BSI-DSZ-CC-0918-2020
for
CONEXA 3.0
Version 1.0
from
Theben AG
BSI - Bundesamt für Sicherheit in der Informationstechnik, Postfach 20 03 63, D-53133 Bonn
Phone +49 (0)228 99 9582-0, Fax +49 (0)228 9582-5477, Infoline +49 (0)228 99 9582-111
Certification Report V1.0 CC-Zert-327 V5.3
BSI-DSZ-CC-0918-2020 (*)
Smart Meter Gateway
CONEXA 3.0, Version 1.0
from Theben AG
PP Conformance: Protection Profile for the Gateway of a Smart
Metering System, Version 1.3, 31 March 2014,
BSI-CC-PP-0073-2014
Functionality: PP conformant
Common Criteria Part 2 extended
Assurance: Common Criteria Part 3 conformant
EAL 4 augmented by ALC_FLR.2 and AVA_VAN.5
The IT Product identified in this certificate has been evaluated at an approved evaluation
facility using the Common Methodology for IT Security Evaluation (CEM), Version 3.1
extended by Scheme Interpretations and by advice of the Certification Body for
components beyond EAL 5 for conformance to the Common Criteria for IT Security
Evaluation (CC), Version 3.1. CC and CEM are also published as ISO/IEC 15408 and
ISO/IEC 18045.
(*) This certificate applies only to the specific version and release of the product in its
evaluated configuration and in conjunction with the complete Certification Report and
Notification. For details on the validity see Certification Report part A chapter 5.
The evaluation has been conducted in accordance with the provisions of the certification
scheme of the German Federal Office for Information Security (BSI) and the conclusions
of the evaluation facility in the evaluation technical report are consistent with the
evidence adduced.
This certificate is not an endorsement of the IT Product by the Federal Office for
Information Security or any other organisation that recognises or gives effect to this
certificate, and no warranty of the IT Product by the Federal Office for Information
Security or any other organisation that recognises or gives effect to this certificate, is
either expressed or implied.
Bonn, 24 July 2020
For the Federal Office for Information Security
Matthias Intemann L.S.
Head of Branch
SOGIS
Recognition Agreement
for components up to
EAL 4
Common Criteria
Recognition Arrangement
recognition for components
up to EAL 2 and ALC_FLR
only
Bundesamt für Sicherheit in der Informationstechnik
Godesberger Allee 185-189 - D-53175 Bonn - Postfach 20 03 63 - D-53133 Bonn
Phone +49 (0)228 99 9582-0 - Fax +49 (0)228 9582-5477 - Infoline +49 (0)228 99 9582-111
Certification Report BSI-DSZ-CC-0918-2020
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BSI-DSZ-CC-0918-2020 Certification Report
Contents
A. Certification......................................................................................................................6
1. Preliminary Remarks....................................................................................................6
2. Specifications of the Certification Procedure...............................................................6
3. Recognition Agreements..............................................................................................7
4. Performance of Evaluation and Certification................................................................8
5. Validity of the Certification Result.................................................................................8
6. Publication....................................................................................................................9
B. Certification Results.......................................................................................................10
1. Executive Summary....................................................................................................11
2. Identification of the TOE.............................................................................................13
3. Security Policy............................................................................................................14
4. Assumptions and Clarification of Scope.....................................................................14
5. Architectural Information.............................................................................................15
6. Documentation...........................................................................................................15
7. IT Product Testing.......................................................................................................15
8. Evaluated Configuration.............................................................................................17
9. Results of the Evaluation............................................................................................17
10. Obligations and Notes for the Usage of the TOE.....................................................19
11. Security Target..........................................................................................................19
12. Definitions.................................................................................................................20
13. Bibliography..............................................................................................................21
C. Excerpts from the Criteria..............................................................................................24
D. Annexes.........................................................................................................................25
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Certification Report BSI-DSZ-CC-0918-2020
A. Certification
1. Preliminary Remarks
Under the BSIG1
Act, the Federal Office for Information Security (BSI) has the task of
issuing certificates for information technology products.
Certification of a product is carried out on the instigation of the vendor or a distributor,
hereinafter called the sponsor.
A part of the procedure is the technical examination (evaluation) of the product according
to the security criteria published by the BSI or generally recognised security criteria.
The evaluation is normally carried out by an evaluation facility recognised by the BSI or by
BSI itself.
The result of the certification procedure is the present Certification Report. This report
contains among others the certificate (summarised assessment) and the detailed
Certification Results.
The Certification Results contain the technical description of the security functionality of
the certified product, the details of the evaluation (strength and weaknesses) and
instructions for the user.
2. Specifications of the Certification Procedure
The certification body conducts the procedure according to the criteria laid down in the
following:
● Act on the Federal Office for Information Security1
● BSI Certification and Approval Ordinance2
● BSI Schedule of Costs3
● Special decrees issued by the Bundesministerium des Innern (Federal Ministry of the
Interior)
● DIN EN ISO/IEC 17065 standard
● BSI certification: Scheme documentation describing the certification process (CC-
Produkte) [3]
● BSI certification: Scheme documentation on requirements for the Evaluation Facility, its
approval and licencing process (CC-Stellen) [3]
● Common Criteria for IT Security Evaluation (CC), Version 3.14
[1] also published as
ISO/IEC 15408.
1
Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009,
Bundesgesetzblatt I p. 2821
2
Ordinance on the Procedure for Issuance of Security Certificates and approval by the Federal Office for
Information Security (BSI-Zertifizierungs- und -Anerkennungsverordnung - BSIZertV) of 17 December
2014, Bundesgesetzblatt 2014, part I, no. 61, p. 2231
3
Schedule of Cost for Official Procedures of the Bundesamt für Sicherheit in der Informationstechnik
(BSI-Kostenverordnung, BSI-KostV) of 3 March 2005, Bundesgesetzblatt I, p. 519
4
Proclamation of the Bundesministerium des Innern of 12 February 2007 in the Bundesanzeiger dated
23 February 2007, p. 3730
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BSI-DSZ-CC-0918-2020 Certification Report
● Common Methodology for IT Security Evaluation (CEM), Version 3.1 [2] also published
as ISO/IEC 18045
● BSI certification: Application Notes and Interpretation of the Scheme (AIS) [4]
3. Recognition Agreements
In order to avoid multiple certification of the same product in different countries a mutual
recognition of IT security certificates - as far as such certificates are based on ITSEC or
CC - under certain conditions was agreed.
3.1. European Recognition of CC – Certificates (SOGIS-MRA)
The SOGIS-Mutual Recognition Agreement (SOGIS-MRA) Version 3 became effective in
April 2010. It defines the recognition of certificates for IT-Products at a basic recognition
level and, in addition, at higher recognition levels for IT-Products related to certain SOGIS
Technical Domains only.
The basic recognition level includes Common Criteria (CC) Evaluation Assurance Levels
EAL 1 to EAL 4. For "Smartcards and similar devices" a SOGIS Technical Domain is in
place. For "HW Devices with Security Boxes" a SOGIS Technical Domains is in place, too.
In addition, certificates issued for Protection Profiles based on Common Criteria are part of
the recognition agreement.
The current list of signatory nations and approved certification schemes, details on
recognition, and the history of the agreement can be seen on the website at
https://www.sogis.eu.
The SOGIS-MRA logo printed on the certificate indicates that it is recognised under the
terms of this agreement by the related bodies of the signatory nations. A disclaimer
beneath the logo indicates the specific scope of recognition.
This certificate is recognized according to the rules of SOGIS-MRA, i.e. up to and including
CC part 3 EAL 4 components. The evaluation contained the component AVA_VAN.5 that is
not mutually recognised in accordance with the provisions of the SOGIS MRA. For mutual
recognition the EAL 4 components of this assurance family is relevant.
3.2. International Recognition of CC – Certificates (CCRA)
The international arrangement on the mutual recognition of certificates based on the CC
(Common Criteria Recognition Arrangement, CCRA-2014) has been ratified on 08
September 2014. It covers CC certificates based on collaborative Protection Profiles (cPP)
(exact use), CC certificates based on assurance components up to and including EAL 2 or
the assurance family Flaw Remediation (ALC_FLR) and CC certificates for Protection
Profiles and for collaborative Protection Profiles (cPP).
The current list of signatory nations and approved certification schemes can be seen on
the website: https://www.commoncriteriaportal.org.
The Common Criteria Recognition Arrangement logo printed on the certificate indicates
that this certification is recognised under the terms of this agreement by the related bodies
of the signatory nations. A disclaimer beneath the logo indicates the specific scope of
recognition.
This certificate is recognized according to the rules of CCRA-2014, i. e. up to and including
CC part 3 EAL 2+ ALC_FLR components.
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Certification Report BSI-DSZ-CC-0918-2020
4. Performance of Evaluation and Certification
The certification body monitors each individual evaluation to ensure a uniform procedure, a
uniform interpretation of the criteria and uniform ratings.
The product CONEXA 3.0, Version 1.0 has undergone the certification procedure at BSI.
The evaluation of the product CONEXA 3.0, Version 1.0 was conducted by TÜV
Informationstechnik GmbH. The evaluation was completed on 10 July 2020. TÜV
Informationstechnik GmbH is an evaluation facility (ITSEF)5
recognised by the certification
body of BSI.
For this certification procedure the sponsor and applicant is: Theben AG.
The product was developed by: Theben AG.
The certification is concluded with the comparability check and the production of this
Certification Report. This work was completed by the BSI.
5. Validity of the Certification Result
This Certification Report applies only to the version of the product as indicated. The
confirmed assurance package is valid on the condition that
● all stipulations regarding generation, configuration and operation, as given in the
following report, are observed,
● the product is operated in the environment described, as specified in the following report
and in the Security Target.
For the meaning of the assurance components and assurance levels please refer to CC
itself. Detailed references are listed in part C of this report.
The Certificate issued confirms the assurance of the product claimed in the Security Target
at the date of certification. As attack methods evolve over time, the resistance of the
certified version of the product against new attack methods needs to be re-assessed.
Therefore, the sponsor should apply for the certified product being monitored within the
assurance continuity program of the BSI Certification Scheme (e.g. by a re-assessment or
re-certification). Specifically, if results of the certification are used in subsequent evaluation
and certification procedures, in a system integration process or if a user's risk
management needs regularly updated results, it is recommended to perform a re-
assessment on a regular e.g. annual basis.
In order to avoid an indefinite usage of the certificate when evolved attack methods would
require a re-assessment of the products resistance to state of the art attack methods, the
maximum validity of the certificate has been limited. Considering the specific legal
circumstances, this certificate will have a validity of 8 years combined with a regular
mandatory re-assessment after every 2 years. The certificate issued on 24 July 2020 is
valid until 23 July 2028. Validity can be re-newed by re-certification.
The owner of the certificate is obliged:
1. when advertising the certificate or the fact of the product's certification, to refer to
the Certification Report as well as to provide the Certification Report, the Security
Target and user guidance documentation mentioned herein to any customer of the
product for the application and usage of the certified product,
5
Information Technology Security Evaluation Facility
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BSI-DSZ-CC-0918-2020 Certification Report
2. to inform the Certification Body at BSI immediately about vulnerabilities of the
product that have been identified by the developer or any third party after issuance
of the certificate,
3. to inform the Certification Body at BSI immediately in the case that security relevant
changes in the evaluated life cycle, e.g. related to development and production sites
or processes, occur, or the confidentiality of documentation and information related
to the Target of Evaluation (TOE) or resulting from the evaluation and certification
procedure where the certification of the product has assumed this confidentiality
being maintained, is not given any longer. In particular, prior to the dissemination of
confidential documentation and information related to the TOE or resulting from the
evaluation and certification procedure that do not belong to the deliverables
according to the Certification Report part B, or for those where no dissemination
rules have been agreed on, to third parties, the Certification Body at BSI has to be
informed,
4. to monitor the resistance of the certified product against new attack methods and to
provide a qualified confirmation by applying for a re-certification or re-assessment
process on a regular basis every two years starting from the issuance of the
certificate,
5. to make sure that over the complete lifetime of the certificate a security module with
a valid CC certificate is used.
In case of changes to the certified version of the product, the validity can be extended to
the new versions and releases, provided the sponsor applies for assurance continuity (i.e.
re-certification or maintenance) of the modified product, in accordance with the procedural
requirements, and the evaluation does not reveal any security deficiencies.
6. Publication
The product CONEXA 3.0, Version 1.0 has been included in the BSI list of certified
products, which is published regularly (see also Internet: https://www.bsi.bund.de and [5]).
Further information can be obtained from BSI-Infoline +49 228 9582-111.
Further copies of this Certification Report can be requested from the developer6
of the
product. The Certification Report may also be obtained in electronic form at the internet
address stated above.
6
Theben AG
Hohenbergstraße 32
72401 Haigerloch
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Certification Report BSI-DSZ-CC-0918-2020
B. Certification Results
The following results represent a summary of
● the Security Target of the sponsor for the Target of Evaluation,
● the relevant evaluation results from the evaluation facility, and
● complementary notes and stipulations of the certification body.
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BSI-DSZ-CC-0918-2020 Certification Report
1. Executive Summary
The Target of Evaluation (TOE) is the Smart Meter Gateway (SMGW) CONEXA 3.0,
Version 1.0.
It is an electronic unit comprising hardware, software and firmware used for collection,
storage and provision of meter data from one or more meters of one or multiple
commodities.
The gateway connects a wide area network (WAN) with a network of devices of one or
more smart metering devices (local metrological network, LMN) and the consumer home
area network (HAN), which hosts controllable local systems (CLS).
The security functionality of the TOE comprises protection of confidentiality, authenticity,
integrity of data and information flow control mainly to protect the privacy of consumers, to
ensure a reliable billing process and to protect the Smart Metering System and a
corresponding large scale infrastructure of the smart grid.
Besides a certified security module the hardware device also includes hard-wired
communication adapters which both are not part of the TOE but which are always
inseparable parts of the delivered entity.
The Security Target [6] is the basis for this certification. It is based on the certified
Protection Profile for the Gateway of a Smart Metering System, Version 1.3, 31 March
2014, BSI-CC-PP-0073-2014 [8].
The TOE Security Assurance Requirements (SAR) are based entirely on the assurance
components defined in Part 3 of the Common Criteria (see part C or [1], Part 3 for details).
The TOE meets the assurance requirements of the Evaluation Assurance Level EAL 4
augmented by ALC_FLR.2 and AVA_VAN.5.
The TOE Security Functional Requirements (SFR) relevant for the TOE are outlined in the
Security Target [6], chapters 6.1 – 6.10. They are selected from Common Criteria Part 2
and one of them is newly defined. Thus the TOE is CC Part 2 extended.
The TOE Security Functional Requirements are implemented by the following TOE
Security Functions:
TOE Security Functionality Addressed issue
SF.AU: Audit The TOE maintains three kinds of logs:
system log, consumer log, calibration log.
The purpose of the system log is to inform the gateway
administrator (GWA) and the service technician about the system
status of Smart Meter Gateway. The consumer log informs
authorized consumers about all information flows to the WAN,
available processing profiles, billing relevant and other meter data.
Within the calibration log only calibration relevant information is
stored.
SF.CR: Cryptography The TOE implements the following cryptographic functions:
● TLS 1.2 protected connections between the TOE and entities in
the WAN, LMN or HAN.
● AES-CBC for encryption and decryption and AES-CMAC for
integrity protection for unidirectional communication with wireless
meters
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Certification Report BSI-DSZ-CC-0918-2020
TOE Security Functionality Addressed issue
● CMS encryption, MAC protection and signature for meter data
sended to the WAN
● AES-CBC for TSF and user data encryption
SF.UD: User Data Protection The TOE is attached to the three separated networks HAN, WAN
and LMN. The interfaces to the different networks are physically
separated. This TSF controls the access of all external entities in
WAN, HAN and LMN to any information that is sent to, from or via
the TOE or that is stored within the TOE.
SF.IA: Identification & Authentication Each user who communicates with the TOE or receives data from
the TOE shall be identified and authenticated before any action on
behalf of that user, including receiving of data sent from the
gateway.
SF.SM: Security Management The TOE offers a set of functions to manage and configure the TSF.
Those functions comprise management of devices in LMN and
HAN, client management, maintenance of processing profiles, key-
and certificate-management, firmware update, wake-up
configuration, monitoring, resetting of the TOE (restart), audit log
configuration.
SF.PR: Privacy This SF assures the privacy of the Consumer by ensuring that
authorized external entities can only obtain data that is absolutely
relevant for billing processes and the secure operation of the grid.
SF.SP: Self-protection The TOE provides a set of self-protection mechanisms that in
particular comprises the self-test of the TOE, detection of replay and
physical attacks and the failure with preservation of a secure state.
Table 1: TOE Security Functionalities
For more details please refer to the Security Target [6], chapter 7.
The assets to be protected by the TOE are defined in the Security Target [6], chapter 3.2.
Based on these assets the TOE Security Problem is defined in terms of Assumptions,
Threats and Organisational Security Policies. This is outlined in the Security Target [6],
chapters 3.3 – 3.5.
This certification covers the configurations of the TOE as outlined in chapter 8.
The vulnerability assessment results as stated within this certificate do not include a rating
for those cryptographic algorithms and their implementation suitable for encryption and
decryption (see BSIG Section 9, Para. 4, Clause 2).
The certification results only apply to the version of the product indicated in the certificate
and on the condition that all the stipulations are kept as detailed in this Certification
Report. This certificate is not an endorsement of the IT product by the Federal Office for
Information Security (BSI) or any other organisation that recognises or gives effect to this
certificate, and no warranty of the IT product by BSI or any other organisation that
recognises or gives effect to this certificate, is either expressed or implied.
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BSI-DSZ-CC-0918-2020 Certification Report
2. Identification of the TOE
The Target of Evaluation (TOE) is called:
CONEXA 3.0, Version 1.0
The following table outlines the TOE deliverables:
No Type Identifier Release Form of Delivery
1 HW CONEXA 3.0 Hardware HW V01.00 Secure delivery
process as described
below table
2 SW CONEXA 3.0 Software v3.33.0-cc Installed on HW
3 DOC Handbuch CONEXA 3.0 für
den Gateway Administrator
[10]
Version 2.4
SHA-256 Hash:
29158ec5674fa6eb8590e4e144b39006
d05744fbe4a105a2d32c464320c044ae
Download from https
secured webpage
4 DOC Handbuch CONEXA 3.0 für
den Service-Techniker
[11]
Version 2.6
SHA-256 Hash:
7d4fedf6318d5b5bbbed35cf64285effbe7
0456fed84db00faf0bf069038c758
Download from https
secured webpage
5 DOC Handbuch CONEXA 3.0 für
den Letztverbraucher
[12]
Version 2.4
SHA-256 Hash:
ed0262709a236c25c3bdfec8e0755c716
d71c7198cebf0dfe75d01c64a6e68fe
Download from https
secured webpage
6 DOC Conexa 3.0
Profilbeschreibungen
[13]
Version 2.4
SHA-256 Hash:
dcadeb3f6a1329b0369b9f7f29b1c99868
b18d1a89c8dba8f45ee36147be8923
Download from https
secured webpage
7 DOC COSEM HTTP-Webservice
[14]
Version 2.2
SHA-256 Hash:
8abbabcaff546dbfc060d0100bd2fd6a5b
99988af99d9b97c759b22626dea8dd
Download from https
secured webpage
8 DOC Conexa 3.0 Logmeldungen
[15]
Version 1.4
SHA-256 Hash:
3a67de0c354a8c2fe93aba15ec46a84a9
e952a0253ca2ee68ce1ddf35b75b942
Download from https
secured webpage
9 DOC Schnittstellenbeschreibung
IF_GW_CON
[16]
Version 1.4
SHA-256 Hash:
26c821592d7245e29ce91fc25c5dacc0c
3310f2885fa9e1baff30d7e97103221
Download from https
secured webpage
10 DOC Schnittstellenbeschreibung
IF_GW_SRV
[17]
Version 1.4
SHA-256 Hash:
ec094d7ff046c387e921bfdd2d49443308
3030745cc22cdf20824dc5f5feab99
Download from https
secured webpage
Table 2: Deliverables of the TOE
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Certification Report BSI-DSZ-CC-0918-2020
The Smart Meter Gateways are delivered within a special and secure transport box
(Pylocx Box) by a standard transportation service. The secure transport box can only be
opened by authorized individuals by using a special key pad and a valid one time PIN. Due
to the mandatory instructions of the developer it is not allowed to remove SMGW from the
secure transport box outside a secure storage room (e.g. at the premise of the energy
company) or at the place of installation at the consumers premise where it is installed by a
service technician. All places where SMGW will be stored during the delivery need to
provide a basic protection against possible attackers (e.g. concrete walls, doors need to be
locked, and a physical inventory needs to be performed). Thereby it is ensured that no
manipulation of the SMGW can take place on the complete track of delivery (starting with
the manufacturer, through the different stages of storages to the final place of installation).
The TOE thereby consists of the main circuit board of the Smart Meter Gateway, the case
and the seal. The correct hardware of the TOE can be identified by the identifier
“HW V01.00”, which can be found on a laser engraving on the TOE.
The firmware and software is pre-installed on the hardware and therefore also part of the
physical delivery. It can be uniquely identified by all users by connecting to the TOE and
using the commands described in the relevant guidance document.
The guidance documents mentioned in table 2 can be downloaded by a https secured
website. The corresponding users can uniquely identified the guidance by checking the
hash sum which is included in table 2 of this report and in the Security Target (which both
are published on the website of the BSI).
3. Security Policy
The Security Policy is expressed by the set of Security Functional Requirements and
implemented by the TOE. It covers the following issues:
Security audit, communication, cryptographic support, user data protection, identification
and authentication, security management, privacy, protection of the TSF, trusted channels.
4. Assumptions and Clarification of Scope
The Assumptions defined in the Security Target and some aspects of Threats and
Organisational Security Policies are not covered by the TOE itself. These aspects lead to
specific security objectives to be fulfilled by the TOE-Environment. The following topics are
of relevance:
● Trustworthy authorised and authenticated external entities
● Trustworthy and well-trained gateway administrators and service technicians
● Basic level of physical protection by installation in a non-public environment within the
premises of the consumer
● Processing profiles are obtained from a trustworthy and reliable source only
● Usage of certified Security Module for specific cryptographic services
● Certification of firmware updates prior to installation in the SMGW
● Reliability and availability of WAN network connections, trustworthiness and availability
of time sources, assumptions on LMN and HAN network connections
● Secure generation of ECC key pair and secure transmission to SMGW by the GWA
Details can be found in the Security Target [6], chapter 4.2.
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5. Architectural Information
The TOE is subdivided into the following subsystems:
● Hardware:
Includes the case of the SMGW, the seals and the electronic parts of the TOE and
provides the physical basement as well as the passive physical protection for the TOE
● OS:
Includes the underlying operating system and provides the filesystem encryption, firewall
functionality and mandatory access control
● SMPF:
Implements parts of the SMGW software and provides the functionality for system
initialisation after the boot process, authentication of external entities, management of
processing profiles and logging
● Crypto:
Implements parts of the SMGW software and provides the cryptographic functions of the
TOE and the interface to the Security Module
● Services:
Implements parts of the SMGW software and provides the webserver for the requests
send by the gateway administrator, service technician and consumer
● WAN:
Implements parts of the SMGW software and provides the wake-up-service, the
communication channels for the GWA and the external entities.
● HAN:
Implements parts of the SMGW software and provides the communication channels to
the external entities at the HAN interface
● Calibration:
Implements parts of the SMGW software and provides the communication channels to
the meters at the LMN interface as well as the processing of the received meter data
6. Documentation
The evaluated documentation as outlined in table 2 is being provided with the product to
the customer. This documentation contains the required information for secure usage of
the TOE in accordance with the Security Target.
Additional obligations and notes for secure usage of the TOE as outlined in chapter 10 of
this report have to be followed.
7. IT Product Testing
7.1. TOE Test Configuration
All tests in the context of the evaluation have been conducted using multiple TOE samples
in mainly two different configurations:
● Final TOE with factory setting (cmp. Table 2)
● Instrumentalised TOE with SSH access for TOE manipulations and for firewall tests on
the TOE
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7.2. Developer Testing
The developer’s testing approach was to test the TSFI systematically next to a deeper
consideration of TOE subsystems, internal interactions and concrete SFR tests.
The developer testing covered each TSFI, the case with its seals, the subsystem
behaviour and interactions as well as all SFRs.
The actual test results of the developer tests matched the expected results. Therefore
developer’s testing effort demonstrated that the security functionality and TSFI perform as
specified.
7.3. Independent Evaluator Testing
For the repetition of the developer tests the evaluation body chose to repeat a defined
subset with the intent to cover the existing interfaces and the implemented security
functionality in order to verify the correctness of the developer testing.
For the independent tests the evaluation body chose to broadly cover all existing TSFI,
whereby the focus was set to the WAN interface.
The tests of the evaluation body are mainly performed on a stand-alone test-solution
(Exceeding Solutions), containing approx. 1000 automated test cases in about 150 test
suites developed by the lab, partitioned according to the SF established in the ST [6],
Chapter 7. Using this environment, every necessary role with corresponding rights
(gateway administrators, service technicians, consumers and meters) might be emulated
at the appropriate interface.
The overall test result is that no deviations were found between the expected and the
actual test results.
7.4. Penetration Testing
The evaluation body conducted penetration testing based on functional areas of concern
derived from SFRs and architectural mechanisms.
The penetration testing activities were performed as tests and as analytical tasks.
Whenever an analysis was estimated to yield better results, the evaluators chose the
analytical approach. Analytical activities were especially applied in the areas secure boot,
self-protection, domain separation, kernel and system hardening as well as non-
bypassability. Combined approaches were also applied.
For some special tests (side-channel analysis (EMA) and testing of the case seal) a
modified TOE version was used in order to enable the tests.
The overall test result is that no deviations were found between the expected and the
actual test results. No attack scenario with the attack potential High was actually
successful in the TOE’s operational environment.
8. Evaluated Configuration
The TOE as identified in table 2 has been evaluated. There is only one configuration as
the different variants of the communication adapters that are outside of the TOE scope run
with the same HW and SW configuration of the TOE.
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9. Results of the Evaluation
9.1. CC specific results
The Evaluation Technical Report (ETR) [7] was provided by the ITSEF according to the
Common Criteria [1], the Methodology [2], the requirements of the Scheme [3] and all
interpretations and guidelines of the Scheme (AIS) [4] as relevant for the TOE.
The Evaluation Methodology CEM [2] was used for those components up to EAL 5
extended by advice of the Certification Body for components beyond EAL 5 [4] (AIS 34)
and guidance specific for the technology of the product [4] (AIS 46, AIS 48).
As a result of the evaluation the verdict PASS is confirmed for the following assurance
components:
● All components of the EAL 4 package including the class ASE as defined in the CC (see
also part C of this report)
● The components ALC_FLR.2 and AVA_VAN.5 augmented for this TOE evaluation.
The evaluation has confirmed:
● PP Conformance: Protection Profile for the Gateway of a Smart Metering System,
Version 1.3, 31 March 2014, BSI-CC-PP-0073-2014 [8]
● for the Functionality: PP conformant
Common Criteria Part 2 extended
● for the Assurance: Common Criteria Part 3 conformant
EAL 4 augmented by ALC_FLR.2 and AVA_VAN.5
The results of the evaluation are only applicable to the TOE as defined in chapter 2 and
the configuration as outlined in chapter 8 above.
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9.2. Results of cryptographic assessment
The following table gives an overview of the cryptographic functionalities inside the TOE to
enforce the security policy and outlines the standard of application where its specific
appropriateness is stated.
Purpose Cryptographic
Mechanism
Standard of
Implementation [21]
Key Size in Bits Standard of
Application
Validity
Period
TLS cipher
suite (key
establishment,
record layer
encryption and
integrity, peer
authentication)
TLS_ECDHE_ECDSA_
WITH_AES_128_CBC
_SHA256,
TLS_ECDHE_ECDSA_
WITH_AES_256_CBC
_SHA384,
TLS_ECDHE_ECDSA_
WITH_AES_128_GCM
_SHA256,
TLS_ECDHE_ECDSA_
WITH_AES_256_GCM
_SHA384
Cipher Suite:
[RFC 5289],
[RFC 5246]
AES:
[FIPS 197]
CBC:
[NIST SP800-38A]
HMAC:
[RFC 2104]
GCM:
[NIST SP800-38D]
brainpoolPxxxr1:
[RFC 5639]
secpxxxr1:
[RFC 5114]
SHA:
[FIPS 180-4]
AES:
128bit, 256bit
EC:
secp256r1,
secp384r1,
brainpoolP256r1,
brainpoolP384r1,
brainpoolP512r1
TR03109-1
[18]
2026+
Key generation
for CMS
containers
Key generation:
ECKA-EG
Key wrap:
id-aes128-wrap
Key generation:
[TR 03111]
Key wrap:
[RFC 3394]
128bit TR03109-1
[18]
2026+
Encryption /
decryption
/integrity of
CMS container
id-aes128-gcm,
id-aes-CBC-CMAC-128
AES:
[FIPS 197]
GCM:
[RFC 5084],
[NIST SP800-38D]
CMAC:
[RFC 4493]
CBC:
[NIST SP800-38A]
128bit TR03109-1
[18]
2026+
Key generation
for meter data
AES-CMAC AES:
[FIPS 197]
AES-CMAC:
[RFC 4493]
128bit TR03109-1
[18]
2026+
Encryption/
decryption,
integrity of
meter data
Encryption:
AES-CBC
Integrity protection:
AES-CMAC
AES:
[FIPS 197]
CBC:
[NIST SP800-38A]
128bit TR03109-1
[18]
2026+
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BSI-DSZ-CC-0918-2020 Certification Report
Purpose Cryptographic
Mechanism
Standard of
Implementation [21]
Key Size in Bits Standard of
Application
Validity
Period
AES-CMAC:
[RFC 4493]
Hashing for
signatures
SHA-256,
SHA-384,
SHA-512
SHA:
[FIPS 180-4]
- TR-02102-1
[20]
2026+
Encryption /
decryption,
integrity of
TSFI
AES-128-CBC
ESSIV:SHA256
AES:
[FIPS 197]
CBC:
[NIST SP800-38A]
SHA:
[FIPS 180-4]
128bit TR-02102-1
[20]
2026+
Table 3: TOE cryptographic functionality
The strength of the these cryptographic algorithms was not rated in the course of this
certification procedure (see BSIG Section 9, Para. 4, Clause 2).
According to TR-03109-3 [19] or TR-02102-1 [20], respectively, the algorithms are suitable
for Smart Metering Systems.
10. Obligations and Notes for the Usage of the TOE
The documents as outlined in table 2 contain necessary information about the usage of the
TOE and all security hints therein have to be considered. In addition all aspects of
Assumptions, Threats and OSPs as outlined in the Security Target not covered by the TOE
itself need to be fulfilled by the operational environment of the TOE.
The customer or user of the product shall consider the results of the certification within his
system risk management process. In order for the evolution of attack methods and
techniques to be covered, he should define the period of time until a re-assessment of the
TOE is required and thus requested from the sponsor of the certificate.
The limited validity for the usage of cryptographic algorithms as outlined in chapter 9 has
to be considered by the user and his system risk management process, too.
If available, certified updates of the TOE should be used. If non-certified updates or
patches are available the user of the TOE should request the sponsor to provide a re-
certification. In the meantime a risk management process of the system using the TOE
should investigate and decide on the usage of not yet certified updates and patches or
take additional measures in order to maintain system security.
11. Security Target
For the purpose of publishing, the Security Target [6] of the Target of Evaluation (TOE) is
provided within a separate document as Annex A of this report.
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12. Definitions
12.1. Acronyms
AIS Application Notes and Interpretations of the Scheme
BSI Bundesamt für Sicherheit in der Informationstechnik / Federal Office for
Information Security, Bonn, Germany
BSIG BSI-Gesetz / Act on the Federal Office for Information Security
CCRA Common Criteria Recognition Arrangement
CC Common Criteria for IT Security Evaluation
CEM Common Methodology for Information Technology Security Evaluation
CLS Controllable Local Systems
CMS Cryptographic Message Syntax
EAL Evaluation Assurance Level
EMA Electro-Magnetic Analysis
ETR Evaluation Technical Report
GWA Gateway Administrator
HAN Home Area Network
HTTP Hypertext Transfer Protocol
HTTPS Hypertext Transfer Protocol Secure
IP Internet Protocol
IT Information Technology
ITSEF Information Technology Security Evaluation Facility
LMN Local Metrological Network
MAC Message Authentication Code
NTP Network Time Protocol
PP Protection Profile
SAR Security Assurance Requirement
SF Security Function
SFP Security Function Policy
SFR Security Functional Requirement
SMGW Smart Meter Gateway
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
WAN Wide Area Network
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12.2. Glossary
Augmentation - The addition of one or more requirement(s) to a package.
Collaborative Protection Profile - A Protection Profile collaboratively developed by an
International Technical Community endorsed by the Management Committee.
Extension - The addition to an ST or PP of functional requirements not contained in CC
part 2 and/or assurance requirements not contained in CC part 3.
Formal - Expressed in a restricted syntax language with defined semantics based on well-
established mathematical concepts.
Informal - Expressed in natural language.
Object - A passive entity in the TOE, that contains or receives information, and upon which
subjects perform operations.
Package - named set of either security functional or security assurance requirements
Protection Profile - A formal document defined in CC, expressing an implementation
independent set of security requirements for a category of IT Products that meet specific
consumer needs.
Security Target - An implementation-dependent statement of security needs for a specific
identified TOE.
Semiformal - Expressed in a restricted syntax language with defined semantics.
Subject - An active entity in the TOE that performs operations on objects.
Target of Evaluation - An IT Product and its associated administrator and user guidance
documentation that is the subject of an Evaluation.
TOE Security Functionality - Combined functionality of all hardware, software, and
firmware of a TOE that must be relied upon for the correct enforcement of the SFRs.
13. Bibliography
[1] Common Criteria for Information Technology Security Evaluation, Version 3.1,
Part 1: Introduction and general model, Revision 4, September 2012
Part 2: Security functional components, Revision 4, September 2012
Part 3: Security assurance components, Revision 4, September 2012
https://www.commoncriteriaportal.org
[2] Common Methodology for Information Technology Security Evaluation (CEM),
Evaluation Methodology, Version 3.1, Revision 4, September 2012,
https://www.commoncriteriaportal.org
[3] BSI certification: Scheme documentation describing the certification process (CC-
Produkte) and Scheme documentation on requirements for the Evaluation Facility,
approval and licencing (CC-Stellen), https://www.bsi.bund.de/zertifizierung
[4] Application Notes and Interpretations of the Scheme (AIS) as relevant for the TOE7
https://www.bsi.bund.de/AIS
7
specifically
• AIS 1, Version 14, Durchführung der Ortsbesichtigung in der Entwicklungsumgebung des Herstellers
• AIS 32, Version 7, CC-Interpretationen im deutschen Zertifizierungsschema
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[5] German IT Security Certificates (BSI 7148), periodically updated list published also
on the BSI Website, https://www.bsi.bund.de/zertifizierungsreporte
[6] CONEXA 3.0 Security Target, Version 1.86, 19 June 2020, Theben AG
[7] Evaluation Technical Report, Version 2, 09 July 2020, TÜV Informationstechnik
GmbH, (confidential document)
[8] Protection Profile for the Gateway of a Smart Metering System, Version 1.3, 31
March 2014, BSI-CC-PP-0073-2014
[9] Configuration list for the TOE (confidential documents):
Konfigurationsliste Smart Meter Gateway CONEXA 3.0, Version 1.8, 19 June 2020,
Theben AG
Konfigurationsliste der Software für die Firmwareversion 3.33.0-cc, 19 June 2020,
Theben AG
[10] Handbuch CONEXA 3.0 für den Gateway Administrator, Version 2.4, 16 April 2020,
Theben AG
[11] Handbuch CONEXA 3.0 für den Service-Techniker, Version 2.6, 03 June 2020,
Theben AG
[12] Handbuch CONEXA 3.0 für den Letztverbraucher, Version 2.4, 16 April 2020,
Theben AG
[13] Conexa 3.0 Profilbeschreibungen, Version 2.4, 25 May 2020, Theben AG
[14] COSEM HTTP-Webservice, Version 2.2, 27 March 2020, Theben AG
[15] Conexa 3.0 Logmeldungen, Version 1.4, 20 April 2020, Theben AG
[16] Schnittstellenbeschreibung IF_GW_CON, Version 1.4, 04 April 2020, Theben AG
[17] Schnittstellenbeschreibung IF_GW_SRV, Version 1.4, 04 April 2020, Theben AG
[18] Technische Richtlinie BSI TR-03109-1 Anforderungen an die Interoperabilität der
Kommunikationseinheit eines intelligenten Messsystems, Version 1.0, 18 March
2013, Federal Office for Information Security
[19] Technische Richtlinie TR-03109-3 Kryptographische Vorgaben für die Infrastruktur
von intelligenten Messsystemen, Version 1.1, 17 April 2014, Federal Office for
Information Security
[20] Technische Richtlinie BSI TR-02102-1 Kryptographische Verfahren: Empfehlungen
und Schlüssellängen, Version 2020-01, 04 March 2020, Federal Office for
Information Security
[21] Standard of Implementation:
BSI TR-03111, Elliptic Curve Cryptography (ECC), Version 2.10, 2018
[FIPS 180-4] NIST FIPS PUB 180-4: Secure Hash Standard (SHS). NIST, 2015.
[FIPS 197] NIST FIPS PUB 197: Announcing the ADVANCED ENCRYPTION
STANDARD (AES). NIST, 2001.
• AIS 34, Version 3, Evaluation Methodology for CC Assurance Classes for EAL 5+ (CCv2.3 &
CCv3.1) and EAL 6 (CCv3.1)
• AIS 46, Version 3, Informationen zur Evaluierung von kryptographischen Algorithmen und
ergänzende Hinweise für die Evaluierung von Zufallszahlengeneratoren
• AIS 48, Version 1.0, Anforderungen an die Prüfung von Sicherheitsetiketten
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[NIST SP800-38A] NIST SP800-38A: Recommendation for Block Cipher Modes of
Operation: Methods and Techniques. NIST, 2001.
[NIST SP800-38B] NIST SP800-38B: Recommendation for Block Cipher Modes of
Operation: The CMAC Mode for Authentication. NIST, 2005.
[NIST SP800-38D] NIST SP800-38D: Recommendation for Block Cipher Modes of
Operation: Galois/Counter Mode (GCM) and GMAC. NIST, 2007.
[RFC 2104] Network Working Group RFC 2104, H. Krawczyk et al.: HMAC: Keyed-
Hashing for Message Authentication. Network Working Group, Feb. 1997.
[RFC 3394] IETF RFC 3394, J. Schaad, R. Housley: Advanced Encryption
Standard(AES) Key Wrap Algorithm. IETF, 2002.
[RFC 4493] IETF RFC 4493, J. H. Song, J. Lee, T. Iwata: The AES-CMAC-
Algorithm. IETF, 2006.
[RFC 5084] IETF RFC 5084, R. Housley: Using AES-CCM and AES-GCM
Authenticated Encryption in the Cryptographic Message Syntax (CMS). IETF, 2007.
[RFC 5114] IETF RFC 5114, M. Lepinski, S. Kent: Additional Diffie-Hellman Groups
for Use with IETFStandards, 2008
[RFC5246] RFC 5246 - The Transport Layer Security (TLS) Protocol, Version 1.2,
Dierks & Rescorla - Standard Track, August 2008
[RFC 5289] IETF RFC 5289, E. Rescorla: TLS Elliptic Curve Cipher Suites with
SHA-256/384 and AES Galois Counter Mode (GCM). IETF, 2008.
[RFC 5639] IETF RFC 5639, M. Lochter, J. Merkle: Elliptic Curve
Cryptography(ECC) Brainpool Standard Curves and Curve Generation. IETF, 2010.
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C. Excerpts from the Criteria
For the meaning of the assurance components and levels the following references to the
Common Criteria can be followed:
• On conformance claim definitions and descriptions refer to CC part 1 chapter 10.4
• On the concept of assurance classes, families and components refer to CC Part 3
chapter 7.1
• On the concept and definition of pre-defined assurance packages (EAL) refer to CC
Part 3 chapters 7.2 and 8
• On the assurance class ASE for Security Target evaluation refer to CC Part 3
chapter 11
• On the detailled definitions of the assurance components for the TOE evaluation
refer to CC Part 3 chapters 12 to 16
• The table in CC part 3 , Annex E summarizes the relationship between the
evaluation assurance levels (EAL) and the assurance classes, families and
components.
The CC are published at https://www.commoncriteriaportal.org/cc/
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D. Annexes
List of annexes of this certification report
Annex A: Security Target provided within a separate document.
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Note: End of report
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