Lexmark PrintCrypting User Guide

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Lexmark PrintCryption

(Firmware Versions 1.3.2a and 1.3.2i)

FIPS 140-2 Non-Proprietary

Security Policy

Level 1 Validation

Version 1.15

May, 2010

This document may be freely reproduced and distributed whole and intact including this Copyright Notice.

Table of Contents

INTRODUCTION......................................................................................................................... 3

PURPOSE....................................................................................................................................... 3

REFERENCES................................................................................................................................. 3

DOCUMENT ORGANIZATION .........................................................................................................3

LEXMARK PRINTCRYPTIONTM............................................................................................. 4

OVERVIEW.................................................................................................................................... 4

MODULE SPECIFICATION .............................................................................................................. 4

MODULE INTERFACES................................................................................................................... 7

ROLES AND SERVICES................................................................................................................... 9

Crypto Officer Role.................................................................................................................. 9

User Role................................................................................................................................ 10

PHYSICAL SECURITY .................................................................................................................. 10

OPERATIONAL ENVIRONMENT.................................................................................................... 10

CRYPTOGRAPHIC KEY MANAGEMENT........................................................................................ 11

Access Control Policy ............................................................................................................ 12

Key Generation ...................................................................................................................... 12

Key Storage............................................................................................................................ 12

Key Entry and Output............................................................................................................. 12

Key Zerorization..................................................................................................................... 12

SELF-TESTS ................................................................................................................................ 12

DESIGN ASSURANCE................................................................................................................... 14

MITIGATION OF OTHER ATTACKS............................................................................................... 14

OPERATION IN FIPS MODE.................................................................................................. 15

INITIAL SETUP ............................................................................................................................ 15

CRYPTO OFFICER GUIDANCE...................................................................................................... 16

USER GUIDANCE......................................................................................................................... 16

ACRONYMS............................................................................................................................... 20

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Introduction

Purpose

References

This is a non-proprietary Cryptographic Module Security Policy for the Lexmark

PrintCryption how the Lexmark PrintCryption

from Lexmark International Inc. This Security Policy describes

meets the security requirements of FIPS 140-2

and how to run the module in a secure FIPS 140-2 mode. This policy was prepared as part of the Level 1 FIPS 140-2 validation of the module.

FIPS 140-2 (Federal Information Processing Standards Publication 140-2 — Security Requirements for Cryptographic Modules) details the U.S. Government requirements for cryptographic modules. More information about the FIPS 140-2 standard and validation program is available on the National Institute of Standards and Technology (NIST) Cryptographic Module Validation Program (CMVP) website at http://csrc.nist.gov/cryptval/.

The Lexmark PrintCryptionTM is referred to in this document as PrintCryption, PrintCryption module, cryptographic module, firmware module, or module.

This document deals only with operations and capabilities of the module in the technical terms of a FIPS 140-2 cryptographic module security policy. More information is available on the module from the following sources:

• The Lexmark International website (http://www.lexmark.com) contains

information on the full line of products from Lexmark International.

• The CMVP website (http://csrc.nist.gov/cryptval/) contains contact

information for answers to technical or sales-related questions for the module.

Document Organization

The Security Policy document is one document in a FIPS 140-2 Submission Package. In addition to this document, the Submission Package contains:

 Vendor Evidence document  Finite State Machine  Other supporting documentation as additional references

With the exception of this Non-Proprietary Security Policy, the FIPS 140-2 Validation Documentation is proprietary to Lexmark and is releasable only under appropriate non-disclosure agreements. For access to these documents, please contact Lexmark International.

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LEXMARK PRINTCRYPTIONTM

Overview

The Lexmark PrintCryptionTM is an option for the Lexmark printers that enable the transfer and printing of encrypted print jobs. This new Lexmark technology offers a level of security that is the first of its kind in the printing industry. With the PrintCryption module installed, the printer is capable of decrypting print jobs encrypted with the AES (FIPS 197) algorithm. The Lexmark PrintCryptionTM analyses the encrypted data stream, determines if the correct key was used to encrypt the data, decrypts the data and allows the confidential document to be printed. This new level of printing security is ideal for industries that commonly handle sensitive or personal information, such as financial institutions, government agencies, and healthcare organizations.

Module Specification

The version 1.3.2i PrintCryptionTM module is a firmware module composed of three binaries (aessd, dkmd & libcl.so) on the IBM750CL processor platform. The version 1.3.2a PrintCryption dkmd) on the ARM9 processor platform. The module is enabled in Lexmark printers using a Downloaded Emulator Card (DLE), a PCI interface PCB board that plugs into the printer which contains an activation code. The DLE card is shown in Figure 1.

module is composed of two binaries (aessd &

Figure 1 - Optional Firmware Card

Per FIPS PUB 140-2, PrintCryptionTM is classified as multi-chip standalone cryptographic module. The module meets overall level 1 FIPS 140-2 requirements, as detailed in Table 2.

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Printer Model Processor Part Number

E460 T650 T652 T654 C734 C736 W850 X463 X464 X466 X651 X652 X654 X656 X658 X734 X736 X738 X860 X862 X864

ARM9 IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL ARM9 ARM9 ARM9 IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL IBM 750CL

P/N 34S0700 P/N 30G0100 P/N 30G0210 P/N 30G0310 P/N 25C0350 P/N 25A0450 P/N 19Z0300 P/N 13C1100 P/N 13C1101 P/N 13C1102 P/N 16M1255 P/N 16M1260 P/N 16M1265 P/N 16M1797 P/N 16M1301 P/N MS00300 P/N MS00301 P/N MS00321 P/N 19Z0100 P/N 19Z0101 P/N 19Z0102

Table 1 – Printers that Maintain the PrintCryption FIPS 140-2 Validation (Option P/N 30G0829):

Figure 2 - X463 with PrintCryption 1.3.2a

Figure 3 - X651 with PrintCryption 1.3.2i

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Operating System: Lexmark proprietary ver. 2.6 based on the Linux operating system.

Section Section Title Level

1 Cryptographic Module Specification 1 2 Cryptographic Module Ports and Interfaces 1 3 Roles, Services, and Authentication 1 4 Finite State Model 1 5 Physical Security 1 6 Operational Environment N/A 7 Cryptographic Key Management 1 8 EMI/EMC 1 9 Self-tests 1 10 Design Assurance 1 11 Mitigation of Other Attacks N/A

Table 2 – Security Level per FIPS 140-2 Section

Logically, the cryptographic boundary is composed of three binaries and is evaluated for use on Lexmark printers that are running Linux operating system. Once the PrintCryption firmware is activated in the printer, the printer must use this firmware. The cryptographic module cannot be bypassed. Functionality is then controlled by the PrintCryption firmware.

Internal Data

Applications

Cryptographic BoundaryPlaintext

PrintCryption Firmware

Ciphertext

Figure 4 - Logical Cryptographic Boundary

The PrintCryption module is evaluated for running on number of Lexmark printers including mono-color printers (E460, T650, T652, T654 and W850), Color printers (C734 and C736), mono-color MFP printers (X463, X464, X466, X651, X652, X654, X656, X658, X860, X862 and X864) and color MFP printers (X734, X736 and X738). The module’s physical cryptographic boundary is the metal and plastic enclosure of the printer.

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Within the physical cryptographic boundary are the following components:

• A CPU which executes the module binaries

• FLASH memory storage which stores the module binaries

• Volatile memory consisting of RAM

• A custom ASIC which contains support circuitry including: RAM

controller, PCI buss interface, IO port interfaces and print engine interface circuits.

• An option slot containing the PrintCryption DLE card connected to the PCI bus

• The print engine consisting of various electronics and mechanisms that constitute the print device, sensors, and operator panel

Engine

FLASH

Module Interfaces

PCI BUS

Option Slot

Custom

ASIC

System BUS

Volatile

Memory

CPU

Cryptographic Boundary

Figure 5 - Physical Cryptographic Boundary

I/O Port

The cryptographic module’s physical ports are composed of the physical ports provided by the hardware platforms listed above. These printer ports include the network port, optional parallel port, USB port, paper exit port, multipurpose feeder, LED, and LCD display.

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Since all of the module’s services are server processes, the logical interfaces of the module are network port and API calls, which provide the only means of accessing the module’s services. Data inputs are service requests on the TCP ports. Control inputs are also data at TCP/IP port, however they are logically distinct from Data input and controls how the function is executed. The data output from the module includes X.509 certificate and deciphered data, which exit through the network port and an internal API, respectively. The status outputs of the module are sent via network and stored in log file.

All of these physical ports are separated into logical interfaces defined by FIPS 140-2, as described in the following table.

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Logical Interface of the Module Module Physical Port FIPS 140-2 Logical Interface

Network Port Network (Ethernet 10/100) Port

USB Port

Parallel Port (optional) Network Port Internal API Network Port Operator Panel

Network Port Log File

Not Applicable Power Plug

Network (Ethernet 10/100) Port

Paper Exit Port

Network (Ethernet 10/100) Port

USB Port

Parallel Port (optional)

Multipurpose/envelope Feeder

Power Switch

LED

LCD Display

Network (Ethernet 10/100) Port

USB Port

Parallel Port (Optional)

Paper Exit Port

Power Connector

Table 3 – FIPS 140-2 Logical Interfaces

Data Input Interface

Data Output Interface

Control Input Interface

Status Output Interface

Power Interface

Roles and Services

The module supports two roles, a Crypto Officer role and a User role, and an operator on the module implicitly assumes one of the roles. Descriptions and responsibilities for the two roles are described below.

Crypto Officer Role

The Crypto Officer activates and deactivates the PrintCryption module by installing and removing the DLE card. The Crypto Officer is also responsible for Run Self Tests and Show Status services

Service Description Input Output CSP Type of Access

to CSP

Activate Assemble the printer

and insert the DLE card to activate the PrintCryption module; Install printer driver on host PC

Deactivate Remove the DLE card

to deactivate the

PrintCryption module Run SelfTest Show Status Call a show status

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Perform the self-test

on demand

from the

rinter status

Command Result of

activation

Command Deactivated

module

Command Status output Integrity Check

Command Status output None --

None --

Read

Key

Service Description Input Output CSP Type of Access

to CSP

menu (HTTP) which

has an LPC log page

Table 4 – Crypto Officer Services, Descriptions, CSPs

User Role

Users utilize the cryptographic functionalities of the PrintCryption, and they communicate with the module via network port only.

Service descriptions and inputs/outputs are listed in the following table:

Service Description Input Output CSP Type of Access

to CSP

Public Key request

Secure Printing

Users request for

printers public key.

The module generates

a key pair if needed

AES encrypted

printing program;

Decrypts and prints

the print job data

using the supplied

AES Session key

Public Key Request (PKR) at network port

9150. Encrypted print job at TCP/IP port

9152.

X.509 certificate

Status output AES session key

RSA public key RNG seed

RSA private key

Read/Write Read

Table 5 – User Services, Descriptions, Inputs and Outputs

Physical Security

In FIPS terminology, the firmware module is defined as a multi-chip standalone cryptographic module. The module runs on Lexmark printers listed in Module Specification section. The printers are made of all production-grade components and are enclosed in a strong plastic and steel case, which surrounds all of the module’s internal components, including all hardware and firmware.

The cryptographic module conforms to the EMI/EMC requirements specified by 47 Code of Federal Regulations, Part 15, Subpart B, Unintentional Radiators, Digital Devices, Class A (i.e., for business use).

Operational Environment

The operational environment is non-modifiable and thus not applicable for this firmware module. The PrintCryption module runs on the Lexmark Linux v2.6 OS, and configured for single-user mode by default. The operating system is used as an embedded OS within the Lexmark printers, and there is no direct access to the OS provided.

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Cryptographic Key Management

The module implements the following FIPS-Approved algorithms.

Algorithm IBM750CL Certificate ARM9 Certificate

AES ECB, CBC mode decryption – FIPS 197 Certificate #1209 Certificate #1208 Deterministic Random Number Generator (RNG) – Appendix

A.2.4 of ANSI X9.31 HMAC – FIPS 198 Certificate #704 Certificate #703

RSA (sign/verify) – PKCS#1.5 Certificate #579 Certificate #578 SHS– FIPS 180-2 Certificate #1112 Certificate #1111

Table 6 – FIPS-Approved Algorithms

Certificate #670 Certificate #669

Additionally, the module utilizes the following non-FIPS-Approved algorithm implementation:

• RSA Key Wrapping (PKCS #1): Key establishment method uses a 1024bit key length providing 80-bits of security.

The module supports the following critical security parameters:

Key or CSP Key type Generation Storage Use

AES Session Key 128, 192, 256

bits AES key

RSA Public Key 1024 bit RSA

public key (80bits of security)

RSA Private Key 1024 bit RSA

private key (80-bits of security)

Integrity Check Keys 168 bit HMAC

keys

PRNG Seed 64 bits Internally generated from non-

PRNG Seed Key 168 bits with

128 bits of entropy

Externally generated. Imported in encrypted form (RSA key transport)

Internally generated according to FIPS PUB 186-3 and IG A.6

Externally generated, hard coded in the module

approved RNG

Internally generated from nonapproved RNG

Held in volatile memory in plaintext. Zeroized after the session is closed. Stored on flash in plaintext. Zeroized by overwriting the flash image. Stored on flash in plaintext. Zeroized by overwriting the flash image. Stored on flash in plaintext. Zeroized by overwriting the flash image. Held in volatile memory only in plaintext. Zeroized after the session is closed. Held in volatile memory only in plaintext. Zeroized after the session is closed.

Decrypts input data for printing

Key transport

Firmware Integrity test

RNG

Table 7 - Listing of Key and Critical Security Parameters

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Access Control Policy

User functionalities have read/write access to the AES Session Key and RSA public key. AES Session key is used to decrypt the data for printing. RSA public key is used for AES Session key transport. Integrity Check Keys can be read by Crypto-Officer “Run Self-Test” service.

Key Generation

The module key is generated internally is 1024 bits RSA key pair using key generation techniques that meet IG A.6 and FIPS Pub 186-3. FIPS-Approved PRNG X9.31 Appendix A.2.4 is used to seed the RSA key generation mechanism. AES Session Key is generated outside of the module and imported via RSA key transport.

Key Storage

The AES Session Key is held in volatile memory only in plaintext. The RSA public key is stored in flash memory in an X.509 certificate in plaintext, and the RSA private key is stored flash memory in plaintext.

Key Entry and Output

All keys that are entered into (AES key) or output from (RSA certificate) the module are electronically entered or output. AES Session Key is entered into the module transported (encrypted) by RSA public key.

Key Zerorization

Self-Tests

AES Session key is an ephemeral key which is zeroized after the connection is closed or by rebooting the module. The module provides no service to erase or discard the RSA key pair. The key pair is erased by overwriting the flash image with a new image.

The PrintCryption module runs power-up and conditional self-tests to verify that it is functioning properly. Power-up self-tests are performed during startup of the module. Module startup occurs every time a new network connection is established and the dkmd or aessd process starts. Conditional self-tests are executed whenever specific conditions are met.

Firmware Integrity Check: The module employs a firmware integrity test in the form of HMAC SHA-1.

Cryptographic Algorithm Tests: Known Answer Tests (KATs) are run at power-up for the following algorithms:

• AES KAT

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• RSA Sign/Verify and Encrypt/Decrypt pair-wise consistency check

• SHA-1 KAT

• X9.31 RNG KAT

The module implements the following Conditional self-tests:

• Continuous RNG Test for X9.31 PRNG

• Continuous RNG Test for non-approved RNG

• RSA Sign/Verify and Encrypt/Decrypt pair-wise consistency

check

If any of these self-tests fail, the module will output an error indicator and enter an error state. All self-test results are logged in the device’s Self-Test Log. The log is available through the device’s web interface. The log messages are formatted as follows:

LOG: (<number>) <date> <time> :[PASS|FAIL] --> <message>

Where <number> is a integer which uniquely identifies the test and executable, <date> is the date of the test, <time> is the time of the test, and <m essage> is one test specific strings listed below.

<progran name> PRNG KAT Test

•

ERROR: Cryptlib could not init

•

<program name> Software Integrity Check: Passed.

•

<program name> Software Integrity Check: Failed. Could not open

Known Hash file.

<program name> Software Integrity Check: Failed. Memory allacation

•

error.

<program name> Software Integrity Check: Failed. Known Hash read

•

error.

<program name> Software Integrity Check: Failed. Hash files do not

•

match.

<program name> Software Integrity Check: Failed. Could not

•

generate HMAC.

<program name> Software Integrity Check: Failed. Unknown error.

•

<program name> AES-ECB/CBC KAT SELF TESTING

•

<program name> RSA Pair-wise Consistency Test (sign/verify)

•

<program name> RSA Pair-wise Consistency Test (encrypt/decrypt)

•

CRNG Test when creating new RSA keys

•

Conditional RSA Key Generation Sign/Verify Test Conditional RSA Key Generation Encrypt/Decrypt Test

•

Where <program name> is one of DKMD, AESSD, or CRYPTLIB.

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Design Assurance

Source code and associated documentation files are managed and recorded using the MLS. MLS is a version control system that stores multiple revisions of the same file with a revisionary history and older versions are always accessible.

Additionally, Subversion is used to provide configuration management for the firmware module’s FIPS documentation. This software provides access control, versioning, and logging.

Mitigation of Other Attacks

The PrintCryption module does not employ security mechanisms to mitigate specific attacks.

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OPERATION IN FIPS MODE

The PrintCryption meets Level 1 requirements for FIPS 140-2. The sections below describe how to place and keep the module in FIPS-Approved mode of operation.

Initial Setup

The DLE card containing PrintCryption activation code may be factory installed or user-installed. Lexmark provides an Installation sheet, a driver CD with publications, and license agreement for the module in the option kit.

Installation procedure of the module is as follows.

1. Print a menu settings page:

a. Press Menu until Utilities menu appears, and then press Select. b. Press Menu until Print menu appears, and then press Select to

print the page. Note: This Page is needed for later use.

c. Configure the printer onto the TCP/IP network per installation

requirements. If the printer is behind a firewall, it must allow IP ports 9150 and 9152 to pass through.

2. Turn off the printer and install the card. Please refer to the printer’s documentation for further instructions on installing the card.

3. Turn the printer on.

a. If the printer displays the message 41 – Unsupported Firmware

Card, then the installed card is not compatible for the printer. Turn off the printer and remove the card.

b. If the printer displays the message Resetting all of NVRAM for

longer than 45 seconds, turn off the printer and reinstall the card.

4. Print a menu settings page. If “Lexmark PrintCryption Card” is not listed under Installed Features, turn off the printer and repeat steps 2 and 3.

To identify if the module is in FIPS mode the Menu Settings Page must list "Lexmark PrintCryption Card" otherwise the FIPS module is not being used."

5. Launch the CD to host PC to install the software application using setup.exe program. Please refer to the documents on the CD for further

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instructions on installing the software. The setup executable, once launched, will:

a. Ask for confirmation of the End-User License Agreement. b. Present a small README, which explains that after installation,

c. Perform the installation, and stop and restart the print spooler.

6. Print a menu settings page. Compare these settings to those on the page printed in step 1.

7. Place the Option Added label on the printer next to the printer model and serial number label. Lexmark provides the Option Added label with the Installation guide.

Crypto Officer Guidance

the Crypto Officer can add a new port to their printer driver that will support Lexmark PrintCryptionTM.

Note: Please refer to Crypto Officer Guidance section for more information.

The Crypto Officer is responsible for activating, deactivating and monitoring the module. The DLE card comes in a static sensitive package. Upon receiving the PrintCryption DLE card, the Crypto Officer should check for any signs of tampering to the package, including a damaged seal or package.

The Crypto Officer may follow the installation sheet found in the option kit to install the PrintCryption DLE card. After the installation is complete, the Crypto Officer must print a Menu page and verify that Lexmark PrintCryption Card is displayed under the Installed Features section of the Menu Page.

The Crypto Officer must configure the printer onto the TCP/IP network per installation requirements. While installing the PrintCryption host software application on a PC, Crypto Officer must choose port 9150 to communicate with the printer. It is recommended that Crypto Officer name the port “FIPS” to clearly distinguish the port that provides secured printing service.

User Guidance

The user software is a separate module which is not covered by this validation. This section is provided for the convenience of the user.

The User accesses the module printing functionality as a user over network. Although outside the boundary of the module, the User should be careful to use secured printing services as needed.

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Uses can select the AES encryption key length, block length and mode using the printer property.

1. Open the printer folder, right click on the desired printer and select

Properties.

2. Navigate to Port tab and press the Configure Port button to proceed.

3. Configure Secure Port dialog box will appear which enables Users to

choose their options.

Figure 6 - Configuring a Secure Port

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Users must choose the key size and block size approved in FIPS PUB 197 standard. FIPS approved key and block sizes, and mode of operation are as follows:

• Key Length: 128, 192, or 256 bit.

• Block Length: 128 bit. (only selection available)

• Cipher Mode: ECB (Electronic Code Book, or CBC (Cipher Block

Chaining)).

Setup.exe also installs the Lexmark PrintCryption Utility (LPCU) program as part of the install session. The program can be invoked by -

START → Programs → Lexmark → PrintCryption → PrintCryption Test Utility The LPCU utility program can help Users to determine:

• The Lexmark PrintCryption Card is installed.

• The network path exists, even through a firewall, and when ping

command does not work.

• The proper IP ports (9150 and 9152) are open.

• The printer is capable of returning an X.509 security certificate.

• The printer can successfully decode an encrypted packet.

Users also can view the communication to the printer via PrintCryption Log Viewer, installed during the installation session, which can be started by -

START → Programs → Lexmark → PrintCryption → PrintCryption Log Viewer

Figure 7 - PrintCryption Log Viewer

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Users can see the key size, block length, and mode been used for encryption from the Log Viewer program.

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ACRONYMS

AESSD AES Session Daemon ANSI American National Standards Institute API Application Programming Interface ASIC Application Specific Integrated Circuit CMVP Cryptographic Module Validation Program CSE Communications Security Establishment CSP Critical Security Parameter DKMD Decryption Key Management Daemon DLE Downloaded Emulator Card EMC Electromagnetic Compatibility EMI Electromagnetic Interference FCC Federal Communication Commission FIPS Federal Information Processing Standard HMAC (Keyed-) Hash MAC HTTP Hypertext Transfer Protocol IP Internet Protocol KAT Known Answer Test LED Light Emitting Diode LPC Line Printer Control MAC Message Authentication Code MLS Multisite Library System NIST National Institute of Standards and Technology NVLAP National Voluntary Laboratory Accreditation Program OS Operating System PC Personal Computer RAM Random Access Memory RNG Random Number Generator RSA Rivest Shamir and Adleman SHA Secure Hash Algorithm SKH Session Key Header SNMP Simple Network Management Protocol SP Secure Platform TCP Transmission Control Protocol VSS Visual Source Safe

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Lexmark PrintCrypting User Guide

Specifications and Main Features

Frequently Asked Questions

User Manual