job may be placed in the Held
Jobs queue if the required resources (e.g. paper type) are
not currently available, enabling subsequent print jobs to
be processed immediately
X
LDAP Certificate
Verification
Specifies what verification (if any) should be done on the
certificate sent by an LDAP server. Demand specifies
that the server certificate is requested; if no certificate is
provided or if a bad certificate is provided, the session is
terminated immediately. Try indicates the server
certificate is requested; if no certificate is provided, the
session proceeds normally. If a bad certificate is provided,
the session is terminated immediately. Allow indicates
the server certificate is requested; if no certificate is
provided, the session proceeds normally. If a bad
certificate is provided, it will be ignored and the session
proceeds normally.
X
LDAP+GSSAPI –
Certificate
Specifies whether the default certificate or a specific
certificate is required when communicating with an
LDAP server.
X
LDAP+GSSAPI –
MFP Credentials
Specifies the Username and password to be used when
performing LDAP queries.
X
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
18
Item Description D.CONF D.PROT
LDAP+GSSAPI
Building Blocks
The building blocks specify LDAP+GSSAPI as the
mechanism to be used for I&A or authorizations and
specify parameters for retrieving information from an
LDAP server (e.g. group names to check, search base,
required object names).
X
LES Applications Specifies whether enhanced service Java applications may
be executed on the TOE. This parameter must be set to
“Enable” during installation and is not accessible to
administrators during operation.
X
Login Restrictions Determines how many failed authentications are allowed
within the “Failure time frame” value before the offending
User Name is prevented from accessing any function
protected with the same building block for the duration of
the “Lockout time” value. The “Panel Login Timeout”
determines how long the operator panel can remain idle
on the Home screen before the user is logged off
automatically. The “Remote Login Timeout” determines
how long web browser sessions can remain idle before the
user is logged off automatically.
X
Network Port Defines the parameters required for the TOE to
communicate via the standard network port
X
Remote Syslog
Parameters
Defines the communication to the remote syslog system X
Security Reset
Jumper
Specifies the behavior of the TOE when a position change
of the Security Rest Jumper is detected. No Effect
indicates the jumper should be ignored. “No Security”
preserves all of the building blocks and templates that a
user has defined, but resets each access control to its
factory default security level. “Reset to Defaults” deletes
all building blocks and templates and resets each access
control to its factory default security level.
X
Security Templates Security Templates are used to configure access controls
for restricted functions and menus. Each security
template specifies 2 building blocks – one for
authentication and one for authorization. The 2 building
blocks may be the same. The security template also
specifies a set of groups that are authorized to access the
associated function or menu.
X
Simple Kerberos Setup Defines the KDC Address, KDC Port, and Realm for
communication with the KDC. KDC communication is
required if the TOE is using the LDAP+GSSAPI
mechanism.
X
Smart Card
Authentication Client
Building Block
The building block specifies Smart Card Authentication
Client as the mechanism to be used for I&A or
authorizations and specifies parameters for validating the
certificate from the card and retrieving information from
Active Directory.
X
SMTP Setup Settings Define the SMTP server to be used to send email from the
TOE
X
SMTP Setup Settings -
User-Initiated E-mail
Specifies what credentials (if any) are used to authenticate
with an external SMTP server.
X
Touch Panel Menu
Display - FTP
Specifies whether or not the FTP icon should be displayed
on the touch panel menu.
X
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
19
Item Description D.CONF D.PROT
Touch Panel Menu
Display - FTP
shortcuts
Specifies whether or not the FTP shortcuts icon should be
displayed on the touch panel menu.
X
Touch Panel Menu
Display - USB Drive
Specifies whether or not the USB Drive icon should be
displayed on the touch panel menu.
X
USB Buffer Disables all activity via the USB device ports. X
Use Backup Password Enables access to the Security Menu via the Backup
Password
X
1.9.2 Authentication Data
All the items described in the following table are D.CONF.
Table 8 - Authentication Data
Item Description
Backup Password The Backup Password mechanism allows an administrator to access the
Security Menu via a web browser session, regardless of the access controls
configured for it.
Internal Account
Usernames and Passwords
Internal Accounts are used in conjunction with the Internal Account
authentication and authorization mechanism. The username and password
for each defined account are used with Internal Account authentication.
1.9.3 Security Attributes
All the items described in the following table are D.CONF.
Table 9 - Security Attributes
Item Description
Group Memberships The set of group memberships associated with the current session as the
result of successful I&A.
Username The username specified during a successful I&A interaction.
1.9.4 User Data
All the items described in the following table have both a D.DOC and D.FUNC component.
Table 10 - User Data
Item Description
Copy Job Data input to the TOE via the scanner and destined for the printer.
Held Faxes Data received via the fax interface and held until released by an authorized
administrator.
Held Jobs Data received via the network interface that is destined for the printer and
held until released at the touch panel by the submitter.
Incoming Fax Job Data received via the fax interface and destined for the printer.
Network Print Job Data received via the network interface and destined for the printer. All
network print jobs are held until released.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
20
Item Description
Scanned Job to be
Emailed
Data input to the TOE via the scanner and destined for the SMTP server
specified by an authorized administrator.
Scanned Job to be Faxed Data input to the TOE via the scanner and queued for transmission as a fax
via the phone line.
1.10 Evaluated Configuration
The following configuration options apply to the evaluated configuration of the TOE:
1. The TOE includes the single Ethernet interface that is part of the standard configuration
of every MFP model. No optional network interfaces are installed.
2. No optional parallel or serial interfaces are installed. These are for legacy connections to
specific IT systems only.
3. All USB ports on the MFPs that perform document processing functions are disabled. In
the operational environments in which the Common Criteria evaluated configuration is of
interest, the users typically require that all USB ports are disabled. If Smart Card
authentication is used, a card reader is physically connected to a specific USB port during
TOE installation; in the evaluated configuration this USB port is limited in functionality
to acting as the interface to the card reader. A reader is shipped with the MFP. If Smart
card authentication is not used, the card reader may be left unconnected.
4. Operational management functions are performed via browser sessions to the embedded
web server or via the management menus available through the touch panel.
5. Access controls are configured for all TSF data so that only authorized administrators are
permitted to manage those parameters.
6. All network communication is required to use IPSec with ESP to protect the
confidentiality and integrity of the information exchanged, including management
sessions that exchange D.CONF and D.PROT. Certificates presented by remote IT
systems are validated.
7. Because all network traffic is required to use IPSec with ESP, syslog records sent to a
remote IT system also are protected by IPSec with ESP. This is beyond IEEE Std.
2600.2™-2009 requirements for transmission of audit records.
8. Support for AppleTalk is disabled since it does not provide confidentiality and integrity
protection.
9. I&A may use Internal Accounts and/or LDAP+GSSAPI on a per-user basis. The Backup
Password mechanism may be enabled at the discretion of the administrators. Smart Card
authentication may be used for touch panel users. No other I&A mechanisms are
included in the evaluation because they provide significantly lower strength than the
supported mechanisms.
10. LDAP+GSSAPI and Smart Card authentication require integration with an external
LDAP server such as Active Directory. This communication uses default certificates
stored in NVRAM; the LDAP server must provide a valid certificate to the TOE. Binds
to LDAP servers for LDAP+GSSAPI use device credentials (not anonymous bind) so
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
21
that the information retrieved from Active Directory can be restricted to a specific MFP.
Binds to LDAP servers for Smart Card authentication use user credentials from the card
(not anonymous bind) so that the information retrieved from Active Directory can be
restricted to a specific user.
11. Internal Accounts require User ID and password (rather than just User ID).
12. Audit event records are transmitted to a remote IT system as they are generated using the
syslog protocol.
13. User data sent by the MFP in email messages is sent as an attachment (not as a web link).
14. No Java applications are loaded into the MFP by Administrators. These applications are
referred to as eSF applications in end user documentation. The following eSF
applications are installed by Lexmark before the TOE is shipped and must be enabled:
“eSF Security Manager” (Lexmark models only) or “Application Access Manager” (Dell
models only); “Smart Card Authentication”; and “Secure Held Print Jobs” (Lexmark
models only) or “Secure Print Jobs Release” (Dell models only). Note that the “Secure
Held Print Jobs” and “Secure Print Jobs Release” applications differ in name only; the
same is true for the “eSF Security Manager” or “Application Access Manager”.
15. The following eSF applications are installed by Lexmark before the TOE is shipped and
must be enabled if smart card authentication is used: “Smart Card Authentication Client”,
“PIV Smart Card Driver (if PIV cards are used)”, “CAC Smart Card Driver (if CAC
cards are used)”, and “Background and Idle Screen”.
16. All other eSF applications installed by Lexmark before the TOE is shipped must be
disabled.
17. No option card for downloadable emulators is installed in the TOE.
18. Incoming faxes are always held until released by an authorized administrator.
19. Some form of credentials (device or user) is required to authenticate to the SMTP server.
20. Fax forwarding is disabled to limit the destinations for incoming faxes to the local printer
only.
21. NPAP, PJL and Postscript have the ability to modify system settings. The capabilities
specific to modifying system settings via these protocols are disabled.
22. All administrators must be authorized for all of the document processing functions (print,
copy, scan, fax).
23. All network print jobs are held until released via the touch panel. Every network print
job must include a PJL SET USERNAME statement to identify the userid of the owner of
the print job. Held print jobs may only be released by an authenticated user with the
same userid as specified in the print job.
24. All incoming fax jobs are held until released via the touch panel. Held print jobs may
only be released by an authenticated user with the U.ADMINISTRATOR role.
25. Administrators are directed (through operational guidance) to specify passwords adhering
to the following composition rules for Internal Accounts and the Backup Password:
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
22
 A minimum of 8 characters
 At least one lower case letter, one upper case letter, and one non-alphabetic
character
 No dictionary words or permutations of the user name
26. Simple Network Management Protocol (SNMP) support is disabled.
27. Internet Printing Protocol (IPP) support is disabled.
28. All unnecessary network ports are disabled.
The following table defines the combinations of possible input sources and destinations that are
included in the evaluated configuration. In the table, the following meanings are used:
 “May Be Disabled Or Restricted” indicates that the functionality is included in
the evaluation but may be disabled or restricted to an authorized set of users at the
discretion of an administrator
 “Disabled” indicates the functionality exists within the TOE but is always
disabled by an administrator for the evaluated configuration
 “n/a” indicates the functionality does not exist in the TOE
Table 11 - Source-Destination Combinations
Source
Destination
Print Protocols (via
the Network
Interface)
Scanner Incoming Fax
Printer May Be Disabled Or
Restricted
May Be Disabled Or
Restricted
May Be Disabled Or
Restricted
Outgoing Fax Disabled May Be Disabled Or
Restricted
Disabled
Email (via the Network
Interface)
n/a May Be Disabled Or
Restricted
Disabled
FTP (via the Network
Interface)
n/a Disabled Disabled
1.11 Rationale for Non-Bypassability and Separation
The TOE is a stand-alone system that includes all hardware and software required for operation.
The TOE is not a general-purpose platform; rather it is a specialized platform with strictly
controlled functionality made available to the users. By limiting the functionality, the TSF is
protected from corruption or compromise. The TOE interfaces are separated into 2 categories –
security enforcing and security supporting. Security enforcing interfaces invoke the TSF and
ensure that all enforcement functions complete successfully before allowing the user invoked
action to proceed. Security supporting interfaces ensure that the TSF cannot be interfered with
via those interfaces (i.e., they are isolated from the TSF). Multiple simultaneous users are
supported, and the TOE enforces separate domains for each process/user to ensure the
appropriate attributes and privileges are associated with each process/user.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
23
2. Conformance Claims
2.1 Common Criteria Conformance
Common Criteria version: Version 3.1 Revision 4
Common Criteria conformance: Part 2 extended and Part 3 conformant
2.2 Protection Profile Conformance
PP Identification: U.S. Government Protection Profile for Hardcopy Devices (IEEE Std.
2600.2™-2009), dated February 26, 2010, version 1.0, including the augmentations specified by
Attachment A of CCEVS Policy Letter #20 dated 15 November 2010.
PP Conformance: “2600.2-PP, Protection Profile for Hardcopy Devices, Operational
Environment B,” “2600.2-PRT, SFR Package for Hardcopy Device Print Functions, Operational
Environment B,” “2600.2-SCN, SFR Package for Hardcopy Device Scan Functions, Operational
Environment B,” “2600.2-CPY, SFR Package for Hardcopy Device Copy Functions, Operational
Environment B,” “2600.2-FAX, SFR Package for Hardcopy Device Fax Functions, Operational
Environment B,” and “2600.2-SMI, SFR Package for Hardcopy Device Shared-medium
Interface Functions, Operational Environment B”
This Security Target claims demonstrable conformance to the Security Problem Definition
(APE_SPD), Security Objectives (APE_OBJ), Extended Components Definitions (APE_ECD),
and the Common Security Functional Requirements (APE_REQ) of the referenced PP.
This TOE performs the functions F.PRT, F.SCN, F.CPY, F.FAX, and F.SMI as defined in the
referenced PP and claims demonstrable conformance to the SFR packages defined for each of
these functions.
Rationale for PP conformance is provided in chapter 8.
2.3 Security Requirement Package Conformance
Security assurance requirement package conformance: EAL2 augmented by ALC_FLR.2
Security functional requirement package conformance: The SFR packages itemized below from
the referenced PP.
1. Common Security Functional Requirements
2. 2600.2-PRT, SFR Package for Hardcopy Device Print Functions, Operational
Environment B
3. 2600.2-SCN, SFR Package for Hardcopy Device Scan Functions, Operational
Environment B
4. 2600.2-CPY, SFR Package for Hardcopy Device Copy Functions, Operational
Environment B
5. 2600.2-FAX, SFR Package for Hardcopy Device Fax Functions, Operational
Environment B
6. 2600.2-SMI, SFR Package for Hardcopy Device Shared-medium Interface Functions,
Operational Environment B
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
24
3. Security Problem Definition
3.1 Introduction
This chapter defines the nature and scope of the security needs to be addressed by the TOE.
Specifically this chapter identifies:
A) assumptions about the environment,
B) threats to the assets and
C) organisational security policies.
This chapter identifies assumptions as A.assumption, threats as T.threat and policies as P.policy.
3.2 Assumptions
The specific conditions listed in the following subsections are assumed to exist in the TOE
environment. These assumptions include both practical realities in the development of the TOE
security requirements and the essential environmental conditions on the use of the TOE.
Table 12 - Assumptions
A.Type Description
A.ACCESS.MANAGED The TOE is located in a restricted or monitored environment that provides
protection from unmanaged access to the physical components and data
interfaces of the TOE.
A.ADMIN.TRAINING Administrators are aware of the security policies and procedures of their
organization, are trained and competent to follow the manufacturer’s
guidance and documentation, and correctly configure and operate the TOE
in accordance with those policies and procedures.
A.ADMIN.TRUST Administrators do not use their privileged access rights for malicious
purposes.
A.USER.TRAINING TOE Users are aware of the security policies and procedures of their
organization, and are trained and competent to follow those policies and
procedures.
3.3 Threats
The threats identified in the following subsections are addressed by the TOE and the Operational
Environment.
Table 13 - Threats
T.Type TOE Threats
T.CONF.ALT TSF Confidential Data may be altered by unauthorized persons
T.CONF.DIS TSF Confidential Data may be disclosed to unauthorized persons
T.DOC.ALT User Document Data may be altered by unauthorized persons
T.DOC.DIS User Document Data may be disclosed to unauthorized persons
T.FUNC.ALT User Function Data may be altered by unauthorized persons
T.PROT.ALT TSF Protected Data may be altered by unauthorized persons
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
25
3.4 Organisational Security Policies
This section describes the Organizational Security Policies (OSPs) that apply to the TOE. OSPs
are used to provide a basis for security objectives that are commonly desired by TOE Owners in
this operational environment but for which it is not practical to universally define the assets
being protected or the threats to those assets.
Table 14 - Organizational Security Policies for the TOE
Name Definition
P.AUDIT.LOGGING To preserve operational accountability and security,
records that provide an audit trail of TOE use and
security-relevant events will be created, maintained, and
protected from unauthorized disclosure or alteration,
and will be reviewed by authorized personnel
P.INTERFACE.MANAGEMENT To prevent unauthorized use of the external interfaces
of the TOE, operation of those interfaces will be
controlled by the TOE and its IT environment.
P.SOFTWARE.VERIFICATION To detect corruption of the executable code in the TSF,
procedures will exist to self-verify executable code in
the TSF.
P.USER.AUTHORIZATION To preserve operational accountability and security,
Users will be authorized to use the TOE only as
permitted by the TOE Owner
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
26
4. Security Objectives
This section identifies the security objectives of the TOE and the TOE’s Operational
Environment. The security objectives identify the responsibilities of the TOE and the TOE’s
Operational Environment in meeting the security needs. Objectives of the TOE are identified as
O.objective. Objectives that apply to the operational environment are designated as
OE.objective.
4.1 Security Objectives for the TOE
The TOE must satisfy the following objectives.
Table 15 - Security Objectives for the TOE
O.Type Security Objective
O.AUDIT.LOGGED The TOE shall create and maintain a log of TOE use and security-relevant
events and prevent its unauthorized disclosure or alteration.
O.CONF.NO_ALT The TOE shall protect TSF Confidential Data from unauthorized alteration.
O.CONF.NO_DIS The TOE shall protect TSF Confidential Data from unauthorized disclosure.
O.DOC.NO_ALT The TOE shall protect User Document Data from unauthorized alteration.
O.DOC.NO_DIS The TOE shall protect User Document Data from unauthorized disclosure.
O.FUNC.NO_ALT The TOE shall protect User Function Data from unauthorized alteration.
O.INTERFACE.MA
NAGED
The TOE shall manage the operation of external interfaces in accordance with
security policies.
O.I&A The TOE shall provide functionality to identify and authenticate users whose
accounts are defined internal to the TOE.
O.MANAGE The TOE will provide all the functions and facilities necessary to support the
administrators in their management of the security of the TOE, and restrict these
functions and facilities from unauthorized use.
O.PROT.NO_ALT The TOE shall protect TSF Protected Data from unauthorized alteration.
O.SOFTWARE.VER
IFIED
The TOE shall provide procedures to self-verify executable code in the TSF.
O.TIME_STAMP The TOE will provide reliable time stamps for accountability purposes when
internal clocks are configured by an administrator.
O.USER.AUTHORI
ZED
The TOE shall require identification and authentication of Users, and shall
ensure that Users are authorized in accordance with security policies before
allowing them to use the TOE.
4.2 Security Objectives for the Operational Environment
The TOE’s operational environment must satisfy the following objectives.
Table 16 - Security Objectives of the Operational Environment
OE.Type Operational Environment Security Objective
OE.ADMIN.TRAINED The TOE Owner shall ensure that TOE Administrators are aware of the
security policies and procedures of their organization; have the training,
competence, and time to follow the manufacturer’s guidance and
documentation; and correctly configure and operate the TOE in
accordance with those policies and procedures.
OE.ADMIN.TRUSTED The TOE Owner shall establish trust that TOE Administrators will not use
their privileged access rights for malicious purposes.
OE.AUDIT.REVIEWED The TOE Owner shall ensure that audit logs are reviewed at appropriate
intervals for security violations or unusual patterns of activity.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
27
OE.Type Operational Environment Security Objective
OE.AUDIT_ACCESS.AU
THORIZED
If audit records generated by the TOE are exported from the TOE to
another trusted IT product, the TOE Owner shall ensure that those records
can be accessed in order to detect potential security violations, and only by
authorized persons.
OE.AUDIT_STORAGE.P
ROTECTED
If audit records are exported from the TOE to another trusted IT product,
the TOE Owner shall ensure that those records are protected from
unauthorized access, deletion and modifications.
OE.I&A The operational environment shall provide functionality to identify and
authenticate users whose accounts are defined external to the TOE.
OE.INTERFACE.MANA
GED
The IT environment shall provide protection from unmanaged access to
TOE external interfaces.
OE.PHYSICAL.MANAG
ED
The TOE shall be placed in a secure or monitored area that provides
protection from unmanaged physical access to the TOE.
OE.TIME_STAMP The Operational Environment will provide reliable time stamps for
accountability purposes when NTP is configured by an administrator.
OE.USER.AUTHORIZED The TOE Owner shall grant permission to Users to be authorized to use
the TOE according to the security policies and procedures of their
organization.
OE.USER.TRAINED The TOE Owner shall ensure that Users are aware of the security policies
and procedures of their organization and have the training and competence
to follow those policies and procedures.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
28
5. Extended Components Definition
5.1 Extended Security Functional Components
5.1.1 FPT_FDI_EXP Restricted forwarding of data to external interfaces
Family behaviour:
This family defines requirements for the TSF to restrict direct forwarding of information from
one external interface to another external interface.
Many products receive information on specific external interfaces and are intended to transform
and process this information before it is transmitted on another external interface. However,
some products may provide the capability for attackers to misuse external interfaces to violate
the security of the TOE or devices that are connected to the TOE’s external interfaces. Therefore,
direct forwarding of unprocessed data between different external interfaces is forbidden unless
explicitly allowed by an authorized administrative role. The family FPT_FDI_EXP has been
defined to specify this kind of functionality.
Component leveling:
FPT_FDI_EXP.1 Restricted forwarding of data to external interfaces provides for the
functionality to require TSF controlled processing of data received over defined external
interfaces before these data are sent out on another external interface. Direct forwarding of data
from one external interface to another one requires explicit allowance by an authorized
administrative role.
Management:FPT_FDI_EXP.1
The following actions could be considered for the management functions in FMT:
a) Definition of the role(s) that are allowed to perform the management
activities
b) Management of the conditions under which direct forwarding can be
allowed by an administrative role
c) Revocation of such an allowance
Audit: FPT_FDI_EXP.1
The following actions should be auditable if FAU_GEN Security Audit Data Generation is
included in the PP/ST:
There are no auditable events foreseen.
Rationale:
FPT_FDI_EXP.1 Restricted forwarding of data to external interfaces 1
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
29
Quite often, a TOE is supposed to perform specific checks and process data received on one
external interface before such (processed) data are allowed to be transferred to another external
interface. Examples are firewall systems but also other systems that require a specific work flow
for the incoming data before it can be transferred. Direct forwarding of such data (i.e., without
processing the data first) between different external interfaces is therefore a function that—if
allowed at all—can only be allowed by an authorized role.
It has been viewed as useful to have this functionality as a single component that allows
specifying the property to disallow direct forwarding and require that only an authorized role can
allow this. Since this is a function that is quite common for a number of products, it has been
viewed as useful to define an extended component.
The Common Criteria defines attribute-based control of user data flow in its FDP class.
However, in this Protection Profile, the authors needed to express the control of both user data
and TSF data flow using administrative control instead of attribute-based control. It was found
that using FDP_IFF and FDP_IFC for this purpose resulted in SFRs that were either too
implementation-specific for a Protection Profile or too unwieldy for refinement in a Security
Target. Therefore, the authors decided to define an extended component to address this
functionality.
This extended component protects both user data and TSF data, and it could therefore be placed
in either the FDP or the FPT class. Since its purpose is to protect the TOE from misuse, the
authors believed that it was most appropriate to place it in the FPT class. It did not fit well in any
of the existing families in either class, and this led the authors to define a new family with just
one member.
FPT_FDI_EXP.1 Restricted forwarding of data to external interfaces
Hierarchical to: No other components
Dependencies: FMT_SMF.1 Specification of Management Functions
FMT_SMR.1 Security roles
FPT_FDI_EXP.1.1 The TSF shall provide the capability to restrict data received on [assignment: list of
external interfaces] from being forwarded without further processing by the TSF to [assignment:
list of external interfaces].
5.2 Extended Security Assurance Components
No extended security assurance requirements are defined.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
30
6. Security Requirements
This section contains the functional requirements that are provided by the TOE. These
requirements consist of functional components from Part 2 of the CC.
The CC defines operations on security requirements. The font conventions listed below state the
conventions used in this ST to identify the operations.
Assignment: indicated in italics
Selection: indicated in underlined text
Assignments within selections: indicated in italics and underlined text
SFR operation completed or partially completed in the PP: Bold
Refinement: indicated with bold text
Iterations of security functional requirements may be included. If so, iterations are specified at
the component level and all elements of the component are repeated. Iterations are identified by
letters in parentheses following the component or element (e.g., FAU_ARP.1(A)).
6.1 TOE Security Functional Requirements
The functional requirements are described in detail in the following subsections. Additionally,
these requirements are derived verbatim from Part 2 of the Common Criteria for Information
Technology Security Evaluation with the exception of completed operations.
6.1.1 Security Audit (FAU)
6.1.1.1 FAU_GEN.1 Audit Data Generation
FAU_GEN.1.1 The TSF shall be able to generate an audit record of the following auditable
events:
a) Start-up and shutdown of the audit functions;
b) All auditable events for the not specified level of audit; and
c) All Auditable Events as each is defined for its Audit Level (if one is specified) for
the Relevant SFR in Table 17; the additional auditable events specified in Table 17.
FAU_GEN.1.2 The TSF shall record within each audit record at least the following information:
a) Date and time of the event, type of event, subject identity, and the outcome (success
or failure) of the event; and
b) For each audit event type, based on the auditable event definitions of the functional
components included in the PP/ST, for each Relevant SFR listed in Table 17: (1)
information as defined by its Audit Level (if one is specified), and (2) all
Additional Information (if any is required; the internal event number, ISO 8601
time of the event occurrence, severity, and process.
Table 17 - Audit data requirements
Auditable event Relevant
SFR
Audit level Additional
Information
SECURE AUDIT TURNED ON/OFF FAU_GEN.1 n/a Setting (ON or OFF)
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
31
Auditable event Relevant
SFR
Audit level Additional
Information
Job Started (Network print job with PJL SET
USERNAME statement)
FDP_ACF.1 Not specified Userid specified in
the PJL SET
USERNAME
statement, Job
identifier
Job Started (Network print job without PJL SET
USERNAME statement)
FDP_ACF.1 Not specified Userid displayed as
“Unknown”, Job
identifier
Job Completed FDP_ACF.1 Not specified Job identifier
Job Canceled (By user or via release expiration
period)
FDP_ACF.1 Not specified Job identifier
Expired held job deleted (because it was not
released)
FDP_ACF.1 Not specified
Authorization Failure FDP_ACF.1 Not specified Building block type
and name
Successful Authorization FDP_ACF.1 Not specified Building block type
and name
Authentication Failure FIA_UAU.1,
FIA_UID.1
Basic Building block type
and name, attempted
user identity
Successful Authentication FIA_UAU.1,
FIA_UID.1
Basic Building block type
and name
Authorization Failure FMT_MTD.1 Not specified Building block type
and name
Successful Authorization FMT_MTD.1 Not specified Building block type
and name
Setting change FMT_MTD.1 Basic Parameter identifier
and new value
Authentication/Authorization Setting
CREATION (FAILURE!)
FMT_MTD.1 Basic Building block type
and name
Authentication/Authorization Setting
CREATION (Success)
FMT_MTD.1 Basic Building block type
and name
Authentication/Authorization Setting
DELETION (FAILURE!)
FMT_MTD.1 Basic Building block type
and name
Authentication/Authorization Setting
DELETION (Success)
FMT_MTD.1 Basic Building block type
and name
Authentication/Authorization Setting
MODIFICATION (FAILURE!)
FMT_MTD.1 Basic Building block type
and name
Authorization Setting MODIFICATION
(Success)
FMT_MTD.1 Basic Building block type
and name
Use of the management functions FMT_SMF.1 Minimum None
Modifications to the group of users that are part
of a role
FMT_SMR.1 Minimum None
Time changed FPT_STM.1 Minimum None
Time change greater than maximum tolerance FPT_STM.1 Minimum None
Time changed due to time source change FPT_STM.1 Minimum None
Time changed due to Battery Failure FPT_STM.1 Minimum None
User logged out due to timeout FTA_SSL.3 Minimum None
Failure of the trusted channel FTP_ITC.1 Minimum None
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
32
Application Note: The audit for “Use of the management functions” is addressed by the “Setting change” and
“Authentication/Authorization Setting” audits. It is included in the audit table above for conformance with
the P2600 PP.
Application Note: The audit for “Modifications to the group of users that are part of a role” is addressed by the
“Authentication/Authorization Setting” audits. It is included in the audit table above for conformance with
the P2600 PP.
6.1.1.2 FAU_GEN.2 User Identity Association
FAU_GEN.2.1 For audit events resulting from actions of identified users, the TSF shall be able
to associate each auditable event with the identity of the user that caused the event.
6.1.2 Cryptographic Support (FCS)
6.1.2.1 FCS_CKM.1 Cryptographic Key Generation
FCS_CKM.1.1 The TSF shall generate cryptographic keys in accordance with a specified
cryptographic key generation algorithm RSA and specified cryptographic key sizes 2048 bits that
meet the following: PKCS #1 (CAVP cert. #1233).
Application Note: This SFR applies to the RSA public-private key pair generated for the default certificate.
6.1.2.2 FCS_CKM.4 Cryptographic Key Destruction
FCS_CKM.4.1 The TSF shall destroy cryptographic keys in accordance with a specified
cryptographic key destruction method zeroization that meets the following: FIPS 140-2 (Vendor
Affirmed).
6.1.2.3 FCS_COP.1 Cryptographic Operation
FCS_COP.1.1 The TSF shall perform the operations listed in the table below in accordance with
a specified cryptographic algorithm multiple algorithms described below and cryptographic key
sizes as described below that meet the following: multiple standards as described below.
Table 18 - Cryptographic Operations
Algorithm
Operations Key Size in
Bits
Standards
Triple-DES (EDE in CBC
mode) (CAVP cert. #1488 &
1489) Encryption, decryption
168 FIPS 46-3
AES (CBC mode) (CAVP cert.
#2379 & 2380)
128, 192, 256 FIPS 197
SHA (CAVP cert. #2049 &
2050)
Hashing
160, 224, 256,
384, 512
FIPS 180-2
HMAC (CAVP cert. #1479 &
1480)
Message authentication coding 128, 160 FIPS 198
RSA (CAVP cert. #1233) Digital signatures 1024, 2048 PKCS#1
Diffie-Hellman (CAVP cert.
#70)
IKEv1 KDF
Group 2 (1024),
Group 14 (2048),
Group 15 (4096),
Group 17 (6144),
Group 18 (8192)
SP800-135
DRBG (CAVP cert. #312) Random number generation n/a SP 800-90A
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
33
6.1.3 User Data Protection (FDP)
6.1.3.1 FDP_ACC.1 Subset Access Control
FDP_ACC.1.1(A) The TSF shall enforce the Common Access Control SFP on
1. Subjects: Users (U.USER)
2. Objects: Copy Job, Incoming Fax Job, Network Print Job, Scanned Job to be Emailed,
Scanned Job to be Faxed
3. Operations: Create, View, Modify, Release, Delete
Application Note: “Release” refers to releasing held faxes or held jobs to be printed (at which time they can be read). “View”
refers the ability to see that the job exists (D.FUNC), not to view the user data inside the job. No
functionality exists to view the user data inside a job other than printing the document. “Modify” refers to
the ability to change job parameters (e.g. number of copies).
FDP_ACC.1.1(B) The TSF shall enforce the TOE Function Access Control SFP on
1. Subjects: Users (U.USER)
2. Objects: TOE Functions - F.PRT, F.SCN, F.CPY, F.FAX, F.SMI
3. Operations: Invoke
6.1.3.2 FDP_ACF.1 Security Attribute Based Access Control
FDP_ACF.1.1(A) The TSF shall enforce the Common Access Control SFP to objects based on
the following:
1. Subjects: Users (U.USER) – Username, Group memberships
2. Objects: Copy Job, Incoming Fax Job, Network Print Job, Scanned Job to be Emailed,
Scanned Job to be Faxed - owner
FDP_ACF.1.2(A) The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed: the rules specified in the following table.
Table 19 - Common Access Control SFP Rules
Operation
Object
Create View Modify Release Delete
Copy Job Allowed if the user is a
member of an authorized
group of the security
template configured for the
Copy Function access
control. The job owner is
the authenticated user of
the touch panel.
Allowed
for jobs
owned by
the user
Not
allowed
n/a Allowed for jobs
owned by the
user
Incoming Fax
Job
Allowed if the Fax
Function access control is
Allowed if
the user is a
Not
allowed
Allowed if the
user is a member
Allowed if the
user is a member
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
34
Operation
Object
Create View Modify Release Delete
not “disabled”, and if the
“Enable Fax Receive” or
“Enable Analog Receive”
parameter is “On”. Note
that all incoming faxes are
held in the evaluated
configuration. Incoming
faxes are owned by any
user that is a member of an
authorized group of the
security template
configured for the Release
Held Faxes access control.
member of
an
authorized
group of
the security
template
configured
for the
Release
Held Faxes
access
control
of an authorized
group of the
security template
configured for
the Release Held
Faxes access
control
of an authorized
group of the
security template
configured for the
Release Held
Faxes access
control
Network Print
Job
Allowed if the submitted
job includes a userid in a
SET USERNAME PJL
statement and the user is a
member of an authorized
group for the Secure Held
Print Jobs access control.
Note that all incoming
network print jobs are held
in the evaluated
configuration. The job
owner is the userid
specified in the PJL SET
USERNAME statement.
Allowed
for jobs
owned by
the user if
the user is a
member of
an
authorized
group of
the security
template
configured
for the
Secure
Held Print
Jobs access
control
Allowed
for jobs
owned by
the user if
the user is
a member
of an
authorized
group of
the
security
template
configured
for the
Secure
Held Print
Jobs
access
control
Allowed for jobs
owned by the
user if the user is
a member of an
authorized group
of the security
template
configured for
the Secure Held
Print Jobs access
control
Allowed for jobs
owned by the
user if the user is
a member of an
authorized group
of the security
template
configured for the
Secure Held Print
Jobs access
control
Scanned Job to
be Emailed
Allowed if the user is a
member of an authorized
group of the security
template configured for the
Fax Function access
control; the “Enable Fax
Scans” parameter is On;
and the “Fax Mode”
parameter is “Fax Server”.
The job owner is the
authenticated user of the
touch panel.
Allowed
for jobs
owned by
the user
Not
Allowed
n/a Allowed for jobs
owned by the
user
Scanned Job to
be Faxed
Allowed if the user is a
member of an authorized
group of the security
template configured for the
Fax Function access
control; the “Enable Fax
Scans” parameter is On;
Allowed
for jobs
owned by
the user
Not
Allowed
n/a Allowed for jobs
owned by the
user
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
35
Operation
Object
Create View Modify Release Delete
and the “Fax Mode”
parameter is “Analog Fax”.
The job owner is the
authenticated user of the
touch panel.
FDP_ACF.1.3(A) The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules: no rules that explicitly authorise access.
FDP_ACF.1.4(A) The TSF shall explicitly deny access of subjects to objects based on the
following rules: if a listed access control is “Disabled” access is denied.
FDP_ACF.1.1(B) The TSF shall enforce the TOE Function Access Control SFP to objects based
on the following:
1. Subjects: Users (U.USER) – Group memberships
2. Objects: TOE Functions (F.PRT, F.SCN, F.CPY, F.FAX, F.SMI) - None
FDP_ACF.1.2(B) The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed: the user is explicitly authorized by
U.ADMINISTRATOR to use a function.
FDP_ACF.1.3(B) The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules: no rules that explicitly authorise access.
FDP_ACF.1.4(B) The TSF shall explicitly deny access of subjects to objects based on the
following rules: if a listed access control is “Disabled” access is denied.
6.1.3.3 FDP_RIP.1 Subset Residual Information Protection
FDP_RIP.1.1 The TSF shall ensure that any previous information content of a resource is made
unavailable upon the deallocation of the resource from the following objects: D.DOC.
6.1.4 Identification and Authentication (FIA)
6.1.4.1 FIA_AFL.1 Authentication Failure Handling
FIA_AFL.1.1 The TSF shall detect when an administrator configurable positive integer within
the range of 1 to 10 unsuccessful authentication attempts occur related to accounts within the
administratively configured failure time frame.
FIA_AFL.1.2 When the defined number of unsuccessful authentication attempts has been met or
surpassed, the TSF shall disable the account for the administratively configured lockout time.
6.1.4.2 FIA_ATD.1 User Attribute Definition
FIA_ATD.1.1 The TSF shall maintain the following list of security attributes belonging to
individual users:
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
36
1. Username
2. Password
3. Associated groups
4. User permissions, as specified by associated groups and security template configurations
5. Number of consecutive authentication failures
6. Time of the earliest authentication failure (since the last successful login if any have
occurred)
7. Account lock status
6.1.4.3 FIA_UAU.1 Timing of Authentication
FIA_UAU.1.1 The TSF shall allow submission of network print jobs, incoming faxes (if
enabled), and usage of the touch panel and browser sessions with the Embedded Web Server to
access menus that have been configured for “no security” on behalf of the user to be performed
before the user is authenticated.
FIA_UAU.1.2 The TSF shall require each user to be successfully authenticated before allowing
any other TSF-mediated actions on behalf of that user.
Application Note: The TOE only performs the authentication for users using Internal Accounts or the Backup Password. When
I&A uses LDAP+GSSAPI or Smart Card, authentication is under the control of the LDAP server (and the
Smart Card) in the operational environment. For all mechanisms, the TOE restricts access to other
functionality until authentication is successful.
6.1.4.4 FIA_UAU.7 Protected Authentication Feedback
FIA_UAU.7.1 The TSF shall provide only asterisks (“*”)or dots (“●”) to the user while the
authentication is in progress.
6.1.4.5 FIA_UID.1 Timing of Identification
FIA_UID.1.1 The TSF shall allow incoming faxes (if enabled) and usage of the touch panel and
browser sessions with the Embedded Web Server to access menus that have been configured for
“no security” on behalf of the user to be performed before the user is identified.
FIA_UID.1.2 The TSF shall require each user to be successfully identified before allowing any
other TSF-mediated actions on behalf of that user.
Application Note: The TOE only performs the identification for users using Internal Accounts or the Backup Password. When
I&A uses LDAP+GSSAPI or Smart Card, identification is under the control of the LDAP server (and the
Smart Card) in the operational environment. For all mechanisms, the TOE restricts access to other
functionality until identification is successful.
6.1.4.6 FIA_USB.1 User-Subject Binding
FIA_USB.1.1 The TSF shall associate the following user security attributes with subjects acting
on behalf of that user:
1. Username
2. Password
3. Associated groups (for Internal Accounts only)
4. User permissions
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
37
5. Building block name used during authentication
FIA_USB.1.2 The TSF shall enforce the following rules on the initial association of user security
attributes with subjects acting on the behalf of users:
1. The username and password are the values supplied by the user.
2. The associated groups are the values configured for the user account.
3. User permissions are determined by the security templates that include groups in the
authorization building blocks that are associated groups of the user.
4. The building block name is specified in the security template of the item with access
control restrictions that required I&A.
FIA_USB.1.3 The TSF shall enforce the following rules governing changes to the user security
attributes associated with subjects acting on the behalf of users: the security attributes do not
change during a session.
6.1.5 Security Management (FMT)
6.1.5.1 FMT_MOF.1 Management of Security Functions Behaviour
FMT_MOF.1.1 The TSF shall restrict the ability to determine the behaviour of, disable, enable,
modify the behaviour of the functions listed in the following table to administrators that pass the
access control check for the authorization item specified for the listed functions.
Table 20 - Management of Security Functions Behaviour
Function Authorization Item Operations
Audit Generation Security Menu at the Device,
Security Menu Remotely
Disable, enable
Identification & Authentication Security Menu at the Device,
Security Menu Remotely
Determine the behaviour of,
disable, enable, modify the
behaviour of
Access Control Security Menu at the Device,
Security Menu Remotely
Determine the behaviour of,
disable, enable, modify the
behaviour of
Management Security Menu at the Device,
Security Menu Remotely
Disable, enable
Fax Separation Security Menu at the Device,
Security Menu Remotely
Disable, enable
Security Menu at the Device,
Settings Menu Remotely
Determine the behaviour of,
modify the behaviour of
Secure Communication Settings Menu at the Device,
Settings Menu Remotely
Determine the behaviour of,
disable, enable, modify the
behaviour of
6.1.5.2 FMT_MSA.1 Management of Security Attributes
FMT_MSA.1.1 The TSF shall enforce the Common Access Control SFP and TOE Function
Access Control SFP to restrict the ability to query, modify, delete, create the security attributes
Username, associated groups and user permissions to administrators authorized for access to
the Security Menu.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
38
6.1.5.3 FMT_MSA.3 Static Attribute Initialisation
FMT_MSA.3.1 The TSF shall enforce the Common Access Control SFP and TOE Function
Access Control SFP to provide restrictive default values for security attributes that are used to
enforce the SFP.
FMT_MSA.3.2 The TSF shall allow the no role to specify alternative initial values to override
the default values when an object or information is created.
6.1.5.4 FMT_MTD.1 Management of TSF Data
FMT_MTD.1.1 The TSF shall restrict the ability to query, modify, delete, create the data
identified in the following table to the authorized identified roles except U.NORMAL.
Application Note: The user permission for each TSF data item to determine “authorized identified roles” is identified in the
following table.
Table 21 - TSF Data
Item Authorization Menu Item Operations
Access Control
Authorizations
Security Menu at the Device,
Security Menu Remotely
Query, Modify
Active Directory
Configuration
Security Menu at the Device,
Security Menu Remotely
Create
Analog Fax - Cancel
Faxes
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Analog Fax - Driver to
fax
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Analog Fax - Enable Fax
Receive
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Analog Fax - Enable
Manual Fax
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Analog Fax - Fax
Forwarding
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Analog Fax - Holding
Faxes
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify, Delete, Create
Backup Password Security Menu at the Device,
Security Menu Remotely
Modify, Delete, Create
Date and Time
Parameters
Security Menu at the Device,
Security Menu Remotely
Query, Modify
E-mail images sent
As
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Enable Audit Security Menu at the Device,
Security Menu Remotely
Query, Modify
Enable Fax Scans Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Enable FTP/TFTP Network/Ports Menu at the Device,
Network/Ports Menu Remotely
Query, Modify
Enable HTTP Server Network/Ports Menu at the Device,
Network/Ports Menu Remotely
Query, Modify
Enable Remote Syslog Security Menu at the Device,
Security Menu Remotely
Query, Modify
Fax Mode Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
39
Item Authorization Menu Item Operations
Fax Server - Enable
Analog Receive
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Held Print Job Expiration
Timer
Security Menu at the Device,
Security Menu Remotely
Query, Modify
Internal Account Building
Blocks
Security Menu at the Device,
Security Menu Remotely
Query, Modify, Delete, Create
Internal Account Groups Security Menu at the Device,
Security Menu Remotely
Query, Modify, Delete, Create
Internal Account
Usernames and Passwords
Security Menu at the Device,
Security Menu Remotely
Query, Modify, Delete, Create
Internal Accounts
Required User Credentials
Security Menu at the Device,
Security Menu Remotely
Query, Modify
Job Waiting Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
LDAP Certificate
Verification
Security Menu at the Device,
Security Menu Remotely
Query, Modify
LDAP+GSSAPI –
Certificate
Security Menu at the Device,
Security Menu Remotely
Query, Modify
LDAP+GSSAPI – MFP
Credentials
Security Menu at the Device,
Security Menu Remotely
Query, Modify
LDAP+GSSAPI Building
Blocks
Security Menu at the Device,
Security Menu Remotely
Query, Modify, Delete, Create
Login Restrictions Security Menu at the Device,
Security Menu Remotely
Query, Modify
Network Port Network/Ports Menu at the Device,
Network/Ports Menu Remotely
Query, Modify
Remote Syslog
Parameters
Security Menu at the Device,
Security Menu Remotely
Query, Modify
Security Reset
Jumper
Security Menu at the Device,
Security Menu Remotely
Query, Modify
Security Templates Security Menu at the Device,
Security Menu Remotely
Query, Modify, Delete, Create
Simple Kerberos Setup Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Smart Card
Authentication Client
Building Block
Security Menu at the Device,
Security Menu Remotely
Query, Modify
SMTP Setup Settings Network/Ports Menu at the Device,
Network/Ports Menu Remotely
Query, Modify
SMTP Setup Settings -
User-Initiated E-mail
Network/Ports Menu at the Device,
Network/Ports Menu Remotely
Query, Modify
Touch Panel Menu
Display – FTP
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Touch Panel Menu
Display - FTP shortcuts
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
Touch Panel Menu
Display - USB Drive
Settings Menu at the Device,
Settings Menu Remotely
Query, Modify
USB Buffer Network/Ports Menu Remotely Query, Modify
Use Backup Password Security Menu at the Device,
Security Menu Remotely
Query, Modify
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
40
6.1.5.5 FMT_SMF.1 Specification of Management Functions
FMT_SMF.1.1 The TSF shall be capable of performing the following management functions:
1. User management
2. Access control management
3. Time management
6.1.5.6 FMT_SMR.1 Security Roles
FMT_SMR.1.1 The TSF shall maintain the roles defined by the security-relevant permissions in
the following table that can be configured in an operational TOE for users via building blocks in
security templates for the specific permissions.
Table 22 - FMT_SMR.1 Detail
Item Description Administrators Only?
Copy Function Control’s a user’s access to the Copy functionality No
E-mail Function Control’s a user’s access to the Email functionality
(scan to email)
No
Fax Function Control’s a user’s ability to perform a scan to fax job
When “Disabled”, all analog faxing (scan send,
receive, and driver send) and the fax server are
disabled. The fax icon is removed and the device does
not answer incoming calls nor print driver faxes.
However, the panel menus still display fax-related
settings as though fax were enabled.
When protected by a security template, the values of
the “Enable Fax Scan”, “Driver to Fax”, and “Enable
Fax Receive” settings in the “Fax Settings Menu”
determine the behavior of Fax Receive and Driver Fax.
Fax Scan sending is enabled if the user provides valid
credentials.
No
Network/Ports Menu
(and submenus)
Controls access to the Network/ Ports Menu via the
Administration Menus
Yes
Release Held Faxes Controls access to the Held Faxes button and the
Release Held Faxes button on the Home screen
Yes
Reports Menu (and
submenus)
Controls access to the Reports Menu via the
Administration Menus. This includes information
about user jobs, which can’t be disclosed to non-
administrators.
Yes
Secure Held Print Jobs In the evaluated configuration, controls which users
are permitted to access the Held Jobs menu.
No
Security Menu (and
submenus)
Controls access to the Security Menu via the
Administration Menus
Yes
Service Engineer Menu
(and submenus)
Controls access to any SE menu accessible from the
panel, including the Network SE menu
Yes
Settings Menu (and
submenus)
Controls access to the Settings Menu via the
Administration Menus
Yes
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
41
Application Note: If any permission identified as “Administrators Only” in the table above is associated with a user account,
then that user account is implicitly an Administrator (U.ADMINISTRATOR). If no permission identified as
“Administrators Only” in the table above is associated with a user account but any permission not identified
as “Administrator Only” is, then that user account is implicitly a Normal User (U.NORMAL). The role
“Nobody” applies to a defined user that has no permissions identified in the table above.
FMT_SMR.1.2 The TSF shall be able to associate users with roles, except for the role
“Nobody” to which no user shall be associated.
Refinement Rationale: The SFR is reproduced with the refinement included in the P2600.2 Protection profile..
6.1.6 Protection of the TSF (FPT)
6.1.6.1 FPT_FDI_EXP.1 Restricted forwarding of data to external interfaces
FPT_FDI_EXP.1.1 The TSF shall provide the capability to restrict data received on any
external Interface from being forwarded without further processing by the TSF to any Shared-
medium Interface.
Application Note: For this TOE, the network interface is the only shared-medium interface.
6.1.6.2 FPT_STM.1 Reliable Time Stamps
FPT_STM.1.1 The TSF shall be able to provide reliable time-stamps.
Application Note: This SFR only applies when the TOE is configured to use internal timestamps. If the TOE is configured to
obtain timestamps from an external NTP server, this functionality is provided by that external NTP server in
the operational environment.
6.1.6.3 FPT_TST.1 TSF Testing
FPT_TST.1.1 The TSF shall run a suite of self tests during initial start-up to demonstrate the
correct operation of the hardware components of the TSF.
FPT_TST.1.2 The TSF shall provide authorised users with the capability to verify the integrity of
the security templates and building blocks.
FPT_TST.1.3 The TSF shall provide authorised users with the capability to verify the integrity of
stored TSF executable code.
6.1.7 TOE Access (FTA)
6.1.7.1 FTA_SSL.3 TSF-Initiated Termination
FTA_SSL.3.1 The TSF shall terminate an interactive session after a period of time configured by
an authorized administrator for touch panel and web browser sessions.
6.1.8 Trusted Path/Channels (FTP)
6.1.8.1 FTP_ITC.1 Inter-TSF Trusted Channel
FTP_ITC.1.1 The TSF shall provide a communication channel between itself and another trusted
IT product that is logically distinct from other communication channels and provides assured
identification of its end points and protection of the channel data from modification or
disclosure.
FTP_ITC.1.2 The TSF shall permit the TSF, another trusted IT product to initiate
communication via the trusted channel.
FTP_ITC.1.3 The TSF shall initiate communication via the trusted channel for communication
of D.DOC, D.FUNC, D.PROT, and D.CONF over any Shared-medium Interface.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
42
Application Note: For this TOE, the network interface is the only shared-medium interface. The TSF requires all IP datagrams
entering or leaving the box to use IPSec with ESP (other than the ISAKMP/IKE datagrams used to set up the
security associations). If an incoming IP datagram does not satisfy this rule, the TSF attempts to establish a
security association with the remote IT system that originated the datagram.
6.2 TOE Security Assurance Requirements
The TOE meets the assurance requirements for EAL2 augmented by ALC_FLR.2. These
requirements are summarized in the following table.
Table 23 - EAL2+ Assurance Requirements
Assurance Class Component ID Component Title
Development ADV_ARC.1 Security architecture description
ADV_FSP.2 Security-enforcing functional
specification
ADV_TDS.1 Basic design
Guidance Documents AGD_OPE.1 Operational user guidance
AGD_PRE.1 Preparative procedures
Life-Cycle Support ALC_CMC.2 Use of a CM system
ALC_CMS.2 Parts of the TOE CM coverage
ALC_DEL.1 Delivery procedures
ALC_FLR.2 Flaw reporting procedures
Tests ATE_COV.1 Evidence of coverage
ATE_FUN.1 Functional testing
ATE_IND.2 Independent testing - sample
Vulnerability Assessment AVA_VAN.2 Vulnerability analysis
6.3 CC Component Hierarchies and Dependencies
This section of the ST demonstrates that the identified SFRs include the appropriate hierarchy
and dependencies. The following table lists the TOE SFRs and the SFRs each are hierarchical
to, dependent upon and any necessary rationale.
Table 24 - TOE SFR Dependency Rationale
SFR Hierarchical To Dependency Rationale
FAU_GEN.1 No other components. FPT_STM.1 Satisfied
FAU_GEN.2 No other components. FAU_GEN.1,
FIA_UID.1
Satisfied
Satisfied
FCS_CKM.1 No other components. [FCS_CKM.2
or
FCS_COP.1],
FCS_CKM.4
Satisfied
Satisfied
FCS_CKM.4 No other components. [FDP_ITC.1 or
FDP_ITC.2, or
FCS_CKM.1] Satisfied
FCS_COP.1 No other components. [FDP_ITC.1 or
FDP_ITC.2, or
FCS_CKM.1],
FCS_CKM.4
Satisfied
Satisfied
FDP_ACC.1 No other components. FDP_ACF.1 Satisfied
FDP_ACF.1 No other components. FDP_ACC.1,
FMT_MSA.3
Satisfied
Satisfied
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
43
SFR Hierarchical To Dependency Rationale
FDP_RIP.1 No other components. None n/a
FIA_AFL.1 No other components. FIA_UAU.1 Satisfied
FIA_ATD.1 No other components. None n/a
FIA_UAU.1 No other components. FIA_UID.1 Satisfied
FIA_UAU.7 No other components. FIA_UAU.1 Satisfied
FIA_UID.1 No other components. None n/a
FIA_USB.1 No other components. FIA_ATD.1 Satisfied
FMT_MOF.1 No other components. FMT_SMF.1,
FMT_SMR.1
Satisfied
Satisfied
FMT_MSA.1 No other components. [FDP_ACC.1
or FDP_IFC.1],
FMT_SMF.1
FMT_SMR.1
Satisfied
Satisfied
Satisfied
FMT_MSA.3 No other components. FMT_MSA.1,
FMT_SMR.1
Satisfied
Satisfied
FMT_MTD.1 No other components. FMT_SMF.1,
FMT_SMR.1
Satisfied
Satisfied
FMT_SMF.1 No other components. None n/a
FMT_SMR.1 No other components. FIA_UID.1 Satisfied
FPT_FDI_EXP.1 No other components. FMT_SMR.1 Satisfied
FPT_STM.1 No other components. None n/a
FPT_TST.1 No other components. None n/a
FTA_SSL.3 No other components. None n/a
FTP_ITC.1 No other components. None n/a
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
44
7. TOE Summary Specification
7.1 Security Functions
7.1.1 Audit Generation
The TOE generates audit event records for security-relevant events. A severity level is
associated with each type of auditable event; only events at or below the severity level
configured by an administrator are generated.
Each record format follows the syslog format defined in the Berkeley Software Distribution
(BSD) Syslog Protocol (RFC 3164). The TOE supplies the PRI, HEADER, MSG/TAG, and
MSG/CONTENT fields for all messages. The CONTENT portion may contain the following
fields (in order, separated by commas):
 Event Number
 ISO 8601 time ([YYYY-MM-DD]T[hh:mm:ss])
 Severity
 Process (same as TAG)
 Remote IPv4 address
 Remote IPv6 address
 Remote Hostname
 Remote Port
 Local Port
 Authentication/Authorization method
 Username
 Setting ID
 Setting’s new value
 Event name
 Event data
The time field is supplied by the TOE if internal time is configured by an administrator or by an
NTP server if external time is configured.
Fields in the CONTENT section that are not relevant for specific events are blank. The remote
IPv4 address, remote IPv6 address, remote hostname, remote port, and local port fields are
always blank for events resulting from actions at the MFP (e.g. usage of the touch panel). The
events that cause audit records to be generated are specified in section 6.1.1.1 .
As audit event records are generated, they are forwarded to the remote syslog IT system
configured by an administrator.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
45
7.1.2 Identification and Authentication
Users are required to successfully complete the I&A process before they are permitted to access
any restricted functionality. The set of restricted user functionality is under the control of the
administrators, with the exception of submission of network print jobs which is always allowed.
Users are permitted to access any TOE functionality that has a corresponding access control (see
section 7.1.3 below) configured for “no security”.
The I&A process is controlled by security templates that are associated with functions and
menus. Each security template specifies two building blocks – one for authentication and the
second for authorization. The security template also includes a list of groups that are authorized
to perform the function or access the menu that the security template is associated with.
When I&A is necessary, the TOE examines the authentication building block in the security
template to determine what authentication mechanism should be used. The general purpose
mechanisms supported in the evaluated configuration are Smart Card authentication, Internal
Accounts and LDAP+GSSAPI.
For Smart Card authentication, no functions at the touch panel are allowed until I&A
successfully completes. The touch panel displays a message directing the user to insert a card
into the attached reader. Once a card is inserted, the user is prompted for a PIN. When the PIN
is entered, only asterisks (“*”) or dots (“●”) are displayed. Once the PIN is collected (indicated
by the user touching the Next button), the TOE passes the PIN to the card for validation. If it is
not valid, a message is displayed on the touch panel and the user is asked to re-enter the PIN.
After the card-configured number of consecutive invalid PINs, the card will lock itself until
unlocked by a card administrator.
Upon successful card validation, the TOE forwards the certificate from the card to the configured
Kerberos Key Distribution Center (Windows Domain Controller) for validation. If the certificate
validation is not successful, an error message is displayed on the touch panel until the current
card is removed from the reader. If the certificate validation is successful, the TOE binds the
username, account name, email address (all obtained from the LDAP server), and name of the
building block used for authentication to the user session for future use. An audit record for the
successful authentication is generated.
For Internal Accounts and LDAP+GSSAPI, the TOE collects a username and password via the
touch panel or via the browser session. When the password is entered, only asterisks (“*”) are
displayed. Once the username and password are collected, the next step in the process depends
on the I&A mechanism being used.
For Internal Accounts, the TOE performs the validation of the username and password against
the set of configured Internal Accounts.
For LDAP+GSSAPI, the TOE forwards the username and password to the configured LDAP
server for validation (using the configured machine credentials) and waits for the response. If no
response is received, the validation is considered to have failed.
For Internal Accounts and LDAP+GSSAPI, if the validation fails because of an invalid password
(for a valid username), the count of failed authentication attempts is incremented for that
building block and account combination. If the threshold for failed attempts within a time period
is reached, then the account is marked as being locked for the configured amount of time to
mitigate against brute force password attacks. This information is tracked in memory and is not
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
46
maintained across a restart of the TOE. Note that for LDAP+GSSAPI validations, the server
may also be enforcing limits on authentication failures. These mechanisms operate
independently and are not required to be comparably configured.
In the case of failed validations, an error message is displayed via the touch panel or browser
session, and then the display returns to the previous screen for further user action. An audit
record for the failed authentication attempt is generated.
If validation is successful, the TOE binds the username, password, account name, email address,
group memberships (for Internal Accounts only) and name of the building block used for
authentication to the user session for future use (only the username and group memberships are
security attributes). An audit record for the successful authentication is generated.
The user session is considered to be active until the user explicitly logs off, removes the card or
the administrator-configured inactivity timer for sessions expires. If the inactivity timer expires,
an audit record is generated.
7.1.2.1 Backup Password
The Backup Password mechanism allows an administrator to access the Security Menu
regardless of the access controls configured for it. When a user attempts to access the Security
Menu, the authentication prompt displays a selection that enables a user to authenticate with the
Backup Password instead of the method that normally secures this menu. This function may be
necessary under unusual circumstances, such as when communication with the LDAP server is
not operational.
If the correct Backup Password is supplied, the administrator is considered to be successfully
authenticated and authorized for access to the Security Menu (only). A “Successful
Authentication” audit record is generated. If an incorrect Backup Password is supplied, an error
message is displayed, an audit record is generated, and then the display is returned to the
previous screen.
If an invalid password is supplied, the count of failed authentication attempts for the Backup
Password is incremented. If the threshold for failed attempts within a time period is reached,
then the Backup Password is marked as being locked for the configured amount of time to
mitigate against brute force password attacks. This information is tracked in memory and is not
maintained across a restart of the TOE.
The Backup Password mechanism may be disabled by an authorized administrator.
7.1.2.2 Active Directory
If Active Directory parameters are supplied and Join is selected, the parameter values are used to
join the Active Directory Domain. If successful, machine credentials are generated and the
LDAP+GSSAPI Building Block parameters are automatically updated with the Domain and
machine information.
Once the Domain has been joined, subsequent I&A attempts may use the LDAP+GSSAPI
Building Block to validate user credentials using the newly-created machine credentials as
described above. The credentials specified for Active Directory by an authorized administrator
are not saved.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
47
7.1.3 Access Control
Access control validates the user access request against the authorizations configured by
administrators for specific functions. On a per-item basis, authorization may be configured as
“disabled” (no access), “no security” (open to all users), or restricted (via security templates)
(some items do not support all three options). Authorization may be configured for the following
items:
Table 25 - Access Control Items
Item Description Comment
Address Book Controls access to the Search Address
Book button that appears as part of the
E-mail, FTP, and Fax functions that are
available from the panel’s Home screen
Any authorization option may be
configured
Allow Flash Drive
Access
Controls whether USB interfaces may be
used for print and scan operations
Must be disabled in the evaluated
configuration
App [x] Controls the execution of eSF and LDD
profiles that specify using one of these
slots
Access must be restricted to authorized
users in the evaluated configuration
Apps Configuration Controls access to the configuration of
any installed applications
Access must be restricted to authorized
administrators in the evaluated
configuration
Cancel Jobs at the device Controls access to the functionality to
cancel jobs via the touch panel.
Access must be restricted to authorized
users in the evaluated configuration
Change Language Controls access to the Change Language
button on the Home screen (when
displayed); this button is NOT displayed
by default but a user can activate it via
the “General Settings Menu”
Any authorization option may be
configured
Color Dropout Controls a user’s ability to activate the
Color Dropout functionality as part of a
job; if protected and the user fails to
authenticate, then the device DOES NOT
use the color dropout functionality in the
job
Any authorization option may be
configured
Configuration File
Import/Export
Controls the ability to import and export
settings and security configuration files
Access must be disabled or restricted to
authorized administrators in the evaluated
configuration
Configuration Menu (and
submenus)
Controls access to the Configuration
Menu via the front panel
Must be disabled in the evaluated
configuration
Copy Color Printing Controls a user’s ability to copy content
in color
Any authorization option may be
configured
Copy Function Control’s a user’s access to the Copy
functionality
Access must be disabled or restricted to
authorized users in the evaluated
configuration
Create Bookmarks at the
device
Controls access to the Delete Bookmark,
Create Bookmark, and Create Folder
buttons from both the bookmark list
screen and from the individual bookmark
screen; unless disabled, all users
(regardless of their credentials) can
search and print bookmarks
Must be disabled in the evaluated
configuration
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
48
Item Description Comment
Create Bookmarks
Remotely
Controls access to the Delete Bookmark,
Create Bookmark, and Create Folder
buttons from both the bookmark list
screen and from the individual bookmark
screen; unless disabled, all users
(regardless of their credentials) can
search and print bookmarks
Must be disabled in the evaluated
configuration
Create Profiles Controls the ability to create scan
profiles from remote systems.
Must be disabled in the evaluated
configuration
E-mail Function Control’s a user’s access to the Email
functionality (scan to email)
Access must be disabled or restricted to
authorized users in the evaluated
configuration
Solutions Configuration Controls access to the
Embedded Solutions link (and
all sublinks) via the Web page
Access must be disabled or restricted to
authorized users in the evaluated
configuration
Fax Function Control’s a user’s ability to perform a
scan to fax job
When “Disabled”, all analog faxing
(scan send, receive, and driver send) and
the fax server are disabled. The fax icon
is removed and the device does not
answer incoming calls nor print driver
faxes. However, the panel menus still
display fax-related settings as though fax
were enabled.
When protected by a security template,
the values of the “Enable Fax Scan”,
“Driver to Fax”, and “Enable Fax
Receive” settings in the “Fax Settings
Menu” determine the behavior of Fax
Receive and Driver Fax. Fax Scan
sending is enabled if the user provides
valid credentials.
Access must be disabled or restricted to
authorized users in the evaluated
configuration
Firmware Updates Controls a user’s ability to update the
device’s firmware code via the network
Must be disabled in the evaluated
configuration
FTP Function Controls a user’s ability to access the
FTP button on the Home Screen (when
displayed); the FTP button is hidden by
default and does not display unless a
user activates it via the Home Screen
Customization menu in the “General
Settings Menu”
Must be disabled in the evaluated
configuration
Held Jobs Access Controls access to the Held jobs menu if
the Secure Held Print Jobs” (Lexmark
models only) or “Secure Print Jobs
Release” (Dell models only) eSF
application is not installed
Must be disabled in the evaluated
configuration
Manage Shortcuts at the
device
Controls access to the Manage Shortcuts
Menu via the Administration Menus
Access may be configured as restricted or
no security, but not disabled
Manage Shortcuts
Remotely
Controls access to the Manage Shortcuts
Menu via the web
Access may be configured as restricted or
no security, but not disabled
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
49
Item Description Comment
Network/Ports Menu at
the device (and
submenus)
Controls access to the Network/ Ports
Menu via the Administration Menus
Access must be restricted to authorized
administrators in the evaluated
configuration
Network/Ports Menu
Remotely
Controls access to the Network/ Ports
Menu via the web
Access must be restricted to authorized
administrators in the evaluated
configuration
New Apps Controls access to configuration
parameters for apps subsequently added
to the device.
Access must be restricted to authorized
administrators in the evaluated
configuration
Operator Panel Lock Controls access to the “Lock Device”
and “Unlock Device” buttons
Must be disabled in the evaluated
configuration
Option Card
Configuration at the
device
Controls a user’s ability to access the
“Option Card Menu” that displays menu
nodes associated with installed DLEs
Access must be restricted to authorized
administrators in the evaluated
configuration
Option Card
Configuration
Remotely
Controls a user’s ability to access the
“Option Card Menu” via the web
Access must be restricted to authorized
administrators in the evaluated
configuration
Paper Menu at the device
(and submenus)
Controls access to the Paper Menu via
the Administration Menus
Any authorization option may be
configured
Paper Menu Remotely Controls access to the Paper Menu via
the web
Any authorization option may be
configured
PJL Device Setting
Changes
When “Disabled”, prohibits any changes
to system settings via PJL operators
Must be disabled in the evaluated
configuration
Release Held Faxes Controls access to the Held Faxes button
and the Release Held Faxes button on
the Home screen
Access must be restricted to authorized
administrators in the evaluated
configuration
Remote Management Controls whether or not management
functions may be invoked from remote
IT systems
Must be disabled in the evaluated
configuration
Reports Menu at the
device (and submenus)
Controls access to the Reports Menu via
the Administration Menus. This
includes information about user jobs,
which can’t be disclosed to non-
administrators.
Access must be restricted to authorized
administrators in the evaluated
configuration
Reports Menu Remotely Controls access to the Reports Menu via
the web
Access must be restricted to authorized
administrators in the evaluated
configuration
Secure Held Print Jobs Controls access to the Held Jobs menu if
the Secure Held Print Jobs” (Lexmark
models only) or “Secure Print Jobs
Release” (Dell models only) eSF
application is installed
Access must be restricted to authorized
users in the evaluated configuration
Security Menus at the
device (and submenus)
Controls access to the Security Menu via
the Administration Menus
Access must be restricted to authorized
administrators in the evaluated
configuration
Security Menu Remotely Controls access to the Security Menu via
the web
Access must be restricted to authorized
administrators in the evaluated
configuration
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
50
Item Description Comment
Service Engineer Menus
at the device (and
submenus)
Controls access to any SE menu
accessible from the panel, including the
Network SE menu
Access must be restricted to authorized
administrators in the evaluated
configuration
Note that LDAP+GSSAPI and Smart Card
authentication may not be used with this
access control because the network
interface is not operational when these
menus are in use
Service Engineer Menus
Remotely
Controls access to any SE menu
accessible from the web
Access must be restricted to authorized
administrators in the evaluated
configuration
Settings Menu at the
device (and submenus)
Controls access to the Settings Menu via
the Administration Menus
Access must be restricted to authorized
administrators in the evaluated
configuration
Settings Menu Remotely Controls access to the Settings Menu via
the web
Access must be restricted to authorized
administrators in the evaluated
configuration
Use Profiles Controls a user’s ability to execute any
profile
Access must be configured as no security
Web Import/Export
Settings
Protects the Import/Export link in the
Settings section of the AIO’s Web page
and all links beneath the Import/Export
link
Must be disabled in the evaluated
configuration
Authorization is restricted by associating a security template with an item. The security template
assigned to each item may be the same or different as the security template(s) assigned to other
items. Each security template points to an authentication building block as well as an
authorization building block; the two building blocks may be the same or different.
When the item is a menu, access is also restricted to all submenus (a menu that is normally
reached by navigating through the listed item). This is necessary for instances where a shortcut
could bypass the listed menu. If a shortcut is used to access a sub-menu, the access control
check for the applicable menu item is still performed (as if normal menu traversal was being
performed).
When a function is restricted by a security template, the access control function first determines
if the user has already authenticated against the building block contained in the security template.
If the user authenticated previously (during the current session), the name of the building block
used during that authentication process was cached and can be compared to the name of the
building block for this security template. If they match, the authentication step is skipped.
Otherwise, if an authentication for a different building block was successfully performed during
the current session, the username and password cached from that interaction is re-used for this
authentication process against the authentication building block for this security template. If no
authentication has already been done for this session, the I&A function is performed before
access control continues.
Further access control processing is dependent on the type of authorization building block
contained in the security template.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
51
7.1.3.1 Internal Account Building Blocks
The set of groups configured for the Internal Account (and bound to the session during the I&A
function) is compared to the set of groups included in the security template. If there are any
common groups in those sets, the access control check is satisfied and the user is granted access
to the requested function.
7.1.3.2 LDAP+GSSAPI and Smart Card Authentication Client Building Blocks
For each group specified in the authorization building block, the LDAP server is queried to
determine if the user is a member of the group. If the user is a member of any of those groups,
the access control check is satisfied and the user is granted access to the requested function.
7.1.3.3 Common Processing
The information in this section applies to all types of building blocks.
If the access control check fails for an operation, a message is displayed then the display is
returned to the previous screen.
An audit record is generated with the result of the access control check.
7.1.3.4 Function Access Control
The following table summarizes the access controls and configuration parameters used by the
TOE to control user access to the MFP functions provided by the TOE. Additional details for
each function are provided in subsequent sections.
Table 26 - TOE Function Access Control SFP Rules
Object Access Control Rules Configuration Parameter Rules
F.PRT Network print jobs can always be submitted.
The job is held until released by a user who
is a member of an authorized group for the
Secure Held Print Jobs access control and
has the same userid as was specified in the
SET USERNAME PJL statement. Network
print jobs without a PJL SET USERNAME
statement are automatically deleted after the
expiry period for held jobs.
Allowed for incoming faxes if the Fax
Function access control is not “disabled”.
Allowed
Allowed if the “Enable Fax Receive” or
“Enable Analog Receive” parameter is “On”.
F.SCN Allowed for fax if the user is a member of an
authorized group of the security template
configured for the Fax Function access
control
Allowed for copying if the user is a member
of an authorized group of the security
template configured for the Copy Function
access control
Allowed for emailing if the user is a member
of an authorized group of the security
template configured for the Fax Function
Allowed if the “Enable Fax Scans”
parameter is On and the “Fax Mode”
parameter is “Analog Fax”
Allowed
Allowed if the “Enable Fax Scans”
parameter is On and the “Fax Mode”
parameter is “Fax Server”
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
52
Object Access Control Rules Configuration Parameter Rules
access control
F.CPY Allowed if the user is a member of an
authorized group of the security template
configured for the Copy Function access
control
In addition, color copying is allowed if the
Copy Color Printing access control is “No
security” or if the user is a member of an
authorized group
Allowed
Allowed
F.FAX Incoming faxes are not subject to access
control. All incoming faxes are held until
released by a user who is a member of an
authorized group of the security template
configured for the Release Held Faxes access
control
Allowed for outgoing fax if the Fax Function
access control is “No security” or if the user
is a member of an authorized group
Allowed if the “Enable Fax Receive” or
“Enable Analog Receive” parameter is “On”.
Allowed
F.SMI Allowed provided the individual function
access control allowed the function
Allowed
7.1.3.4.1 Printing
Submission of print jobs from users on the network is always permitted. Jobs that do not contain
a PJL SET USERNAME statement are discarded after the configured held jobs expiry period.
Submitted jobs are always held on the TOE until released or deleted by a user authorized for the
appropriate access control and whose userid matches the username specified when the job was
submitted. Users are able to display the queue of their pending print jobs. When a job is
released, the user has the option to change the number of copies to be printed. If a held job is not
released within the configured expiration time, the job is automatically deleted.
7.1.3.4.2 Scanning (to Fax or Email)
Scanning may be performed as part of a fax or email function. Only authorized users may
perform scans.
The destination of the fax scan is determined by the setting of the “Fax Mode” configuration
parameter. If it is configured for “Analog Fax” then the scanned data is transmitted out the
phone line as a fax. If it is configured for “Fax Server” then the scanned data is forwarded to the
configured email server via SMTP.
Scanning for fax is allowed if the Enable Fax Scans configuration parameter is “On” and the user
is authorized for the Fax Function access control.
Scanning for email is allowed if the user is authorized for the E-mail Function access control.
7.1.3.4.3 Copying
Copying is allowed if the user is authorized for the Copy Function access control. A user may
view or delete their own copy jobs queued for printing.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
53
7.1.3.4.4 Incoming Fax
Incoming faxes are allowed if the “Enable Fax Receive” (for analog fax mode) or “Enable Fax
Receive” (for fax server mode) configuration parameter is “On”.
Incoming faxes are always held in the queue (until released) in the evaluated configuration.
Only users authorized for the Release Held Faxes access control may release or delete the faxes.
7.1.3.4.5 Shared-medium Interface
The TOE supports scanning to an external SMTP server via the network interface. When fax
functionality is enabled and the “Fax Mode” is configured for “Fax Server” outgoing faxes are
converted to a file and attached to outgoing SMTP messages. Administrators require access to
the Security Menu to configure the Fax Function access control and the Settings Menu to
configure the fax server parameters.
7.1.3.5 Postscript Access Control
In the evaluated configuration, the setdevparams, setsysparams and setuserparams Postscript
operators are made non-operational so that the Postscript DataStream can not modify
configuration settings in the TOE.
7.1.4 Management
The TOE provides the ability for authorized administrators to manage TSF data from remote IT
systems via a browser session or locally via the touch panel. Authorization is granular, enabling
different administrators to be granted access to different TSF data. When an administrator
modifies TSF data, an audit record is generated.
The following sections describe the management capabilities provided and are organized by the
administrator menu structure available via the touch panel.
7.1.4.1 Reports Menu
The Reports menu provides the ability to print (view) the settings from other menu items as well
as fax job logs (F.FUNC). This information must be restricted to authorized administrators.
7.1.4.2 Network/Ports Menu
The following table describes TSF data available for management under this menu. In the
description field, “(*)” indicates the default setting for an item.
Table 27 - Network/Ports Menu TSF Data
Item Description Comments
Network Port Defines the parameters required for
the TOE to communicate via the
standard network port
Required in the evaluated configuration
Enable FTP/TFTP Enables FTP/TFTP server on the TOE Must be disabled in the evaluated
configuration
Enable HTTP Server Enables HTTP(S) server on the TOE Must be enabled in the evaluated
configuration
USB Buffer Disables all activity via the USB port Must be disabled in the evaluated
configuration
SMTP Setup Settings Define the SMTP server to be used to
send email from the TOE
Required if the TOE supports scan to email
or fax to email
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
54
Item Description Comments
SMTP Setup Settings -
User-Initiated E-mail
None (*)
Use Device SMTP Credentials
Use Session User ID & Password
Use Session E-mail & Password
Prompt User
Any option other than “None” may be
configured in the evaluated configuration
7.1.4.3 Security Menu
The following table describes TSF data available for management under this menu. In the
description field, “(*)” indicates the default setting for an item.
Table 28 - Security Menu TSF Data
Item Description Comments
Edit Backup Password -
Use Backup Password
Enables access to the Security Menu
via the Backup Password
Only appears if backup password exists.
Enabling the backup password is optional.
Edit Backup Password -
Password
Specifies the Backup Password The TOE requires passwords to be a
minimum of 8 characters, with no
composition rules. Operational guidance
directs administrators to use the following
composition rules when specifying
passwords: at least one upper case letter,
one lower case letter, and one non-
alphabetic character; no dictionary words or
permutations of the username
Edit Building Blocks -
Internal Accounts - General
Settings - Required User
Credentials
User ID and password (*)
User ID
“User ID and password” is required in the
evaluated configuration
Edit Building Blocks -
Internal Accounts - General
Settings - Groups
Defines the groups that may be
associated with users, Internal
Account building blocks, and security
templates (using Internal Accounts)
Required if Internal Account building
blocks are used
Edit Building Blocks -
Internal Accounts –
Manage Internal Accounts
Defines the account name, username,
password, email address, and
associated groups for each internal
account
The TOE requires passwords to be a
minimum of 8 characters, with no
composition rules. Operational guidance
directs administrators to use the following
composition rules when specifying
passwords: at least one upper case letter,
one lower case letter, and one non-
alphabetic character; no dictionary words or
permutations of the username
Edit Building Blocks -
Simple Kerberos Setup -
KDC Address, KDC Port,
and Realm
Defines how to communicate with the
KDC
Required if LDAP+GSSAPI or Smart Card
is being used since they use a Kerberos
Building Block in order to define the
parameters for communication with the
KDC
Edit Building Blocks -
LDAP+GSSAPI
Defines how to communicate with the
LDAP/AD server and (optionally)
restrict the groups and users that will
match the query
Required if LDAP+GSSAPI is being used to
define the LDAP server to be used
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
55
Item Description Comments
Edit Building Blocks -
LDAP+GSSAPI –
Certificate
default (*)
Certificate
The evaluated configuration requires the
default certificate if SSL/TLS is selected in
the building block.
Edit Building Blocks -
LDAP+GSSAPI – Device
Credentials
Distinguished username and password
to be used when performing LDAP
queries
Required in the evaluated configuration
Edit Building Blocks –
Active Directory
Defines parameters to join an Active
Directory Domain. Upon joining,
machine credentials are generated and
an LDAP+GSSAPI Building Block is
automatically generated with the
parameters for the Domain
Optionally used to automatically generate
an LDAP+GSSAPI Building Block.
Access Controls Specifies whether access is no
security, disabled, or restricted for
each item (see the Access Control
security function for the list of items)
Refer to the Access Control security
function for requirements on access controls
Login Restrictions The “Login failures” value determines
how many failed authentications (local
OR remote) are allowed within the
“Failure time frame” value before the
offending User Name is prevented
from accessing any function protected
with the same building block (e.g.
LDAP, Kerberos, etc.) for the duration
of the “Lockout time” value.
The value of “Panel Login Timeout”
determines how long the operator
panel can remain idle on the Home
screen before the user is logged off
automatically.
Any configuration options may be
configured. The lockout function is always
enabled and any settings within the allowed
range will result in a configuration with
adequate security against brute force
password attacks.
Security Reset
Jumper
No Effect
No Security (*)
Reset to Defaults
“No Security” preserves all of the building
blocks and templates that a user has defined,
but resets each access control to its factory
default security level.
“Reset to Defaults” deletes all building
blocks and templates that a user has defined
and resets each access control to its factory
default security level.
LDAP Certificate
Verification
Demand (*)
Try
Allow
Never
“Demand!” must be configured in the
evaluated configuration
Enable Audit Determines if the device records
events via the remote syslog
Yes
No (*)
Any configuration options may be
configured.
Enable Remote Syslog Determines if the device transmits
logged events to a remote server
Yes
No (*)
“Yes” must be specified in the evaluated
configuration
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
56
Item Description Comments
Remote Syslog parameters Defines the communication to the
remote syslog system
Must be configured in the evaluated
configuration.
Date and Time parameters Controls whether the time is tracked
internally or from a remote NTP
server
Must be configured for either local or
remote operation so that the TOE can
provide timestamps in audit records
Held Print Job Expiration
Timer
Specifies the maximum amount of
time a print job is held while waiting
for a user to release it for printing
Off
1 hour
4 hours
24 hours
1 week
Any configuration option may be
configured.
When an Internal Account is defined, initially no groups are associated with it. The TOE limits
the specification of group memberships to defined groups. If a group is associated with any
security templates, the group may not be deleted.
7.1.4.4 Settings Menu
The following table describes TSF data available for management under this menu. In the
description field, “(*)” indicates the default setting for an item.
Table 29 - General Settings Menu TSF Data
Item Description Comments
FTP Display (*)
Do not display
Must be set to “Do not display” in the
evaluated configuration
FTP shortcuts Display (*)
Do not display
Must be set to “Do not display” in the
evaluated configuration
USB Drive Display (*)
Do not display
Must be set to “Do not display” in the
evaluated configuration
7.1.4.4.1 Fax Settings Menu
Analog fax mode uses a phone line connected directly to the MFP to send and/or receive faxes.
In fax server mode, scanned documents are forwarded to a fax server via SMTP rather than being
transmitted out the fax interface; a fax line may still be connected to process incoming faxes.
The following table describes TSF data available for management under this menu. In the
description field, “(*)” indicates the default setting for an item.
Table 30 - Fax Settings Menu TSF Data
Item Description Comments
Fax Mode Analog
Fax Server
Any configuration option may be specified
Cancel Faxes Allow (*)
Don't Allow
Any configuration option may be specified,
according to local policy concerning faxes.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
57
Item Description Comments
Enable Fax Scans On (*)
Off
When “On”, user can create faxes
with the device’s scanner.
Any configuration option may be specified,
according to local policy concerning scan to
fax usage.
Driver to fax Yes (*)
No
When “No”, driver fax jobs are treated
as PS jobs. This is the only way to
disable “Driver to fax”
“No” must be specified in the evaluated
configuration
Enable Fax Receive Specifies whether incoming faxes may
be received
On (*)
Off
Any configuration option may be specified,
according to local policy concerning
received faxes.
Fax Forwarding Print (*; fax forwarding off, print all
received faxes)
Print and Forward
Forward
”Print” must be configured in the evaluated
configuration.
Holding Faxes Defines conditions for holding
incoming faxes.
In the evaluated configuration, the
conditions must be configured so that all
incoming faxes are held.
Enable Analog Receive Off (*)
On
This parameter controls whether
incoming faxes are supported when
operating in fax server mode
Any configuration option may be specified,
according to local policy concerning
incoming faxes.
7.1.4.4.2 Email Settings Menu
The following table describes TSF data available for management under this menu. In the
description field, “(*)” indicates the default setting for an item.
Table 31 - Email Settings Menu TSF Data
Item Description Comments
E-mail images sent
as
Attachment (*)
Web link
“Attachment” must be specified in the
evaluated configuration
7.1.4.4.3 Print Settings/Setup Settings Menu
The following table describes TSF data available for management under this menu. In the
description field, “(*)” indicates the default setting for an item.
Table 32 - Print Settings/Setup Settings Menu TSF Data
Item Description Comments
Job Waiting On
Off (*)
Any configuration option may be specified
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
58
7.1.4.5 Security Reset Jumper
The security reset jumper provides an alternate mechanism to manage some TSF data. The TOE
contains a hardware jumper that can be used to:
 erase all security templates, building blocks, and access controls that a user has defined
(i.e. the factory default configuration); OR
 force the value of each function access control to “No Security” (all security templates
and building blocks are preserved but not applied to any function).
Administrators can secure the hardware containing the jumper with a Kensington lock. Or, to
completely negate the effects of a jumper reset, an authorized administrator can configure the
TOE to take no action based upon the jumper, effectively disabling this mechanism. Authorized
administrators use the same configuration parameter to determine which of the two actions listed
above is performed (if the mechanism is not disabled).
To perform a jumper reset operation, an administrator:
1. powers the device off;
2. removes the Kensington lock from the card cage;
3. removes the small plastic piece that covers a pair of the jumper’s pins;
4. replaces the plastic piece so that it covers the pins adjacent to its original position;
5. replaces and secures the Kensington lock on the card cage;
6. powers the device on.
The movement of the plastic piece from position A to position B on the jumper triggers the reset,
not the specific positions. When the TOE is powered on, it labels the current position of the
plastic piece as the “home” position. If, at the next power on or reset, the TOE detects that the
plastic piece has moved from its previous “home” position to the “other” position, then it
performs the jumper reset operation. After performing the operation, the TOE also relabels the
“other” position as the “home” position.
7.1.5 Fax Separation
The Fax Separation security function assures that the information on the TOE, and the
information on the network to which the TOE is attached, is not exposed through the phone line
that provides connectivity for the fax function. This function assures that only printable
documents are accepted via incoming fax connections, and that the only thing transmitted over
an outgoing fax connection (in the evaluated configuration) is a document that was scanned for
faxing.
In the evaluated configuration, the USB ports capable of being used for document input are
disabled and the ability to submit jobs via the network interface to be sent out the fax interface is
disabled. Therefore, the only source for outgoing fax transmissions is the scanner. Control of the
fax functionality is incorporated directly into the TOE’s firmware. The modem chip is in a mode
that is more restrictive than Class 1 mode (the fax modem will not answer a data call), and relies
on the TOE firmware for composition and transmission of fax data. The TOE firmware explicitly
disallows the transmission of frames in data mode and allows for the sending and receiving of
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
59
facsimile jobs only. There is no mechanism by which telnet, FTP, or other network protocols can
be used over the analog fax line.
The fax modem is on a separate card from the network adapter to provide separation between the
interfaces and is only capable of sending and receiving fax data. The modem and the network
adapter are incapable of communicating directly with one another. The modem is designed only
for fax communications, thus preventing any type of remote configuration or management of the
TOE over the fax line.
7.1.6 D.DOC Wiping
The TOE overwrites RAM with a fixed pattern upon deallocation of any buffer used to hold user
data.
7.1.7 Secure Communications
IPSec with ESP is required for all network datagram exchanges with remote IT systems. IPSec
provide confidentiality, integrity and authentication of the endpoints. Supported encryption
options for ESP are TDES and AES. SHA is supported for HMACs.
ISAKMP and IKE are used to establish the Security Association (SA) and session keys for the
IPSec exchanges. Diffie-Hellman is used for IKEv1 Key Derivation Function, using Oakley
Groups 2, 14, 15, 17 or 18. This session key is stored in RAM. During the ISAKMP exchange,
the TOE requires the remote IT system to provide a certificate and the RSA signature for it is
validated.
If an incoming IP datagram does not use IPSec with ESP, the datagram is discarded.
If external accounts are defined, LDAP+GSSAPI is used for the exchanges with the LDAP
server. Kerberos v5 with AES encryption is supported for exchanges with the LDAP server.
All session keys are stored in dynamic RAM. The TOE zeroizes the session keys by overwriting
once with zeros when the sessions are terminated.
7.1.8 Self Test
During initial start-up, the TOE performs self tests on the hardware. The integrity of the security
templates and building blocks is verified by ensuring that all the security templates specified in
access controls exist and that all building blocks referenced by security templates exist.
If any problems are detected with the hardware, an appropriate error message is posted on the
touch screen and operation is suspended. If a problem is detected with the integrity of the
security templates or building blocks, the data is reset to the factory default, an audit log record
is generated, an appropriate error message is posted on the touch screen, and further operation is
suspended. In this case, a system restart will result in the system being operational with the
factory default settings for the data.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
60
8. Protection Profile Claims
This chapter provides detailed information in reference to the Protection Profile conformance
identification that appears in Chapter 2.
8.1 TOE Type Consistency
Both the PP and the TOE describe Hard Copy Devices.
8.2 Security Problem Definition Consistency
This ST claims demonstrable conformance to the referenced PP as augmented by Attachment A
of CCEVS Policy Letter #20 dated 15 November 2010.
All of the assumptions, threats, and organizational security policies of the PP are included in the
ST.
8.3 Security Objectives Consistency
This ST claims demonstrable conformance to the referenced PP as augmented by Attachment A
of CCEVS Policy Letter #20 dated 15 November 2010.
All of the security objectives for the TOE and the operational environment (IT and non-IT) of the
PP are included in the ST. The following additional security objectives are included in the ST:
1. O.I&A
2. O.MANAGE
3. O.TIME_STAMP
4. OE.I&A
5. OE.TIME_STAMP
Therefore, the ST is more restrictive than the PP.
8.4 Security Functional Requirements Consistency
This ST claims demonstrable conformance to the referenced PP as augmented by Attachment A
of CCEVS Policy Letter #20 dated 15 November 2010.
All of the SFRs from the claimed SFR packages are included in the ST with any fully or partially
completed operations from the PP. Any remaining operations have been completed. The
following notes apply to conformance of the SFRs in the ST.
1. The auditable events listed in the table with FAU_GEN.1 have been enumerated to match
the specific events generated by the TOE. All of the events required by the PP are
represented along with additional events.
2. SFRs from the FCS class have been added to the ST to address cryptographic
functionality for IPSec, which are additions to the security functionality required by the
PP.
3. FDP_ACC.1(a) and FDP_ACF.1(a) have been integrated with the individual instances of
FDP_ACC.1 and FDP_ACF.1 from the applicable SFR packages of the PP into a single
instance of FDP_ACC.1 and FDP_ACF.1 (still named Common Access Control SFP)
that addresses all of the access control policies.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
61
4. FIA_AFL.1 has been added to the ST to address to address authentication failure
handling, which is an addition to the security functionality required by the PP.
5. FIA_UAU.7 has been added to the ST to address to address protected authentication
feedback, which is an addition to the security functionality required by the PP.
6. FMT_MSA.1(a) and FMT_MSA.1(b) from the PP were combined into a single instance
of FMT_MSA.1 since all the completed operations were identical.
7. FMT_MSA.3(a) and FMT_MSA.3(b) from the PP were combined into a single instance
of FMT_MSA.3 since all the completed operations were identical.
8. FMT_MTD.1(a) and FMT_MTD.1(b) from the PP were combined into a single instance
of FMT_MTD.1. Users (U.NORMAL) do not have any access to TSF data, and it was
necessary to provide permission-level granularity of the administrator role for various
TSF data access. Given these conditions, it was simpler to combine the instances of
FMT_MTD.1 in the ST.
9. For FMT_SMR.1, the TOE provides greater granularity of roles based on individual
permissions that is required by the PP. The permission-based description has been
provided in the ST, and an application note with the SFR defines the relationship between
those permissions and the roles defined by the PP.
10. FMT_MOF.1 has been added to the ST to address administrator privileges for enabling
and disabling security-relevant functionality.
11. The instance of the FAU_GEN.1 in the SMI package has been integrated with the
instance of FAU_GEN.1 in the common requirements.
8.5 Security Assurance Requirements Consistency
The ST assurance claims are identical to the assurance claims of the PP.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
62
9. Rationale
This chapter provides the rationale for the selection of the IT security requirements, objectives,
assumptions and threats. It shows that the IT security requirements are suitable to meet the
security objectives, Security Requirements, and TOE security functional.
9.1 Rationale for IT Security Objectives
This section of the ST demonstrates that the identified security objectives are covering all aspects
of the security needs. This includes showing that each threat, policy and assumption is addressed
by a security objective.
The following table identifies for each threat, policy and assumption, the security objective(s)
that address it.
Table 33 - Threats, Policies and Assumptions to Security Objectives Mapping
O.AUDIT.LOGGED
O.CONF.NO_ALT
O.CONF.NO_DIS
O.DOC.NO_ALT
O.DOC.NO_DIS
O.FUNC.NO_ALT
O.INTERFACE.MANAGED
O.I&A
O.MANAGE
O.PROT.NO_ALT
O.SOFTWARE.VERIFIED
O.TIME_STAMP
O.USER.AUTHORIZED
OE.ADMIN.TRAINED
OE.ADMIN.TRUSTED
OE.AUDIT.REVIEWED
OE.AUDIT_ACCESS.AUTHORIZED
OE.AUDIT_STORAGE.PROTECTED
OE.I&A
OE.INTERFACE.MANAGED
OE.PHYSICAL.MANAGED
OE.TIME_STAMP
OE.USER.AUTHORIZED
OE.USER.TRAINED
A.ACCESS.MANAG
ED
X
A.ADMIN.TRAININ
G
X
A.ADMIN.TRUST X
A.USER.TRAINING X
T.CONF.ALT X X X X X
T.CONF.DIS X X X X X
T.DOC.ALT X X X X X
T.DOC.DIS X X X X X
T.FUNC.ALT X X X X X
T.PROT.ALT X X X X X
P.AUDIT.LOGGING X X X X X X
P.INTERFACE.MA
NAGEMENT
X X
P.SOFTWARE.VERI
FICATION
X
P.USER.AUTHORIZ
ATION
X X X X X
9.1.1 Rationale Showing Threats to Security Objectives
The following table describes the rationale for the threat to security objectives mapping.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
63
Table 34 - Threats to Security Objectives Rationale
T.TYPE Security Objectives Rationale
T.CONF.ALT O.CONF.NO_ALT – The objective addresses the threat by requiring the TOE to
protect against unauthorized alteration of TSF Confidential Data.
O.I&A and OE.I&A – The objectives help address the threat by requiring I&A
mechanisms so that appropriate authorizations may be associated with users.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the threat by requiring authorizations to be specified for users.
T.CONF.DIS O.CONF.NO_DIS - The objective addresses the threat by requiring the TOE to
protect against unauthorized disclosure of TSF Confidential Data.
O.I&A and OE.I&A – The objectives help address the threat by requiring I&A
mechanisms so that appropriate authorizations may be associated with users.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the threat by requiring authorizations to be specified for users.
T.DOC.ALT O.DOC.NO_ALT - The objective addresses the threat by requiring the TOE to
protect against unauthorized alteration of User Document Data.
O.I&A and OE.I&A – The objectives help address the threat by requiring I&A
mechanisms so that appropriate authorizations may be associated with users.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the threat by requiring authorizations to be specified for users.
T.DOC.DIS O.DOC.NO_DIS - The objective addresses the threat by requiring the TOE to
protect against unauthorized disclosure of User Document Data.
O.I&A and OE.I&A – The objectives help address the threat by requiring I&A
mechanisms so that appropriate authorizations may be associated with users.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the threat by requiring authorizations to be specified for users.
T.FUNC.ALT O.FUNC.NO_ALT - The objective addresses the threat by requiring the TOE to
protect against unauthorized alteration of User Function Data.
O.I&A and OE.I&A – The objectives help address the threat by requiring I&A
mechanisms so that appropriate authorizations may be associated with users.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the threat by requiring authorizations to be specified for users.
T.PROT.ALT O.PROT.NO_ALT - The objective addresses the threat by requiring the TOE to
protect against unauthorized alteration of TSF Protected Data.
O.I&A and OE.I&A – The objectives help address the threat by requiring I&A
mechanisms so that appropriate authorizations may be associated with users.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the threat by requiring authorizations to be specified for users.
9.1.2 Rationale Showing Policies to Security Objectives
The following table describes the rationale for the policy to security objectives mapping.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
64
Table 35 - Policies to Security Objectives Rationale
P.TYPE Security Objectives Rationale
P.AUDIT.LOGGING O.AUDIT.LOGGED – The objective addresses the first part of the policy by
requiring the TOE to generate audit records for TOE usage and security-
relevant events, and to protect these records while they are inside the TSC.
O.TIME_STAMP – The objective supports the policy by requiring the TOE to
provide time stamps for the audit records when time is being tracked internally.
OE.AUDIT.REVIEWED – The objective addresses the audit review portion of
the policy by requiring timely review of the generated audit records.
OE.AUDIT_ACCESS.AUTHORIZED – The objective supports the policy by
requiring the operational environment to make the audit records available to
authorized personnel only.
OE.AUDIT_STORAGE.PROTECTED - The objective supports the policy by
requiring the operational environment to protect the stored audit records from
unauthorized access.
OE.TIME_STAMP - The objective supports the policy by requiring the TOE to
provide time stamps for the audit records when time is being supplied
externally.
P.INTERFACE.MA
NAGEMENT
O.INTERFACE.MANAGED – The objective addresses the policy by requiring
the TOE to enforce access to and usage of the TOE interfaces within the TSC.
OE.INTERFACE.MANAGED – The objective addresses the policy by
requiring the operational environment to control access to the TOE interfaces
within the operational environment.
P.SOFTWARE.VERI
FICATION
O.SOFTWARE.VERIFIED – The objective restates the policy.
P.USER.AUTHORIZ
ATION
O.I&A and OE.I&A – The objectives help address the policy by requiring I&A
mechanisms so that user authorizations may be restricted for users.
O.MANAGE – The objective addresses the policy by requiring the TOE to
provide management functions to administrators for configuration of user
authorizations.
O.USER.AUTHORIZED and OE.USER.AUTHORIZED – The objectives help
address the policy by requiring authorizations to be specified for users.
9.1.3 Rationale Showing Assumptions to Environment Security Objectives
The following table describes the rationale for the assumption to security objectives mapping.
Table 36 - Assumptions to Security Objectives Rationale
A.TYPE Security Objectives Rationale
A.ACCESS.MANAGED OE.PHYSICAL.MANAGED – The objective addresses the assumption by
requiring the TOE to be located in an area that restricts physical access.
A.ADMIN.TRAINING OE.ADMIN.TRAINED – The objective restates the assumption.
A.ADMIN.TRUST OE.ADMIN.TRUSTED – The objective addresses the assumption by
requiring trust to be established in the administrators.
A.USER.TRAINING OE.USER.TRAINED – The objective restates the assumption.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
65
9.2 Security Requirements Rationale
9.2.1 Rationale for Security Functional Requirements of the TOE Objectives
This section provides rationale for the Security Functional Requirements demonstrating that the
SFRs are suitable to address the security objectives.
The following table identifies for each TOE security objective, the SFR(s) that address it.
Table 37 - SFRs to Security Objectives Mapping
O.AUDIT.LOGGED
O.CONF.NO_ALT
O.CONF.NO_DIS
O.DOC.NO_ALT
O.DOC.NO_DIS
O.FUNC.NO_ALT
O.INTERFACE.MANAGED
O.I&A
O.MANAGE
O.PROT.NO_ALT
O.SOFTWARE.VERIFIED
O.TIME_STAMP
O.USER.AUTHORIZED
FAU_GEN.1 X X
FAU_GEN.2 X
FCS_CKM.1 X X X X X X
FCS_CKM.4 X X X X X X
FCS_COP.1 X X X X X X
FDP_ACC.1(A) X X X X X X
FDP_ACC.1(B) X X X X X
FDP_ACF.1(A) X X X X X X
FDP_ACF.1(B) X X X X X
FDP_RIP.1 X
FIA_AFL.1 X
FIA_ATD.1 X
FIA_UAU.1 X X
FIA_UAU.7 X
FIA_UID.1 X X
FIA_USB.1 X X
FMT_MOF.1 X X X X
FMT_MSA.1 X X X X
FMT_MSA.3 X
FMT_MTD.1 X X X X
FMT_SMF.1 X
FMT_SMR.1 X
FPT_FDI_EXP.1 X X
FPT_STM.1 X
FPT_TST.1 X
FTA_SSL.3 X
FTP_ITC.1 X X X X X X
The following table provides the detail of TOE security objective(s).
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
66
Table 38 - Security Objectives to SFR Rationale
Security
Objective
SFR and Rationale
O.AUDIT.LOGGED FAU_GEN.1 addresses the objective by requiring the TOE to generate audit
records for TOE usage and security relevant events.
FAU_GEN.2 helps address the objective by requiring the audit records to
include information associating a user with each event (if applicable).
O.CONF.NO_ALT FCS_CKM.1, FCS_CKM.4 and FCS_COP.1 support the objective by requiring
the TOE to provide key management and cryptographic functions to protect
management interactions during network transmission.
FMT_MOF.1 specifies the rules for managing the behaviour of security-
relevant functions, which is done by altering TSF Confidential Data and should
only be accessed by authorized administrators.
FMT_MSA.1 specifies the rules for managing user security attributes used in
user data access control decisions, which is done by altering TSF Confidential
Data and should only be accessed by authorized administrators.
FMT_MTD.1 specifies the rules for altering TSF Confidential Data.
FTP_ITC.1 addresses the objective by requiring the TOE to provide trusted
channels for the exchange of management traffic across the network.
O.CONF.NO_DIS FCS_CKM.1, FCS_CKM.4 and FCS_COP.1 support the objective by requiring
the TOE to provide key management and cryptographic functions to protect
management interactions during network transmission.
FMT_MOF.1 specifies the rules for managing the behaviour of security-
relevant functions, which includes displaying TSF Confidential Data and should
only be accessed by authorized administrators.
FMT_MSA.1 specifies the rules for managing user security attributes used in
user data access control decisions, which includes displaying TSF Confidential
Data and should only be accessed by authorized administrators.
FMT_MTD.1 specifies the rules for displaying TSF Confidential Data.
FTP_ITC.1 addresses the objective by requiring the TOE to provide trusted
channels for the exchange of management traffic across the network.
O.DOC.NO_ALT FCS_CKM.1, FCS_CKM.4 and FCS_COP.1 support the objective by requiring
the TOE to provide key management and cryptographic functions to protect the
document data while transferred across the network.
FDP_ACC.1(A) and FDP_ACC.1(B) specify the subjects, objects and
operations that are controlled regarding User Document Data that must be
protected for unauthorized alteration.
FDP_ACF.1(A) and FDP_ACF.1(B) specify the security attributes and rules
used to determine whether access is permitted.
FTP_ITC.1 addresses the objective by requiring the TOE to provide trusted
channels for the exchange of D.DOC across the network.
O.DOC.NO_DIS FCS_CKM.1, FCS_CKM.4 and FCS_COP.1 support the objective by requiring
the TOE to provide key management and cryptographic functions to protect the
document data while transferred across the network.
FDP_ACC.1(A) and FDP_ACC.1(B) specify the subjects, objects and
operations that are controlled regarding User Document Data that must be
protected for unauthorized disclosure.
FDP_ACF.1(A) and FDP_ACF.1(B) specify the security attributes and rules
used to determine whether access is permitted.
FDP_RIP.1 supports the objective by requiring the TOE to make unavailable
any user document data when the RAM buffer holding the data is released.
FTP_ITC.1 addresses the objective by requiring the TOE to provide trusted
channels for the exchange of D.DOC across the network.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
67
Security
Objective
SFR and Rationale
O.FUNC.NO_ALT FCS_CKM.1, FCS_CKM.4 and FCS_COP.1 support the objective by requiring
the TOE to provide key management and cryptographic functions to protect the
function data while transferred across the network.
FDP_ACC.1(A) specifies the subjects, objects and operations that are controlled
regarding functions.
FDP_ACF.1(A) specifies the security attributes and rules used to determine
whether access is permitted.
FTP_ITC.1 addresses the objective by requiring the TOE to provide trusted
channels for the exchange of D.FUNC across the network.
O.INTERFACE.MA
NAGED
FDP_ACC.1(A), FDP_ACC.1(B) and FDP_ACC.1(C) specify the subjects,
objects and operations that are controlled regarding all TOE interfaces.
FDP_ACF.1(A), FDP_ACF.1(B) and FDP_ACF.1(C) specify the security
attributes and rules used to determine whether access is permitted.
FPT_FDI_EXP.1 specifies that the TOE restrict the flow of information
between the network and fax interfaces.
O.I&A FIA_AFL.1 supports the objective by requiring the TOE to lock accounts that
experience an excessive number of failed authentication attempts, thereby
providing protection from brute force password attacks.
FIA_ATD.1 specifies the attributes associated with users, including information
about failed authentication attempts.
FIA_UAU.1 requires the TOE to provide I&A using Internal Accounts and the
Backup Password.
FIA_UAU.7 protects the confidentiality of passwords by specifying that only
asterisks are echoed during password entry.
FIA_UID.1 requires the TOE to provide I&A using Internal Accounts and the
Backup Password.
FIA_USB.1 specifies the attributes bound to a session upon successful
completion of the I&A process.
O.MANAGE FPT_FDI_EXP.1 requires the TOE to provide management of direct forwarding
from the original document handler input to the network interface.
FMT_MOF.1 specifies the rules for administrator access to the listed functions.
FMT_MSA.1 specifies the rules for management of the security attributes used
in the access control decisions for user data.
FMT_MSA.3 requires the TOE to impose restrictive default values for security
attributes in all cases.
FMT_MTD.1specifies the rules for management of TSF data.
FMT_SMF.1 specifies the management functions that the TOE provides and
controls access to.
FMT_SMR.1 specifies the roles (via user permissions) supported by the TOE.
FTA_SSL.3 requires the TOE to automatically terminate idle sessions to
mitigate against users taking advantage of existing sessions to gain unauthorized
access.
O.PROT.NO_ALT FCS_CKM.1, FCS_CKM.4 and FCS_COP.1 support the objective by requiring
the TOE to provide key management and cryptographic functions to protect the
management data while transferred across the network.
FDP_ACC.1(A) and FDP_ACC.1(B) specify the subjects, objects and
operations that are controlled regarding TSF Protected Data that must be
protected for unauthorized alteration.
FDP_ACF.1(A) and FDP_ACF.1(B) specify the security attributes and rules
used to determine whether access is permitted.
FTP_ITC.1 addresses the objective by requiring the TOE to provide trusted
channels for the exchange of management traffic across the network.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
68
Security
Objective
SFR and Rationale
O.SOFTWARE.VER
IFIED
FPT_TST.1 addresses the objective by requiring the TOE to validate the TSF
data for security templates and building blocks.
O.TIME_STAMP FPT_STM.1 requires the TOE to provide a reliable time source when time is
configured to be supplied internally.
O.USER.AUTHORI
ZED
FIA_UID.1 and FIA_UAU.1 requires the TOE to successfully complete the
I&A process before allowing users to perform anything other than the specified
functions.
FIA_USB.1 specifies the attributes bound to a sessions (and used in access
control decisions) upon successful I&A.
The security policies defined in FDP_ACC.1(A), FDP_ACC.1(B),
FDP_ACF.1(A), FDP_ACF.1(B), FMT_MOF.1, FMT_MSA.1 and
FMT_MTD.1 are required to be enforced by the TOE based on the security
attributes bound to the subject (acting on behalf of the authenticated user).
9.2.2 Security Assurance Requirements Rationale
The TOE stresses assurance through vendor actions that are within the bounds of current best
commercial practice. The TOE provides, primarily via review of vendor-supplied evidence,
independent confirmation that these actions have been competently performed.
The general level of assurance for the TOE is:
A) Consistent with current best commercial practice for IT development and provides
a product that is competitive against non-evaluated products with respect to
functionality, performance, cost, and time-to-market.
B) The TOE assurance also meets current constraints on widespread acceptance, by
expressing its claims against EAL2 augmented with ALC_FLR.2 from part 3 of
the Common Criteria.
9.3 TOE Summary Specification Rationale
This section demonstrates that the TOE’s Security Functions completely and accurately meet the
TOE SFRs.
The following tables provide a mapping between the TOE’s Security Functions and the SFRs
and the rationale.
Table 39 - SFRs to TOE Security Functions Mapping
Audit
Generation
I&A
Access
Control
Management
Fax
Separation
D.DOC
Wiping
Secure
Communication
Self
Test
FAU_GEN.1 X
FAU_GEN.2 X
FCS_CKM.1 X
FCS_CKM.4 X
FCS_COP.1 X X
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
69
Audit
Generation
I&A
Access
Control
Management
Fax
Separation
D.DOC
Wiping
Secure
Communication
Self
Test
FDP_ACC.1(A) X
FDP_ACC.1(B) X
FDP_ACF.1(A) X
FDP_ACF.1(B) X
FDP_RIP.1 X
FIA_AFL.1 X
FIA_ATD.1 X
FIA_UAU.1 X
FIA_UAU.7 X
FIA_UID.1 X
FIA_USB.1 X
FMT_MOF.1 X X
FMT_MSA.1 X X
FMT_MSA.3 X
FMT_MTD.1 X X
FMT_SMF.1 X
FMT_SMR.1 X
FPT_FDI_EXP.1 X X X
FPT_STM.1 X
FPT_TST.1 X
FTA_SSL.3 X
FTP_ITC.1 X
Table 40 - SFR to SF Rationale
SFR SF and Rationale
FAU_GEN.1 Audit Generation addresses the SFR by specifying the audit event records
that are generated and the content of the records.
FAU_GEN.2 Audit Generation addresses the SFR by specifying that the associated
Username (if applicable) is included in audit event records.
FCS_CKM.1 Secure Communications requires generation of a certificate with an RSA
public-private key pair.
FCS_CKM.4 Secure Communication requires zeroization of the session keys obtained by
DH IKEv1 Key Derivation Function to be zeroized when the sessions
terminate.
FCS_COP.1 Secure Communication requires the TOE to support TDES and AES for
encryption, AES and SHA-1 for HMAC, RSA signatures, Diffie Hellman for
IKEv1 Key Derivation Function, and a deterministic random bit generator.
FDP_ACC.1(A) Access Control specifies the access controls placed on the user operations
(objects) performed by users to access user data in the TSC.
FDP_ACC.1(B) Access Control specifies the access controls placed on the user operations
(objects) performed by users to access user data in the TSC.
FDP_ACF.1(A) Access Control specifies the access controls placed on the user operations
(objects) performed by users to access user data in the TSC.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
70
SFR SF and Rationale
FDP_ACF.1(B) Access Control specifies the access controls placed on the user operations
(objects) performed by users to access user data in the TSC.
FDP_RIP.1 D.DOC Wiping requires the TOE to overwrite RAM buffers upon their
release that contain user data from incoming print, copy, scan and fax jobs.
FIA_AFL.1 Identification and Authentication requires the TOE to track failed login
attempts for all authentication mechanisms. The limit on failed attempts that
triggers an account lock is specified via the Login Restrictions TSF data.
FIA_ATD.1 Identification and Authentication requires the TOE to maintain the
Username, Password, and Associated Groups security attributes for Internal
Accounts and the Backup Password; and the failed authentication security
attributes for all users.
FIA_UAU.1 Identification and Authentication requires the TOE to prevent access to
restricted functions before the I&A process is successfully completed.
Printing is never a restricted function; other functions may be restricted
through access controls or enabling/disabling specific functions such as
incoming faxes. The TOE is solely responsible for I&A for Internal
Accounts and the Backup Password.
FIA_UAU.7 Identification and Authentication requires the TOE to echo asterisks when a
password is being entered for the I&A process for all mechanisms.
FIA_UID.1 Identification and Authentication requires the TOE to prevent access to
restricted functions before the I&A process is successfully completed.
Printing is never a restricted function; other functions may be restricted
through access controls or enabling/disabling specific functions such as
incoming faxes. The TOE is solely responsible for I&A for Internal
Accounts and the Backup Password.
FIA_USB.1 Identification and Authentication requires the TOE to bind the Username and
Password supplied during I&A with the subject upon successful I&A. The
TOE also binds the list of associated groups (for Internal Accounts) and the
building block name used for I&A.
FMT_MOF.1 Management requires the TOE to provide the management capabilities
specified in the table to the administrators that satisfy the access controls
associated with the menus that control those functions.
Access Control specifies that access be restricted and states the required
configuration in the evaluated configuration.
FMT_MSA.1 Management requires the TOE to provide the management capabilities for
Usernames and Group memberships to the administrators that satisfy the
access controls associated with the menus that control access to the data
items.
Access Control specifies that access be restricted and states the required
configuration in the evaluated configuration.
FMT_MSA.3 Management requires the TOE to initially associate no group memberships
with Internal Accounts.
FMT_MTD.1 Management requires the TOE to provide the management capabilities
specified in the table to the administrators that satisfy the access controls
associated with the menus that control access to the data items.
Access Control specifies that access be restricted and states the required
configuration in the evaluated configuration.
FMT_SMF.1 Management requires the TOE to provide capabilities to manage the
specified functions.
FMT_SMR.1 Management requires the TOE to maintain the two specified roles.
Administrators are any users authorized access to management functionality,
while normal users are all the other defined users.
Lexmark and Dell Multi-Function Printers without Hard Drives Security Target
71
SFR SF and Rationale
FPT_FDI_EXP.1 Access Control requires the TOE to prevent data from being forwarded from
the original document handler interfaces to the network interface in the
evaluated configuration unless authorized by an administrator.
Management provides an administrator with the ability to configure the TOE
for operation in this manner.
Fax Separation requires the TOE to prevent any forwarding of data between
the fax interface and the network port.
FPT_STM.1 Audit Generation requires the TOE to provide time stamps for audit records
when the TOE is configured for internal time.
FPT_TST.1 Self Test requires the TOE to perform tests on the hardware and validate the
security templates and building blocks on each power up and reset.
FTA_SSL.3 Identification and Authentication states that sessions are automatically
terminated by the TOE when the Home menu is not accessed within the
configured timeout period.
FTP_ITC.1 Secure Communication requires the TOE to use a trusted channel for
network communication with all remote IT systems.