RICOH Aficio MP C5501 User Manual

Aficio MP C4501/C5501 series

Security T arget

Author : RICOH COMPANY, LTD. Date : 2011-07-18 Version : 1.00

Portions of Aficio MP C4501/C5501 seri es Security

Target are reprinted with

written permission from IEEE, 445 Hoes Lane, Piscataway, New Jersey

08855, from IEEE 2600.1, Protection Profile for Hardcopy Devices,

This document is a trans

lation of the evaluated and certified security target

written in Japanese.

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Revision History

Version Date Author Detail

1.00 2011-07-18 RICOH COMPANY, LTD. Publication version.

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Table of Contents

1 ST Introduction ...................................................................................................................7

1.1 ST Reference ................................................................................................................7

1.2 TOE Reference .............................................................................................................7

1.3 TOE Overview..............................................................................................................8

1.3.1 TOE Type ..................................................................................................................... 8

1.3.2 TOE Usage................................................................................................................... 8

1.3.3 Major Security Features of TOE .............................................................................. 10

1.4 TOE Description.........................................................................................................11

1.4.1 Physical Boundary of TOE ........................................................................................11

1.4.2 Guidance Documents ................................................................................................ 14

1.4.3 Definition of Users .................................................................................................... 18

1.4.3.1. Direct User ......................................................................................................... 18

1.4.3.2. Indirect User ...................................................................................................... 19

1.4.4 Logical Boundary of TOE ......................................................................................... 21

1.4.4.1. Basic Functions .................................................................................................. 21

1.4.4.2. Security Functions ............................................................................................. 24

1.4.5 Protected Assets ........................................................................................................ 26

1.4.5.1. User Data ........................................................................................................... 26

1.4.5.2. TSF Data ............................................................................................................ 27

1.4.5.3. Functions ............................................................................................................ 27

1.5 Glossary......................................................................................................................27

1.5.1 Glossary for This ST ................................................................................................. 27

2 Conformance Claim........................................................................................................... 31

2.1 CC Conformance Claim ..............................................................................................31

2.2 PP Claims................................................................................................................... 31

2.3 Package Claims..........................................................................................................31

2.4 Conformance Claim Rationale....................................................................................32

2.4.1 Consistency Claim with TOE Type in PP................................................................ 32

2.4.2 Consistency Claim with Security Problems and Security Objectives in PP ......... 32

2.4.3 Consistency Claim with Security Requirements in PP .......................................... 33

3 Security Problem Definitions ............................................................................................36

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3.1 Threats .......................................................................................................................36

3.2 Organisational Security Policies ................................................................................37

3.3 Assumptions............................................................................................................... 37

4 Security Objectives............................................................................................................ 39

4.1 Security Objectives for TOE .......................................................................................39

4.2 Security Objectives of Operational Environment .......................................................40

4.2.1 IT Environment ......................................................................................................... 40

4.2.2 Non-IT Environment................................................................................................. 41

4.3 Security Objectives Rationale.....................................................................................42

4.3.1 Correspondence Table of Security Objectives ......................................................... 42

4.3.2 Security Objectives Descriptions ............................................................................. 43

5 Extended Components Definition......................................................................................47

5.1 Restricted forwarding of data to external interfaces (FPT_FDI_EXP) .......................47

6 Security Requirements...................................................................................................... 49

6.1 Security Functional Requirements.............................................................................49

6.1.1 Class FAU: Security audit ........................................................................................ 49

6.1.2 Class FCS: Cryptographic support .......................................................................... 52

6.1.3 Class FDP: User data protection ............................................................................. 53

6.1.4 Class FIA: Identification and authentication ......................................................... 58

6.1.5 Class FMT: Security management........................................................................... 61

6.1.6 Class FPT: Protection of the TSF............................................................................. 67

6.1.7 Class FTA: TOE access ............................................................................................. 68

6.1.8 Class FTP: Trusted path/channels........................................................................... 68

6.2 Security Assurance Requirements..............................................................................68

6.3 Security Requirements Rationale...............................................................................69

6.3.1 Tracing ....................................................................................................................... 69

6.3.2 Justification of Traceability...................................................................................... 71

6.3.3 Dependency Analysis ................................................................................................ 77

6.3.4 Security Assurance Requirements Rationale.......................................................... 79

7 TOE Summary Specification.............................................................................................80

7.1 Audit Function ...........................................................................................................80

7.2 Identification and Authentication Function ...............................................................82

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7.3 Document Access Control Function ............................................................................84

7.4 Use-of-Feature Restriction Function .......................................................................... 86

7.5 Network Protection Function..................................................................................... 87

7.6 Residual Data Overwrite Function.............................................................................87

7.7 Stored Data Protection Function................................................................................88

7.8 Security Management Function .................................................................................88

7.9 Software Verification Function...................................................................................93

7.10 Fax Line Separation Function....................................................................................93

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List of Figures

Figure 1 : Example of TOE Environment........................................................................................................9

Figure 2 : Hardware Configuration of the TOE.............................................................................................12

Figure 3 : Logical Scope of the TOE.............................................................................................................21

List of Tables

Table 1 : Identification Information of TOE....................................................................................................7

Table 2 : Guidance for English Version-1......................................................................................................14

Table 3 : Guidance for English Version-2......................................................................................................15

Table 4 : Guidance for English Version-3......................................................................................................17

Table 5 : Guidance for English Version-4......................................................................................................17

Table 6 : Definition of Users .........................................................................................................................19

Table 7 : List of Administrative Roles...........................................................................................................19

Table 8 : Definition of User Data ..................................................................................................................26

Table 9 : Definition of TSF Data...................................................................................................................27

Table 10 : Specific Terms Related to This ST...............................................................................................27

Table 11 : Rationale for Security Objectives.................................................................................................42

Table 12 : List of Auditable Events...............................................................................................................49

Table 13 : List of Cryptographic Key Generation.........................................................................................53

Table 14 : List of Cryptographic Operation...................................................................................................53

Table 15 : List of Subjects, Objects, and Operations among Subjects and Objects (a).................................54

Table 16 : List of Subjects, Objects, and Operations among Subjects and Objects (b).................................54

Table 17 : Subjects, Objects and Security Attributes (a) ...............................................................................54

Table 18 : Rules to Control Operations on Document Data and User Jobs (a)..............................................55

Table 19 : Additional Rules to Control Operations on Document Data and User Jobs (a)............................56

Table 20 : Subjects, Objects and Security Attributes (b)...............................................................................57

Table 21 : Rule to Control Operations on MFP Applications (b) ..................................................................57

Table 22 : List of Authentication Ev en ts of Basic Authentication.................................................................58

Table 23 : List of Actions for A uthentication Failure....................................................................................58

Table 24 : List of Security Attributes for Each User That Shall Be Maintained............................................59

Table 25 : Rules for Initial Association of Attr ibutes....................................................................................61

Table 26 : User Roles for Security Attributes (a)...........................................................................................62

Table 27 : User Roles for Security Attributes (b)..........................................................................................63

Table 28 : Authorised Identified Roles Allowed to Override Default Values................................................64

Table 29 : List of TSF Data...........................................................................................................................65

Table 30 : List of Specification of Management Functions...........................................................................66

Table 31 : TOE Security Assurance Requirements (EAL3+ALC_FLR.2)....................................................69

Table 32 : Relationship between Security Objectives and Functional Requirements....................................70

Table 33 : Results of Dependency Analysis of TOE Security Functional Requirements ..............................77

Table 34 : List of Audit Events......................................................................................................................80

Table 35 : List of Audit Log Items................................................................................................................81

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Table 36 : Unlocking Administrators for Each User Role.............................................................................83

Table 37 : Stored Documents Access Control Rules for Normal Users.........................................................85

Table 38 : Encrypted Communications Provided by the TOE.......................................................................87

Table 39 : List of Cryptographic Operations for Stored Data Protection......................................................88

Table 40 : Management of TSF Data.............................................................................................................89

Table 41 : List of Static Initialisation for Security Attributes of Document Access Control SFP.................92

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1 ST Introduction

This section describes ST Reference, TOE Reference, TOE Overview and TOE Description.

1.1 ST Reference

The following are the identification information of this ST. Title : Aficio MP C4501/C5501 series Security Target Version : 1.00 Date : 2011-07-18 Author : RICOH COMPANY, LTD.

1.2 TOE Reference

This TOE is identified by the following: digital multi function product (hereafter "MFP") and Fax Controller Unit (hereafter "FCU"), all of which constitute the TOE. The MFP is identified by its product name and version. Although the MFP product names vary depending on sales areas and/or sales companies, the components are identical. MFP versions consist of software and hardware versions. The FCU is identified by its name and version. Table 1 shows the identification information of the TOE.

Table 1 : Identification Information of TOE

Names Versions

MFPs

Software System/Copy 2.02 Network Support 10.54 Scanner 01.11.1 Printer 1.01 Fax 02.01.00 RemoteFax 01.00.00 Web Support 1.06 Web Uapl 1.01 NetworkDocBox 1.01 animation 1.00 PCL 1.02 OptionPCLFont 1.02

Ricoh Aficio MP C4501, Ricoh Aficio MP C5501, Ricoh Aficio MP C4501G, Ricoh Aficio MP C5501G, Gestetner MP C4501, Gestetner MP C5501, Lanier MP C4501, Lanier MP C5501, Lanier LD645C, Lanier LD655C, Lanier LD645CG, Lanier LD655CG, nashuatec MP C4501, nashuatec MP C5501, Rex-Rotary MP C4501, Rex-Rotary MP C5501,

Engine 1.03:04

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Names Versions

OpePanel 1.06 LANG0 1.06 LANG1 1.06 Data Erase Std 1.01x Hardware Ic Key 01020700

infotec MP C4501, infotec MP C5501, Savin C9145, Savin C9155, Savin C9145G, Savin C9155G

Ic Ctlr 03

Options

FCU name Fax Option Type C5501 GWFCU3-21(WW) 03.00.00

Keywords : Digital MFP, Documents, Copy, Print, Scanner, Network, Office, Fax

1.3 TOE Overview

This section defines TOE Type, TOE Usage and Major Security Features of TOE.

1.3.1 TOE Type

This TOE is a digital multi function product (hereafter "MFP"), which is an IT device that inputs, stores, and outputs documents.

1.3.2 TOE Usage

The operat ional environment of the TOE is illustr ated below and the usage of the TOE is ou tlined in this section.

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Figure 1 : Example of TOE Environment

The TOE is used by connecting to the local area network (hereafter "LAN") and telephone lines, as shown in Figure 1. Users can operate the TOE from the Operation Panel of the TOE or through LAN communications. Below, explanations are provided for the MFP, which is the TOE itself, and hardware and software other than the TOE .

MFP

A machinery that is defined as the TOE. The MFP is connected to the office LAN, and users can perform the following operations from the Operation Panel of the MFP:

- Various setti ngs for the MFP,

- Copy, fax, storage, and network transmission of paper documents,

- Print, fax, network transmission, and deletion of the stored documents. Also, the TOE receives information via telephone lines and can store it as a document.

LAN

Network used in the TOE environment.

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Client computer

Performs a s a client of the T OE if it is c onnect ed to the LAN, and us ers can remote ly opera te the M FP from the client computer. The possible remote operations from the client computer are as follows:

- Various settings for the MFP using a Web browser installed on the client computer,

- Operation of documents using a Web browser installed on the client computer,

- Storage and printing of documents using the printer driver installed on the client computer,

- Storage and faxing of documents using the fax driver installed on the client computer.

Telepho ne line

A public line for the TOE to communicate with external faxes.

Firewall

A device to prevent the office environment from network attacks via the Internet.

FTP Server

A server used by the TOE for folder transmission of the stored documents in the TOE to its folders.

SMB Server

A server used by the TOE for folder transmission of the stored documents in the TOE to its folders.

SMTP Server

A server used by the TOE for e-mail transmission of the stored documents in the TOE.

External Authentication Server

A server that identifies and authenticates the TOE user with Windows authentication (Kerberos authentication method). This server is only used when External Authentication is applied. The TOE identifies and authenticates the user by communicating with the external authentication server via LAN.

RC Gate

An IT device used for @Remote. The function of RC Gate for @Remote is to relay communications between the MFP and maintenance centre. A transfer path to other external interface for input information from the RC Gate via network interface is not implemented in the TOE. The RC Gate products include Remote Communication Gate A, Remote Communication Gate Type BN1, and Remote Communication Gate Type BM1.

1.3.3 Major Security Features of TOE

The TOE stores documents in it, and sends and receives documents to and from the IT devices connected to the LAN. To ensure provision of confidentiality and integrity for those documents, the TOE has the following security features:

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- Audit Function

- Identification and Authentication Function

- Document Access Control Function

- Use-of-Feature Restriction Function

- Network Protection Function

- Residual Data Overwrite Function

- Stored Data Protection Function

- Security Management Function

- Software Verification Function

- Fax Line Separation Function

1.4 TOE Description

This section describes Physical Boundary of TOE, Guidance Documents, Definition of Users, Logical Boundary of TOE, and Protected Assets.

1.4.1 Physical Boundary of TOE

The physical boundary of the TOE is the MFP, which consists of the following hardware components (shown in Figure 2) : Operatio n Pane l Unit, Engine Unit, Fax Unit, Controlle r Board, HDD, Ic Ctlr, Network Unit, USB Port, SD Card Slot, and SD Card.

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Figure 2 : Hardware Configuration of the TOE

Controller Board

The Controller Board is a device that contains Processors, RAM, NVRAM, Ic Key, and FlashROM. The Controller Board sends and receives information to and from the units and devices that constitute the MFP, and this information is used to control the MFP. The information to control the MFP is processed by the MFP Control Soft ware on the Controlle r Board. The following de scribes the comp onents of the Contr oller Board:

- Processor A semiconductor chip that performs basic arithmetic processing for MFP operations.

- RAM A volatile memory medium which is used as a working area for image processing such as compressing/decompressing the image data. It can also be used to temporarily read and write internal information.

- NVRAM A non-volatile memory medium in which TSF data for configuring MFP operations is stored.

- Ic Key A security chip that has the functions of random number generation, cryptographic key generation

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and digital signature. It has the memory medium inside, and the signature root key is installed before the TOE is shipped.

- FlashROM A non-volatile memory medium in which the following software components are installed: System/Copy, Network Support, Scanner, Printer, Fax, RemoteFax, Web Support, Web Uapl, NetworkDocBox, animation, PCL, OptionPCLFont, LANG0, and LANG1. These are part of the TOE and are included in the MFP Control Software.

Operation Panel Unit (hereafter "Operation Panel")

The Operation Panel is a user interface installed on the TOE and consists of the following devices: key switches, LED indicators, an LCD touch screen, and Operation Control Board. The Operation Control Board is connected to the key switches, LED indicators, and LCD touch screen. The Operation Panel Control Software is ins talle d on the Oper ation Pa nel Control Bo ard. The Op eration Panel Contr ol Softwar e perf orms the following:

1. Transfers operation instructions from the key switches and the LCD touch screen to the

Controller Board.

2. Controls the LEDs and displays information on the LCD touch screen according to display

instructions from the Controller Board.

OpePanel, which is one of the components that constitute the TOE, is the identifier for the Operation Panel Control Software.

Engine Unit

The Engine Unit consists of Scanner Engine that is an input device to read paper documents, Printer Engine that is an output device to print and eject paper documents, and Engine Control Board. The Engine Control Software is in stalled in the Engine Co ntrol Board. The Engine Cont rol Software sends statu s information about the Scanner Engine and Printer Engine to the Controller Board, and operates the Scanner Engine or Printer Engine according to instructions from the MFP Control Software. Engine, which is one of the components that constitute the TOE, is the identifier for the Engine Control Software.

Fax Unit

The Fax Unit is a unit that has a modem function for connection to a telephone line. It also sends and receives fax data to and from other fax devices using the G3 standard for communication. The Fax Unit sends and receives control information about the Controller Board and Fax Unit and fax data. FCU, which is one of the components that constitute the TOE, is the identifier of the Fax Unit.

HDD

The HDD is a hard disk d rive that is a non-volat ile memory me dium. It store s documents , login user names and login passwords of normal users.

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Ic Ctlr

The Ic Ctlr is a board that implements data encryption and decryption functions. It is provided with functions for HDD encryption realisation.

Network Unit

The Network Unit is an external interface to an Ethernet (100BASE-TX/10BASE-T) LAN.

USB Port

The USB Port is an external interface to connect a client computer to the TOE for printing directly from the client computer. During installation, this interface is disabled.

SD Card/SD Card Slot

The SD Card is a memory medium in which Data Erase Std (MFP Control Software) are stored. When used, the SD Card is inse rted int o th e SD Card Slot t hat is inside the MFP . Only th e cust omer engine er is allo wed to open the cover and insert the SD Card into the SD Card Slot during installation.

1.4.2 Guidance Documents

The following sets of user guidance documents are available for this TOE: [English version-1], [English version-2], [English version-3], and [English version-4]. Selection of the guidance document sets depends on the sales area and/or sales company. Guidance document sets will be supplied with individual TOE component. Details of the document sets are as follows.

[English version-1]

Table 2 : Guidance for English Version-1

TOE

Components

Guidance Documents for Produ ct

MFP

- C9130/C9135/C9145/C9145A/C9155/C9155A C9130G/C9135G/C9145G/C9145AG/C9155G/C9155AG LD630C/LD635C/LD645C/LD645CA/LD655C/LD655CA LD630CG/LD635CG/LD645CG/LD645CAG/LD655CG/LD655CAG Aficio MP C3001/C3501/C4501/C4501A/C5501/C5501A Aficio MP C3001G/C3501G/C4501G/C4501AG/C5501G/C5501AG Operating Instructions About This Machine D088-7603A

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Operating Instructions Troubleshooting D088-7653A

- Quick Reference Copy Guide D088-7526

- Quick Reference Printer Guide D088-7805

- Quick Reference Scanner Guide D088-7886

- App2Me Start Guide D085-7906B

- Notes for Users D088-7608

- Notes for Users D088-7759A

- Notes for Users D572-7010

- Manuals for Users Aficio MP C3001/MP C3001G/MP C3501/MP C3501G/MP C4501/MP C4501G/MP C4501A/MP C4501AG/MP C5501/MP C5501G/MP C5501A/MP C5501AG C9130/C9130G/C9135/C9135G/C9145/C9145G/C9145A/C9145AG/C9155/C9155G/C9 155A/C9155AG LD630C/LD630CG/LD635C/LD635CG/LD645C/LD645CG/LD645CA/LD645CAG/ LD655C/LD655CG/LD655CA/LD655CAG D089-6906A

- Manuals for Administrators Aficio MP C3001/MP C3001G/MP C3501/MP C3501G/MP C4501/MP C4501G/MP C4501A/MP C4501AG/MP C5501/MP C5501G/MP C5501A/MP C5501AG C9130/C9130G/C9135/C9135G/C9145/C9145G/C9145A/C9145AG/C9155/C9155G/C9 155A/C9155AG LD630C/LD630CG/LD635C/LD635CG/LD645C/LD645CG/LD645CA/LD645CAG/ LD655C/LD655CG/LD655CA/LD655CAG D089-6907A

- To Users of This Machine D029-7904

- Operating Instructions Notes on Security Functions D088-7706

- Notes for Administrators: Using this Machine in a Network Environment Compliant with IEEE Std. 2600.1

-2009 D088-7707

- Help 83NHBUENZ1.20 v116

FCU - Quick Reference Fax Guide D545-8506

[English version-2]

Table 3 : Guidance for English Version-2

TOE

Components

Guidance Documents for Produ ct

MFP

- C9130/C9135/C9145/C9145A/C9155/C9155A C9130G/C9135G/C9145G/C9145AG/C9155G/C9155AG LD630C/LD635C/LD645C/LD645CA/LD655C/LD655CA LD630CG/LD635CG/LD645CG/LD645CAG/LD655CG/LD655CAG

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Aficio MP C3001/C3501/C4501/C4501A/C5501/C5501A Aficio MP C3001G/C3501G/C4501G/C4501AG/C5501G/C5501AG Operating Instructions About This Machine D088-7609

- Quick Reference Copy Guide D088-7529

- Quick Reference Printer Guide D086-7800

- Quick Reference Scanner Guide D088-7889

- App2Me Start Guide D085-7905B

- Notes for Users D572-7010

- Notes for Users D088-7404

- To Users of This Machine D029-7903

- Operating Instructions Notes on Security Functions D088-7708

- Notes for Administrators: Using this Machine in a Network Environment Compliant with IEEE Std. 2600.1

-2009 D088-7709

- Help 83NHBUENZ1.20 v116

FCU - Quick Reference Fax Guide D545-8506

[English version-3]

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Table 4 : Guidance for English Version-3

TOE

Components

Guidance Documents for Produ ct

MFP

- Safety Information for MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A/Aficio MP C3001/Aficio MP C3501/Aficio MP C4501/Aficio MP C4501A/Aficio MP C5501/Aficio MP C5501A D088-7400A

- Quick Reference Copy Guide D088-7525

- Quick Reference Fax Guide D545-8505

- Quick Reference Printer Guide D088-7804

- Quick Reference Scanner Guide D088-7885

- App2Me Start Guide D085-7904B

- Manuals for This Machine D081-7602

- Notes for Users D088-7430

- Notes for Users D088-7420

- To Users of This Machine D029-7904

- Manuals for Users Aficio MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A A D089-6931A

- Manuals for Administrators Security Reference Aficio MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A D089-6933A

- Operating Instructions Notes on Security Functions D088-7704

- Notes for Administrators: Using this Machine in a Network Environment Compliant with IEEE Std. 2600.1

-2009 D088-7705

- Help 83NHBUENZ1.20 v116

FCU -

[English version-4]

Table 5 : Guidance for English Version-4

TOE

Components

Guidance Documents for Produ ct

MFP

- MP C3001/C3501/C4501/C4501A/C5501/C5501A MP C3001/C3501/C4501/C4501A/C5501/C5501A Aficio MP C3001/C3501/C4501/C4501A/C5501/C5501A

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Operating Instructions About This Machine D088-7605A

- MP C3001/C3501/C4501/C4501A/C5501/C5501A MP C3001/C3501/C4501/C4501A/C5501/C5501A Aficio MP C3001/C3501/C4501/C4501A/C5501/C5501A Operating Instructions Troubleshooting D088-7655A

- Quick Reference Copy Guide D088-7527

- Quick Reference Printer Guide D088-7805

- Quick Reference Scanner Guide D088-7887

- Notes for Users D088-7608

- Notes for Users D088-7759A

- App2Me Start Guide D085-7906B

- Manuals for Users Aficio MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A D089-6908A

- Manuals for Administrators Aficio MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A MP C3001/MP C3501/MP C4501/MP C4501A/MP C5501/MP C5501A D089-6909A

- To Users of This Machine D029-7904

- Notes for Users D060-7781

- Operating Instructions Notes on Security Functions D088-7706

- Notes for Administrators: Using this Machine in a Network Environment Compliant with IEEE Std. 2600.1

-2009 D088-7707

- Help 83NHBUENZ1.20 v116

FCU - Quick Reference Fax Guide D545-8507

1.4.3 Definition of Users

This section defines the users related to the TOE. These users include those who routinely use the TOE (direct users) and those who do not (indirect users). The direct users and indirect users are described as follows:

1.4.3.1. Direct User

The "user" referred to in this ST indicates a direct user. This direct user consists of normal users, administrators, and RC Gate. The following table (Table 6) shows the definitions of these direct users.

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Table 6 : Definition of Users

Definition of

Users

Explanation

Normal user

A user who is allowed to use the TOE. A normal user is provided with a login user name and can use Copy Function, Fax Function, Scanner Function, Printer Function, and Document Server Function.

Administrator

A user who is allowed to manage the TOE. An administrator performs management operations, which include issuing login names to normal users.

RC Gate

An IT device connected to networks. RC Gate performs the @Remote Service Function of the TOE via RC Gate communication interface. Copy Function, Fax Function, Scanner Function, Printer Function, Document Server Function, and Management Function cannot be used.

The administ rator means th e user register ed for TOE manageme nt. According t o its roles, t he administrat or can be classified as the supervisor and the MFP administrator. Up to four MFP administrators can be registered and selectively authorised to perform user management, machine management, network management, and file management. Therefore, the different roles of the management privilege can be allocated to mult ip le MFP a d minist r at or s ind ividu a ll y. T h e "MFP ad minis t ra to r " in th is ST refer s t o the MFP administrator who has all management privileges (Table 7).

Table 7 : List of Administrative Roles

Definition of

Administrator

Management Privileg es Explanation

Supervisor Supervisor

Authorised to delete and register the login password of the MFP administrat or.

User management privilege

Authorised to manage normal users. This privilege allows configuration of normal user settings.

Machine management privilege

Authorised to specify MFP device behaviour (network behaviours excluded). This privilege allows configuration of device settings and view of the audit log.

Network management privilege

Authorised to manage networks and configure LAN settings. This privilege allows configuration of network settings.

MFP administrator

File management privilege

Authorise d to manage store d documents. This privilege allows access management of stored documents.

1.4.3.2. Indirect User

Responsible manager of MFP

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The responsible manager of MFP is a person who is responsible for selection of the TOE administrators in the organisation where the TOE is used.

Customer engineer The customer engineer is a person who belongs to the organisation which maintains TOE operation. The

customer engineer is in charge of installation, setup, and maintenance of the TOE.

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1.4.4 Logical Boundary of TOE

The Basic Functions and Security Functions are described as follows:

Figure 3 : Logical Scope of the TOE

1.4.4.1. Basic Functions

The overview of the Basic Functions is described as follows:

Copy Function

The Copy Function is to scan paper documents and copy scanned image data from the Operation Panel. Magnificat io n an d o t her edit or ia l j obs ca n be app lied t o t h e co py image . I t c an a lso be s tore d o n t h e HDD as a Document Server document.

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Printer Function

The Printer Function of TOE is to print or store the documents the TOE receives from the printer driver installed on the client computer. It also allows users to print and delete the stored documents from the Operation Panel or a Web browser.

- Receiving documents from the printer driver installed on the client computer. The TOE receives documents from the printer driver installed on the client computer. Printing

methods for documents is selected by users from the printer driver. The printing methods include direct print, Document Server storage, locked print, stored print, hold print, and sample print. For direct print, documents received by the TOE will be printed. The documents will not be stored in the TOE. For Document Server storage, the received documents will be stored on the HDD as Document Server documents. For locked print, stored print, hold print, and sample print, the received documents will be stored on the HDD as pr inter documents. A dedica ted password, which is us ed for locked print, is not subject to this evaluation.

- Operating from the Operation Panel The TOE can print or delete printer documents according to the operations by users from the Operation Panel.

- Operating from a Web browser The TOE can print or delete printer documents according to the operations by users from a Web browser.

- Deleting printer documents by the TOE The deletion of printer documents by the TOE differs depending on printing methods. If locked print, hold print, or sample print is specif ied, the TOE dele tes print er documents when printing is complete. If stored print is specified, the TOE does not delete printer documents even when printing is complete.

According to the guidance document, users first install the specified printer driver on their own client computers, and then use this function.

Scanner Function

The Scanner Function is to scan paper documents by using the Operation Panel. The scanned documents will be sent to folders or by e-mail. The documents to be sent to folders or by e-mail will be stored in the TOE, so that they can be transmitted afterwards. The documents stored in the TOE are called scanner documents. Scanner documents can be sent to folders or by e-mail, or deleted from the Operation Panel or a Web browser.

Folder t ransmission can be applied only to the destination f olders in a ser ver that the MFP a dministrator pre-registers in the TOE and with which secure communication can be ensured. E-mail transmission is possible only with the mail server and e-mail addresses that the MFP administrator pre-registers in the TOE and with which secure communication can be ensured.

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Fax Function

The Fax Function is to send paper documents and documents received from the fax driver installed on the client computer to external faxes (Fax Transmission Function). Also, this function can be used to receive documents from external faxes (Fax Reception Function).

Documents to be sent by fax can be stored in the TOE. Those documents stored in the TOE for fax transmission are called fax documents. Fax documents can be sent by fax, and they also can be printed, deleted, and sent to folders.

The documents received by fax can be stored in the TOE, printed, deleted from the TOE, and downloaded to the client computer.

- Fax Transmission Function A function to send paper documents, documents in the client computer, and fax documents to

external faxes over a telephone line. Paper docume nts will be s ca nned and se nt by fax us ing the Operatio n Pane l. The doc uments in the

client co mput er are sent by f a x fr o m the fax dr iver ins t a lled on t he c lie nt co mput er. Fax docu me nts are sent by fax from the Operation Panel or a Web browser. Documents can be sent by fax only to the telephone numbers that are pre-reg istered i n the TOE.

- Fax Data Storage Function A function to temporarily store paper documents or documents in the client computer for fax

transmission in the TOE. Those documents stored in the TOE are called fax documents. Paper documents will be scanned and stored using the Operation Panel. The documents in the client computer are sent to and stored in the TOE by operating the fax driver installed on the client computer.

- Operation Function for Fax Documents A function to print or delete fax documents. This function can be used from the Operation Panel or

a Web browser.

- Folder Transmission Function of Fax Data A function to send fax documents to folders by using the Operation Panel. The MFP administrator must pre-register the destination server that provides secure

communication with the TOE. Users select the destination server from the servers that the MFP administrator pre-registers, and send data to the folder.

- Fax Reception Function A function to receive documents from external faxes via the telephone line and store the received documents in the TOE. Those stored documents in the TOE are called received fax documents.

- Operation Function for Received Fax Documents A function to operate the received fax documents from the Operation Panel or a Web browser. Documents can be printed and deleted using the Operation Panel, while they can be printed, deleted and downloaded from a Web browser.

According to the guidance document, users first install the specified fax driver on their own client computers, and then use this function.

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Document Server Function

The Document Server Function is to operate documents stored in the TOE by using the Oper ation Panel and a Web browser.

From the Operation Panel, users can store, print and delete Document Server documents. Also, users can print and delete fax documents.

From a Web browser, users can print and delete Document Server documents, fax, print, download, and delete fax documents. Also, users can send scanner documents to folders or by e-mail, download and delete them.

Management Function

The Management Function is to control the MFP's overall behaviour. This function can be implemented using the Operation panel or a Web browser.

Maintenance Function

The Maintenance Function is to perform maintenance service for the MFP if it is malfunctioning. When analysing causes of the malfunction, a customer engineer performs this function from the Operation Panel. The customer engineer will implement this function following the procedures that are allowed to customer engineers only. If the MFP administrator sets the Service Mode Lock Function to "ON", the customer engineer cannot use this function.

In this ST, the Service Mode Lock Function is set to "ON" for the target of evaluation.

Web Function

A function for the TOE user to remotely control the TOE from the client computer. To control the TOE remotely, the TOE user needs to install the designated Web browser on the client computer following the guidance documents and connect the client computer to the TOE via the LAN.

@Remote Service Function

A function for the TOE to communicate with RC Gate via networks for @Remote Service. As for the configuration of this TOE, this function has no access to the protected assets.

1.4.4.2. Security Functions

The Security Functions are described as follows:

Audit Function

The Audit Function is to generate the audit log of TOE use and security-relevant events (hereafter, "audit events"). Also, this function provides the recorded audit log in a legible fashion for users to audit. This function can be used only by the MFP administrator to view and delete the recorded audit log. To view and delete the audit log, the Web Function will be used.

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Identification and Authentication Function

The Identification and Authentication Function is to verify persons before they use the TOE. The persons are allowed to use the TOE only when confirmed as the authorised user.

Users can use the TOE from the Operation Panel or via the network. By the network, users can use the TOE from a Web browser, printer/fax driver, and RC Gate.

To use the TOE from the Op erat ion Pane l or a Web bro wser, a use r will be req uired t o enter his or her login user name and login password so that the user can be verified as a normal user, MFP administrator, or supervisor.

To use the Print er or Fax Funct ion from the prin ter or fax driver , a user will be r equired to ente r his or her login user name and login password received from the printer or fax drivers, so that the user can be verified as a normal user.

To use the @Remote Service Function from the RC Gate communication interface, it will be verified whether the communication requ es t is sent from RC Gate.

Methods to verify normal users are Basic Authentication and external server authentication. The users will be verified by the MFP administrator-specified procedure, whereas the MFP administrator and supervisor can be verified only by the Basic Authentication.

This function includes protection functions for the authentication feedback area, where dummy characters are displayed if a login password is entered using the Operation Panel. In addition to this and for the Basic Authentication only, this function can be used to register passwords that fulfil the requirements of the Minimum Character No. (i.e. minimum password length) and obligatory character types the MFP administrator specifies, so that the lockout function can be enabled and login password quality can be protected.

Document Access Control Function

The Document Access Control Function is to authorise the operations for documents and user jobs by the authorised TOE users who are authenticated by Identification and Authentication Function. It allows user's operation on the user documents and user jobs based on the privileges for the user role, or the operation permissions for each user.

Use-of-Feature Restriction Function

The Use-of-Feature Restriction Function is to authorise the operations of Copy Function, Printer Function, Scanner Function, Document Server Function and Fax Function by the authorised TOE users who are authenticated by Identification and Authentication Function. It authorises the use of functions based on the user role and the operation permissions for each user.

Network Protection Function

The Network Protection Function is to prevent information leakage through wiretapping on the LAN and detect data tampering. The protection function can be enabled using a Web browser to specify the URL for possible encrypted communication. If the Printer Function is used, the protection function can be enabled using the printer driver to specify encrypted communication. If the folder transmission function of Scanner Function is used, the protection function can be enabled through encrypted communication. If the e-mail

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transmission function of Scanner Function is used, the protection function can be enabled through encrypted communication with communication requirements that are specified for each e-mail address. If the LAN-Fax Transmission Function of Fax Function is used, the protection function can be enabled using the fax driver to specify encrypted communication. When communicating with RC Gate, encrypted communication is used.

Residual Data Overwrite Function

The Residual Da ta Overwrite Function is to overwrite specif ic patter ns on the HDD and disable t he reusing of the residual data included in deleted documents, temporary documents and their fragments on the HDD.

Stored Data Protection Function

The Stored Data Protection Function is to encrypt the data on the HDD and protect the data so that data leakage can be prevented.

Security Management Function

The Security Management Function is to control operations for TSF data in accordance with user role privileges or user privileges allocated to normal users, MFP administrator, and supervisor.

Software Verification Function

The Software Verification Function is to verify the integrity of the executable codes of the MFP Control Software and FCU Control Software and to ensure that they can be trusted.

Fax Line Separation Function

The Fax Line Separation Function is to restrict input information from the telephone lines so that only fax data can be received and unauthorised intrusion from the telephone lines (same as the "fax line") can be prevented. Also, this function can be used to prohibit transmissions of received faxes so that unauthorised intrusion from the telephone lines to the LAN can be prevented.

1.4.5 Protected Assets

Assets to be protected by the TOE are user data, TSF data, and functions.

1.4.5.1. User Data

The user data is classified into two types: document data and function data. Table 8 defines user data according to these data types.

Table 8 : Definition of User Data

Type Description

Document data

Digitised documents, deleted documents, temporary documents and their fragments, which are managed by the TOE.

Function Jobs specified by users. In this ST, a "user job" is referred to as a "job".

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data

1.4.5.2. TSF Data

The TSF data is classified into two types: protected data and confidential data. Table 9 defines TSF data according to these data types.

Table 9 : Definition of TSF Data

Type Description

Protected data This data must be protected from changes by unauthorised persons. No security

threat will occur even this data is exposed to the public. In this ST, "protected data", listed below, is referred to as "TSF protected data". Login user name, Number of Attempts before Lockout, settings for Lockout Release Timer, lockout time, date settings (year/month/day), time settings, Minimum Character No., Password Complexity Setting, S/MIME user information, destination folder, stored and received document user, document user list, available function list, and user authentication procedures.

Confidential data This data must be protected from changes by unauthorised persons and reading by

users without viewing permissions. In this ST, "confidential data", listed below, is referred to as "TSF confidential data". Login password, audit log, and HDD cryptographic key.

1.4.5.3. Functions

The MFP applications (Copy Function, Document Server Function, Printer Function, Scanner Function, and Fax Function) that are for management of the document data of user data are classified as protected assets, whose use is subject to restrictions.

1.5 Glossary

1.5.1 Glossary for This ST

For clear understanding of this ST, Table 10 provides the definitions of specific terms.

Table 10 : Specific Terms Related to This ST

Terms Definitions

MFP Control Software A software component installed in the TOE. This component is stored in

FlashROM and SD Card. The components that identify the TOE include System/Copy, Network Support, Scanner, Printer, Fax, RemoteFax, Web Support, Web Uapl, NetworkDocBox, animation, PCL, OptionPCLFont, LANG0, LANG1 and Data Erase Std.

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Terms Definitions

The TOE identifies users by this identifier. Login password A password associated with each login user name. Lockout A type of behaviour to deny login of particular users. Auto logout A function for automatic user logout if no access is attempted from the

Operation Panel or Web Function before the predetermined auto logout time

elapses.

Auto logout time for the Operation Panel:

Time specified by the MFP administrator within 60 to 999 seconds.

Auto logout time for the Web Function:

30 minutes (this cannot be changed by users). This auto logout time is also

referred to as "fixed auto logout time". Minimum Character No. The minimum number of registrable password digits. Password Complexity

Setting

The minimum co mbination of the characters and symbo ls that can be used as

registrable passwords.

There are four types of characters: uppercase and lower case alphabets, digits

and symbols.

There are Level 1 and Level 2 Password Complexity Settings. Level 1 requires a

password to be a combination of two or more types of characters and symbols

specified above. Level 2 requires a password to be a combination of three or

more types of characters and symbols specified above. Basic Authentication One of the procedures for identification and authentication of TOE users who

are authorised to use the TOE. The TOE authenticates TOE users by using the

login user names and the login passwords registered on the TOE. External Authentication One of the procedures for identification and authentication of TOE users who

are authorised to use the TOE. The TOE authenticates TOE users by using the

authentication server connected to the MFP via LAN. External Authentication

implemented in the TOE includes Windows Authentication, LDAP

Authentication, and Integration Server Authentication. Windows Authentication

supports NTLM Authentication and Kerberos Authentication. As for this ST, the

term "External Authentication" refers to Windows Authentication using

Kerberos Authentication method. HDD An abbreviat ion of h ard dis k dr ive. I n t his docume nt, un le ss ot her wise s pe c ified ,

"HDD" indicates the HDD installed on the TOE. User job A sequence of operations of each TOE function (Copy Function, Document

Server Function, Scanner Function, Printer Function and Fax Function) from

beginning to end. A user job may be suspended or cancelled by users during

operation. If a user job is cancelled, the job will be terminated. Documents General term for paper documents and electronic documents used in the TOE. Document data

attributes

Attributes of document data, such as +PRT, +SCN, +CPY, +FAXOUT,

+FAXIN, and +DSR. +PRT One of the document data attributes. Documents printed from the client

computer, or documents stored in the TOE by locked print, hold print, and

sample print using the client computer.

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