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4. DIVISION A: VERIFIED PROTECTION

This division is characterized by the use of formal security verification methods to assure that the mandatory and discretionary security controls employed in the system can effectively protect classified or other sensitive information stored or processed by the system. Extensive documentation is required to demonstrate that the TCB meets the security requirements in all aspects of design, development and implementation.

4.1 CLASS (A1): VERIFIED DESIGN

Systems in class (A1) are functionally equivalent to those in class (B3) in that no additional architectural features or policy requirements are added. The distinguishing feature of systems in this class is the analysis derived from formal design specification and verification techniques and the resulting high degree of assurance that the TCB is correctly implemented. This assurance is developmental in nature, starting with a formal model of the security policy and a formal top-level specification (FTLS) of the design. Independent of the particular specification language or verification system used, there are five important criteria for class (A1) design verification:

• A formal model of the security policy must be clearly identified and documented, including a mathematical proof that the model is consistent with its axioms and is sufficient to support the security policy.
• An FTLS must be produced that includes abstract definitions of the functions the TCB performs and of the hardware and/or firmware mechanisms that are used to support separate execution domains.
• The FTLS of the TCB must be shown to be consistent with the model by formal techniques where possible (i.e., where verification tools exist) and informal ones otherwise.
• The TCB implementation (i.e., in hardware, firmware, and software) must be informally shown to be consistent with the FTLS. The elements of the FTLS must be shown, using informal techniques, to correspond to the elements of the TCB. The FTLS must express the unified protection mechanism required to satisfy the security policy, and it is the elements of this protection mechanism that are mapped to the elements of the TCB.
• Formal analysis techniques must be used to identify and analyze covert channels. Informal techniques may be used to identify covert timing channels. The continued existence of identified covert channels in the system must be justified.

In keeping with the extensive design and development analysis of the TCB required of systems in class (A1), more stringent configuration management is required and procedures are established for securely distributing the system to sites. A system security administrator is supported.

The following are minimal requirements for systems assigned a class (A1) rating:

Security Policy

Discretionary Access Control

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., access control lists) shall allow users to specify and control sharing of those objects, and shall provide controls to limit propagation of access rights. 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 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. 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. Access permission to an object by users not already possessing access permission shall only be assigned by authorized users.

Object Reuse

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.

Labels

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. 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.

Label Integrity

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.

Exportation of Labeled Information

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.

Exportation to Multilevel Devices

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.

Exportation to Single-Level Devices

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.

Labeling Human-Readable Output

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 (see footnote above) 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 (see footnote above) represent the overall sensitivity of the output or that properly (see footnote above) 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 above) represent the sensitivity of the output. Any override of these marking defaults shall be auditable by the TCB.

Subject Sensitivity Labels

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.

Device Labels

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.

Mandatory Access Control

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. 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 all subjects external to the TCB and all objects directly or indirectly accessible by these subjects: 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 authoriza- tion 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.

Accountability

Identification and Authentication

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 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. The TCB shall protect authentication data so that it cannot be accessed by any unauthorized user. 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.

Trusted Path

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.

Audit

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. The TCB shall also be able to audit any override of human-readable output markings. 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 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. The TCB shall be able to audit the identified events that may be used in the exploitation of covert storage channels. 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 least disruptive action to terminate the event.

Assurance

Operational Assurance

System Architecture

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. 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.

System Integrity

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.

Covert Channel Analysis

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. (See the Covert Channels Guideline section.) Formal methods shall be used in the analysis.

Trusted Facility Management

The TCB shall support separate operator and administrator functions. 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.

Trusted Recovery

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.

Life-Cycle Assurance

Security Testing

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. The TCB shall be found resistant to penetration. 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. Testing shall demonstrate that the TCB implementation is consistent with the formal top- level specification. (See the Security Testing Guidelines.) 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. Manual or other mapping of the FTLS to the source code may form a basis for penetration testing.

Design Specification and Verification

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. 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. 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. 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. 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.

Configuration Management

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. 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, 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. 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.

Trusted Distribution

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.

Documentation

Security Features User's Guide

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.

Trusted Facility Manual

A manual addressed to the ADP system administrator shall present cautions about functions and privileges that should be controlled when running a secure facility. 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. The manual shall describe the operator and administrator functions related to security, to include changing the security 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. 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. 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.

Test Documentation

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. It shall include results of testing the effectiveness of the methods used to reduce covert channel bandwidths. The results of the mapping between the formal top-level specification and the TCB source code shall be given.

Design Documentation

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. 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. The specific TCB protection mechanisms shall be identified and an explanation given to show that they satisfy the model. The descriptive top-level speci- fication (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 explana- tion why it is tamper resistant, cannot be bypassed, and is correctly implemented. 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. 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.) 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.

4.2 BEYOND CLASS (A1)

Most of the security enhancements envisioned for systems that will provide features and assurance in addition to that already provided by class (Al) systems are beyond current technology. The discussion below is intended to guide future work and is derived from research and development activities already underway in both the public and private sectors. As more and better analysis techniques are developed, the requirements for these systems will become more explicit. In the future, use of formal verification will be extended to the source level and covert timing channels will be more fully addressed. At this level the design environment will become important and testing will be aided by analysis of the formal top-level specification. Consideration will be given to the correctness of the tools used in TCB development (e.g., compilers, assemblers, loaders) and to the correct functioning of the hardware/firmware on which the TCB will run. Areas to be addressed by systems beyond class (A1) include:

• System Architecture

  A demonstration (formal or otherwise) must be given showing that requirements of self-protection and completeness for reference monitors have been implemented in the TCB.

• Security Testing

  Although beyond the current state-of-the-art, it is envisioned that some test-case generation will be done automatically from the formal top-level specification or formal lower-level specifications.

• Formal Specification and Verification

  The TCB must be verified down to the source code level, using formal verification methods where feasible. Formal verification of the source code of the security-relevant portions of an operating system has proven to be a difficult task. Two important considerations are the choice of a high-level language whose semantics can be fully and formally expressed, and a careful mapping, through successive stages, of the abstract formal design to a formalization of the implementation in low-level specifications. Experience has shown that only when the lowest level specifications closely correspond to the actual code can code proofs be successfully accomplished.

• Trusted Design Environment

  The TCB must be designed in a trusted facility with only trusted (cleared) personnel.

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