Certification Report Xerox WorkCentre 5755 Issued by: Communications Security Establishment Certification Body Canadian Common Criteria Evaluation and Certification Scheme © Government of Canada, Communications Security Establishment, 2016 Document number: 383-4-337-CR Version: 1.0 Date: 11 March 2016 Pagination: i to iii, 1 to 8 CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page i of iii - DISCLAIMER The Information Technology (IT) product identified in this certification report, and its associated certificate, has been evaluated at an approved evaluation facility – established under the Canadian Common Criteria Evaluation and Certification Scheme (CCS) – using the Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 4. This certification report, and its associated certificate, applies only to the identified version and release of the product in its evaluated configuration. The evaluation has been conducted in accordance with the provisions of the CCS, and the conclusions of the evaluation facility in the evaluation report are consistent with the evidence adduced. This report, and its associated certificate, are not an endorsement of the IT product by the Communications Security Establishment, or any other organization that recognizes or gives effect to this report, and its associated certificate, and no warranty for the IT product by the Communications Security Establishment, or any other organization that recognizes or gives effect to this report, and its associated certificate, is either expressed or implied. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page ii of iii - FOREWORD The Canadian Common Criteria Evaluation and Certification Scheme (CCS) provides a third-party evaluation service for determining the trustworthiness of Information Technology (IT) security products. Evaluations are performed by a commercial Common Criteria Evaluation Facility (CCEF) under the oversight of the CCS Certification Body, which is managed by the Communications Security Establishment. A CCEF is a commercial facility that has been approved by the CCS Certification Body to perform Common Criteria evaluations; a significant requirement for such approval is accreditation to the requirements of ISO/IEC 17025:2005, the General Requirements for the Competence of Testing and Calibration Laboratories. Accreditation is performed under the Program for the Accreditation of Laboratories - Canada (PALCAN), administered by the Standards Council of Canada. The CCEF that carried out this evaluation is CSC Security Testing/Certification Laboratories. By awarding a Common Criteria certificate, the CCS Certification Body asserts that the product complies with the security requirements specified in the associated security target. A security target is a requirements specification document that defines the scope of the evaluation activities. The consumer of certified IT products should review the security target, in addition to this certification report, in order to gain an understanding of any assumptions made during the evaluation, the IT product's intended environment, the evaluated security functionality, and the testing and analysis conducted by the CCEF. This certification report is associated with the certificate of product evaluation dated 11 March 2016, and the security target identified in Section 4 of this report. The certification report, certificate of product evaluation and security target are posted on the CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the Common Criteria Project). This certification report makes reference to the following trademarks or registered trademarks:  Xerox is a registered trademark of Xerox Corporation. Reproduction of this report is authorized provided the report is reproduced in its entirety. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page iii of iii - TABLE OF CONTENTS Disclaimer....................................................................................................................................... i Foreword........................................................................................................................................ii Executive Summary...................................................................................................................... 1 1 Identification of Target of Evaluation................................................................................. 2 2 TOE Description ................................................................................................................... 2 3 Security Policy....................................................................................................................... 2 4 Security Target...................................................................................................................... 2 5 Common Criteria Conformance.......................................................................................... 3 6 Assumptions and Clarification of Scope............................................................................. 3 6.1 SECURE USAGE ASSUMPTIONS................................................................................... 3 6.2 ENVIRONMENTAL ASSUMPTIONS ............................................................................... 3 7 Evaluated Configuration...................................................................................................... 4 8 Documentation ...................................................................................................................... 4 9 Evaluation Analysis Activities ............................................................................................. 4 10 ITS Product Testing.............................................................................................................. 5 10.1 ASSESSMENT OF DEVELOPER TESTS .......................................................................... 5 10.2 INDEPENDENT FUNCTIONAL TESTING ........................................................................ 5 10.3 INDEPENDENT PENETRATION TESTING....................................................................... 6 10.4 CONDUCT OF TESTING ............................................................................................... 6 10.5 TESTING RESULTS...................................................................................................... 7 11 Results of the Evaluation...................................................................................................... 7 12 Acronyms, Abbreviations and Initializations..................................................................... 7 13 References.............................................................................................................................. 8 CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 1 of 8 - Executive Summary Xerox WorkCentre 5755, from Xerox Corporation, is the Target of Evaluation. The results of this evaluation demonstrate that Xerox WorkCentre 5755 meets the requirements of Evaluation Assurance Level (EAL) 2 augmented for the evaluated security functionality. Xerox WorkCentre 5755 is a multi-function device that copies and prints with scan and fax capabilities. The Xerox embedded fax component provides local analog fax capability over public switched telephone network connections and also enables LanFax. Xerox’s workflow scanning component allows documents to be scanned at the device with the resulting image being sent via email, transferred to a remote file repository or kept in a private (scan) mailbox. CSC Security Testing/Certification Laboratories is the CCEF that conducted the evaluation. This evaluation was completed on 11 March 2016 and was carried out in accordance with the rules of the Canadian Common Criteria Evaluation and Certification Scheme (CCS). The scope of the evaluation is defined by the security target, which identifies assumptions made during the evaluation, the intended environment for Xerox WorkCentre 5755, and the security functional/assurance requirements. Consumers are advised to verify that their operating environment is consistent with that specified in the security target, and to give due consideration to the comments, observations and recommendations in this certification report. Communications Security Establishment, as the CCS Certification Body, declares that the Xerox WorkCentre 5755 evaluation meets all the conditions of the Arrangement on the Recognition of Common Criteria Certificates and that the product will be listed on the CCS Certified Products list (CPL) and the Common Criteria portal (the official website of the Common Criteria Project). CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 2 of 8 - 1 Identification of Target of Evaluation The Target of Evaluation (TOE) for this EAL 2+ evaluation is Xerox WorkCentre 5755, from Xerox Corporation. 2 TOE Description Xerox WorkCentre 5755 is a multi-function device that copies and prints with scan and fax capabilities. The Xerox embedded fax component provides local analog fax capability over public switched telephone network connections and also enables LanFax. Xerox’s workflow scanning component allows documents to be scanned at the device with the resulting image being sent via email, transferred to a remote file repository or kept in a private (scan) mailbox. 3 Security Policy Xerox WorkCentre 5755 implements a role-based access control policy to control administrative access to the system. In addition, Xerox WorkCentre 5755 implements policies pertaining to the following security functional classes:  Security Audit;  Cryptographic Support;  User Data Protection;  Identification and Authentication;  Security Management;  Protection of the TSF;  TOE Access; and  Trusted Path/Channels. The following Government of Canada approved cryptographic algorithms were evaluated for correct implementation in the TOE: Cryptographic Algorithm Standard Certificate # Triple-DES (3DES) FIPS 46-3 #826, #1174 Advanced Encryption Standard (AES) FIPS 197 #1131, #1821 Rivest Shamir Adleman (RSA) FIPS 186-3 #914 Secure Hash Algorithm (SHA-256) FIPS 180-3 #1599 Keyed-Hash Message Authentication Code (HMAC) FIPS 198 #644, #1076 Random Number Generation (RNG) ANSI x9.31 #1018 4 Security Target The ST associated with this Certification Report is identified below: Xerox Multi-function Device Security Target WorkCentre 5755, version 1.3, 11 March 2016. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 3 of 8 - 5 Common Criteria Conformance The evaluation was conducted using the Common Methodology for Information Technology Security Evaluation, Version 3.1 Revision 4, for conformance to the Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 4. Xerox WorkCentre 5755 is: a. EAL 2 augmented, containing all security assurance requirements listed, as well as the following:  ALC_FLR.3 - Systematic Flaw Remediation b. Common Criteria Part 2 extended; with functional requirements based upon functional components in Part 2, except for the following explicitly stated requirements defined in the ST:  FPT_FDI_EXP.1 - Restricted forwarding of data to external interfaces. c. Common Criteria Part 3 conformant, with security assurance requirements based only upon assurance components in Part 3. 6 Assumptions and Clarification of Scope Consumers of Xerox WorkCentre 5755 should consider assumptions about usage and environmental settings as requirements for the product’s installation and its operating environment. This will ensure the proper and secure operation of the TOE. 6.1 Secure Usage Assumptions The following Secure Usage Assumptions are listed in the ST:  TOE users are aware of the security policies and procedures of their organization, and are trained and competent to follow those policies and procedures;  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; and  Administrators do not use their privileged access rights for malicious purposes. 6.2 Environmental Assumptions The following Environmental Assumption is listed in the ST:  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. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 4 of 8 - 7 Evaluated Configuration The evaluated configuration for Xerox WorkCentre 5755 comprises: Model System Software WorkCentre 5755 061.132.225.15500 with patch 856266v1.dlm The publication entitled Supplemental Guide - Secure Installation and Operation of Your WorkCentre™ 5755, version 1.2, January 2016 describes the procedures necessary to install and operate Xerox WorkCentre 5755 in its evaluated configuration. 8 Documentation The Xerox Corporation documents provided to the consumer are as follows:  Xerox WorkCentre™ 5735/5740/5745/5755/5765/5775/5790 System Administrator Guide v2.0, December 2010;  Xerox WorkCentre 5735/5740/5745/5755/5765/5775/5790 User Guide v2.0, December 2010;  Supplemental Guide - Secure Installation and Operation of Your WorkCentre™ 5755, version 1.2, January 2016; and  Xerox WorkCentre™ 5735/5740/5745/5755/5765/5775/5790 Smart Card Installation Guide v7.0, September 2011. 9 Evaluation Analysis Activities The evaluation analysis activities involved a structured evaluation of Xerox WorkCentre 5755, including the following areas: Development: The evaluators analyzed the Xerox WorkCentre 5755 functional specification and design documentation; they determined that the design completely and accurately describes the TOE security functionality (TSF) interfaces, the TSF subsystems and how the TSF implements the security functional requirements (SFRs). The evaluators analyzed the Xerox WorkCentre 5755 security architectural description and determined that the initialization process is secure, that the security functions are protected against tamper and bypass, and that security domains are maintained. The evaluators also independently verified that the correspondence mappings between the design documents are correct. Guidance Documents: The evaluators examined the Xerox WorkCentre 5755 preparative user guidance and operational user guidance and determined that it sufficiently and unambiguously describes how to securely transform the TOE into its evaluated configuration and how to use and administer the product. The evaluators examined and tested the preparative and operational guidance, and determined that they are complete and sufficiently detailed to result in a secure configuration. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 5 of 8 - Life-cycle support: An analysis of the Xerox WorkCentre 5755 configuration management system and associated documentation was performed. The evaluators found that the Xerox WorkCentre 5755 configuration items were clearly marked. The evaluators examined the delivery documentation and determined that it described all of the procedures required to maintain the integrity of Xerox WorkCentre 5755 during distribution to the consumer. The evaluators reviewed the flaw remediation procedures used by developer for the Xerox WorkCentre 5755. During a site visit, the evaluators also examined the evidence generated by adherence to the procedures. The evaluators concluded that the procedures are adequate to track and correct security flaws, and distribute the flaw information and corrections to consumers of the product. All these evaluation activities resulted in PASS verdicts. 10 ITS Product Testing Testing consists of the following three steps: assessing developer tests, performing independent functional tests, and performing penetration tests. 10.1 Assessment of Developer Tests The evaluators verified that the developer has met their testing responsibilities by examining their test evidence, and reviewing their test results, as documented in the ETR1 . The evaluators analyzed the developer’s test coverage analysis and found it to be complete and accurate. The correspondence between the tests identified in the developer’s test documentation and the functional specification was complete. 10.2 Independent Functional Testing During this evaluation, the evaluator developed independent functional tests by examining design and guidance documentation. All testing was planned and documented to a sufficient level of detail to allow repeatability of the testing procedures and results. Resulting from this test coverage approach is the following list of test goals: a. Repeat of Developer's Tests: The objective of this test goal is to repeat a subset of the developer's tests; b. Identification and Authentication; a. Local Unprivileged: The objective of this test goal is to demonstrate the creation of a normal user; 1 The ETR is a CCS document that contains information proprietary to the developer and/or the evaluator, and is not releasable for public review. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 6 of 8 - b. System Administrator: The objective of this test goal is to demonstrate the creation of a privileged user account; c. Secure `Print Access: The objective of this test goal is to verify that non-authorized users cannot access secure jobs; d. Verify IPSec Workflow Scanning: The objective of this test goal is to verify confidentiality (through encryption) of the SMB workflow scanning over IPSec. e. RBAC: The objective of this test goal is to confirm administrative role based access control rules at the WEB UI and LUI; f. Audit: The objective of this test goal is to verify a selection of FAU_GEN.1 events; g. Image Overwrite: The objective of this test goal is to verify that submitted jobs are properly overwritten; and h. Audit Log Rollover: The objective of this test goal is to verify that the most recent events are retained in audit log when the number of entries exceeds the maximum. 10.3 Independent Penetration Testing Subsequent to the independent review of public domain vulnerability databases and all evaluation deliverables, limited independent evaluator penetration testing was conducted. The penetration tests focused on: a. Use of automated vulnerability scanning tools to discover potential network, platform and application layer vulnerabilities. b. Session Management: The objective of this test goal is to attempt to perform a session hijack; c. Web User Interface and Local User Interface Fuzzing: The objective of this test goal is to subject the WebUI and LUI interfaces to unexpected input; d. Illicit Software Update: The objective of this test goal is to attempt to load an illicit software update; and e. Postscript Hack: The objective of this test goal is to attempt to access OS commands using PostScript. The independent penetration testing did not uncover any exploitable vulnerabilities in the intended operating environment. 10.4 Conduct of Testing Xerox WorkCentre 5755 was subjected to a comprehensive suite of formally documented, independent functional and penetration tests. The detailed testing activities, including configurations, procedures, test cases, expected results and observed results are documented in a separate Test Results document. CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 7 of 8 - 10.5 Testing Results The developer’s tests and the independent functional tests yielded the expected results, providing assurance that Xerox WorkCentre 5755 behaves as specified in its ST and functional specification. 11 Results of the Evaluation This evaluation has provided the basis for a EAL 2+ level of assurance. The overall verdict for the evaluation is PASS. These results are supported by evidence in the ETR. 12 Acronyms, Abbreviations and Initializations Acronym/Abbreviation/ Initialization Description CCEF Common Criteria Evaluation Facility CCS Canadian Common Criteria Evaluation and Certification Scheme CPL Certified Products list CM Configuration Management EAL Evaluation Assurance Level ETR Evaluation Technical Report IT Information Technology ITSET Information Technology Security Evaluation and Testing LUI Local User Interface PALCAN Program for the Accreditation of Laboratories - Canada RBAC Role Based Access Control SFR Security Functional Requirement ST Security Target TOE Target of Evaluation TSF TOE Security Function UI User Interface CCS Certification Report Xerox Corporation Xerox WorkCentre 5755 ___________________________________________________________________________ Version 1.0 11 March 2016 - Page 8 of 8 - 13 References This section lists all documentation used as source material for this report: a. CCS Publication #4, Technical Oversight, Version 1.8, October 2010. b. Common Criteria for Information Technology Security Evaluation, Version 3.1 Revision 4, September 2012. c. Common Methodology for Information Technology Security Evaluation, CEM, Version 3.1 Revision 4, September 2012. d. Xerox Multi-function Device Security Target WorkCentre 5755, version 1.3, 11 March 2016. e. Evaluation Technical Report Xerox WorkCentre 5755, version 1.0, 22 January 2016.