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Orange Book Appendices: REQUIREMENT DIRECTORY Previous Next Table of Contents

4. REQUIREMENT DIRECTORY

This appendix lists requirements defined in "Department of Defense Trusted Computer System Evaluation Criteria" alphabetically rather than by class. It is provided to assist in following the evolution of a requirement through the classes. For each requirement, three types of criteria may be present. Each will be preceded by the word: NEW, CHANGE, or ADD to indicate the following:

NEW:: Any criteria appearing in a lower class are superseded by the criteria that follow.
CHANGE:: The criteria that follow have appeared in a lower class but are changed for this class. Highlighting is used to indicate the specific changes to previously stated criteria.
ADD:: The criteria that follow have not been required for any lower class, and are added in this class to the previously stated criteria for this requirement.

Abbreviations are used as follows:

NR:: (No Requirement) This requirement is not included in this class.
NAR:: (No Additional Requirements) This requirement does not change from the previous class.

The reader is referred to Part I of this document when placing new criteria for a requirement into the complete context for that class.

Figure 1 provides a pictorial summary of the evolution of requirements through the classes. (AGM - the figure is not included at this time)

4.1 Audit

C1:

NR.

C2:

NEW: The TCB shall be able to create, maintain, and protect from modification or unauthorized access or destruction an audit trail of accesses to the objects it protects. The audit data shall be protected by the TCB so that read access to it is limited to those who are authorized for audit data. The TCB shall be able to record the following types of events: use of identification and authentication mechanisms, introduction of objects into a user's address space (e.g., file open, program initiation), deletion of objects, and actions taken by computer operators and system administrators and/or system security officers and other security relevant events. For each recorded event, the audit record shall identify: date and time of the event, user, type of event, and success or failure of the event. For identification/authentication events the origin of request (e.g., terminal ID) shall be included in the audit record. For events that introduce an object into a user's address space and for object deletion events the audit record shall include the name of the object. The ADP system administrator shall be able to selectively audit the actions of any one or more users based on individual identity.

B1:

CHANGE: For events that introduce an object into a user's address space and for object deletion events the audit record shall include the name of the object and the object's security level. The ADP system administrator shall be able to selectively audit the actions of any one or more users based on individual identity and/or object security level.

ADD: The TCB shall also be able to audit any override of human-readable output markings.

B2:

ADD: The TCB shall be able to audit the identified events that may be used in the exploitation of covert storage channels.

B3:

ADD: The TCB shall contain a mechanism that is able to monitor the occurrence or accumulation of security auditable events that may indicate an imminent violation of security policy. This mechanism shall be able to immediately notify the security administrator when thresholds are exceeded, and, if the occurrence or accumulation of these security relevant events continues, the system shall take the lease disruptive action to terminate the event.

A1:

NAR.

4.2 Configuration Management

C1:

NR.

C2:

NR.

B1:

NR.

B2:

NEW: During development and maintenance of the TCB, a configuration management system shall be in place that maintains control of changes to the descriptive top-level specification, other design data, implementation documentation, source code, the running version of the object code, and test fixtures and documentation. The configuration management system shall assure a consistent mapping among all documentation and code associated with the current version of the TCB. Tools shall be provided for generation of a new version of the TCB from source code. Also available shall be tools for comparing a newly generated version with the previous TCB version in order to ascertain that only the intended changes have been made in the code that will actually be used as the new version of the TCB.

B3:

NAR.

A1:

CHANGE: During the entire life-cycle, i.e., during the design, development, and maintenance of the TCB, a configuration management system shall be in place for all security-relevant hardware, firmware, and software that maintains control of changes to the formal model, the descriptive and formal top-level specifications, other design data, implementation documentation, source code, the running version of the object code, and test fixtures and documentation. Also available shall be tools, maintained under strict configuration control, for comparing a newly generated version with the previous TCB version in order to ascertain that only the intended changes have been made in the code that will actually be used as the new version of the TCB.

ADD: A combination of technical, physical, and procedural safeguards shall be used to protect from unauthorized modification or destruction the master copy or copies of all material used to generate the TCB.

4.3 Covert Channel Analysis

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NEW: The system developer shall conduct a thorough search for covert storage channels and make a determination (either by actual measurement or by engineering estimation) of the maximum bandwidth of each identified channel. (See the Covert Channels Guideline section.)
B3:: CHANGE: The system developer shall conduct a thorough search for covert channels and make a determination (either by actual measurement or by engineering estimation) of the maximum bandwidth of each identified channel.
A1:: ADD: Formal methods shall be used in the analysis.

4.4 Design Documentation

C1:

NEW: Documentation shall be available that provides a description of the manufacturer's philosophy of protection and an explanation of how this philosophy is translated into the TCB. If the TCB is composed of distinct modules, the interfaces between these modules shall be described.

C2:

NAR.

B1:

ADD: An informal or formal description of the security policy model enforced by the TCB shall be available and an explanation provided to show that it is sufficient to enforce the security policy. The specific TCB protection mechanisms shall be identified and an explanation given to show that they satisfy the model.

B2:

CHANGE: The interfaces between the TCB modules shall be described. A formal description of the security policy model enforced by the TCB shall be available and proven that it is sufficient to enforce the security policy.

ADD: The descriptive top-level specification (DTLS) shall be shown to be an accurate description of the TCB interface. Documentation shall describe how the TCB implements the reference monitor concept and give an explanation why it is tamper resistant, cannot be bypassed, and is correctly implemented. Documentation shall describe how the TCB is structured to facilitate testing and to enforce least privilege. This documentation shall also present the results of the covert channel analysis and the tradeoffs involved in restricting the channels. All auditable events that may be used in the exploitation of known covert storage channels shall be identified. The bandwidths of known covert storage channels, the use of which is not detectable by the auditing mechanisms, shall be provided. (See the Covert Channel Guideline section.)

B3:

ADD: The TCB implementation (i.e., in hardware, firmware, and software) shall be informally shown to be consistent with the DTLS. The elements of the DTLS shall be shown, using informal techniques, to correspond to the elements of the TCB.

A1:

CHANGE: The TCB implementation (i.e., in hardware, firmware, and software) shall be informally shown to be consistent with the formal top-level specification (FTLS). The elements of the FTLS shall be shown, using informal techniques, to correspond to the elements of the TCB.

ADD: Hardware, firmware, and software mechanisms not dealt with in the FTLS but strictly internal to the TCB (e.g., mapping registers, direct memory access I/O) shall be clearly described.

4.5 Design Specification and Verification

C1:

NR.

C2:

NR.

B1:

NEW: An informal or formal model of the security policy supported by the TCB shall be maintained over the life cycle of the ADP system that is shown to be consistent with its axioms.

B2:

CHANGE: A formal model of the security policy supported by the TCB shall be maintained over the life cycle of the ADP system that is proven consistent with its axioms.

ADD: A descriptive top-level specification (DTLS) of the TCB shall be maintained that completely and accurately describes the TCB in terms of exceptions, error messages, and effects. It shall be shown to be an accurate description of the TCB interface.

B3:

ADD: A convincing argument shall be given that the DTLS is consistent with the model.

A1:

CHANGE: The FTLS shall be shown to be an accurate description of the TCB interface. A convincing argument shall be given that the DTLS is consistent with the model and a combination of formal and informal techniques shall be used to show that the FTLS is consistent with the model.

ADD: A formal top-level specification (FTLS) of the TCB shall be maintained that accurately describes the TCB in terms of exceptions, error messages, and effects. The DTLS and FTLS shall include those components of the TCB that are implemented as hardware and/or firmware if their properties are visible at the TCB interface. This verification evidence shall be consistent with that provided within the state-of-the-art of the particular Computer Security Center- endorsed formal specification and verification system used. Manual or other mapping of the FTLS to the TCB source code shall be performed to provide evidence of correct implementation.

4.6 Device Labels

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NEW: The TCB shall support the assignment of minimum and maximum security levels to all attached physical devices. These security levels shall be used by the TCB to enforce constraints imposed by the physical environments in which the devices are located.
B3:: NAR.
A1:: NAR.

4.7 Discretionary Access Control

C1:

NEW: The TCB shall define and control access between named users and named objects (e.g., files and programs) in the ADP system. The enforcement mechanism (e.g., self/group/public controls, access control lists) shall allow users to specify and control sharing of those objects by named individuals or defined groups or both.

C2:

CHANGE: The enforcement mechanism (e.g., self/group/public controls, access control lists) shall allow users to specify and control sharing of those objects by named individuals, or defined groups of individuals, or by both, and shall provide controls to limit propagation of access rights.

ADD: The discretionary access control mechanism shall, either by explicit user action or by default, provide that objects are protected from unauthorized access. These access controls shall be capable of including or excluding access to the granularity of a single user. Access permission to an object by users not already possessing access permission shall only be assigned by authorized users.

B1:

NAR.

B2:

NAR.

B3:

CHANGE: The enforcement mechanism (e.g., access control lists) shall allow users to specify and control sharing of those objects, and shall provide controls to limit propagation of access rights. These access controls shall be capable of specifying, for each named object, a list of named individuals and a list of groups of named individuals with their respective modes of access to that object.

ADD: Furthermore, for each such named object, it shall be possible to specify a list of named individuals and a list of groups of named individuals for which no access to the object is to be given.

A1:

NAR.

4.8 Exportation of Labeled Information

C1:: NR.
C2:: NR.
B1:: NEW: The TCB shall designate each communication channel and I/O device as either single-level or multilevel. Any change in this designation shall be done manually and shall be auditable by the TCB. The TCB shall maintain and be able to audit any change in the security level or levels associated with a communication channel or I/O device.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.9 Exportation to Multilevel Devices

C1:: NR.
C2:: NR.
B1:: NEW: When the TCB exports an object to a multilevel I/O device, the sensitivity label associated with that object shall also be exported and shall reside on the same physical medium as the exported information and shall be in the same form (i.e., machine-readable or human-readable form). When the TCB exports or imports an object over a multilevel communication channel, the protocol used on that channel shall provide for the unambiguous pairing between the sensitivity labels and the associated information that is sent or received.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.10 Exportation to Single-Level Devices

C1:: NR.
C2:: NR.
B1:: NEW: Single-level I/O devices and single-level communication channels are not required to maintain the sensitivity labels of the information they process. However, the TCB shall include a mechanism by which the TCB and an authorized user reliably communicate to designate the single security level of information imported or exported via single-level communication channels or I/O devices.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.11 Identification and Authentication

C1:: NEW: The TCB shall require users to identify themselves to it before beginning to perform any other actions that the TCB is expected to mediate. Furthermore, the TCB shall use a protected mechanism (e.g., passwords) to authenticate the user's identity. The TCB shall protect authentication data so that it cannot be accessed by any unauthorized user.
C2:: ADD: The TCB shall be able to enforce individual accountability by providing the capability to uniquely identify each individual ADP system user. The TCB shall also provide the capability of associating this identity with all auditable actions taken by that individual.
B1:: CHANGE: Furthermore, the TCB shall maintain authentication data that includes information for verifying the identity of individual users (e.g., passwords) as well as information for determining the clearance and authorizations of individual users. This data shall be used by the TCB to authenticate the user's identity and to ensure that the security level and authorizations of subjects external to the TCB that may be created to act on behalf of the individual user are dominated by the clearance and authorization of that user.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.12 Label Integrity

C1:: NR.
C2:: NR.
B1:: NEW: Sensitivity labels shall accurately represent security levels of the specific subjects or objects with which they are associated. When exported by the TCB, sensitivity labels shall accurately and unambiguously represent the internal labels and shall be associated with the information being exported.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.13 Labeling Human-Readable Output

C1:: NR.
C2:: NR.
B1:: NEW: The ADP system administrator shall be able to specify the printable label names associated with exported sensitivity labels. The TCB shall mark the beginning and end of all human-readable, paged, hardcopy output (e.g., line printer output) with human- readable sensitivity labels that properly* represent the sensitivity of the output. The TCB shall, by default, mark the top and bottom of each page of human-readable, paged, hardcopy output (e.g., line printer output) with human-readable sensitivity labels that properly* represent the overall sensitivity of the output or that properly* represent the sensitivity of the information on the page. The TCB shall, by default and in an appropriate manner, mark other forms of human-readable output (e.g., maps, graphics) with human- readable sensitivity labels that properly (see footnote below) represent the sensitivity of the output. Any override of these marking defaults shall be auditable by the TCB.
B2:: NAR.
B3:: NAR.
A1:: NAR.

Footnote concerning "properly"

The hierarchical classification component in human-readable sensitivity labels shall be equal to the greatest hierarchical classification of any of the information in the output that the labels refer to; the non-hierarchical category component shall include all of the non-hierarchical categories of the information in the output the labels refer to, but no other non-hierarchical categories.

4.14 Labels

C1:: NR.
C2:: NR.
B1:: NEW: Sensitivity labels associated with each subject and storage object under its control (e.g., process, file, segment, device) shall be maintained by the TCB. These labels shall be used as the basis for mandatory access control decisions. In order to import non- labeled data, the TCB shall request and receive from an authorized user the security level of the data, and all such actions shall be auditable by the TCB.
B2:: CHANGE: Sensitivity labels associated with each ADP system resource (e.g., subject, storage object, ROM) that is directly or indirectly accessible by subjects external to the TCB shall be maintained by the TCB.
B3:: NAR.
A1:: NAR.

4.15 Mandatory Access Control

C1:: NR.
C2:: NR.
B1:: NEW: The TCB shall enforce a mandatory access control policy over all subjects and storage objects under its control (e.g., processes, files, segments, devices). These subjects and objects shall be assigned sensitivity labels that are a combination of hierarchical classification levels and non-hierarchical categories, and the labels shall be used as the basis for mandatory access control decisions. The TCB shall be able to support two or more such security levels. (See the Mandatory Access Control guidelines.) The following requirements shall hold for all accesses between subjects and objects controlled by the TCB: A subject can read an object only if the hierarchical classification in the subject's security level is greater than or equal to the hierarchical classification in the object's security level and the non-hierarchical categories in the subject's security level include all the non-hierarchical categories in the object's security level. A subject can write an object only if the hierarchical classification in the subject's security level is less than or equal to the hierarchical classification in the object's security level and all the non-hierarchical categories in the subject's security level are included in the non-hierarchical categories in the object's security level. Identification and authentication data shall be used by the TCB to authenticate the user's identity and to ensure that the security level and authori- zation of subjects external to the TCB that may be created to act on behalf of the individual user are dominated by the clearance and authorization of that user.
B2:: CHANGE: The TCB shall enforce a mandatory access control policy over all resources (i.e., subjects, storage objects, and I/O devices) that are directly or indirectly accessible by subjects external to the TCB. The following requirements shall hold for all accesses between all subjects external to the TCB and all objects directly or indirectly accessible by these subjects:
B3:: NAR.
A1:: NAR.

4.16 Object Reuse

C1:: NR.
C2:: NEW: All authorizations to the information contained within a storage object shall be revoked prior to initial assignment, allocation or reallocation to a subject from the TCB's pool of unused storage objects. No information, including encrypted representations of information, produced by a prior subject's actions is to be available to any subject that obtains access to an object that has been released back to the system.
B1:: NAR.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.17 Security Features User's Guide

C1:: NEW: A single summary, chapter, or manual in user documentation shall describe the protection mechanisms provided by the TCB, guidelines on their use, and how they interact with one another.
C2:: NAR.
B1:: NAR.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.18 Security Testing

C1:

NEW: The security mechanisms of the ADP system shall be tested and found to work as claimed in the system documentation. Testing shall be done to assure that there are no obvious ways for an unauthorized user to bypass or otherwise defeat the security protection mechanisms of the TCB. (See the Security Testing guidelines.)

C2:

ADD: Testing shall also include a search for obvious flaws that would allow violation of resource isolation, or that would permit unauthorized access to the audit or authentication data.

B1:

NEW: The security mechanisms of the ADP system shall be tested and found to work as claimed in the system documentation. A team of individuals who thoroughly understand the specific implementation of the TCB shall subject its design documentation, source code, and object code to thorough analysis and testing. Their objectives shall be: to uncover all design and implementation flaws that would permit a subject external to the TCB to read, change, or delete data normally denied under the mandatory or discretionary security policy enforced by the TCB; as well as to assure that no subject (without authorization to do so) is able to cause the TCB to enter a state such that it is unable to respond to communications initiated by other users. All discovered flaws shall be removed or neutralized and the TCB retested to demonstrate that they have been eliminated and that new flaws have not been introduced. (See the Security Testing Guidelines.)

B2:

CHANGE: All discovered flaws shall be corrected and the TCB retested to demonstrate that they have been eliminated and that new flaws have not been introduced.

ADD: The TCB shall be found relatively resistant to penetration. Testing shall demonstrate that the TCB implementation is consistent with the descriptive top-level specification.

B3:

CHANGE: The TCB shall be found resistant to penetration.

ADD: No design flaws and no more than a few correctable implementation flaws may be found during testing and there shall be reasonable confidence that few remain.

A1:

CHANGE: Testing shall demonstrate that the TCB implementation is consistent with the formal top-level specification.

ADD: Manual or other mapping of the FTLS to the source code may form a basis for penetration testing.

4.19 Subject Sensitivity Labels

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NEW: The TCB shall immediately notify a terminal user of each change in the security level associated with that user during an interactive session. A terminal user shall be able to query the TCB as desired for a display of the subject's complete sensitivity label.
B3:: NAR.
A1:: NAR.

4.20 System Architecture

C1:: NEW: The TCB shall maintain a domain for its own execution that protects it from external interference or tampering (e.g., by modification of its code or data structures). Resources controlled by the TCB may be a defined subset of the subjects and objects in the ADP system.
C2:: ADD: The TCB shall isolate the resources to be protected so that they are subject to the access control and auditing requirements.
B1:: ADD: The TCB shall maintain process isolation through the provision of distinct address spaces under its control.
B2:: NEW: The TCB shall maintain a domain for its own execution that protects it from external interference or tampering (e.g., by modification of its code or data structures). The TCB shall maintain process isolation through the provision of distinct address spaces under its control. The TCB shall be internally structured into well- defined largely independent modules. It shall make effective use of available hardware to separate those elements that are protection- critical from those that are not. The TCB modules shall be designed such that the principle of least privilege is enforced. Features in hardware, such as segmentation, shall be used to support logically distinct storage objects with separate attributes (namely: readable, writeable). The user interface to the TCB shall be completely defined and all elements of the TCB identified.
B3:: ADD: The TCB shall be designed and structured to use a complete, conceptually simple protection mechanism with precisely defined semantics. This mechanism shall play a central role in enforcing the internal structuring of the TCB and the system. The TCB shall incorporate significant use of layering, abstraction and data hiding. Significant system engineering shall be directed toward minimizing the complexity of the TCB and excluding from the TCB modules that are not protection-critical.
A1:: NAR.

4.21 System Integrity

C1:: NEW: Hardware and/or software features shall be provided that can be used to periodically validate the correct operation of the on-site hardware and firmware elements of the TCB.
C2:: NAR.
B1:: NAR.
B2:: NAR.
B3:: NAR.
A1:: NAR.

4.22 Test Documentation

C1:: NEW: The system developer shall provide to the evaluators a document that describes the test plan, test procedures that show how the security mechanisms were tested and results of the security mechanisms' functional testing.
C2:: NAR.
B1:: NAR.
B2:: ADD: It shall include results of testing the effectiveness of the methods used to reduce covert channel bandwidths.
B3:: NAR.
A1:: ADD: The results of the mapping between the formal top-level specification and the TCB source code shall be given.

4.23 Trusted Distribution

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NR.
B3:: NR.
A1:: NEW: A trusted ADP system control and distribution facility shall be provided for maintaining the integrity of the mapping between the master data describing the current version of the TCB and the on-site master copy of the code for the current version. Procedures (e.g., site security acceptance testing) shall exist for assuring that the TCB software, firmware, and hardware updates distributed to a customer are exactly as specified by the master copies.

4.24 Trusted Facility Management

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NEW: The TCB shall support separate operator and administrator functions.
B3:: ADD: The functions performed in the role of a security administrator shall be identified. The ADP system administrative personnel shall only be able to perform security administrator functions after taking a distinct auditable action to assume the security administrator role on the ADP system. Non-security functions that can be performed in the security administration role shall be limited strictly to those essential to performing the security role effectively.
A1:: NAR.

4.25 Trusted Facility Manual

C1:: NEW: A manual addressed to the ADP system administrator shall present cautions about functions and privileges that should be controlled when running a secure facility.
C2:: ADD: The procedures for examining and maintaining the audit files as well as the detailed audit record structure for each type of audit event shall be given.
B1:: ADD: The manual shall describe the operator and administrator functions related to security, to include changing the characteristics of a user. It shall provide guidelines on the consistent and effective use of the protection features of the system, how they interact, how to securely generate a new TCB, and facility procedures, warnings, and privileges that need to be controlled in order to operate the facility in a secure manner.
B2:: ADD: The TCB modules that contain the reference validation mechanism shall be identified. The procedures for secure generation of a new TCB from source after modification of any modules in the TCB shall be described.
B3:: ADD: It shall include the procedures to ensure that the system is initially started in a secure manner. Procedures shall also be included to resume secure system operation after any lapse in system operation.
A1:: NAR.

4.26 Trusted Path

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NEW: The TCB shall support a trusted communication path between itself and user for initial login and authentication. Communications via this path shall be initiated exclusively by a user.
B3:: CHANGE: The TCB shall support a trusted communication path between itself and users for use when a positive TCB-to-user connection is required (e.g., login, change subject security level). Communications via this trusted path shall be activated exclusively by a user or the TCB and shall be logically isolated and unmistakably distinguishable from other paths.
A1:: NAR.

4.27 Trusted Recovery

C1:: NR.
C2:: NR.
B1:: NR.
B2:: NR.
B3:: NEW: Procedures and/or mechanisms shall be provided to assure that, after an ADP system failure or other discontinuity, recovery without a protection compromise is obtained.
A1:: NAR.

(this page is reserved for Figure 1 - not included AGM)

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