Document Title: ID-One ePass IDL
Full EACv2 in EAC MRTD
configuration - Security Target Lite
FQR No:110 8335
FQR Issue:2
ID-One ePass IDL Full EACv2 in EAC MRTD configuration - Security
Target Lite
T. +33 (0)1 78 01 70 00 I F. +33 (0)1 78 01 70 20 I Oberthur Technologies - 420, rue d’Estienne d’Orves - 92700 Colombes - France I info@oberthur.com
S.A. AU CAPITAL de 22 310 409,20€ - RCS NANTERRE 340 709 534
Legal Notice
© OT. All rights reserved.
Specifications and information are subject to change without notice.
The products described in this document are subject to continuous development and improvement.
All trademarks and service marks referred to herein, whether registered or not in specific countries, are the properties
of their respective owners.
** Printed versions of this document are uncontrolled **
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Document Management
A. Identification
Business Unit - Department CAI R&D
Document type: FQR
Document Title: ID-One ePass IDL Full EACv2 in EAC MRTD configuration - Security Target
Lite
FQR No: 110 8335
FQR Issue: 2
B. Verification and Approval
Position Name Visa
Product
Manager
Nisha
Ahilan Approuver FQR 110 8335 Ed2 - ID-One ePass IDL Full EACv2 in EAC MRTD configuration - Security Target Lite - NAH - 22 02 2017.msg
Project
Leader
Michèle
Metzier Approuver FQR 110 8335 Ed2 - ID-One ePass IDL Full EACv2 in EAC MRTD configuration - Security Target Lite - MME - 21 02 2017.msg
CAI NOA
R&D
Manager
Maryse
Garié Approuver FQR 110 8335 Ed2 - ID-One ePass IDL Full EACv2 in EAC MRTD configuration - Security Target Lite - MGA - 21 02 2017.msg
C. Document revision
Date Revision-Issue Modification Modified by
01/2017 1 Creation Muresianu, Philippe
02/2017 2 Update references for Infineon documents Metzier, Michele
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Table of contents
1 INTRODUCTION 10
1.1 Purpose ..............................................................................................................10
1.2 Product overview................................................................................................10
2 ST LITE INTRODUCTION 11
2.1 ST reference and TOE reference...........................................................................11
2.1.1 ST reference ............................................................................................................. 11
2.1.1 TOE reference .......................................................................................................... 11
2.1.1 IC identification........................................................................................................ 11
2.2 TOE overview......................................................................................................11
2.2.1 Usage and major security features of the TOE ........................................................ 11
2.2.2 TOE type................................................................................................................... 14
2.2.3 TOE life cycle............................................................................................................ 15
2.2.3.1 Life cycle overview .......................................................................................................... 15
2.2.3.2 Life cycle phases.............................................................................................................. 16
2.2.4 Required non-TOE hardware/Software/firmware................................................... 19
2.3 TOE description...................................................................................................19
2.3.1 TOE Architecture...................................................................................................... 19
2.3.2 Integrated Circuit ..................................................................................................... 21
2.3.3 Low layer.................................................................................................................. 22
2.3.3.1 OT Basic Input/Output System (BIOS)............................................................................. 22
2.3.3.2 OT Cryptographic library (Crypto)................................................................................... 22
2.3.4 Platform layer........................................................................................................... 22
2.3.4.1 Services............................................................................................................................ 22
2.3.5 Authentication Protocols ......................................................................................... 23
2.3.5.1 Terminal Authentication (TA).......................................................................................... 23
2.3.5.2 Chip Authentication (CA)................................................................................................. 23
2.3.5.3 Password Authenticated Connection Establishment (PACE v2)...................................... 23
2.3.5.4 Basic Access Control (BAC).............................................................................................. 24
2.3.5.5 Active Authentication (AA).............................................................................................. 24
2.3.6 Application layer ...................................................................................................... 24
2.3.6.1 Start-Up and Applications Manager (Boot)..................................................................... 24
2.3.6.2 Application Creation Engine (ACRE) ................................................................................ 24
2.3.6.3 Resident Application (RA)................................................................................................ 24
2.3.6.4 Machine Readable Travel Document (MRTD)................................................................. 24
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2.3.7 Other features.......................................................................................................... 24
2.3.7.1 Automatic BAC phasing out............................................................................................. 24
2.3.7.2 Enhanced protection over Sensitive biometric data reading.......................................... 25
3 CONFORMANCE CLAIMS 26
3.1 Common Criteria conformance ............................................................................26
3.2 Protection Profile conformance ...........................................................................26
3.2.1 Overview .................................................................................................................. 26
3.2.2 Assumptions............................................................................................................. 27
3.2.3 Threats ..................................................................................................................... 27
3.2.4 Organizational Security Policies............................................................................... 27
3.2.5 Security Objectives................................................................................................... 27
3.3 CC conformance and usage in real life..................................................................28
4 SECURITY PROBLEM DEFINITION 29
4.1 Assets .................................................................................................................29
4.1.1 Logical MRTD data ................................................................................................... 29
4.1.1.1 Personal Data .................................................................................................................. 29
4.1.1.2 Biometric Data................................................................................................................. 29
4.1.1.3 EF.COM............................................................................................................................ 29
4.1.1.4 EF.SOD............................................................................................................................. 29
4.1.1.5 Chip Authentication Public Key (CA_PK) ......................................................................... 30
4.1.1.6 Chip Authentication Private Key (CA_SK)........................................................................ 30
4.1.1.7 Active Authentication Public Key (AA_PK) ...................................................................... 30
4.1.1.8 Active Authentication Private Key (AA_SK)..................................................................... 30
4.1.1.9 CPLC................................................................................................................................. 30
4.1.1.10 TOE_ID............................................................................................................................. 30
4.1.1.11 Pre-personalization Agent keys (Pre-perso_K)................................................................ 30
4.1.1.12 Personalization Agent keys (Perso_K)............................................................................. 30
4.1.1.13 Secure Messaging session keys (Session_K).................................................................... 30
4.1.1.14 TOE Life Cycle State (LCS)................................................................................................ 30
4.1.1.15 Configuration Data .......................................................................................................... 30
4.1.1.16 Updatable Data ............................................................................................................... 31
4.1.2 Authenticity of the MRTD’s chip.............................................................................. 31
4.2 Subjects ..............................................................................................................31
4.2.1 Overview .................................................................................................................. 31
4.2.2 IC manufacturer ....................................................................................................... 31
4.2.3 MRTD packaging responsible................................................................................... 32
4.2.4 Embedded software loading responsible ................................................................ 32
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4.2.5 Pre-personalization Agent........................................................................................ 32
4.2.6 Personalization Agent .............................................................................................. 32
4.2.7 Country Verifying Certification Authority ................................................................ 32
4.2.8 Document Verifier.................................................................................................... 32
4.2.9 Terminal ................................................................................................................... 32
4.2.10 Inspection system (IS).............................................................................................. 33
4.2.11 MRTD Holder............................................................................................................ 33
4.2.12 Traveler.................................................................................................................... 33
4.2.13 Attacker.................................................................................................................... 33
4.3 Assumptions .......................................................................................................33
4.3.1 A.MRTD_Manufact “MRTD manufacturing on steps 4 to 6” ................................... 33
4.3.2 A.MRTD_Delivery “MRTD delivery during steps 4 to 6”........................................... 34
4.3.3 A.Pers_Agent “Personalization of the MRTD’s chip” ............................................... 34
4.3.4 A.Insp_Sys “Inspection Systems for global interoperability” ................................... 34
4.3.5 A.Signature_PKI “PKI for Passive Authentication” ................................................... 34
4.3.6 A.Auth_PKI “PKI for Inspection Systems”................................................................. 35
4.3.7 A.Insp_Sys_Chip_Auth “Inspection Systems for global interoperability on chip
authenticity” ............................................................................................................ 35
4.4 Threats ...............................................................................................................35
4.4.1 T.Read_Sensitive_Data “Read the sensitive biometric reference data” .................. 35
4.4.2 T.Forgery “Forgery of data on MRTD’s chip”........................................................... 36
4.4.3 T.Counterfeit “MRTD’s chip”.................................................................................... 36
4.4.4 T.Abuse-Func “Abuse of Functionality” ................................................................... 36
4.4.5 T.Information_Leakage “Information Leakage from MRTD’s chip”......................... 37
4.4.6 T.Phys-Tamper “Physical Tampering”...................................................................... 37
4.4.7 T.Malfunction “Malfunction due to Environmental Stress”..................................... 38
4.4.8 T.Configuration “Tampering attempt of the TOE during preparation” ................... 38
4.4.9 T. Forgery_Supplemental_Data “Forgery of supplemental data stored in the TOE”38
4.4.10 T. BAC_breaking “BAC protocol is broken” .............................................................. 38
4.5 Organisational Security Policies ...........................................................................39
4.5.1 P.BAC-PP “Fulfillment of the Basic Access Control Protection Profile” .................... 39
4.5.2 P.Sensitive_Data “Privacy of sensitive biometric reference data”........................... 39
4.5.3 P.Manufact “Manufacturing of the MRTD’s chip”................................................... 39
4.5.4 P.Personalization “Personalization of the MRTD by issuing State or Organization only”40
5 SECURITY OBJECTIVES 41
5.1 Security objectives for the TOE ............................................................................41
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5.1.1 OT.AC_Pers “Access Control for Personalization of logical MRTD” ......................... 41
5.1.2 OT.Data_Int “Integrity of personal data”................................................................. 41
5.1.3 OT.Sens_Data_Conf “Confidentiality of sensitive biometric reference data”.......... 41
5.1.4 OT.Identification “Identification and Authentication of the TOE”........................... 41
5.1.5 OT.Chip_Auth_Proof “Proof of MRTD’s chip authenticity”...................................... 41
5.1.6 OT.Prot_Abuse-Func “Protection against Abuse of Functionality”.......................... 42
5.1.7 OT.Prot_Inf_Leak “Protection against Information Leakage” ................................. 42
5.1.8 OT.Prot_Phys-Tamper “Protection against Physical Tampering”............................ 42
5.1.9 OT.Prot_Malfunction “Protection against Malfunctions” ....................................... 42
5.1.10 OT.Configuration “Protection of the TOE preparation”........................................... 42
5.1.11 OT.Update_File “Modification of file in Operational Use Phase”............................ 43
5.1.12 OT.BAC_Expiration “Automatic deactivation of BAC protocol” .............................. 43
5.1.13 OT.AC_SM_Level “Access control to sensitive biometric reference data according to SM
level”........................................................................................................................ 43
5.2 Security objectives for the operational environment............................................43
5.2.1 Issuing State or Organization ................................................................................... 43
5.2.1.1 OE.MRTD_Manufact “Protection of the MRTD Manufacturing” .................................... 43
5.2.1.2 OE.MRTD_Delivery “Protection of the MRTD delivery”.................................................. 43
5.2.1.3 OE.Personalization “Personalization of logical MRTD” ................................................... 44
5.2.1.4 OE.Pass_Auth_Sign “Authentication of logical MRTD by Signature” .............................. 44
5.2.1.5 OE.Auth_Key_MRTD “MRTD Authentication Key”.......................................................... 44
5.2.1.6 OE.Authoriz_Sens_Data “Authorization for Use of Sensitive Biometric Reference Data”44
5.2.1.7 OE.BAC_PP “Fulfillment of the Basic Access Control Protection Profile” ....................... 44
5.2.2 Receiving State or Organization............................................................................... 45
5.2.2.1 OE.Exam_MRTD “Examination of the MRTD passport book” ......................................... 45
5.2.2.2 OE.Exam_Chip_Auth “Examination of the chip authenticity”......................................... 45
5.2.2.3 OE.Passive_Auth_Verif “Verification by Passive Authentication”................................... 45
5.2.2.4 OE.Prot_Logical_MRTD “Protection of data from the logical MRTD”............................. 45
5.2.2.5 OE.Ext_Insp_Systems “Authorization of Extended Inspection Systems”........................ 45
5.3 Security objectives rationale................................................................................45
6 EXTENDED COMPONENTS DEFINITION 46
6.1 Extended components definition .........................................................................46
6.1.1 Definition of the Family FAU_SAS............................................................................ 46
6.1.2 Definition of the Family FCS_RND............................................................................ 47
6.1.3 Definition of the Family FIA_API .............................................................................. 48
6.1.4 Definition of the Family FMT_LIM ........................................................................... 49
6.1.5 Definition of the Family FPT_EMS............................................................................ 50
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7 SECURITY REQUIREMENTS 52
7.1 Security functional requirements.........................................................................52
7.1.1 Class FAU “Security Audit” ....................................................................................... 54
7.1.1.1 FAU_SAS.1 “Audit Storage”............................................................................................. 54
7.1.2 Class FCS “Cryptographic Support” .......................................................................... 55
7.1.2.1 FCS_CKM.1 “Cryptographic key generation” .................................................................. 55
7.1.2.2 FCS_CKM.4 “Cryptographic key destruction” ................................................................. 55
7.1.2.3 FCS_COP.1 “Cryptographic operation” ........................................................................... 56
7.1.2.4 FCS_RND.1 “Quality metric for random numbers” ......................................................... 57
7.1.3 Class FIA “Identification and Authentication”.......................................................... 57
7.1.3.1 FIA_UID.1 “Timing of identification”............................................................................... 57
7.1.3.2 FIA_UAU.1 “Timing of authentication” ........................................................................... 58
7.1.3.3 FIA_UAU.4 “Single-use authentication mechanisms”..................................................... 58
7.1.3.4 FIA_UAU.5 “Multiple authentication mechanisms”........................................................ 58
7.1.3.5 FIA_UAU.6 “Re-authenticating” ...................................................................................... 59
7.1.3.6 FIA_AFL.1 “Authentication failure handling” .................................................................. 60
7.1.3.7 FIA_API.1 “Authentication Proof of Identity”.................................................................. 60
7.1.4 Class FDP “User Data Protection” ............................................................................ 60
7.1.4.1 FDP_ACC.1 “Subset access control”................................................................................ 60
7.1.4.2 FDP_ACF.1 “Basic Security attribute based access control” ........................................... 61
7.1.4.3 FDP_UCT.1 “Basic data exchange confidentiality”.......................................................... 65
7.1.4.4 FDP_UIT.1 “Data exchange integrity” ............................................................................. 65
7.1.4.5 FDP_ITC.1 “Import of user data without security attributes”......................................... 66
7.1.5 Class FMT “Security Management”.......................................................................... 66
7.1.5.1 FMT_MOF “Management of functions in TSF” ............................................................... 66
7.1.5.2 FMT_SMF.1 “Specification of Management Functions” ................................................. 67
7.1.5.3 FMT_SMR.1 “Security roles” ........................................................................................... 67
7.1.5.4 FMT_LIM.1 “Limited capabilities” ................................................................................... 68
7.1.5.5 FMT_LIM.2 “Limited availability”.................................................................................... 68
7.1.5.6 FMT_MTD.1 “Management of TSF data” ........................................................................ 69
7.1.5.7 FMT_MTD.3 “Secure TSF data”....................................................................................... 72
7.1.6 Class FPT “Protection of the Security Functions” ..................................................... 73
7.1.6.1 FPT_EMS.1 “TOE Emanation”.......................................................................................... 73
7.1.6.2 FPT_FLS.1 “Failure with preservation of secure state” ................................................... 74
7.1.6.3 FPT_TST.1 “TSF testing” .................................................................................................. 74
7.1.6.4 FPT_PHP.3 “Resistance to physical attack”..................................................................... 74
7.1.7 Class FTP “Trusted path/channels”.......................................................................... 75
7.1.7.1 FTP_ITC.1 “Inter-TSF trusted channel”............................................................................ 75
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7.2 Security assurance requirements .........................................................................75
7.2.1 EAL rationale ............................................................................................................ 75
7.2.2 EAL augmentation rationale .................................................................................... 75
7.2.2.1 ALC_DVS.2 "Sufficiency of security measures" ............................................................... 75
7.2.2.2 AVA_VAN.5 “Advanced methodical vulnerability analysis” ............................................ 76
7.2.3 Dependencies........................................................................................................... 76
7.3 Security requirements rationale ..........................................................................77
8 TOE SUMMARY SPECIFICATION 78
8.1 TOE summary specification..................................................................................78
8.1.1 Overview .................................................................................................................. 78
8.1.2 Access Control in Reading........................................................................................ 78
8.1.3 Access Control in Writing......................................................................................... 79
8.1.4 Active Authentication .............................................................................................. 79
8.1.5 Extended Access Control.......................................................................................... 79
8.1.6 MRTD Personalization.............................................................................................. 79
8.1.7 Physical Protection................................................................................................... 80
8.1.8 MRTD Pre-personalization ....................................................................................... 80
8.1.9 Safe State Management........................................................................................... 80
8.1.10 Secure Messaging .................................................................................................... 80
8.1.11 Self Tests.................................................................................................................. 81
8.2 SFR and TSF.........................................................................................................82
9 COMPOSITION WITH IC SECURITY TARGET 85
APPENDIX A: GLOSSARY 86
APPENDIX B: ACRONYMS 93
APPENDIX C: LITERATURE 94
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1 INTRODUCTION
1.1 Purpose
This security target Lite describes the security needs induced by the ePass ICAO essential product in EAC
configuration with AA on Infineon SLE77 components.
The objectives of this Security target lite are:
 To describe the Target of Evaluation (TOE), its life cycle and to position it in the smart card life cycle,
 To describe the security environment of the TOE including the assets to be protected and the threats to be
countered by the TOE and by the operational environment during the platform active phases,
 To describe the security objectives of the TOE and its supporting environment in terms of integrity and
confidentiality of sensitive information. It includes protection of the TOE (and its documentation) during the
product active phases,
 To specify the security requirements which include the TOE functional requirements, the TOE assurance
requirements and the security requirements for the environment,
 To describe the summary of the TOE specification including a description of the security functions and
assurance measures that meet the TOE security requirements,
 To present evidence that this ST is a complete and cohesive set of requirements that the TOE provides on an
effective set of IT security countermeasures within the security environment, and that the TOE summary
specification addresses the requirements.
1.2 Product overview
The ePass ICAO essential is a multi configuration MRTD product. It provides four configurations, which are:
 the ePass ICAO essential product in BAC configuration with CA and AA,
 the ePass ICAO essential product in EAC configuration with AA,
 the ePass ICAO essential product in EAC with PACE configuration with AA,
 the ePass ICAO essential product in PACE configuration with CA, AA.
The ePass ICAO essential Operating System is embedded on two different components:
 SLE77CLFX2400P,
 SLE77CLFX2407P,
both manufactured by Infineon.
Mutatis mutandis, the product may also be used as an ISO driving license, compliant to ISO/IEC 18013 or ISO/IEC TR
19446 supporting EAC and AA, as both applications (MRTD and IDL) share the same protocols and data structure
organization.
Therefore, in the rest of the document, the word “MRTD” MAY be understood either as a MRTD in the sense of ICAO,
or a driving license compliant to ISO/IEC 18013 or ISO/IEC TR 19446 depending on the targeted usage envisioned by
the issuer.
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2 ST LITE INTRODUCTION
2.1 ST reference and TOE reference
2.1.1 ST reference
Title ID-One ePass IDL Full EACv2 in EAC MRTD configuration – Security Target
Version 4
Author Oberthur Technologies
Publication Date 20/02/2017
CC version 3.1 revision 4
EAL EAL5 augmented with:
 ALC_DVS.2,
 AVA_VAN.5
PP See [PP_EAC]
Table 1 – ST Lite Reference
2.1.1 TOE reference
Developer Name Oberthur Technologies
Product Name ID-One ePass ICAO essential configuration SAC and EAC
TOE Name ID-One ePass IDL Full EACv2 in EAC MRTD configuration
TOE Identification SAAAAR code: 084194
Guidance documents FQR 110 7226 Ed6 – ePass ICAO Essential – Perso Guide
Table 2 – TOE Reference
2.1.1 IC identification
IC Certificate See [IC_CERT]
IC Public Security Target See [IC_ST]
Table 3 – IC Identification
2.2 TOE overview
2.2.1 Usage and major security features of the TOE
A State or Organization issues MRTDs to be used by the holder for international travel. The traveler
presents a MRTD to the inspection system to prove his or her identity. The MRTD in context of this Security
target lite contains (i) visual (eye readable) biographical data and portrait of the holder, (ii) a separate data
summary (MRZ data) for visual and machine reading using OCR methods in the Machine readable zone
(MRZ) and (iii) data elements on the MRTD’s chip according to LDS for contactless machine reading. The
authentication of the traveler is based on (i) the possession of a valid MRTD personalized for a holder with
the claimed identity as given on the biographical data page and (ii) optional biometrics using the reference
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data stored in the MRTD. The issuing State or Organization ensures the authenticity of the data of genuine
MRTD’s. The receiving State trusts a genuine MRTD of an issuing State or Organization.
The MRTD is viewed as unit of
(a) the physical MRTD as travel document in form of paper, plastic and chip. It presents visual readable data
including (but not limited to) personal data of the MRTD holder
(1) the biographical data on the biographical data page of the passport book,
(2) the printed data in the Machine-Readable Zone (MRZ) and
(3) the printed portrait.
(b) the logical MRTD as data of the MRTD holder stored according to the Logical Data Structure [ICAO_9303]
as specified by ICAO on the contactless integrated circuit. It presents contactless readable data including
(but not limited to) personal data of the MRTD holder
(1) the digital Machine Readable Zone Data (digital MRZ data, EF.DG1),
(2) the digitized portraits (EF.DG2),
(3) the optional biometric reference data of finger(s) (EF.DG3) or iris image(s) (EF.DG4) or both
(4) the other data according to LDS (EF.DG5 to EF.DG16) and
(5) the Document security object.
The issuing State or Organization implements security features of the MRTD to maintain the authenticity
and integrity of the MRTD and their data. The MRTD as the passport book and the MRTD’s chip is uniquely
identified by the Document Number.
The physical MRTD is protected by physical security measures (e.g. watermark on paper, security printing),
logical (e.g. authentication keys of the MRTD’s chip) and organizational security measures (e.g. control of
materials, personalization procedures) [ICAO_9303]. These security measures include the binding of the
MRTD’s chip to the passport book.
The logical MRTD is protected in authenticity and integrity by a digital signature created by the document
signer acting for the issuing State or Organization and the security features of the MRTD’s chip.
The ICAO defines the baseline security methods Passive Authentication and the optional advanced security
methods Basic Access Control to the logical MRTD, Active Authentication of the MRTD’s chip, Extended
Access Control to and the Data Encryption of additional sensitive biometrics as optional security measure in
the ‘ICAO Doc 9303’ [ICAO_9303]. The Passive Authentication Mechanism and the Data Encryption are
performed completely and independently on the TOE by the TOE environment.
This security target lite addresses the protection of the logical MRTD (i) in integrity by write-only-once
access control and by physical means, and (ii) in confidentiality by the Extended Access Control Mechanism.
This protection profile addresses the Chip Authentication described in [TR_03110] as an alternative to the
Active Authentication stated in [ICAO_9303].
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The confidentiality by Basic Access Control is a mandatory security feature that shall be implemented by
the TOE, too. Nevertheless this is not explicitly covered by this PP as there are known weaknesses in the
quality (i.e. entropy) of the BAC keys generated by the environment. Therefore, the MRTD has additionally
to fulfill the ‘Common Criteria Protection Profile Machine Readable Travel Document with “ICAO
Application", Basic Access Control’ [PP_BAC]. Due to the fact that [PP_BAC] does only consider extended
basic attack potential to the Basic Access Control Mechanism (i.e. AVA_VAN.3) the MRTD has to be
evaluated and certified separately. The evaluation and certification process might have taken place in
advance or could – more likely – be carried out simultaneously to the current process according the PP in
hand.
Application Note1: It is assumed that there are separate Security Targets for BAC and EAC. Note, that the
claim for conformance to the BAC-PP [PP_BAC] does not require the conformance claim to the EAC-PP.
Nevertheless claiming conformance of this (EAC-) PP requires that the TOE meets a (separate) ST
conforming to the BAC-PP [PP_BAC]. Moreover, if possible with respect to the applied national scheme
there might be one ST and with it one evaluation process merging the claims for [PP_BAC] and this PP at
hand.
For BAC, the inspection system (i) reads optically the MRTD, (ii) authenticates itself as inspection system by
means of Document Basic Access Keys. After successful authentication of the inspection system the MRTD’s
chip provides read access to the logical MRTD by means of private communication (secure messaging) with
this inspection system [ICAO_9303], normative appendix 5.
As defined in [ICAO_9303] in §6.1, Active Authentication authenticates the contactless IC by signing a
challenge sent by the IFD (inspection system) with a private key known only to the IC. For this purpose the
contactless IC contains its own Active Authentication Key pair (KPrAA and KPuAA). A hash representation of
Data Group 15 (Public Key (KPuAA) info) is stored in the Document Security Object (SOD) and therefore
authenticated by the issuer’s digital signature. The corresponding Private Key (KPrAA) is stored in the
contactless IC’s secure memory. By authenticating the visual MRZ (through the hashed MRZ in the
Document Security Object (SOD)) in combination with the challenge response, using the eMRTD’s Active
Authentication Key Pair (KPrAA and KPuAA), the inspection system verifies that the Document Security
Object (SOD) has been read from the genuine contactless IC, stored in the genuine eMRTD.
The security target lite requires the TOE to implement the Chip Authentication defined in [TR_03110]. The
Chip Authentication prevents data traces described in [ICAO_9303], informative appendix 7, A7.3.3. The
Chip Authentication is provided by the following steps: (i) the inspection system communicates by means of
secure messaging established by Basic Access Control, (ii) the inspection system reads and verifies by
means of the Passive Authentication the authenticity of the MRTD’s Chip Authentication Public Key using
the Document Security Object, (iii) the inspection system generates an ephemeral key pair, (iv) the TOE and
the inspection system agree on two session keys for secure messaging in ENC_MAC mode according to the
Diffie-Hellman Primitive and (v) the inspection system verifies by means of received message
authentication codes whether the MRTD’s chip was able or not to run this protocol properly (i.e. the TOE
proves to be in possession of the Chip Authentication Private Key corresponding to the Chip Authentication
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Public Key used for derivation of the session keys). The Chip Authentication requires collaboration of the
TOE and the TOE environment.
The security target lite requires the TOE to implement the Extended Access Control as defined in
[TR_03110]. The Extended Access Control consists of two parts (i) the Chip Authentication Protocol and (ii)
the Terminal Authentication Protocol. The Chip Authentication Protocol (i) authenticates the MRTD’s chip
to the inspection system and (ii) establishes secure messaging which is used by Terminal Authentication to
protect the confidentiality and integrity of the sensitive biometric reference data during their transmission
from the TOE to the inspection system. Therefore Terminal Authentication can only be performed if Chip
Authentication has been successfully executed. The Terminal Authentication Protocol consists of (i) the
authentication of the inspection system as entity authorized by the receiving State or Organization through
the issuing State, and (ii) an access control by the TOE to allow reading the sensitive biometric reference
data only to successfully authenticated authorized inspection systems. The issuing State or Organization
authorizes the receiving State by means of certification the authentication public keys of Document
Verifiers who create Inspection System Certificates.
Mutatis mutandis, the TOE may also be used as an ISO driving license, compliant to ISO/IEC 18013 or
ISO/IEC TR 19446 supporting EAC and AA, as both applications (MRTD and IDL) share the same protocols
and data structure organization. Therefore, in the rest of the document, the word “MRTD” MAY be
understood either as a MRTD in the sense of ICAO, or a driving license compliant to ISO/IEC 18013 or
ISO/IEC TR 19446 depending on the targeted usage envisioned by the issuer.
The table below indicates how terms and concept present in the current document shall be read when
considering the TOE to be an ISO driving license:
MRTD ISO Driving License
MRTD IDL
ICAO ISO/IEC
ICAO 9303 ISO/IEC 18013 or ISO/IEC TR 19446
DG3 DG7
DG4 DG8
DG15 DG13
MRZ MRZ or SAI (Scanning area identifier)
Traveller Holder
2.2.2 TOE type
The TOE is the contactless and/or contact integrated circuit chip of machine readable travel documents
(MRTD’s chip) programmed according to the Logical Data Structure (LDS) and providing the Basic Access
Control, Active Authentication and Extended Access Control according to the ‘ICAO Doc 9303’ [ICAO_9303]
and BSI TR-03110 [TR_03110].
The TOE comprises at least:
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• the circuitry of the MRTD’s chip (the integrated circuit, IC),
• the IC Dedicated Software with the parts IC Dedicated Test Software and IC Dedicated Support
Software,
• the IC Embedded Software (operating system),
• the MRTD application,
• the associated guidance documentation.
Note: The antenna is not part of the TOE as it does not have any impact on the security.
2.2.3 TOE life cycle
2.2.3.1 Life cycle overview
The following table presents the TOE roles and the corresponding subject:
Roles Subject
IC developer Infineon
TOE developer Oberthur Technologies
Manufacturer IC manufacturer Infineon
MRTD packaging responsible Oberthur Technologies or another agent for
Scheme 1
Oberthur Technologies for Scheme 2
Embedded software loading responsible Oberthur Technologies (only applying for
Scheme 2)
Pre-personalization Agent Oberthur Technologies or another agent
Personalization Agent Oberthur Technologies or another agent
Table 4 - Roles identification on the life cycle
Several life cycles are available, depending when the Flash Code is loaded. The following tables present the
subjects following TOE life cycle steps in accordance with the standard smart card life cycle [PP_IC], and
describe for each of them, (1) the TOE delivery point and (2) the assurance coverage:
Scheme 1, MRTD chip Embedded Software loaded by the IC Manufacturer in step 3:
Phase Step Subject Emb.Sw.
loading
Covered by Sites
1 - Development
1 IC developer  IC certification IC certification
2 TOE developer  ALC R&D sites Pessac and Colombes
2 - Manufacturing
3 IC manufacturer  IC certification IC manufacturer site
TOE delivery point
4
MRTD packaging
responsible

5 Pre-personalization
agent
 AGD_PRE
3 - Personalization 6 Personalization agent  AGD_PRE
4 - Operational Use 7 End user  AGD_OPE
Table 5 - Subjects identification following life cycle steps – Scheme 1
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Scheme 2, MRTD chip Embedded Software loaded by the OS loader in step 4 before TOE delivery point:
Phase Step Subject Emb.Sw.
loading
Covered by Sites
1 - Development
1 IC developer  IC certification IC developer site
2 TOE developer  ALC R&D sites Pessac and Colombes
2 - Manufacturing
3 IC manufacturer  IC certification IC manufacturer site
4
MRTD packaging
responsible

ALC packaging
centre
Vitré and/or Shenzhen
Embedded software
loading responsible

ALC Embedded
software loading
centre
Vitré and/or Shenzhen
TOE delivery point
5 Pre-personalization
agent
 AGD_PRE
3 - Personalization 6 Personalization agent  AGD_PRE
4 - Operational Use 7 End user  AGD_OPE
Table 6 - Subjects identification following life cycle steps – Scheme 2
2.2.3.2 Life cycle phases
The following text was extracted from [PP_BAC]. Due to the previous specified life cycles and to the
technology of the IC, some interpretations have to be done by the reader of this ST. The table below
indicates how terms shall be read:
Term in [PP_EAC] Meaning in this ST Lite
Software developer TOE developer
non-volatile non-programmable memory(ies) Part of the Flash memory where the Flash Loader and the
OS are loaded. This memory is programmable by the IC
manufacturer or using the Flash Loader. Once the Flash
Loader is blocked, this memory is Read Only Memory
ROM
non-volatile programmable memory(ies) Part of the Flash memory where initialization data and
user data are written.
EEPROM
The TOE life cycle is described in terms of the four life cycle phases and subdivided into 7 steps (with
respect to the [PP_IC]).
2.2.3.2.1 Phase 1 “Development”
(Step1) The TOE is developed in phase 1. The IC developer develops the integrated circuit, the IC Dedicated
Software and the guidance documentation associated with these TOE components.
(Step2) The software developer uses the guidance documentation for the integrated circuit and the
guidance documentation for relevant parts of the IC Dedicated Software and develops the IC Embedded
Software (operating system), the MRTD application and the guidance documentation associated with these
TOE components.
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The manufacturing documentation of the IC including the IC Dedicated Software and the Embedded
Software in the non-volatile non-programmable memories (ROM) is securely delivered to the IC
manufacturer. The IC Embedded Software in the non-volatile programmable memories, the MRTD
application and the guidance documentation is securely delivered to the MRTD manufacturer.
Note: If scheme 1 is applied, the Embedded Software in the non-volatile non-programmable memories
(ROM) is securely delivered to the IC manufacturer. For details, please refer to ALC and in particular to
[ALC_STM].
If scheme 2 is applied, the Embedded Software in the non-volatile non-programmable memories (ROM) is
securely delivered to the MRTD manufacturer. For details, please refer to ALC and in particular to
[ALC_SCT].
2.2.3.2.2 Phase 2 “Manufacturing”
(Step3) In a first step the TOE integrated circuit is produced containing the MRTD’s chip Dedicated Software
and the parts of the MRTD’s chip Embedded Software in the non-volatile non-programmable memories
(ROM). The IC manufacturer writes the IC Identification Data onto the chip to control the IC as MRTD
material during the IC manufacturing and the delivery process to the MRTD manufacturer. The IC is
securely delivered from the IC manufacture to the MRTD manufacturer.
If necessary the IC manufacturer adds the parts of the IC Embedded Software in the non-volatile
programmable memories (for instance EEPROM).
Note: If scheme 2 is applied, the TOE integrated circuit is produced containing the Flash Loader in the non-
volatile non-programmable memories (ROM). The IC manufacturer writes the IC Identification Data onto
the chip to control the IC as MRTD material during the IC manufacturing and the delivery process to the
MRTD manufacturer. The IC is securely delivered from the IC manufacturer to the MRTD manufacturer.
Note 2: Regarding key management, the Flash Loader usage is protected by successful Km authentication.
For details, please refer to [IC_PPM]. This key is securely transferred to IC manufacturer as detailed in ALC
and more precisely in [ALC_KM].
(Step4) The MRTD manufacturer combines the IC with hardware for the contactless interface in the
passport book.
Note: If scheme 2 is applied, the MRTD manufacturer (i) loads the MRTD’s chip Dedicated Software and the
parts of the MRTD’s chip Embedded Software in the non-volatile non-programmable memories (ii) adds the
parts of the IC Embedded Software in the non-volatile programmable memories.
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(Step5) The MRTD manufacturer (i) creates the MRTD application and (ii) equips MRTD’s chips with pre-
personalization Data.
Application Note 2: Creation of the application implies the creation of MF and ICAO.DF.
The pre-personalized MRTD together with the IC Identifier is securely delivered from the MRTD
manufacturer to the Personalization Agent. The MRTD manufacturer also provides the relevant parts of the
guidance documentation to the Personalization Agent.
2.2.3.2.3 Phase 3 “Personalization of the MRTD”
(Step6) The personalization of the MRTD includes (i) the survey of the MRTD holder’s biographical data, (ii)
the enrolment of the MRTD holder biometric reference data (i.e. the digitized portraits and the optional
biometric reference data), (iii) the printing of the visual readable data onto the physical MRTD, (iv) the
writing of the TOE User Data and TSF Data into the logical MRTD and (v) configuration of the TSF if
necessary. The step (iv) is performed by the Personalization Agent and includes but is not limited to the
creation of (i) the digital MRZ data (EF.DG1), (ii) the digitized portrait (EF.DG2), and (iii) the Document
security object.
The signing of the Document security object by the Document Signer [ICAO_9303] finalizes the
personalization of the genuine MRTD for the MRTD holder. The personalized MRTD (together with
appropriate guidance for TOE use if necessary) is handed over to the MRTD holder for operational use.
Application note 3: The TSF data (data created by and for the TOE, that might affect the operation of the
TOE; cf. [CC_1] §92) comprise (but are not limited to) the Personalization Agent Authentication Key(s) and
the Basic Authentication Control Key.
Application note 4: This security target lite distinguishes between the Personalization Agent as entity
known to the TOE and the Document Signer as entity in the TOE IT environment signing the Document
security object as described in [ICAO_9303]. This approach allows but does not enforce the separation of
these roles. The selection of the authentication keys should consider the organization, the productivity and
the security of the personalization process. Asymmetric authentication keys provide comfortable security
for distributed personalization but their use may be more time consuming than authentication using
symmetric cryptographic primitives. Authentication using symmetric cryptographic primitives allows fast
authentication protocols appropriate for centralized personalization schemes but relies on stronger
security protection in the personalization environment.
2.2.3.2.4 Phase 4 “Operational Use”
(Step7) The TOE is used as MRTD chip by the traveler and the inspection systems in the “Operational Use”
phase. The user data can be read according to the security policy of the issuing State or Organization and
can be used according to the security policy of the issuing State but they can never be modified.
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Application note 5: The authorized Personalization Agents might be allowed to add (not to modify) data in
the other data groups of the MRTD application (e.g. person(s) to notify EF.DG16) in the Phase 4
“Operational Use”. This will imply an update of the Document Security Object including the re-signing by
the Document Signer.
Application note 6: The intention of this security target lite is to consider at least the phases 1 and parts of
phase 2 (i.e. Step1 to Step3) as part of the evaluation and therefore to define the TOE delivery according to
CC after this phase 2 or later. Since specific production steps of phase 2 are of minor security relevance (e.
g. booklet manufacturing and antenna integration) these are not part of the CC evaluation under ALC.
Nevertheless the decision about this has to be taken by the certification body resp. the national body of the
issuing State or Organization. In this case the national body of the issuing State or Organization is
responsible for these specific production steps.
Note that the personalization process and its environment may depend on specific security needs of an
issuing State or Organization. All production, generation and installation procedures after TOE delivery up
to the “Operational Use” (phase 4) have to be considered in the product evaluation process under AGD
assurance class. Therefore, the Security target lite has to outline the split up of P.Manufact,
P.Personalization and the related security objectives into aspects relevant before vs. after TOE delivery.
2.2.4 Required non-TOE hardware/Software/firmware
There is no explicit non-TOE hardware, software or firmware required by the TOE to perform its claimed
security features. The TOE is defined to comprise the chip and the complete operating system and
application. Note, the inlay holding the chip as well as the antenna and the booklet (holding the printed
MRZ) are needed to represent a complete MRTD, nevertheless these parts are not inevitable for the secure
operation of the TOE.
Note: in particular the TOE may be used in contact mode, without any inlay or antenna.
2.3 TOE description
2.3.1 TOE Architecture
The TOE is composed of an IC and some software components as presented in Figure 1. Each part of the
TOE is presented in the following chapters.
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Application layer
Platform layer
Integrated Circuit
Infineon SLE 77
Low layer
BIOS OT Cryptographic Library
Services
Toolbo
x
FS
M
ACE SM CKM AKM
Authentication Protocols
TA
CA PACE v2
Start-Up and Applications Manager
Block 1: MRTD
MRTD BAC
Resident Application Application Creation Engine
BAC
MRTD EAC MRTD PACE
MRTD PACE
EAC
DBI
AA
Figure 1 - TOE architecture
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2.3.2 Integrated Circuit
The TOE is embedded on Infineon chips SLE77CLFX2400P and SLE77CLFX2407P. The IC part of the TOE
comprises the following:
Core System:
 CPU
 Memory Encryption/Decryption Unit (MED)
 Memory Management Unit (MMU)
Memories:
 Read-Only Memory (ROM)
 Random Access Memory (RAM)
 SOLID FLASH™ NVM
Peripherals:
 True Random Number Generator (TRNG)
 Pseudo Random Number Generator (PRNG)
 Watchdog and timers
 Universal Asynchronous Receiver/Transmitter (UART)
 Checksum module (CRC)
 Radio Frequency Interface (RFI)
Control:
 Dynamic Power Management
 Internal Clock Oscillator (ICO)
 Interrupt and Peripheral Event Channel Controller (ITP and PEC)
 Interface Management Module (IMM)
 User mode Security Life Control (UmSLC)
 Voltage regulator
Coprocessors:
 Crypto2304T for asymmetric algorithms like RSA and EC
 Symmetric Crypto Coprocessor for AES and 3DES Standard
Security Peripherals:
 Filters
 Sensors
Buses:
 Memory Bus
 Peripheral Bus
And associated Firmware and Software, it comprises:
 RMS and SAM routines for Solid Flash NVM programming; security functions test, random number online
testing. STS consisting of test and initialization routines. All stored in the ROM part.
 The Flash Loader that allows the loading of TOE software.
 And cryptographic libraries.
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IC is part of the TOE and also part of the TSF. More information on the chips is given in the related Security
Target [IC_ST].
2.3.3 Low layer
2.3.3.1 OT Basic Input/Output System (BIOS)
The BIOS module provides access management (read/write) functionalities to upper-layer application. It
also provides exception and communication functionalities.
The BIOS module is part of the TOE and is also part of the TSF.
2.3.3.2 OT Cryptographic library (Crypto)
The Cryptography module provides secure cryptographic functionalities to upper-layer applications.
The Crypto module is part of the TOE and is also part of the TSF.
2.3.4 Platform layer
2.3.4.1 Services
2.3.4.1.1 File System Management (FSM)
The FSM module manages files and data objects according to ISO 7816-4 and 7816-9. It also manages the
Digitally Blurred Image process. This specific feature is covered by a patent owned by Oberthur
Technologies.
The FSM module is part of the TOE and is also part of the TSF.
2.3.4.1.2 Secure Messaging (SM)
The SM module provides functionalities to encrypt/decrypt data for secure communication in
Manufacturing, Personalization and Operational Use phases (steps 5, 6 and 7). A Secure Messaging session
begins after a successful authentication (GP authentication for Pre-personalization and Personalization
phases, BAC or CA for Operational Use phase).
The SM module is part of the TOE and is also part of the TSF.
2.3.4.1.3 Cryptography Key Management (CKM)
The CKM module is responsible for asymmetric cryptography key management and asymmetric
cryptography operations.
The CKM module is part of the TOE and is also part of the TSF.
2.3.4.1.4 Authentication and Key Management (AKM)
This module supplies:
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 Symmetric Key management (read, write, access control),
 Services to manage Global Platform authentication and secure messaging.
The AKM module is part of the TOE and is also part of the TSF.
2.3.4.1.5 Access Condition Engine (ACE)
The ACE module is in charge of the verification of the Access Conditions of an object (files and keys) when
an application tries to access this object.
The ACE module is part of the TOE and is also part of the TSF.
2.3.4.1.6 Toolbox (TBX)
The Toolbox module provides different kind of services to other modules.
 Services to manage APDU,
 Services to handle BER-TLV constructed data object,
 Services to process specific cryptographic operations,
 Services to handle Object Identifier,
 Services to manage MRZ (personalization and misuse management),
 Services to handle data in a secure way.
The TBX module is part of the TOE but and is also part of the TSF
2.3.4.1.7 Digitally Blurred Image (DBI)
The Digital Blurred Image (DBI) is ensured by Watermarking Module. It allows the blurring of a JPG or
JPEG2000 file stored in a transparent file.
This feature is the implementation of patents owned by Oberthur Technologies.
The DBI module is part of the TOE but is NOT part of the TSF.
2.3.5 Authentication Protocols
2.3.5.1 Terminal Authentication (TA)
The TA module processes the Terminal Authentication (v1 and v2) mechanism. Terminal Authentication v1
is part of the EACv1 procedure defined in [TR_03110].
The TA module is part of the TOE and also part part of the TSF.
2.3.5.2 Chip Authentication (CA)
The CA module processes the Chip Authentication (v1 and v2) mechanism. Chip Authentication v1 is part of
the EACv1 procedure defined in [TR_03110].
The CA module is part of the TOE and also part of the TSF.
2.3.5.3 Password Authenticated Connection Establishment (PACE v2)
The PACE module provides functionalities to process the PACE v2 mechanism as defined in [TR_03110].
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The PACE v2 module is part of the TOE but is NOT part of the TSF.
2.3.5.4 Basic Access Control (BAC)
The BAC module provides functionalities to process the BAC mechanism as defined in [ICAO_9303].
The BAC module is part of the TOE but is NOT part of the TSF.
2.3.5.5 Active Authentication (AA)
The AA module provides functionalities to process the AA mechanism as defined in [ICAO_9303].
The AA module is part of the TOE and is also part of the TSF.
2.3.6 Application layer
2.3.6.1 Start-Up and Applications Manager (Boot)
The Boot module is responsible to manage the start-up of the applications (MRTD, RA and ACRE).
The Boot module is part of the TOE and is also part of the TSF
2.3.6.2 Application Creation Engine (ACRE)
The Application Creation Engine is a complete set of commands used to (pre-)personalize the card and its
application(s). It includes:
 Creation of application
 Storage of the Active Authentication key (ECC and RSA keys)
 Storage of multiple Chip Authentication keys under the ADF (supporting ECC and RSA Keys)
 Storage of CVCA Keys under each ADF
The ACRE module is part of the TOE and is also part of the TSF.
2.3.6.3 Resident Application (RA)
The Resident Application is a complete set of commands, which allows the management of the card in the
Operational Use phase (data management and authentication process under MF).
The RA module is part of the TOE and is also part of the TSF.
2.3.6.4 Machine Readable Travel Document (MRTD)
The MRTD is a complete set of commands, which allows the management of MRTD data in the Operational
Use phase (data management and authentication process under MRTD ADF).
2.3.7 Other features
2.3.7.1 Automatic BAC phasing out
The TOE also supports a mechanism allowing the automatic deactivation of the BAC protocol after the
current date (of the TOE) has reached a reference date - chosen by the issuer and configured by the
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personalization Agent. The current date is the internal date updated through the EAC protocol. Thanks to
this feature, it is possible to issue MRTD supporting both PACE and BAC as needed for interoperability
reasons, and perform smooth phasing out of the BAC protocol in the medium term (due to its
cryptographic weaknesses) during the life time of the issued MRTD, without having to wait for the
complete renewal of issued MRTD (> 10 years).
The automatic BAC phasing out is part of the TOE and is also part of the TSF.
2.3.7.2 Enhanced protection over Sensitive biometric data reading
The access to sensitive biometric data: the fingerprint and iris stored in DG3 and DG4 are protected in
accordance with the requirements of the protection profile and specification. Beyond that, the TOE also
provides a feature able to ensure a high level of confidentiality when reading these data. The TOE supports
a mechanism enforcing to use a minimum cryptographic strength for the confidentiality, integrity and
authenticity protection of these sensitive biometric data when being read. This may be useful for issuing
authority that do not consider DES algorithm strong enough to ensure a sufficient level of confidentiality.
This mechanism allows the TOE to enforce the terminal using a stronger algorithm such as AES 128, or 192
bits, or 256 bits when reading the sensitive biometric data, and deny access to them if this condition is not
met (algorithm not strong enough).
The enhanced protection over sensitive biometric data reading is part of the TOE and is also part of the TSF.
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3 CONFORMANCE CLAIMS
3.1 Common Criteria conformance
This Security target lite (ST) claims conformance to the Common Criteria (CC) version 3.1 revision 4.
The conformance to the CC is claimed as follows:
CC Conformance Claim
Part 1 Strict conformance
Part 2 Conformance with extensions:
 FAU_SAS.1 “Audit storage”,
 FCS_RND.1 “Quality metric for random numbers”,
 FIA_API.1 “Authentication Proof of Identity”,
 FMT_LIM.1 “Limited capabilities”,
 FMT_LIM.2 “Limited availability”,
 FPT_EMS.1 “TOE Emanation”
Part 3 Conformance with package EAL5 augmented with:
 ALC_DVS.2 “Sufficiency of security measures” defined in [CC_3],
 AVA_VAN.5 “Advanced methodical vulnerability analysis” defined in [CC_3]
Table 7 - Common Criteria conformance claim
Remark
FPT_EMSEC.1 from [PP_EAC] has been renamed to FPT_EMS.1, in order to keep the SFR formatting.
As product is targeting “Qualification renforcée” all activities for ALC_FLR.3 have been processed. However,
this assurance package is not properly claimed in the present security target as the chip does not support it.
3.2 Protection Profile conformance
3.2.1 Overview
This ST claims strict conformance to the following Protection Profile (PP):
Title Protection Profile – Machine Readable Travel Document with ICAO
Application, Extended Access Control (PP-MRTD EAC)
CC Version 3.1 (Revision 2)
Assurance Level The minimum assurance level for this PP is EAL4 augmented
Version Number 1.10
Registration BSI-CC-PP-0056
Table 8 - Protection Profile conformance
This ST also addresses the Manufacturing and Personalization phases at TOE level (cf. §2.2.3TOE life cycle),
as well as the Active Authentication (AA) protocols available in operational use phase. The additions do not
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contradict any of the threats, assumptions, organizational policies, objectives or SFRs stated in the
[PP_EAC] that covers the advanced security methods EAC in operational use phase.
The following parts list assumptions, threats, OSP, OT and OE for this TOE (i.e. from [PP_EAC] and
additional).
3.2.2 Assumptions
The following Assumptions are assumed for this TOE:
 A.MRTD_Manufact “MRTD manufacturing on steps 4 to 6” defined in [PP_EAC],
 A.MRTD_Delivery “MRTD delivery during steps 4 to 6” defined in [PP_EAC],
 A.Pers_Agent “Personalization of the MRTD’s chip” defined in [PP_EAC],
 A.Insp_Sys “Inspection Systems for global interoperability” defined in [PP_EAC],
 A.Signature_PKI “PKI for Passive Authentication” defined in [PP_EAC],
 A.Auth_PKI “PKI for Inspection Systems” defined in [PP_EAC],
 A.Insp_Sys_Chip_Auth “Inspection Systems for global interoperability on chip authenticity” defined in this ST
A.Insp_Sys_Chip_Auth is additional for Active Authentication protocol which is not in the original scope of
the [PP_EAC]. This assumption is only linked to threats for the Active Authentication protocol so these
objectives neither mitigate a threat (or a part of a threat) meant to be addressed by security objectives for
the TOE in the [PP_EAC], nor fulfils an OSP (or part of an OSP) meant to be addressed by security objectives
for the TOE in the [PP_EAC].
3.2.3 Threats
The following threats are averted by this TOE:
 T.Read_Sensitive_Data “Read the sensitive biometric reference data” defined in [PP_EAC],
 T.Forgery “Forgery of data on MRTD’s chip” defined in [PP_EAC],
 T.Counterfeit “MRTD’s chip” defined in [PP_EAC],
 T.Abuse-Func “Abuse of Functionality” defined in [PP_EAC],
 T.Information_Leakage “Information Leakage from MRTD’s chip” defined in [PP_EAC],
 T.Phys-Tamper “Physical Tampering” defined in [PP_EAC],
 T.Malfunction “Malfunction due to Environmental Stress” defined in [PP_EAC],
 T.Configuration “Tampering attempt of the TOE during preparation” defined in this ST,
 T. Forgery_Supplemental_Data “Forgery of supplemental data stored in the TOE” defined in this ST,
 T. BAC_breaking “BAC protocol is broken” defined in this ST.
3.2.4 Organizational Security Policies
This TOE complies with the following OSP:
 P.BAC-PP “Fulfillment of the Basic Access Control Protection Profile” defined in [PP_EAC],
 P.Sensitive_Data “Privacy of sensitive biometric reference data” defined in [PP_EAC],
 P.Manufact “Manufacturing of the MRTD’s chip” defined in [PP_EAC],
 P.Personalization “Personalization of the MRTD by issuing State or Organization only” defined in [PP_EAC]
3.2.5 Security Objectives
The Security Objectives for this TOE are the following:
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 OT.AC_Pers “Access Control for Personalization of logical MRTD” defined in [PP_EAC],
 OT.Data_Int “Integrity of personal data” defined in [PP_EAC],
 OT.Sens_Data_Conf “Confidentiality of sensitive biometric reference data” defined in [PP_EAC],
 OT.Identification “Identification and Authentication of the TOE” defined in [PP_EAC],
 OT.Chip_Auth_Proof “Proof of MRTD’s chip authenticity” defined in [PP_EAC],
 OT.Prot_Abuse-Func “Protection against Abuse of Functionality” defined in [PP_EAC],
 OT.Prot_Inf_Leak “Protection against Information Leakage” defined in [PP_EAC],
 OT.Prot_Phys-Tamper “Protection against Physical Tampering” defined in [PP_EAC],
 OT.Prot_Malfunction “Protection against Malfunctions” defined in [PP_EAC],
 OT.Configuration “Protection of the TOE preparation” defined in this ST,
 OT.Update_File “Modification of file in Operational Use Phase” defined in this ST,
 OT.BAC_Expiration “Automatic deactivation of BAC protocol” defined in this ST,
 OT.AC_SM_Level “Access control to sensitive biometric reference data according to SM level”
defined in this ST.
The Security Objectives for the environment of this TOE are the following:
 OE.MRTD_Manufact “Protection of the MRTD Manufacturing” defined in [PP_EAC],
 OE.MRTD_Delivery “Protection of the MRTD delivery” defined in [PP_EAC],
 OE.Personalization “Personalization of logical MRTD” defined in [PP_EAC],
 OE.Pass_Auth_Sign “Authentication of logical MRTD by Signature” defined in [PP_EAC],
 OE.Auth_Key_MRTD “MRTD Authentication Key” defined in [PP_EAC],
 OE.Authoriz_Sens_Data “Authorization for Use of Sensitive Biometric Reference Data” defined in
[PP_EAC],
 OE.BAC_PP “Fulfillment of the Basic Access Control Protection Profile” defined in [PP_EAC],
 OE.Exam_MRTD “Examination of the MRTD passport book” defined in [PP_EAC],
 OE.Exam_Chip_Auth “Examination of the chip authenticity” defined in this ST,
 OE.Passive_Auth_Verif “Verification by Passive Authentication” defined in [PP_EAC],
 OE.Prot_Logical_MRTD “Protection of data from the logical MRTD” defined in [PP_EAC],
 OE.Ext_Insp_Systems “Authorization of Extended Inspection Systems” defined in [PP_EAC].
OE.Exam_Chip_Auth is additional for Active Authentication protocol which is not in the original scope of
the [PP_EAC]. This assumption is only linked to threats for the Active Authentication protocol so these
objectives neither mitigate a threat (or a part of a threat) meant to be addressed by security objectives for
the TOE in the [PP_EAC], nor fulfils an OSP (or part of an OSP) meant to be addressed by security objectives
for the TOE in the [PP_EAC].
3.3 CC conformance and usage in real life
In the real life, for interoperability purposes, the MRTD will most likely support BAC, PACE and EAC.
 If the terminal reads the content of the MRTD by performing BAC then EAC, the security of the MRTD will be
covered by the security evaluation of (1) the TOE described by the ST claiming compliance to [PP_BAC] and
(2) the TOE described by the ST claiming compliance to [PP_EAC], assuming PACE is not supported (as not
used for the inspection procedure)
 If the terminal reads the content of the MRTD by performing PACE then EAC, the security of the MRTD will be
covered by the security evaluation of the TOE described by the ST claiming compliance to [PP_EACwPACE],
assuming BAC is not supported (as not used for the inspection procedure).
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4 SECURITY PROBLEM DEFINITION
4.1 Assets
4.1.1 Logical MRTD data
The following table presents the assets of the TOE and their corresponding phase(s) according to §2.2.3TOE
life cycle:
Asset Step 5 Step 6 Step 7
Personal Data   
Biometric Data   
EF.COM   
EF.SOD   
CA_PK   
CA_SK   
AA_PK   
AA_SK   
CPLC   
TOE_ID   
Pre-Perso_K   
Perso_K   
Session_K   
LCS   
Configuration data   
Updatable Data   
Table 9 - Assets of the TOE and their corresponding phase(s)
4.1.1.1 Personal Data
The Personal Data are the logical MRTD standard User Data of the MRTD holder (EF.DG1, EF.DG2, EF.DG5
to EF.DG13, EF.DG16).
4.1.1.2 Biometric Data
The Biometric Data are the sensitive biometric reference data (EF.DG3, EF.DG4).
4.1.1.3 EF.COM
The EF.COM is an elementary file containing the list of the existing elementary files (EF) with the user data.
4.1.1.4 EF.SOD
The elementary file Document Security Object is used by the inspection system for Passive Authentication
of the logical MRTD.
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4.1.1.5 Chip Authentication Public Key (CA_PK)
The Chip Authentication Public Key (contained in EF.DG14) is used by the inspection system for the Chip
Authentication.
4.1.1.6 Chip Authentication Private Key (CA_SK)
The Chip Authentication Private Key is used by the application to process Chip Authentication.
4.1.1.7 Active Authentication Public Key (AA_PK)
The Active Authentication Public Key (contained in EF.DG15) is used by the inspection system for the Active
Authentication.
4.1.1.8 Active Authentication Private Key (AA_SK)
The Active Authentication Private Key is used by the application to process Active Authentication.
4.1.1.9 CPLC
The CPLC Data are the Card Production Life Cycle data. They are considered as user data as they enable to
track the holder. These data are filled during steps 4, 5 and 6 by subjects.
4.1.1.10 TOE_ID
This data allows the identification of the TOE. This data are part of the IC Embedded Software in the non-
volatile non-programmable memory.
4.1.1.11 Pre-personalization Agent keys (Pre-perso_K)
This key set used for mutual authentication between the Pre-personalization agent and the chip, and
secure communication establishment.
4.1.1.12 Personalization Agent keys (Perso_K)
This key set used for mutual authentication between the Personalization agent and the chip, and secure
communication establishment.
4.1.1.13 Secure Messaging session keys (Session_K)
Session keys are used to secure communication in confidentiality and authenticity.
4.1.1.14 TOE Life Cycle State (LCS)
This is the Life Cycle State of the TOE.
4.1.1.15 Configuration Data
These specific data set the configuration of the TOE in terms of security features and security functions.
These configuration data can be set in Manufacturing and Personalization phases (Steps 5 and 6) after
authentication of the relevant agent with the relevant key set.
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4.1.1.16 Updatable Data
Data other than Personal Data, Biometric Data, EF.COM, EF.SOD, CA_PK, CA_SK, AA_PK, AA_SK, CPLC,
TOE_ID, Pre-Perso_K, Perso_K, Session_K, LCS and Configuration Data which can be modified in Operational
Use phase.
4.1.2 Authenticity of the MRTD’s chip
The authenticity of the MRTD’s chip personalized by the issuing State or Organization for the MRTD holder
is used by the traveler to prove his possession of a genuine MRTD.
4.2 Subjects
4.2.1 Overview
The following table presents the assets of the TOE and their corresponding phase(s) according to §2.2.3TOE
life cycle:
Subject Descr. Step 3 Step 4 Step 5 Step 6 Step 7
IC manufacturer
(Manufacturer role)
§ 4.2.2     
MRTD packaging responsible
(Manufacturer role)
§ 4.2.3     
Embedded software loading responsible
(Manufacturer role)
§ 4.2.4     
Pre-personalization Agent
(Manufacturer role)
§ 4.2.5     
Personalization Agent § 4.2.6     
Country Verifying Certification Authority § 4.2.7     
Document Verifier § 4.2.8     
Terminal § 4.2.9     
Inspection System § 4.2.10     
MRTD Holder § 4.2.11     
Traveler § 4.2.12     
Attacker § 4.2.13     
Table 10 - Subjects of the TOE and their corresponding phase(s)
4.2.2 IC manufacturer
This additional subject is a refinement of the role Manufacturer as described in [PP_EAC]. It is the
manufacturer of the IC.
If scheme 1 is applied (cf. §2.2.3), this subject is responsible for the embedded software downloading in the
IC. This subject does not use Flash loader, even if it is embedded in the IC.
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4.2.3 MRTD packaging responsible
This additional subject is a refinement of the role Manufacturer as described in [PP_EAC]. This subject is
responsible for the combination of the IC with hardware for the contactless and/or contact interface.
4.2.4 Embedded software loading responsible
This additional subject is a refinement of the role Manufacturer as described in [PP_EAC]. This subject is
responsible for the embedded software loading when scheme 2 is applied (cf. §2.2.3). This subject does not
exist if scheme 1 is applied (cf. §2.2.3). This subject used the Flash loader embedded in the IC.
4.2.5 Pre-personalization Agent
This additional subject is a refinement of the role Manufacturer as described in [PP_EAC]. This subject is
responsible for the preparation of the card, i.e. creation of the MF and MRTD ADF. He also sets
Personalization Agent keys and Configuration data.
4.2.6 Personalization Agent
The agent is acting on behalf of the issuing State or Organization to personalize the MRTD for the holder by
some or all of the following activities (i) establishing the identity the holder for the biographic data in the
MRTD, (ii) enrolling the biometric reference data of the MRTD holder i.e. the portrait, the encoded finger
image(s) and/or the encoded iris image(s) (iii) writing these data on the physical and logical MRTD for the
holder as defined for global, international and national interoperability, (iv) writing the initial TSF data and
(iv) signing the Document Security Object defined in [ICAO_9303].
4.2.7 Country Verifying Certification Authority
The Country Verifying Certification Authority (CVCA) enforces the privacy policy of the issuing State or
Organization with respect to the protection of sensitive biometric reference data stored in the MRTD. The
CVCA represents the country specific root of the PKI of Inspection Systems and creates the Document
Verifier Certificates within this PKI. The updates of the public key of the CVCA are distributed in the form of
Country Verifying CA Link-Certificates.
4.2.8 Document Verifier
The Document Verifier (DV) enforces the privacy policy of the receiving State with respect to the protection
of sensitive biometric reference data to be handled by the Extended Inspection Systems. The Document
Verifier manages the authorization of the Extended Inspection Systems for the sensitive data of the MRTD
in the limits provided by the issuing States or Organizations in the form of the Document Verifier
Certificates.
4.2.9 Terminal
A terminal is any technical system communicating with the TOE through the contactless interface.
Note: as the TOE may also be used in contact mode, the terminal may also communicate using the contact
interface.
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4.2.10 Inspection system (IS)
A technical system used by the border control officer of the receiving State (i) examining an MRTD
presented by the traveler and verifying its authenticity and (ii) verifying the traveler as MRTD holder. The
Basic Inspection System (BIS) (i) contains a terminal for the contactless communication with the MRTD’s
chip, (ii) implements the terminals part of the Basic Access Control Mechanism and (iii) gets the
authorization to read the logical MRTD under the Basic Access Control by optical reading the MRTD or
other parts of the passport book providing this information. The General Inspection System (GIS) is a Basic
Inspection System which implements additionally the Chip Authentication Mechanism. The Extended
Inspection System (EIS) in addition to the General Inspection System (i) implements the Terminal
Authentication Protocol and (ii) is authorized by the issuing State or Organization through the Document
Verifier of the receiving State to read the sensitive biometric reference data. The security attributes of the
EIS are defined of the Inspection System Certificates.
4.2.11 MRTD Holder
The rightful holder of the MRTD for whom the issuing State or Organization personalized the MRTD.
4.2.12 Traveler
Person presenting the MRTD to the inspection system and claiming the identity of the MRTD holder.
4.2.13 Attacker
A threat agent trying (i) to identify and to trace the movement of the MRTD’s chip remotely (i.e. without
knowing or optically reading the printed MRZ data), (ii) to read or to manipulate the logical MRTD without
authorization, or (iii) to forge a genuine MRTD.
Application note 9: Note that an attacker trying to identify and to trace the movement of the MRTD’s chip
remotely (i.e. without knowing or optically reading the physical MRTD) is not considered by this PP since
this can only be averted by the BAC mechanism using the “weak” Document Basic Access Keys that is
covered by [25]. The same holds for the confidentiality of the user data EF.DG1, EF.DG2, EF.DG5 to EF.DG16
as well as EF.SOD and EF.COM
Application note 10: An impostor is attacking the inspection system as TOE IT environment independent on
using a genuine, counterfeit or forged MRTD. Therefore the impostor may use results of successful attacks
against the TOE but the attack itself is not relevant for the TOE.
4.3 Assumptions
4.3.1 A.MRTD_Manufact “MRTD manufacturing on steps 4 to 6”
It is assumed that appropriate functionality testing of the MRTD is used. It is assumed that security
procedures are used during all manufacturing and test operations to maintain confidentiality and integrity
of the MRTD and of its manufacturing and test data (to prevent any possible copy, modification, retention,
theft or unauthorized use).
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4.3.2 A.MRTD_Delivery “MRTD delivery during steps 4 to 6”
Procedures shall guarantee the control of the TOE delivery and storage process and conformance to its
objectives:
 Procedures shall ensure protection of TOE material/information under delivery and storage.
 Procedures shall ensure that corrective actions are taken in case of improper operation in the delivery
process and storage.
 Procedures shall ensure that people dealing with the procedure for delivery have got the required skill.
4.3.3 A.Pers_Agent “Personalization of the MRTD’s chip”
The Personalization Agent ensures the correctness of (i) the logical MRTD with respect to the MRTD holder,
(ii) the Document Basic Access Keys, (iii) the Chip Authentication Public Key (EF.DG14) if stored on the
MRTD’s chip, and (iv) the Document Signer Public Key Certificate (if stored on the MRTD’s chip). The
Personalization Agent signs the Document Security Object. The Personalization Agent bears the
Personalization Agent Authentication to authenticate himself to the TOE by symmetric cryptographic
mechanisms.
4.3.4 A.Insp_Sys “Inspection Systems for global interoperability”
The Inspection System is used by the border control officer of the receiving State (i) examining an MRTD
presented by the traveler and verifying its authenticity and (ii) verifying the traveler as MRTD holder. The
Basic Inspection System for global interoperability (i) includes the Country Signing CA Public Key and the
Document Signer Public Key of each issuing State or Organization, and (ii) implements the terminal part of
the Basic Access Control [ICAO_9303]. The Basic Inspection System reads the logical MRTD under Basic
Access Control and performs the Passive Authentication to verify the logical MRTD.
The General Inspection System in addition to the Basic Inspection System implements the Chip
Authentication Mechanism. The General Inspection System verifies the authenticity of the MRTD’s chip
during inspection and establishes secure messaging with keys established by the Chip Authentication
Mechanism. The Extended Inspection System in addition to the General Inspection System (i) supports the
Terminal Authentication Protocol and (ii) is authorized by the issuing State or Organization through the
Document Verifier of the receiving State to read the sensitive biometric reference data.
4.3.5 A.Signature_PKI “PKI for Passive Authentication”
The issuing and receiving States or Organizations establish a public key infrastructure for passive
authentication i.e. digital signature creation and verification for the logical MRTD. The issuing State or
Organization runs a Certification Authority (CA) which securely generates stores and uses the Country
Signing CA Key pair. The CA keeps the Country Signing CA Private Key secret and is recommended to
distribute the Country Signing CA Public Key to ICAO, all receiving States maintaining its integrity. The
Document Signer (i) generates the Document Signer Key Pair, (ii) hands over the Document Signer Public
Key to the CA for certification, (iii) keeps the Document Signer Private Key secret and (iv) uses securely the
Document Signer Private Key for signing the Document Security Objects of the MRTDs. The CA creates the
Document Signer Certificates for the Document Signer Public Keys that are distributed to the receiving
States and Organizations.
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4.3.6 A.Auth_PKI “PKI for Inspection Systems”
The issuing and receiving States or Organizations establish a public key infrastructure for card verifiable
certificates of the Extended Access Control. The Country Verifying Certification Authorities, the Document
Verifier and Extended Inspection Systems hold authentication key pairs and certificates for their public keys
encoding the access control rights. The Country Verifying Certification Authorities of the issuing States or
Organizations are signing the certificates of the Document Verifier and the Document Verifiers are signing
the certificates of the Extended Inspection Systems of the receiving States or Organizations. The issuing
States or Organizations distribute the public keys of their Country Verifying Certification Authority to their
MRTD’s chip.
4.3.7 A.Insp_Sys_Chip_Auth “Inspection Systems for global interoperability on chip
authenticity”
The Inspection System implements Active Authentication to authenticate the MRTD’s chip. The Inspection
System uses the signature returned by the TOE during Active Authentication as proof of authenticity.
4.4 Threats
Application note 11: The threats T.Chip_ID and T.Skimming (cf. [25]) are averted by the mechanisms
described in the BAC PP [25] (cf. P.BAC-PP) which cannot withstand an attack with high attack potential
thus these are not addressed here. T.Chip_ID addresses the threat of tracing the movement of the MRTD
by identifying remotely the MRTD’s chip by establishing or listening to communications through the
contactless communication interface. T.Skimming addresses the threat of imitating the inspection system
to read the logical MRTD or parts of it via the contactless communication channel of the TOE. Both attacks
are conducted by an attacker who cannot read the MRZ or who does not know the physical MRTD in
advance.
4.4.1 T.Read_Sensitive_Data “Read the sensitive biometric reference data”
Adverse action: An attacker tries to gain the sensitive biometric reference data through the
communication interface of the MRTD’s chip. The attack T.Read_Sensitive_Data is similar
to the threat T.Skimming (cf. [PP_BAC]) in respect of the attack path (communication
interface) and the motivation (to get data stored on the MRTD’s chip) but differs from
those in the asset under
the attack (sensitive biometric reference data vs. digital MRZ, digitized portrait and other
data), the opportunity (i.e. knowing Document Basic Access Keys) and therefore the
possible attack methods. Note, that the sensitive biometric reference data are stored
only on the MRTD’s chip as private sensitive personal data whereas the MRZ data and
the portrait are visually readable on the physical MRTD as well.
Threat agent: having high attack potential, knowing the Document Basic Access Keys, being in
possession of a legitimate MRTD
Asset: confidentiality of sensitive logical MRTD (i.e. biometric reference) data.
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4.4.2 T.Forgery “Forgery of data on MRTD’s chip”
Adverse action: An attacker alters fraudulently the complete stored logical MRTD or any part of it
including its security related data in order to deceive on an inspection system by means
of the changed MRTD holder’s identity or biometric reference data. This threat comprises
several attack scenarios of MRTD forgery. The attacker may alter the biographical data
on the biographical data page of the passport book, in the printed MRZ and in the digital
MRZ to claim another identity of the traveler. The attacker may alter the printed portrait
and the digitized portrait to overcome the visual inspection of the inspection officer and
the automated biometric authentication mechanism by face recognition. The attacker
may alter the biometric reference data to defeat automated biometric authentication
mechanism of the inspection system. The attacker may combine data groups of different
logical MRTDs to create a new forged MRTD, e.g. the attacker writes the digitized portrait
and optional biometric reference finger data read from the logical MRTD of a traveler
into another MRTD’s chip leaving their digital MRZ unchanged to claim the identity of the
holder this MRTD. The attacker may also copy the complete unchanged logical MRTD to
another contactless chip.
Threat agent: having enhanced basic attack potential, being in possession of one or more legitimate
MRTDs.
Asset: authenticity of logical MRTD data.
4.4.3 T.Counterfeit “MRTD’s chip”
Adverse action: An attacker with high attack potential produces an unauthorized copy or reproduction of
a genuine MRTD’s chip to be used as part of a counterfeit MRTD. This violates the
authenticity of the MRTD’s chip used for authentication of a traveler by possession of a
MRTD. The attacker may generate a new data set or extract completely or partially the
data from a genuine MRTD’s chip and copy them on another appropriate chip to imitate
this genuine MRTD’s chip.
Threat agent: having high attack potential, being in possession of one or more legitimate MRTDs.
Asset: authenticity of logical MRTD data.
4.4.4 T.Abuse-Func “Abuse of Functionality”
Adverse action: An attacker may use functions of the TOE which shall not be used in the phase
“Operational Use” in order (i) to manipulate User Data, (ii) to manipulate (explore,
bypass, deactivate or change) security features or functions of the TOE or (iii) to disclose
or to manipulate TSF Data.
This threat addresses the misuse of the functions for the initialization and the
personalization in the operational state after delivery to MRTD holder.
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Threat agent: having enhanced basic attack potential, being in possession of a legitimate MRTD.
Asset: confidentiality and authenticity of logical MRTD and TSF data, correctness of TSF.
4.4.5 T.Information_Leakage “Information Leakage from MRTD’s chip”
Adverse action: An attacker may exploit information which is leaked from the TOE during its usage in
order to disclose confidential TSF data. The information leakage may be inherent in the
normal operation or caused by the attacker. Leakage may occur through emanations,
variations in power consumption, I/O characteristics, clock frequency, or by changes in
processing time requirements. This leakage may be interpreted as a covert channel
transmission but is more closely related to measurement of operating parameters, which
may be derived either from measurements of the contactless interface (emanation) or
direct measurements (by contact to the chip still available even for a contactless chip)
and can then be related to the specific operation being performed. Examples are the
Differential Electromagnetic Analysis (DEMA) and the Differential Power Analysis (DPA).
Moreover the attacker may try actively to enforce information leakage by fault injection
(e.g. Differential Fault Analysis).
Threat agent: having enhanced basic attack potential, being in possession of a legitimate MRTD.
Asset: confidentiality of logical MRTD and TSF data.
4.4.6 T.Phys-Tamper “Physical Tampering”
Adverse action: An attacker may perform physical probing of the MRTD’s chip in order (i) to disclose TSF
Data or (ii) to disclose/reconstruct the MRTD’s chip Embedded Software. An attacker
may physically modify the MRTD’s chip in order to (i) modify security features or
functions of the MRTD’s chip, (ii) modify security functions of the MRTD’s chip Embedded
Software, (iii) modify User Data or (iv) to modify TSF data.
The physical tampering may be focused directly on the disclosure or manipulation of TOE
User Data (e.g. the biometric reference data for the inspection system) or TSF Data (e.g.
authentication key of the MRTD’s chip) or indirectly by preparation of the TOE to
following attack methods by modification of security features (e.g. to enable information
leakage through power analysis). Physical tampering requires direct interaction with the
MRTD’s chip internals. Techniques commonly employed in IC failure analysis and IC
reverse engineering efforts may be used. Before that, the hardware security mechanisms
and layout characteristics need to be identified. Determination of software design
including treatment of User Data and TSF Data may also be a pre-requisite. The
modification may result in the deactivation of a security function. Changes of circuitry or
data can be permanent or temporary.
Threat agent: having enhanced basic attack potential, being in possession of a legitimate MRTD.
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Asset: confidentiality and authenticity of logical MRTD and TSF data, correctness of TSF.
4.4.7 T.Malfunction “Malfunction due to Environmental Stress”
Adverse action: An attacker may cause a malfunction of TSF or of the MRTD’s chip Embedded Software
by applying environmental stress in order to (i) deactivate or modify security features or
functions of the TOE of (ii) circumvent, deactivate or modify security functions of the
mRTD’s chip Embedded Software. This may be achieved e.g. by operating the mRTD’s
chip outside the normal operating conditions, exploiting errors in the MRTD’s chip
Embedded Software or misusing administration function. To exploit these vulnerabilities
an attacker needs information about the functional operation
Threat agent: having high attack potential, being in possession of a legitimate MRTD
Asset: Confidentiality and authenticity of logical MRTD and TSF data, correctness of TSF
4.4.8 T.Configuration “Tampering attempt of the TOE during preparation”
Adverse action: An attacker may access to the TOE at Manufacturing and Personalization phases (steps 5
and 6) to try to (i) deactivate or modify security features or functions of the TOE or (ii)
circumvent, deactivate or modify security functions of the MRTD’s chip Embedded
Software.
Threat agent: having high attack potential, being in possession of one or more MRTD in Pre-
personalization or Personalization phases.
Asset: authenticity of logical MRTD data
4.4.9 T. Forgery_Supplemental_Data “Forgery of supplemental data stored in the TOE”
Adverse action: An attacker alters fraudulently the data stored in files other than EF.DG1 to EF.DG16,
EF.COM and EF document security object. This may lead the extended inspection system
(EIS) using these data to be deceived.
Threat agent: having high attack potential, being in possession of one or more legitimate MRTDs.
Asset: authenticity of data stored in files other than EF.DG1 to EF.DG16, EF.COM and EF
document security object
4.4.10 T. BAC_breaking “BAC protocol is broken”
Adverse action: An attacker manages to break the BAC protocol using cryptanalysis means and powerful
computation capacity leading to threaten (1) the non traceability and (2) confidentiality
of data.
The attacker is able to intercept and record a log of BAC transaction during inspection at
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a border control. Then using computation capacity, he is able to perform reverse
engineering over the logs, to break the protocol within a few minutes or less and get (1)
the MRZ value, and (2) the log of plain text exchanged between the MRTD and the
inspection system.
This leads the attacker to (1) get the holder information and use it, and (2) trace the
holder in real time.
Threat agent: having high attack potential, being able to intercept transaction with MRTDs.
Asset: confidentiality of data read from the MRTD, traceability of the MRTD
4.5 Organisational Security Policies
4.5.1 P.BAC-PP “Fulfillment of the Basic Access Control Protection Profile”
The issuing States or Organizations ensures that successfully authenticated Basic Inspection Systems have
read access to logical MRTD data DG1, DG2, DG5 to DG16 the ‘ICAO Doc 9303’ [ICAO_9303] as well as to
the data groups Common and Security Data. The MRTD is successfully evaluated and certified in accordance
with the ‘Common Criteria Protection Profile Machine Readable Travel Document with „ICAO Application",
Basic Access Control’ [PP_BAC] in order to ensure the confidentiality of standard user data and preventing
the traceability of the MRTD data.
Application note 12: The organizational security policy P.Personal_Data drawn from the ‘ICAO Doc 9303’
[ICAO_9303] is addressed by the [PP_BAC]. The confidentiality of the personal data other than EF.DG3 and
EF.DG4 is ensured by the BAC mechanism. Note the BAC mechanisms may not resist attacks with high
attack potential (cf. [PP_BAC]). The TOE shall protect the sensitive biometric reference data in EF.DG3 and
EF.DG4 against attacks with high attack potential. Due to the different resistance the protection of EF.DG3
and EF.DG4 on one side and the other EF.SOD, EF.COM, EF.DG1, EF.DG2 and EF.DG5 to EF.DG16 are
addressed separated protection profiles, which is assumed to result in technically separated evaluations (at
least for classes ASE and VAN) and certificates (cf. also to application note 1).
4.5.2 P.Sensitive_Data “Privacy of sensitive biometric reference data”
The biometric reference data of finger(s) (EF.DG3) and iris image(s) (EF.DG4) are sensitive private personal data of the
MRTD holder. The sensitive biometric reference data can be used only by inspection systems which are authorized for
this access at the time theMRTD is presentedto the inspectionsystem (ExtendedInspectionSystems) . The issuingState
or Organization authorizes the Document Verifiers of the receiving States to manage the authorization of inspection
systems within the limits defined by the Document Verifier Certificate. The MRTD’s chip shall protect the confidentiality
and integrity of the sensitive private personal data even during transmission to the Extended Inspection System after
ChipAuthentication
4.5.3 P.Manufact “Manufacturing of the MRTD’s chip”
The Initialization Data are written by the IC Manufacturer to identify the IC uniquely. The MRTD
Manufacturer writes the Pre-personalization Data which contains at least the Personalization Agent Key.
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4.5.4 P.Personalization “Personalization of the MRTD by issuing State or Organization only”
The issuing State or Organization guarantees the correctness of the biographical data, the printed portrait
and the digitized portrait, the biometric reference data and other data of the logical MRTD with respect to
the MRTD holder. The personalization of the MRTD for the holder is performed by an agent authorized by
the issuing State or Organization only.
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5 SECURITY OBJECTIVES
This chapter describes the security objectives for the TOE (OT) and the security objectives for the TOE
environment (OE). The security objectives for the TOE environment are separated into security objectives
for the development and production environment and security objectives for the operational environment.
5.1 Security objectives for the TOE
This section describes the security objectives for the TOE addressing the aspects of identified threats to be
countered by the TOE and organizational security policies to be met by the TOE.
5.1.1 OT.AC_Pers “Access Control for Personalization of logical MRTD”
The TOE must ensure that the logical MRTD data in EF.DG1 to EF.DG16, the Document security object
according to LDS [ICAO_9303] and the TSF data can be written by authorized Personalization Agents only.
The logical MRTD data in EF.DG1 to EF.DG16 and the TSF data may be written only during and cannot be
changed after its personalization. The Document security object can be updated by authorized
Personalization Agents if data in the data groups EF.DG 3 to EF.DG16 are added.
5.1.2 OT.Data_Int “Integrity of personal data”
The TOE must ensure the integrity of the logical MRTD stored on the MRTD’s chip against physical
manipulation and unauthorized writing. The TOE must ensure that the inspection system is able to detect
any modification of the transmitted logical MRTD data.
5.1.3 OT.Sens_Data_Conf “Confidentiality of sensitive biometric reference data”
The TOE must ensure the confidentiality of the sensitive biometric reference data (EF.DG3 and EF.DG4) by
granting read access only to authorized Extended Inspection Systems. The authorization of the inspection
system is drawn from the Inspection System Certificate used for the successful authentication and shall be
a non-strict subset of the authorization defined in the Document Verifier Certificate in the certificate chain
to the Country Verifier Certification Authority of the issuing State or Organization. The TOE must ensure the
confidentiality of the logical MRTD data during their transmission to the Extended Inspection System. The
confidentiality of the sensitive biometric reference data shall be protected against attacks with high attack
potential.
5.1.4 OT.Identification “Identification and Authentication of the TOE”
The TOE must provide means to store IC Identification and Pre-Personalization Data in its non-volatile
memory. The IC Identification Data must provide a unique identification of the IC during Phase 2
“Manufacturing” and Phase 3 “Personalization of the MRTD”. The storage of the Pre-Personalization data
includes writing of the Personalization Agent Key(s).
5.1.5 OT.Chip_Auth_Proof “Proof of MRTD’s chip authenticity”
The TOE must support the General Inspection Systems to verify the identity and authenticity of the MRTD’s
chip as issued by the identified issuing State or Organization by means of the Chip Authentication as
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defined in [TR_03110]. The authenticity proof provided by MRTD’s chip shall be protected against attacks
with high attack potential.
5.1.6 OT.Prot_Abuse-Func “Protection against Abuse of Functionality”
After delivery of the TOE to the MRTD Holder, the TOE must prevent the abuse of test and support
functions that may be maliciously used to (i) disclose critical User Data, (ii) manipulate critical User Data of
the IC Embedded Software, (iii) manipulate Soft-coded IC Embedded Software or (iv) bypass, deactivate,
change or explore security features or functions of the TOE.
Details of the relevant attack scenarios depend, for instance, on the capabilities of the Test Features
provided by the IC Dedicated Test Software which are not specified here.
5.1.7 OT.Prot_Inf_Leak “Protection against Information Leakage”
The TOE must provide protection against disclosure of confidential TSF data stored and/or processed in the
MRTD’s chip
 by measurement and analysis of the shape and amplitude of signals or the time between events found by
measuring signals on the electromagnetic field, power consumption, clock, or I/O lines and
 by forcing a malfunction of the TOE and/or
 by a physical manipulation of the TOE
5.1.8 OT.Prot_Phys-Tamper “Protection against Physical Tampering”
The TOE must provide protection of the confidentiality and integrity of the User Data, the TSF Data, and the
MRTD’s chip Embedded Software. This includes protection against attacks with enhanced-basic attack
potential by means of
 measuring through galvanic contacts which is direct physical probing on the chips surface except on pads
being bonded (using standard tools for measuring voltage and current) or
 measuring not using galvanic contacts but other types of physical interaction between charges (using tools
used in solid-state physics research and IC failure analysis)
 manipulation of the hardware and its security features, as well as
 controlled manipulation of memory contents (User Data, TSF Data)
with a prior
 reverse-engineering to understand the design and its properties and functions.
5.1.9 OT.Prot_Malfunction “Protection against Malfunctions”
The TOE must ensure its correct operation. The TOE must prevent its operation outside the normal
operating conditions where reliability and secure operation has not been proven or tested. This is to
prevent errors. The environmental conditions may include external energy (esp. electromagnetic) fields,
voltage (on any contacts), clock frequency, or temperature.
5.1.10 OT.Configuration “Protection of the TOE preparation”
During Pre-personalization and Personalization phases, the TOE must control the access to its sensitive
information and its functions and must provide the means to secure exchanges using cryptographic
functions. It must also ensure secure erasing of useless keys.
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5.1.11 OT.Update_File “Modification of file in Operational Use Phase”
During Operational Use phase, the TOE must allow the modification of Updatable Data if the write access to
these objects is fulfilled by the Terminal.
5.1.12 OT.BAC_Expiration “Automatic deactivation of BAC protocol”
During Operational Use phase, the TOE must disable the Basic Access Control protocol if the expiry date of
this protocol is exceeded.
5.1.13 OT.AC_SM_Level “Access control to sensitive biometric reference data according to SM
level”
During Operational Use phase, the TOE must allow read access to sensitive biometric data only if the Secure
Messaging level reaches or exceeds the one specified in the biometric data Access Conditions data object.
5.2 Security objectives for the operational environment
5.2.1 Issuing State or Organization
The issuing State or Organization will implement the following security objectives of the TOE environment.
5.2.1.1 OE.MRTD_Manufact “Protection of the MRTD Manufacturing”
Appropriate functionality testing of the TOE shall be used in step 4 to 6.
During all manufacturing and test operations, security procedures shall be used through phases 4, 5 and 6
to maintain confidentiality and integrity of the TOE and its manufacturing and test data.
5.2.1.2 OE.MRTD_Delivery “Protection of the MRTD delivery”
Procedures shall ensure protection of TOE material/information under delivery including the following
objectives:
 non-disclosure of any security relevant information,
 identification of the element under delivery,
 meet confidentiality rules (confidentiality level, transmittal form, reception acknowledgment),
 physical protection to prevent external damage,
 secure storage and handling procedures (including rejected TOE’s),
 traceability of TOE during delivery including the following parameters:
- origin and shipment details,
- reception, reception acknowledgement,
- location material/information.
Procedures shall ensure that corrective actions are taken in case of improper operation in the delivery
process (including if applicable any non-conformance to the confidentiality convention) and highlight all
non-conformance to this process.
Procedures shall ensure that people (shipping department, carrier, reception department) dealing with the
procedure for delivery have got the required skill, training and knowledge to meet the procedure
requirements and be able to act fully in accordance with the above expectations.
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5.2.1.3 OE.Personalization “Personalization of logical MRTD”
The issuing State or Organization must ensure that the Personalization Agents acting on behalf of the
issuing State or Organization (i) establish the correct identity of the holder and create biographical data for
the MRTD, (ii) enroll the biometric reference data of the MRTD holder i.e. the portrait, the encoded finger
image(s) and/or the encoded iris image(s) and (iii) personalize the MRTD for the holder together with the
defined physical and logical security measures to protect the confidentiality and integrity of these data.
5.2.1.4 OE.Pass_Auth_Sign “Authentication of logical MRTD by Signature”
The issuing State or Organization must (i) generate a cryptographic secure Country Signing CA Key Pair, (ii)
ensure the secrecy of the Country Signing CA Private Key and sign Document Signer Certificates in a secure
operational environment, and (iii) distribute the Certificate of the Country Signing CA Public Key to
receiving States and Organizations maintaining its authenticity and integrity. The issuing State or
Organization must (i) generate a cryptographic secure Document Signer Key Pair and ensure the secrecy of
the Document Signer Private Keys, (ii) sign Document Security Objects of genuine MRTD in a secure
operational environment only and (iii) distribute the Certificate of the Document Signer Public Key to
receiving States and Organizations. The digital signature in the Document Security Object relates all data in
the data in EF.DG1 to EF.DG16 if stored in the LDS according to [ICAO_9303].
5.2.1.5 OE.Auth_Key_MRTD “MRTD Authentication Key”
The issuing State or Organization has to establish the necessary public key infrastructure in order to
(i) generate the MRTD’s Authentication Key Pair(s), (ii) ensure the secrecy of the MRTD’s Authentication
Private Key(s), (iii) sign and store the Authentication Public Key(s) in the Authentication Public Key data (i.e
in EF.DG14 for Chip Authentication Public Key and in EF.DG15 for Active Authentication Public Key) and (iv)
support inspection systems of receiving States or organizations to verify the authenticity of the MRTD’s
chip used for genuine MRTD by certification of the Authentication Public Key by means of the Document
Security Object.
5.2.1.6 OE.Authoriz_Sens_Data “Authorization for Use of Sensitive Biometric Reference Data”
The issuing State or Organization has to establish the necessary public key infrastructure in order to limit
the access to sensitive biometric reference data of MRTD’s holders to authorized receiving States or
Organizations. The Country Verifying Certification Authority of the issuing State or Organization generates
card verifiable Document Verifier Certificates for the authorized Document Verifier only.
5.2.1.7 OE.BAC_PP “Fulfillment of the Basic Access Control Protection Profile”
It has to be ensured by the issuing State or Organization, that the TOE is additionally successfully evaluated
and certified in accordance with the ‘Common Criteria Protection Profile Machine Readable Travel
Document with „ICAO Application", Basic Access Control’ [PP_BAC]. This is necessary to cover the BAC
mechanism ensuring the confidentiality of standard user data and preventing the traceability of the MRTD
data. Note that due to the differences within the assumed attack potential the addressed evaluation and
certification is a technically separated process.
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5.2.2 Receiving State or Organization
The receiving State or Organization will implement the following security objectives of the TOE
environment.
5.2.2.1 OE.Exam_MRTD “Examination of the MRTD passport book”
The inspection system of the receiving State or Organization must examine the MRTD presented by the
traveler to verify its authenticity by means of the physical security measures and to detect any
manipulation of the physical MRTD. The Basic Inspection System for global interoperability (i) includes the
Country Signing CA Public Key and the Document Signer Public Key of each issuing State or Organization,
and (ii) implements the terminal part of the Basic Access Control [ICAO_9303]. Additionally General
Inspection Systems and Extended Inspection Systems perform the Chip Authentication Protocol to verify
the Authenticity of the presented MRTD’s chip.
5.2.2.2 OE.Exam_Chip_Auth “Examination of the chip authenticity”
Additionally to the OE.Exam_MRTD, inspection system performs the Active Authentication Protocol to
verify the Authenticity of the presented MRTD’s chip.
5.2.2.3 OE.Passive_Auth_Verif “Verification by Passive Authentication”
The border control officer of the receiving State uses the inspection system to verify the traveler as MRTD
holder. The inspection systems must have successfully verified the signature of Document Security Objects
and the integrity data elements of the logical MRTD before they are used. The receiving States and
Organizations must manage the Country Signing CA Public Key and the Document Signer Public Key
maintaining their authenticity and availability in all inspection systems.
5.2.2.4 OE.Prot_Logical_MRTD “Protection of data from the logical MRTD”
The inspection system of the receiving State or Organization ensures the confidentiality and integrity of the
data read from the logical MRTD. The inspection system will prevent eavesdropping to their
communication with the TOE before secure messaging is successfully established based on the Chip
Authentication Protocol.
5.2.2.5 OE.Ext_Insp_Systems “Authorization of Extended Inspection Systems”
The Document Verifier of receiving States or Organizations authorizes Extended Inspection Systems by
creation of Inspection System Certificates for access to sensitive biometric reference data of the logical
MRTD. The Extended Inspection System authenticates themselves to the MRTD’s chip for access to the
sensitive biometric reference data with its private Terminal Authentication Key and its Inspection System
Certificate.
5.3 Security objectives rationale
Removed from ST
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6 EXTENDED COMPONENTS DEFINITION
6.1 Extended components definition
6.1.1 Definition of the Family FAU_SAS
To define the security functional requirements of the TOE a sensitive family (FAU_SAS) of the Class FAU
(Security Audit) is defined here. This family describes the functional requirements for the storage of audit
data. It has a more general approach than FAU_GEN, because it does not necessarily require the data to be
generated by the TOE itself and because it does not give specific details of the content of the audit records.
The family “Audit data storage (FAU_SAS)” is specified as follows.
FAU_SAS “Audit data storage”
Family behavior
This family defines functional requirements for the storage of audit data.
Component leveling
FAU_SAS.1 Requires the TOE to the possibility to store audit data
Management: FAU_SAS.1
There are no management activities foreseen.
Audit: FAU_SAS.1
There are no actions defined to be auditable.
FAU_SAS.1 “Audit storage”
Hierarchical to: No other components.
Dependencies: No dependencies.
FAU_SAS.1.1 The TSF shall provide [assignment: authorized users] with the capability to store
[assignment: list of audit information] in the audit records.
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6.1.2 Definition of the Family FCS_RND
To define the IT security functional requirements of the TOE a sensitive family (FCS_RND) of the Class FCS
(cryptographic support) is defined here. This family describes the functional requirements for random
number generation used for cryptographic purposes. The component FCS_RND is not limited to generation
of cryptographic keys unlike the component FCS_CKM.1. The similar component FIA_SOS.2 is intended for
non-cryptographic use.
The family “Generation of random numbers (FCS_RND)” is specified as follows.
FCS_RND “Generation of random numbers”
Family behavior
This family defines quality requirements for the generation of random numbers which are intended to be
used for cryptographic purposes.
Component leveling:
FCS_RND.1 Generation of random numbers requires that random numbers meet a defined
quality metric.
Management: FCS_RND.1
There are no management activities foreseen.
Audit: FCS_RND.1
There are no actions defined to be auditable.
FCS_RND.1 “Quality metric for random numbers”
Hierarchical to: No other components.
Dependencies: No dependencies.
FCS_RND.1.1 The TSF shall provide a mechanism to generate random numbers that meet
[assignment: a defined quality metric].
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6.1.3 Definition of the Family FIA_API
To describe the IT security functional requirements of the TOE a sensitive family (FIA_API) of the Class FIA
(Identification and authentication) is defined here. This family describes the functional requirements for the
proof of the claimed identity for the authentication verification by an external entity where the other
families of the class FIA address the verification of the identity of an external entity.
FIA_API “Authentication Proof of Identity”
Family behavior
This family defines functions provided by the TOE to prove their identity and to be verified by an external
entity in the TOE IT environment.
Component leveling:
FIA_API.1 Authentication Proof of Identity.
Management: FIA_API.1
The following actions could be considered for the management functions in FMT:
Management of authentication information used to prove the claimed identity.
Audit: There are no actions defined to be auditable.
FIA_API.1 “Authentication Proof of Identity”
Hierarchical to: No other components.
Dependencies: No dependencies.
FIA_API.1.1 The TSF shall provide a [assignment: authentication mechanism] to prove the
identity of the [assignment: authorized user or role].
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6.1.4 Definition of the Family FMT_LIM
The family FMT_LIM describes the functional requirements for the Test Features of the TOE. The new
functional requirements were defined in the class FMT because this class addresses the management of
functions of the TSF. The examples of the technical mechanism used in the TOE show that no other class is
appropriate to address the specific issues of preventing the abuse of functions by limiting the capabilities of
the functions and by limiting their availability.
The family “Limited capabilities and availability (FMT_LIM)” is specified as follows.
FMT_LIM “Limited capabilities and availability”
Family behavior
This family defines requirements that limit the capabilities and availability of functions in a combined
manner. Note that FDP_ACF restricts the access to functions whereas the Limited capability of this family
requires the functions themselves to be designed in a specific manner.
Component leveling:
FMT_LIM.1 Limited capabilities requires that the TSF is built to provide only the capabilities
(perform action, gather information) necessary for its genuine purpose.
FMT_LIM.2 Limited availability requires that the TSF restrict the use of functions (refer to Limited
capabilities (FMT_LIM.1)). This can be achieved, for instance, by removing or by
disabling functions in a specific phase of the TOE’s life-cycle).
Management: FMT_LIM.1, FMT_LIM.2
There are no management activities foreseen.
Audit: FMT_LIM.1, FMT_LIM.2
There are no actions defined to be auditable.
To define the IT security functional requirements of the TOE a sensitive family (FMT_LIM) of the Class FMT
(Security Management) is defined here. This family describes the functional requirements for the Test
Features of the TOE. The new functional requirements were defined in the class FMT because this class
addresses the management of functions of the TSF. The examples of the technical mechanism used in the
TOE show that no other class is appropriate to address the specific issues of preventing the abuse of
functions by limiting the capabilities of the functions and by limiting their availability.
FMT_LIM.1 “Limited capabilities”
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Hierarchical to: No other components.
Dependencies: FMT_LIM.2 Limited availability.
FMT_LIM.1.1 The TSF shall be designed in a manner that limits their capabilities so that in
conjunction with “Limited availability (FMT_LIM.2)” the following policy is
enforced [assignment: Limited capability and availability policy].
The TOE Functional Requirement “Limited availability (FMT_LIM.2)” is specified as follows.
FMT_LIM.2 “Limited availability”
Hierarchical to: No other components.
Dependencies: FMT_LIM.1 Limited capabilities.
FMT_LIM.2.1 The TSF shall be designed in a manner that limits their availability so that in
conjunction with “Limited capabilities (FMT_LIM.1)” the following policy is
enforced [assignment: Limited capability and availability policy].
6.1.5 Definition of the Family FPT_EMS
The sensitive family FPT_EMS (TOE Emanation) of the Class FPT (Protection of the TSF) is defined here to
describe the IT security functional requirements of the TOE. The TOE shall prevent attacks against the TOE
and other secret data where the attack is based on external observable physical phenomena of the TOE.
Examples of such attacks are evaluation of TOE’s electromagnetic radiation, simple power analysis (SPA),
differential power analysis (DPA), timing attacks, etc. This family describes the functional requirements for
the limitation of intelligible emanations which are not directly addressed by any other component of
[CC_2].
The family “TOE Emanation (FPT_EMS)” is specified as follows.
Family behavior
This family defines requirements to mitigate intelligible emanations.
Component levelling:
FPT_EMS.1 TOE emanation has two constituents:
FPT_EMS.1.1 Limit of Emissions requires to not emit intelligible emissions enabling access to TSF
data or user data.
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FPT_EMS.1.2 Interface Emanation requires to not emit interface emanation enabling access to TSF
data or user data.
Management: FPT_EMS.1
There are no management activities foreseen.
Audit: FPT_EMS.1
There are no actions defined to be auditable.
FPT_EMS.1 “TOE Emanation”
Hierarchical to: No other components.
Dependencies: No dependencies.
FPT_EMS.1.1 The TOE shall not emit [assignment: types of emissions] in excess of
[assignment: specified limits] enabling access to [assignment: list of types of TSF
data] and [assignment: list of types of user data].
FPT_EMS.1.2 The TSF shall ensure [assignment: type of users] are unable to use the following
interface [assignment: type of connection] to gain access to assignment: list of
types of TSF data] and [assignment: list of types of user data].
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7 SECURITY REQUIREMENTS
7.1 Security functional requirements
This section on security functional requirements for the TOE is divided into sub-section following the main
security functionality.
SFR in ST SFR in [PP_EAC] Descr.
Step
Before
5
5 6 7
Class FAU “Security Audit”
FAU_SAS.1.1 FAU_SAS.1.1 7.1.1.1    
Class FCS “Cryptographic Support”
FCS_CKM.1.1/CA FCS_CKM.1.1
7.1.2.1
   
FCS_CKM.1.1/MSK_DIV
Additional SFR
   
FCS_CKM.1.1/GP    
FCS_CKM.4.1 FCS_CKM.4.1 7.1.2.2    
FCS_COP.1.1/CA_SHA FCS_COP.1.1/SHA
7.1.2.3
   
FCS_COP.1.1/CA_ENC FCS_COP.1.1/SYM    
FCS_COP.1.1/CA_MAC FCS_COP.1.1/MAC    
FCS_COP.1.1/SIG_VER FCS_COP.1.1/SIG_VER    
FCS_COP.1.1/MSK_SHA
Additional SFR
   
FCS_COP.1.1/GP_ENC    
FCS_COP.1.1/GP_AUTH    
FCS_COP.1.1/GP_MAC    
FCS_COP.1.1/GP_KEY_DEC    
FCS_COP.1.1/AA_DSA Additional SFR    
FCS_RND.1.1 FCS_RND.1.1 7.1.2.4    
Class FIA “Identification and Authentication”
FIA_UID.1.1 FIA_UID.1.1
7.1.3.1
   
FIA_UID.1.2 FIA_UID.1.2    
FIA_UAU.1.1 FIA_UAU.1.1
7.1.3.2
   
FIA_UAU.1.2 FIA_UAU.1.2    
FIA_UAU.4.1 FIA_UAU.4.1 7.1.3.3    
FIA_UAU.5.1/EAC FIA_UAU.5.1
7.1.3.4
   
FIA_UAU.5.2/EAC FIA_UAU.5.2    
FIA_UAU.5.1/MP
Additional SFR
   
FIA_UAU.5.2/MP    
FIA_UAU.6.1/EAC FIA_UAU.6.1
7.1.3.5
   
FIA_UAU.6.1/MP Additional SFR    
FIA_AFL.1.1/MP Additional SFR    
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FIA_AFL.1.2/MP    
FIA_API.1.1/CA FIA_API.1.1
7.1.3.7
   
FIA_API.1.1/AA Additional SFR    
Class FDP “User Data Protection”
FDP_ACC.1.1/EAC FDP_ACC.1.1
7.1.4.1
   
FDP_ACC.1.1/MP Additional SFR    
FDP_ACC.1.1/ID Additional SFR    
FDP_ACC.1.1/UPD_FILE Additional SFR    
FDP_ACF.1.1/EAC FDP_ACF.1.1
7.1.4.2
   
FDP_ACF.1.2/EAC FDP_ACF.1.2    
FDP_ACF.1.3/EAC FDP_ACF.1.3    
FDP_ACF.1.4/EAC FDP_ACF.1.4    
FDP_ACF.1.1/MP
Additional SFR
   
FDP_ACF.1.2/MP    
FDP_ACF.1.3/MP    
FDP_ACF.1.4/MP    
FDP_ACF.1.1/ID
Additional SFR
   
FDP_ACF.1.2/ID    
FDP_ACF.1.3/ID    
FDP_ACF.1.4/ID    
FDP_ACF.1.1/UPD_FILE
Additional SFR
   
FDP_ACF.1.2/UPD_FILE    
FDP_ACF.1.3/UPD_FILE    
FDP_ACF.1.4/UPD_FILE    
FDP_UCT.1.1/EAC FDP_UCT.1.1
7.1.4.3
   
FDP_UCT.1.1/MP Additional SFR    
FDP_UIT.1.1/EAC FDP_UIT.1.1
7.1.4.4
   
FDP_UIT.1.2/EAC FDP_UIT.1.2    
FDP_UIT.1.1/MP
Additional SFR
   
FDP_UIT.1.2/MP    
FDP_ITC.1.1/MP
Additional SFR 7.1.4.5
   
FDP_ITC.1.2/MP    
FDP_ITC.1.3/MP    
Class FMT “Security Management”
FMT_MOF.1.1/PROT
Additional SFR 7.1.5.1
   
FMT_MOF.1.1/GP    
FMT_MOF.1.1/BAC_EXP    
FMT_SMF.1.1 FMT_SMF.1.1 7.1.5.2    
FMT_SMR.1.1 FMT_SMR.1.1
7.1.5.3
   
FMT_SMR.1.2 FMT_SMR.1.2    
FMT_LIM.1.1 FMT_LIM.1.1 7.1.5.4    
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FMT_LIM.2.1 FMT_LIM.2.1    
FMT_MTD.1.1/INI_ENA FMT_MTD.1.1/INI_ENA
7.1.5.6
   
FMT_MTD.1.1/INI_DIS FMT_MTD.1.1/INI_DIS    
FMT_MTD.1.1/CVCA_INI FMT_MTD.1.1/CVCA_INI    
FMT_MTD.1.1/CVCA_UPD FMT_MTD.1.1/CVCA_UPD    
FMT_MTD.1.1/DATE FMT_MTD.1.1/DATE    
FMT_MTD.1.1/KEY_WRITE FMT_MTD.1.1/KEY_WRITE    
FMT_MTD.1.1/CAPK FMT_MTD.1.1/CAPK    
FMT_MTD.1.1/KEY_READ FMT_MTD.1.1/KEY_READ    
FMT_MTD.1.1/MP_KEY_WRITE
Additional SFR
   
FMT_MTD.1.1/MP_KEY_READ    
FMT_MTD.1.1/AA_KEY_WRITE
Additional SFR
   
FMT_MTD.1.1/AA_KEY_READ    
FMT_MTD.1.1/LCS_PREP
Additional SFR
   
FMT_MTD.1.1/LCS_PERS    
FMT_MTD.1.1/BAC_EXP Additional SFR    
FMT_MTD.1.1/UPD_FILE Additional SFR    
FMT_MTD.1.1/SM_LVL Additional SFR    
FMT_MTD.3.1 FMT_MTD.3.1 7.1.5.7    
Class FPT “Protection of the Security Functions”
FPT_EMS.1.1 FPT_EMS.1.1
7.1.6.1
   
FPT_EMS.1.2 FPT_EMS.1.2    
FPT_FLS.1.1 FPT_FLS.1.1 7.1.6.2    
FPT_TST.1.1 FPT_TST.1.1
7.1.6.3
   
FPT_TST.1.2 FPT_TST.1.2    
FPT_TST.1.3 FPT_TST.1.3    
FPT_PHP.3.1 FPT_PHP.3.1 7.1.6.4    
Class FTP “Trusted path/channels”
FTP_ITC.1.1/MP
Additional SFR 7.1.7.1
   
FTP_ITC.1.2/MP    
FTP_ITC.1.3/MP    
Table 11 - SFR of the TOE
7.1.1 Class FAU “Security Audit”
7.1.1.1 FAU_SAS.1 “Audit Storage”
Hierarchical to: No other components.
Dependencies: No dependencies
FAU_SAS.1.1 The TSF shall provide the Manufacturer with the capability to store the IC
Identification Data in the audit records.
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7.1.2 Class FCS “Cryptographic Support”
7.1.2.1 FCS_CKM.1 “Cryptographic key generation”
Hierarchical to: No other components.
Dependencies: [FCS_CKM.2 Cryptographic key distribution or
FCS_COP.1 Cryptographic operation]
FCS_CKM.4 Cryptographic key destruction
FCS_CKM.1.1/
CA
The TSF shall generate cryptographic keys in accordance with a specified
cryptographic key generation algorithm based on ECDH compliant to
[ISO_15946] and specified cryptographic key sizes 192 to 521 bit that meet the
following: [TR_03110].
FCS_CKM.1.1/
MSK_DIV
The TSF shall generate cryptographic keys in accordance with a specified
cryptographic key generation algorithm MSK derivation from initial MSK,
using SHA-256 and specified cryptographic key sizes 256 bit that meet the
following: none.
Application note: In Step 5, (Master) MSK is diversified during the first command, and then
replaced by the derived MSK generated by FCS_CKM.1/MSK. The secure
erasing of the keys is ensured by FCS_CKM.4.
FCS_CKM.1.1/
GP
The TSF shall generate cryptographic keys in accordance with a specified
cryptographic key generation algorithm Triple-DES in CBC mode and specified
cryptographic key sizes 112 bit that meet the following: [GPC_SPE_034];
appendix E.4.1.
7.1.2.2 FCS_CKM.4 “Cryptographic key destruction”
Hierarchical to: No other components.
Dependencies: [FDP_ITC.1 Import of user data without security attributes, or
FDP_ITC.2 Import of user data with security attributes, or
FCS_CKM.1 Cryptographic key generation]
FCS_CKM.4.1 The TSF shall destroy cryptographic keys in accordance with a specified
cryptographic key destruction method zeroisation that meets the following:
none.
Application note: This SFR addresses the destruction of the MSK, ISK, and SM sessions keys.
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7.1.2.3 FCS_COP.1 “Cryptographic operation”
Hierarchical to: No other components.
Dependencies: [FDP_ITC.1 Import of user data without security attributes, or
FDP_ITC.2 Import of user data with security attributes, or
FCS_CKM.1 Cryptographic key generation]
FCS_CKM.4 Cryptographic key destruction
FCS_COP.1.1/
CA_SHA
The TSF shall perform hashing in accordance with a specified cryptographic
algorithm SHA-1 and SHA-256 and cryptographic key sizes none that meets the
following [FIPS_180_2].
FCS_COP.1.1/
CA_ENC
The TSF shall perform secure messaging – encryption and decryption in accordance
with a specified cryptographic algorithm [algorithm] and cryptographic key sizes
[key size(s)] that meets the following [standard].
Algorithm key size(s) standard
Triple-DES in CBC mode 112 bit
[TR_03110]
AES in CBC mode 128, 192 and 256 bit
FCS_COP.1.1/
CA_MAC
The TSF shall perform secure messaging – message authentication code in
accordance with a specified cryptographic algorithm [algorithm] and cryptographic
key sizes [key size(s)] that meets the following [standard].
Algorithm key size(s) standard
Retail MAC 112 bit
[TR_03110]
AES CMAC 128, 192 and 256 bit
FCS_COP.1.1/
SIG_VER
The TSF shall perform digital signature verification in accordance with a specified
cryptographic algorithm ECDSA with SHA-1, SHA-224 and SHA-256 and
cryptographic key sizes 192 to 521 that meets the following [FIPS_186_3].
FCS_COP.1.1/
MSK_SHA
The TSF shall perform hashing for MSK diversification in accordance with a
specified cryptographic algorithm SHA-256 and cryptographic key sizes none that
meets the following [FIPS_180_2].
FCS_COP.1.1/
GP_ENC
The TSF shall perform secure messaging (GP) – encryption and decryption in
accordance with a specified cryptographic algorithm Triple-DES in CBC mode and
cryptographic key sizes 112 bit that meets the following [FIPS_46_3].
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FCS_COP.1.1/
GP_AUTH
The TSF shall perform symmetric authentication – encryption and decryption in
accordance with a specified cryptographic algorithm Triple-DES and cryptographic
key sizes 112 bit that meets the following [FIPS_46_3].
FCS_COP.1.1/
GP_MAC
The TSF shall perform secure messaging – message authentication code in
accordance with a specified cryptographic algorithm MAC Algorithm 1 with
Padding M2 and cryptographic key sizes 112 bit that meets the following
[ISO_9797_1].
FCS_COP.1.1/
GP_KEY_DEC
The TSF shall perform key decryption in accordance with a specified cryptographic
algorithm Triple-DES in ECB mode and cryptographic key sizes 112 bit that meets
the following [FIPS_46_3]
FCS_COP.1.1/
AA_DSA
The TSF shall perform Digital Signature Creation in accordance with a specified
cryptographic algorithm RSA signature CRT with SHA-1, SHA-224 and SHA-256 and
cryptographic key sizes 1024 to 2048 in steps of 256 bits that meet the following
[FIPS_186_3].
7.1.2.4 FCS_RND.1 “Quality metric for random numbers”
Hierarchical to: No other components.
Dependencies: No dependencies.
FCS_RND.1.1 The TSF shall provide a mechanism to generate random numbers that meet:
1. The requirement for random number generation following [RGS2_B1].
7.1.3 Class FIA “Identification and Authentication”
7.1.3.1 FIA_UID.1 “Timing of identification”
Hierarchical to: No other components.
Dependencies: No dependencies.
FIA_UID.1.1 The TSF shall allow
1. to establish the communication channel,
2. to read the Initialization Data if it is not disable by TSF according to
FMT_MTD.1/INI_DIS
3. to carry out the Chip Authentication Protocol
on behalf of the user to be performed before the user is identified.
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FIA_UID.1.2 The TSF shall require each user to be successfully identified before allowing any
other TSF-mediated actions on behalf of that user.
7.1.3.2 FIA_UAU.1 “Timing of authentication”
Hierarchical to: No other components.
Dependencies: FIA_UID.1 Timing of identification .
FIA_UAU.1.1 The TSF shall allow
1. to establish the communication channel,
2. to read the Initialization Data if it is not disable by TSF according to
FMT_MTD.1/INI_DIS,
3. to identify themselves by selection of the authentication key
4. to carry out the Chip Authentication Protocol
on behalf of the user to be performed before the user is authenticated.
FIA_UAU.1.2 The TSF shall require each user to be successfully authenticated before allowing
any other TSF-mediated actions on behalf of that user.
7.1.3.3 FIA_UAU.4 “Single-use authentication mechanisms”
Hierarchical to: No other components
Dependencies: No dependencies.
FIA_UAU.4.1 The TSF shall prevent reuse of authentication data related to
1. Terminal Authentication Protocol,
2. Authentication Mechanisms based on Triple-DES.
Application Note: The Authentication Mechanisms based on Triple-DES is the authentication
process performed in phases 5 and 6.
7.1.3.4 FIA_UAU.5 “Multiple authentication mechanisms”
Hierarchical to: No other components.
Dependencies: No dependencies.
FIA_UAU.5.1/
EAC
The TSF shall provide
1. Terminal Authentication Protocol,
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2. Secure messaging in MAC-ENC mode,
3. Symmetric Authentication Mechanism based on Triple-DES
to support user authentication.
FIA_UAU.5.2/
EAC
The TSF shall authenticate any user’s claimed identity according to the
following rules:
1. The TOE accepts the authentication attempt as Personalization Agent
by the Symmetric Authentication Mechanism with Personalization
Agent Key.
2. After run of the Chip Authentication Protocol the TOE accepts only
received commands with correct message authentication code sent by
means of secure messaging with key agreed with the terminal by
means of the Chip Authentication Mechanism.
3. The TOE accepts the authentication attempt by means of the Terminal
Authentication Protocol only if the terminal uses the public key
presented during the Chip Authentication Protocol and the secure
messaging established by the Chip Authentication Mechanism.
FIA_UAU.5.1/
MP
The TSF shall provide
1. Authentication Mechanism based on Triple-DES.
to support user authentication.
FIA_UAU.5.2/
MP
The TSF shall authenticate any user’s claimed identity according to the
following rules:
1. The TOE accepts the authentication attempt as Manufacturer by the
Symmetric Authentication Mechanism with Pre-personalization Agent
Key.
7.1.3.5 FIA_UAU.6 “Re-authenticating”
Hierarchical to: No other components.
Dependencies: No dependencies.
FIA_UAU.6.1/
EAC
The TSF shall re-authenticate the user under the conditions each command
sent to the TOE after successful run of the Chip Authentication Protocol shall
be verified as being sent by the GIS.
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FIA_UAU.6.1/
MP
The TSF shall re-authenticate the user under the conditions each command
sent to the TOE after successful authentication of the terminal with the
Symmetric Authentication Mechanism.
Application note This requirement applies to the authentication protocol used by (1) the
Manufacturer and (2) the Personalization Agent
7.1.3.6 FIA_AFL.1 “Authentication failure handling”
Hierarchical to: No other components.
Dependencies: FIA_UAU.1 Timing of authentication.
FIA_AFL.1.1/
MP
The TSF shall detect when 3 unsuccessful authentication attempts occur related
to authentication of the Manufacturer and the Personalization Agent.
FIA_AFL.1.2/
MP
When the defined number of unsuccessful authentication attempts has been
met or surpassed, the TSF shall wait for an increasing time between receiving
of the terminal challenge and sending of the TSF response during the
Authentication Mechanisms based on Triple-DES attempts.
7.1.3.7 FIA_API.1 “Authentication Proof of Identity”
Hierarchical to: No other components.
Dependencies: No dependencies.
FIA_API.1.1/
CA
The TSF shall provide a Chip Authentication protocol according to [TR_03110]
to prove the identity of the TOE.
FIA_API.1.1/
AA
The TSF shall provide an Active Authentication protocol according to
[ICAO_9303] to prove the identity of the TOE.
7.1.4 Class FDP “User Data Protection”
7.1.4.1 FDP_ACC.1 “Subset access control”
Hierarchical to: No other components.
Dependencies: FDP_ACF.1 Security attribute based access control
FDP_ACC.1.1/
EAC
The TSF shall enforce the Access Control SFP on terminals gaining write, read
and modification access to data in the EF.COM, EF.SOD, EF.DG1 to EF.DG16 of
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the logical MRTD.
FDP_ACC.1.1/
MP
The TSF shall enforce the GP Access Control SFP on terminals gaining write,
read and modification access to the Pre-Perso_K, the Perso_K, the LCS and the
Configuration Data.
FDP_ACC.1.1/
ID
The TSF shall enforce the ID Access Control on terminals gaining write, read
and modification access to the CPLC and the TOE_ID.
FDP_ACC.1.1/
UPD_FILE
The TSF shall enforce the UPD_FILE Access Control SFP on terminals gaining
write, read and modification access to data in the file(s) other than EF.COM,
EF.SOD, and EF.DG1 to EF.DG16 of the logical MRTD.
7.1.4.2 FDP_ACF.1 “Basic Security attribute based access control”
Hierarchical to: No other components.
Dependencies: FDP_ACC.1 Subset access control
FMT_MSA.3 Static attribute initialization
FDP_ACF.1.1/
EAC
The TSF shall enforce the Access Control SFP to objects based on the following:
1. Subjects:
a. Personalization Agent,
b. Extended Inspection System,
c. Terminal,
2. Objects:
a. data EF.DG1, EF.DG2 and EF.DG5 to EF.DG16 of the logical
MRTD,
b. data EF.DG3 and EF.DG4 of the logical MRTD
c. data in EF.COM,
d. data in EF.SOD,
3. Security attributes
a. authentication status of terminals,
b. Terminal Authorization.
FDP_ACF.1.2/
EAC
The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed:
1. the successfully authenticated Personalization Agent is allowed to
write and read the data of the EF.COM, EF.SOD, EF.DG1 to EF.DG16 of
the logical MRTD,
2. the successfully authenticated Extended Inspection System with the
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Read access to DG 3 (Fingerprint) granted by the relative certificate
holder authorization encoding is allowed to read the data in EF.DG3 of
the logical MRTD.
3. the successfully authenticated Extended Inspection System with the
Read access to DG 4 (Iris) granted by the relative certificate holder
authorization encoding is allowed to read the data in EF.DG4 of the
logical MRTD
4. Moreover, the successfully authenticated Inspection System shall
communicate with the TOE using a secure messaging level at least equal to
the one defined at the creation of the DG 3 and DG 4.
Application Note: Possible secure messaging levels are: DES, AES 128, AES 192 or AES 256.
FDP_ACF.1.3/
EAC
The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules: none.
FDP_ACF.1.4/
EAC
The TSF shall explicitly deny access of subjects to objects based on the following
additional rules:
1. A terminal authenticated as CVCA is not allowed to read data in the
EF.DG3,
2. A terminal authenticated as CVCA is not allowed to read data in the
EF.DG4,
3. A terminal authenticated as DV is not allowed to read data in the
EF.DG3,
4. A terminal authenticated as DV is not allowed to read data in the
EF.DG4,
5. Any terminal is not allowed to modify any of the EF.DG1 to EF.DG16 of
the logical MRTD,
6. Any terminal not being successfully authenticated as Extended
Inspection System is not allowed to read any of the EF.DG3 to EF.DG4
of the logical MRTD.
FDP_ACF.1.1/
MP
The TSF shall enforce the GP Access Control SFP to objects based on the
following
1. Subjects:
a. Manufacturer,
b. Personalization Agent,
2. Objects:
a. the Pre-Perso_K,
b. the Perso_K,
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c. the LCS,
d the Configuration Data,
3. Security attributes
a. authentication status of the Manufacturer,
b. authentication status of the Personalization Agent.
FDP_ACF.1.2/
MP
The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed:
1. the Manufacturer is allowed to write the Pre-Perso_K, the Perso_K,
the LCS and the Configuration Data,
2. the Manufacturer is allowed to read the Configuration Data and the
LCS,
3. the Personalization Agent is allowed to write the Perso_K, the LCS and
the Configuration Data,
4. the Personalization Agent is allowed to read the Configuration Data
and the LCS.
FDP_ACF.1.3/
MP
The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules: none.
FDP_ACF.1.4/
MP
The TSF shall explicitly deny access of subjects to objects based on the following
additional rules: none.
FDP_ACF.1.1/
ID
The TSF shall enforce the ID Access Control SFP to objects based on the
following
1. Subjects:
a. Manufacturer,
b. Personalization Agent,
c. Extended Inspection System,
d. Terminal,
2. Objects:
a. the TOE_ID,
b. the CPLC,
3. Security attributes
a. authentication status of the Manufacturer,
b. authentication status of the Personalization Agent,
c. authentication status of the Basic Inspection System.
FDP_ACF.1.2/
ID
The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed:
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1. the Manufacturer is allowed to write and read the CPLC,
2. the Personalization Agent is allowed to write and read the CPLC,
3. the Extended Inspection System is allowed to read the CPLC,
FDP_ACF.1.3/
ID
The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules: none
FDP_ACF.1.4/
ID
The TSF shall explicitly deny access of subjects to objects based on the following
additional rules:
1. Any Terminal is not allowed to read the CPLC and the TOE_ID,
2. Any Terminal is not allowed to modify the CPLC.
FDP_ACF.1.1/
UPD_FILE
The TSF shall enforce the UPD_FILE Access Control SFP to objects based on the
following:
1. Subjects:
a. Personalization Agent,
b. Extended Inspection System,
c. Terminal,
2. Objects:
a. data in the file(s) other than EF.COM, EF.SOD, and EF.DG1 to
EF.DG16 of the logical MRTD
3. Security attributes
a. authentication status of terminals,
FDP_ACF.1.2/
UPD_FILE
The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed:
1. the Personalization Agent is allowed to write, read and modify the
data in the file(s) other than EF.COM, EF.SOD, and EF.DG1 to EF.DG16 of
the logical MRTD,
2. the successfully authenticated Extended Inspection System with the
name corresponding to the one (or beginning of the one) set following
FMT_MTD.1.1/UPD_FILE is allowed to modify the data in the file(s)
other than EF.COM, EF.SOD, and EF.DG1 to EF.DG16 of the logical
MRTD.
FDP_ACF.1.3/
UPD_FILE
The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules: none.
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FDP_ACF.1.4/
UPD_FILE
The TSF shall explicitly deny access of subjects to objects based on the following
additional rules:
1. Any Terminal is not allowed to modify the data in the file(s) other
than EF.COM, EF.SOD, and EF.DG1 to EF.DG16 of the logical MRTD.
7.1.4.3 FDP_UCT.1 “Basic data exchange confidentiality”
Hierarchical to: No other components.
Dependencies: [FTP_ITC.1 Inter-TSF trusted channel, or
FTP_TRP.1 Trusted path]
[FDP_ACC.1 Subset access control, or
FDP_IFC.1 Subset information flow control]
FDP_UCT.1.1/
EAC
The TSF shall enforce the Access Control SFP to be able to transmit and receive
user data in a manner protected from unauthorized disclosure after Chip
Authentication.
FDP_UCT.1.1/
MP
The TSF shall enforce the GP Access Control SFP to transmit and receive user
data in a manner protected from unauthorised disclosure.
Application Note: Additional SFR FDP_UCT.1/MP enforces confidentiality of data import and
export in steps 5 and 6.
7.1.4.4 FDP_UIT.1 “Data exchange integrity”
Hierarchical to: No other components.
Dependencies: [FDP_ACC.1 Subset access control, or
FDP_IFC.1 Subset information flow control]
[FTP_ITC.1 Inter-TSF trusted channel, or
FTP_TRP.1 Trusted path]
FDP_UIT.1.1/
EAC
The TSF shall enforce the Access Control SFP to transmit and receive user data
in a manner protected from modification, deletion, insertion and replay errors
after Chip Authentication protocol
FDP_UIT.1.2/
EAC
The TSF shall be able to determine on receipt of user data, whether
modification, deletion, insertion and replay has occurred after Chip
Authentication protocol.
FDP_UIT.1.1/ The TSF shall enforce the GP Access Control SFP to transmit and receive user
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MP data in a manner protected from modification, deletion, insertion and replay
errors.
FDP_UIT.1.2/
MP
The TSF shall be able to determine on receipt of user data, whether
modification, deletion, insertion and replay has occurred.
Application Note: Additional SFR FDP_UIT.1/MP enforces integrity of data import and export in
steps 5 and 6.
7.1.4.5 FDP_ITC.1 “Import of user data without security attributes”
Hierarchical to: No other components.
Dependencies: [FDP_ACC.1 Subset access control, or
FDP_IFC.1 Subset information flow control]
FMT_MSA.3 Static attribute initialization
FDP_ITC.1.1/
MP
The TSF shall enforce the GP Access Control SFP when importing user data,
controlled under the SFP, from outside the TOE.
FDP_ITC.1.2/
MP
The TSF shall ignore any security attributes associated with the user data when
imported from outside the TOE.
FDP_ITC.1.3/
MP
The TSF shall enforce the following rules when importing user data controlled
under the SFP from outside the TOE: sensitive data (Pre-Perso_K, Perso_K,
BAC_K, CA_SK and AA_SK) shall be encrypted.
Application Note: Additional SFR FDP_ITC.1/MP enforces confidentiality of sensitive data import
in steps 5 and 6.
7.1.5 Class FMT “Security Management”
7.1.5.1 FMT_MOF “Management of functions in TSF”
Hierarchical to: No other components.
Dependencies: FMT_SMR.1 Security roles
FMT_SMF.1 Specification of Management Functions
FMT_MOF.1.1/
PROT
The TSF shall restrict the ability to enable the functions
- Active Authentication,
to the Manufacturer.
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FMT_MOF.1.1/
GP
The TSF shall restrict the ability to enable the functions
- transmission of user data in a manner protected from unauthorised
disclosure,
- reception of user data in a manner protected from unauthorised
disclosure,
- transmission of user data in a manner protected from modification,
deletion, insertion and replay errors,
- reception of user data in a manner protected from modification,
deletion, insertion and replay errors,
to the Manufacturer and the Personalization Agent.
FMT_MOF.1.1/
BAC_EXP
The TSF shall restrict the ability to enable the functions
- deactivation of the BAC protocol
to Country Verifying Certification Authority and Domestic document Verifier
once the current date has reached or passed the value set by
FMT_MTD.1/BAC_EXP
Application Note: The BAC is automatically deactivated by the TOE once the authenticated
subject (Country Verifying Certification Authority or domestic Document
Verifier) has updated the current date of the TOE with a date that reaches or
passes the reference date configured by FMT_MTD.1/BAC_EXP
7.1.5.2 FMT_SMF.1 “Specification of Management Functions”
Hierarchical to: No other components.
Dependencies: No Dependencies.
FMT_SMF.1.1 The TSF shall be capable of performing the following management functions:
1. Initialization
2. Pre-personalization
3. Personalization
4. Active Authentication protocol,
5. Protection of incoming user data,
6. Protection of outgoing user data
7. Basic Access Control expiration
7.1.5.3 FMT_SMR.1 “Security roles”
Hierarchical to: No other components.
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Dependencies: FIA_UID.1 Timing of identification.
FMT_SMR.1.1 The TSF shall maintain the roles:
1. Manufacturer
2. Personalization Agent
3. Country Verifying Certification Authority,
4. Document Verifier,
5. domestic Extended Inspection System
6. foreign Extended Inspection System
FMT_SMR.1.2 The TSF shall be able to associate users with roles.
Note: This SFR also applies to the refinement of the role Manufacturer.
7.1.5.4 FMT_LIM.1 “Limited capabilities”
Hierarchical to: No other components.
Dependencies: FMT_LIM.2 Limited availability.
FMT_LIM.1.1 The TSF shall be designed in a manner that limits their capabilities so that in
conjunction with “Limited availability (FMT_LIM.2)” the following policy is
enforced:
Deploying Test Features after TOE Delivery does not allow
1. User Data to be manipulated,
2. sensitive User Data (EF.DG3 and EF.DG4) to be disclosed,
3. TSF data to be disclosed or manipulated,
4. software to be reconstructed and,
5. substantial information about construction of TSF to be gathered
which may enable other attacks.
7.1.5.5 FMT_LIM.2 “Limited availability”
Hierarchical to: No other components.
Dependencies: FMT_LIM.1 Limited capabilities.
FMT_LIM.2.1 The TSF shall be designed in a manner that limits their availability so that in
conjunction with “Limited capabilities (FMT_LIM.1)” the following policy is
enforced:
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Deploying Test Features after TOE Delivery does not allow
1. User Data to be disclosed or manipulated,
2. sensitive User Data (EF.DG3 and EF.DG4) to be disclosed,
3. TSF data to be disclosed or manipulated,
4. software to be reconstructed and,
5. substantial information about construction of TSF to be gathered
which may enable other attacks.
7.1.5.6 FMT_MTD.1 “Management of TSF data”
Hierarchical to: No other components.
Dependencies: FMT_SMF.1 Specification of management functions
FMT_SMR.1 Security roles
FMT_MTD.1.1/
INI_ENA
The TSF shall restrict the ability to write the Initialization Data and Pre-
personalization Data to the Manufacturer.
FMT_MTD.1.1/
INI_DIS
The TSF shall restrict the ability to disable read access for users to the
Initialization Data to the Personalization Agent.
FMT_MTD.1.1/
CVCA_INI
The TSF shall restrict the ability to write the
1. initial Country Verifying Certification Authority Public Key,
2. initial Country Verifying Certification Authority Certificate,
3. initial Current Date
to the Personalization Agent.
FMT_MTD.1.1/
CVCA_UPD
The TSF shall restrict the ability to update the
1. Country Verifying Certification Authority Public Key,
2. Country Verifying Certification Authority Certificate,
to Country Verifying Certification Authority.
FMT_MTD.1.1/
DATE
The TSF shall restrict the ability to modify the Current date to
1. Country Verifying Certification Authority,
2. Document Verifier
3. domestic Extended Inspection System.
FMT_MTD.1.1/ The TSF shall restrict the ability to write the Document Basic Access Keys to the
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KEY_WRITE Personalization Agent.
FMT_MTD.1.1/
CAPK
The TSF shall restrict the ability to load the Chip Authentication Private Key to
the Personalization Agent.
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FMT_MTD.1.1/
KEY_READ
The TSF shall restrict the ability to read the
1. Document Basic Access Keys,
2. Chip Authentication Private Key,
3. Personalization Agent Keys
to none
FMT_MTD.1.1/
MP_KEY_WRITE
The TSF shall restrict the ability to write the Pre-personalization Agent Keys
and the Personalization Agent Keys to the Manufacturer.
FMT_MTD.1.1/
MP_KEY_READ
The TSF shall restrict the ability to read the Pre-personalization Agent Keys and
the Personalization Agent Keys to none.
FMT_MTD.1.1/
AA_KEY_WRITE
The TSF shall restrict the ability to write the Active Authentication Keys to the
Personalization Agent.
FMT_MTD.1.1/
AA_KEY_READ
The TSF shall restrict the ability to read the Active Authentication Keys to
none.
FMT_MTD.1.1/
LCS_PREP
The TSF shall restrict the ability to switch the LCS from phase 5 to phase 6 to
the Manufacturer.
FMT_MTD.1.1/
LCS_PERS
The TSF shall restrict the ability to switch the LCS from phase 6 to phase 7 to
the Personalization Agent.
FMT_MTD.1.1/
BAC_EXP
The TSF shall restrict the ability to set the BAC expiry date to the
Personalization Agent.
Application note: By default, BAC expiration feature is not activated.
FMT_MTD.1.1/
UPD_FILE
The TSF shall restrict the ability to set the name (or beginning of the name) of
the terminal allowed to modify files in phase 7, and identifiers of these files
(different from EF.COM, EF.SOD, EF.DG1 to EF.DG16) to the Personalization
Agent.
Application note: Name of the terminal is the Card Holder Reference (CHR) of the EIS.
Beginning of the name is a string of the left most significant bytes of the CHR of
the EIS.
FMT_MTD.1.1/ The TSF shall restrict the ability to set the minimum Secure Messaging level
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SM_LVL required to access DG 3 and DG 4 to the Personalization Agent.
Application Note: Possible secure messaging levels are: DES, AES 128, AES 192 or AES 256.
7.1.5.7 FMT_MTD.3 “Secure TSF data”
Hierarchical to: No other components.
Dependencies: FMT_MTD.1 Management of TSF data
FMT_MTD.3.1 The TSF shall ensure that only secure values of the certificate chain are
accepted for TSF data of the Terminal Authentication Protocol and the Access
Control.
Refinement: The certificate chain is valid if and only if
(1) the digital signature of the Inspection System Certificate can be verified as
correct with the public key of the Document Verifier Certificate and the
expiration date of the Inspection System Certificates is not before the Current
Date of the TOE,
(2) the digital signature of the Document Verifier Certificate can be verified as
correct with the public key in the Certificate of the Country Verifying
Certification AUthority and the expiration date of the Document Verifier
Certificate is not before the Current Date of the TOE,
(3) the digital signature of the Certificate of the Country Verifying Certification
Authority can be verified as correct with the public key of the Country Verifying
Certification Authority known to the TOE and the expiration date of the
Certificate of the Country Verifying Certification Authority is not before the
Current Date of the TOE.
The Inspection System Public Key contained in the Inspection System Certificate
in a valid certificate chain is a secure value for the authentication reference
data of the Extended Inspection System.
The intersection of the Certificate Holder Authorizations contained in the
certificates of a valid certificate chain is a secure value for Terminal
Authorization of a successful authenticated Extended Inspection System.
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7.1.6 Class FPT “Protection of the Security Functions”
7.1.6.1 FPT_EMS.1 “TOE Emanation”
Hierarchical to: No other components.
Dependencies: No Dependencies.
FPT_EMS.1.1 The TOE shall not emit power variations, timing variations during command
execution in excess of non useful information enabling access to
Personalization Agent Key(s) and Chip Authentication Private Key and:
- Personal Data including Biometric Data,
- EF.COM,
- EF.SOD,
- Active Authentication Private Key,
- Active Authentication Public Key,
- CPLC,
- TOE_ID,
- Pre-personalization Agent Keys,
- Secure Messaging Session Keys,
- TOE Life Cycle State,
- Configuration Data,
- Updatable Data.
FPT_EMS.1.2 The TSF shall ensure any users are unable to use the following interface smart
card circuit contacts to gain access to Personalization Agent Key(s) and Chip
Authentication Private Key and:
- Personal Data including Biometric Data,
- EF.COM,
- EF.SOD,
- Active Authentication Private Key,
- Active Authentication Public Key,
- CPLC,
- TOE_ID,
- Pre-personalization Agent Keys,
- Secure Messaging Session Keys,
- TOE Life Cycle State,
- Configuration Data,
- Updatable Data.
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7.1.6.2 FPT_FLS.1 “Failure with preservation of secure state”
Hierarchical to: No other components.
Dependencies: No Dependencies.
FPT_FLS.1.1 The TSF shall preserve a secure state when the following types of failures occur:
1. Exposure to out-of-range operating conditions where therefore a
malfunction could occur,
2. failure detected by TSF according to FPT_TST.1.
7.1.6.3 FPT_TST.1 “TSF testing”
Hierarchical to: No other components.
Dependencies: No Dependencies.
FPT_TST.1.1 The TSF shall run a suite of self tests at the conditions
- At reset,
- Before any cryptographic operation,
- When accessing a DG or any EF,
- Prior to any use of TSF data,
- Before execution of any command,
- When performing the EAC Authentication,
- When performing the Active Authentication.
To demonstrate the correct operation of the TSF.
FPT_TST.1.2 The TSF shall provide authorised users with the capability to verify the integrity
of TSF data.
FPT_TST.1.3 The TSF shall provide authorised users with the capability to verify the integrity
of stored TSF executable code.
7.1.6.4 FPT_PHP.3 “Resistance to physical attack”
Hierarchical to: No other components.
Dependencies: No Dependencies.
FPT_PHP.3.1 The TSF shall resist physical manipulation and physical probing to the TSF by
responding automatically such that the SFRs are always enforced.
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7.1.7 Class FTP “Trusted path/channels”
7.1.7.1 FTP_ITC.1 “Inter-TSF trusted channel”
Hierarchical to: No other components.
Dependencies: No Dependencies.
FTP_ITC.1.1/
MP
The TSF shall provide a communication channel between itself and another
trusted IT product that is logically distinct from other communication channels
and provides assured identification of its end points and protection of the
channel data from modification or disclosure.
FTP_ITC.1.2/
MP
The TSF shall permit another trusted IT product to initiate communication via
the trusted channel.
FTP_ITC.1.3/
MP
The TSF shall initiate communication via the trusted channel for loading
sensitive data (Pre-Perso_K, Perso_K, CA_SK and AA_SK) shall be encrypted.
7.2 Security assurance requirements
The assurance components for the evaluation of the TOE and its development and operating environment
are those taken from the Evaluation Assurance Level 5 (EAL5) and augmented by taking the following
component: ALC_DVS.2 and AVA_VAN.5.
7.2.1 EAL rationale
The EAL5 was chosen to permit a developer to gain maximum assurance from security engineering based
upon rigorous commercial development practices supported by moderate application of specialist security
engineering techniques.
EAL5 is therefore applicable in those circumstances where developers or users require a high level of
independently assured security in a planned development and require a rigorous development approach
without incurring unreasonable costs attributable to specialist security engineering techniques.
7.2.2 EAL augmentation rationale
7.2.2.1 ALC_DVS.2 "Sufficiency of security measures"
The selection of the component ALC_DVS.2 provides a higher assurance of the security of the MRTD’s
development and manufacturing especially for the secure handling of the MRTD’s material.
The component ALC_DVS.2 augmented to EAL5 has no dependencies to other security requirements.
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7.2.2.2 AVA_VAN.5 “Advanced methodical vulnerability analysis”
The selection of the component AVA_VAN.5 provides a higher assurance of the security by vulnerability
analysis to assess the resistance to penetration attacks performed by an attacker possessing a high attack
potential. This vulnerability analysis is necessary to fulfill the security objectives OT.Sens_Data_Conf and
OT.Chip_Auth_Proof.
The component AVA_VAN.5 has the following dependencies:
 ADV_ARC.1 “Security architecture description”
 ADV_FSP.4 “Security-enforcing functional specification”
 ADV_TDS.3 “Basic modular design”
 ADV_IMP.1 “Implementation representation of the TSF”
 AGD_OPE.1 “Operational user guidance”
 AGD_PRE.1 “Preparative procedures”
 ATE_DPT.1 “Testing: basic design”
All of these are met or exceeded in the EAL5 assurance package
7.2.3 Dependencies
SAR Dependencies Support of the Dependencies
ADV_ARC.1
ADV_FSP.1
ADV_TDS.1
ADV_FSP.5
ADV_TDS.4
ADV_FSP.5
ADV_TDS.1
ADV_IMP.1
ADV_TDS.4
ADV_IMP.1
ADV_IMP.1
ADV_TDS.3
ALC_TAT.1
ADV_TDS.4
ALC_TAT.2
ADV_INT.2
ADV_IMP.1
ADV_TDS.3
ALC_TAT.1
ADV_IMP.1
ADV_TDS.4
ALC_TAT.2
ADV_TDS.4 ADV_FSP.5 ADV_FSP.5
AGD_OPE.1 ADV_FSP.1 ADV_FSP.5
AGD_PRE.1 No dependencies n.a.
ALC_CMC.4
ALC_CMS.1
ALC_DVS.1
ALC_LCD.1
ALC_CMS.5
ALC_DVS.2
ALC_LCD.1
ALC_CMS.5 No dependencies n.a.
ALC_DEL.1 No dependencies n.a.
ALC_DVS.2 No dependencies n.a.
ALC_LCD.1 No dependencies n.a.
ALC_TAT.2 ADV_IMP.1 n.a.
ASE_CCL.1
ASE_INT.1
ASE_ECD.1
ASE_REQ.1
ASE_INT.1
ASE_ECD.1
ASE_REQ.2
ASE_ECD.1 No dependencies n.a.
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ASE_INT.1 No dependencies n.a.
ASE_OBJ.2 ASE_SPD.1 ASE_SPD.1
ASE_REQ.2
ASE_OBJ.2
ASE_ECD.1
ASE_OBJ.2
ASE_ECD.1
ASE_SPD.1 No dependencies n.a.
ASE_TSS.1
ASE_INT.1
ASE_REQ.1
ADV_FSP.1
ASE_INT.1
ASE_REQ.2
ADV_FSP.5
ATE_COV.2
ADV_FSP.2
ATE_FUN.1
ADV_FSP.5
ATE_FUN.1
ATE_DPT.3
ADV_ARC.1
ADV_TDS.4
ATE_FUN.1
ADV_ARC.1
ADV_TDS.4
ATE_FUN.1
ATE_FUN.1 ATE_COV.1 ATE_COV.2
ATE_IND.2
ADV_FSP.2
AGD_OPE.1
AGD_PRE.1
ATE_COV.1
ATE_FUN.1
ADV_FSP.5
AGD_OPE.1
AGD_PRE.1
ATE_COV.2
ATE_FUN.1
AVA_VAN.5
ADV_ARC.1
ADV_FSP.4
ADV_TDS.3
ADV_IMP.1
AGD_OPE.1
AGD_PRE.1
ATE_DPT.1
ADV_ARC.1
ADV_FSP.5
ADV_TDS.4
ADV_IMP.1
AGD_OPE.1
AGD_PRE.1
ATE_DPT.3
Table 12 - SARs dependencies
7.3 Security requirements rationale
Removed from ST
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8 TOE SUMMARY SPECIFICATION
8.1 TOE summary specification
8.1.1 Overview
The TOE provides the following Security Functions (TSF):
TSF Acronym Descr.
Step
5 6 7
Access Control in Reading F.ACR § 8.1.2   
Access Control in Writing F.ACW § 8.1.3   
Active Authentication F.AA § 8.1.4   
Extended Access Control F.EAC § 8.1.5   
MRTD Personalization F.PERS § 8.1.6   
Physical Protection F.PHY § 8.1.7   
MRTD Pre-personalization F.PREP § 8.1.8   
Safe State Management F.SS § 8.1.9   
Secure Messaging F.SM § 8.1.10   
Self Tests F.STST § 8.1.11   
Table 13 - TSF of the TOE
8.1.2 Access Control in Reading
This function controls access to read functions and enforces the security policy for data retrieval. Prior to
any data retrieval, it authenticates the actor trying to access the data, and checks the access conditions are
fulfilled as well as the life cycle state. It ensures that at any time, the following keys are never readable:
- MSK,
- Pre-personalization Agent keys,
- Personalization Agent keys,
- BAC keys,
- AA private key,
- CA private key
It controls access to the CPLC data as follow:
- It ensures the CPLC data can be read during the personalization phase,
- It ensures it cannot be readable without authentication at the end of the personalization step.
It controls access to the TOE_ID as follow:
- It ensures the TOE_ID data can be read during the manufacturing and personalization phases,
- It ensures it cannot be readable without authentication in operational use phase.
Regarding the file structure:
In the Operational Use phase:
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- The terminal can read user data, the Document Security Object, EF.COM only after BAC
authentication and through a valid secure channel.
In the Manufacturing and Personalization phases:
- The Manufacturer and the Personalization Agent can read all the data stored in the TOE after it is
authenticated by the TOE (using its authentication keys).
It ensures as well that no other part of the memory can be accessed at anytime
8.1.3 Access Control in Writing
This function controls access to write functions (in EEPROM) and enforces the security policy for data
writing. Prior to any data update, it authenticates the actor, and checks the access conditions are fulfilled as
well as the life cycle state.
It also ensures the CPLC data cannot be written anymore once the TOE is in Operational Use phase.
Regarding the file structure:
In the Operational Use phase:
It is not possible to create any files (system or data files). Furthermore, it is not possible to update any files
(system or data files), except for CVCA which can be updated if the “Secure Messaging” access condition is
verified.
In the Manufacturing and Personalization phases:
The Manufacturing and Personalization Agent can create and write through a valid secure channel all the
data files it needs after it is authenticated by the TOE (using its authentication keys).
8.1.4 Active Authentication
This TSF provides the Active Authentication as described in [ICAO_9303]. It also provides management of
this function in phase 5.
8.1.5 Extended Access Control
This TSF provides the Extended Access Control, authentication and session keys generation to be used by
F.SM, as described in [TR_03110].
8.1.6 MRTD Personalization
This security functionality ensures that the TOE, when delivered to the Personalization Agent, provides and requires
authentication for data exchange. This authentication is based on a Triple DES authentication mechanism. This
function allows to:
 Manage symmetric authentication using Personalization Agent keys,
 Compute session keys to be used by F.SM,
 Load user data,
 Configure SM level for biometrical data access,
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 Load Chip Authentication keys and Active Authentication keys,
 Set Personalization Agent CPLC Data,
 Configure BAC deactivation mechanism
 Set the name of the terminal allowed to modify files in phase 7, and identifiers of these files
 Set TOE life cycle in Operational Use phase.
8.1.7 Physical Protection
This Security Function protects the TOE against physical attacks, so that the integrity and confidentiality of
the TOE is ensured, including keys, user data, CPLC data, configuration data and TOE life cycle. It detects
physical tampering, responds automatically, and also controls the emanations sent out by the TOE.
8.1.8 MRTD Pre-personalization
This security functionality ensures that the TOE, when delivered to the Manufacturer, provides and requires an
authentication mechanism for data exchange. This authentication is based on Triple DES symmetric authentication
mechanism. This function allows to:
 Manage symmetric authentication using Pre-personalization Agent keys,
 Compute session keys to be used by F.SM,
 Load data,
 Create the MRTD application
 Load Personalization Agent keys,
 Load the Pre-personalization Agent CPLC Data,
 ,Set TOE life cycle in Personalization phase.
This security function ensures the destruction of the MSK, once ISK is loaded. This security function ensures
the destruction of the ISK, once Personalization Agent keys are loaded.
8.1.9 Safe State Management
This security functionality ensures that the TOE gets back to a secure state when:
 an integrity error is detected by F.STST described in § 8.1.11,
 a tearing occurs (during a copy of data in EEPROM).
This security functionality ensures that if such a case occurs, the TOE is either switched in the state "kill
card" or becomes mute.
8.1.10 Secure Messaging
This security functionality ensures the confidentiality, authenticity and integrity of the communication
between the TOE and the interface device. In the operational phase, after a successful Authentication
Procedure (i.e. BAC or CA), a secure channel is established. This security functionality also provides a Secure
Messaging (SCP02) for the Pre-personalization and Personalization phases. The protocols can be configured
to protect the exchanges integrity and/or confidentiality. If an error occurs in the secure messaging layer,
the session keys are destroyed.
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8.1.11 Self Tests
The TOE performs self-tests to verify the integrity of the TSF data:
 At Reset,
 Before using the TSF data,
 Before using Chip Authentication key and Active Authentication key.
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8.2 SFR and TSF
TSF
SFR
F.ACR
F.ACW
F.AA
F.EAC
F.PERS
F.PHY
F.PREP
F.SS
F.SM
F.STST
FAU_SAS.1          
FCS_CKM.1/CA          
FCS_CKM.1/MSK_DIV          
FCS_CKM.1/GP          
FCS_CKM.4          
FCS_COP.1/CA_SHA          
FCS_COP.1/CA_ENC          
FCS_COP.1/CA_MAC          
FCS_COP.1.1/SIG_VER          
FCS_COP.1/MSK_SHA          
FCS_COP.1/GP_ENC          
FCS_COP.1/GP_AUTH          
FCS_COP.1/GP_MAC          
FCS_COP.1/GP_KEY_DEC          
FCS_COP.1/AA_DSA          
FCS_RND.1          
FIA_UID.1          
FIA_UAU.1          
FIA_UAU.4          
FIA_UAU.5/EAC          
FIA_UAU.5/MP          
FIA_UAU.6/EAC          
FIA_UAU.6/MP          
FIA_AFL.1/MP          
FIA_API.1/CA          
FIA_API.1/AA          
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TSF
SFR
F.ACR
F.ACW
F.AA
F.EAC
F.PERS
F.PHY
F.PREP
F.SS
F.SM
F.STST
FDP_ACC.1/EAC          
FDP_ACC.1/MP          
FDP_ACC.1/ID          
FDP_ACC.1/UPD_FILE          
FDP_ACF.1/EAC          
FDP_ACF.1/MP          
FDP_ACF.1/ID          
FDP_ACF.1/UPD_FILE          
FDP_UCT.1/EAC          
FDP_UCT.1/MP          
FDP_UIT.1/EAC          
FDP_UIT.1/MP          
FDP_ITC.1/MP          
FMT_MOF.1/PROT          
FMT_MOF.1/GP          
FMT_MOF.1/BAC_EXP          
FMT_SMF.1          
FMT_SMR.1          
FMT_LIM.1          
FMT_LIM.2          
FMT_MTD.1/INI_ENA          
FMT_MTD.1/INI_DIS          
FMT_MTD.1/CVCA_INI          
FMT_MTD.1/CVCA_UPD          
FMT_MTD.1/DATE          
FMT_MTD.1.1/KEY_WRITE          
FMT_MTD.1.1/CAPK          
FMT_MTD.1/KEY_READ          
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TSF
SFR
F.ACR
F.ACW
F.AA
F.EAC
F.PERS
F.PHY
F.PREP
F.SS
F.SM
F.STST
FMT_MTD.1/MP_KEY_WRITE          
FMT_MTD.1/MP_KEY_READ          
FMT_MTD.1/AA_KEY_WRITE          
FMT_MTD.1/AA_KEY_READ          
FMT_MTD.1/LCS_PREP          
FMT_MTD.1/LCS_PERS          
FMT_MTD.1/BAC_EXP          
FMT_MTD.1/UPD_FILE          
FMT_MTD.1.1/SM_LVL          
FMT_MTD.3          
FPT_EMS.1          
FPT_FLS.1          
FPT_TST.1          
FPT_PHP.3          
FTP_ITC.1/MP          
Table 14 - SFR and TSF
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9 COMPOSITION WITH IC SECURITY TARGET
Removed from ST
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Appendix A: Glossary
Term Definition
Active Authentication Security mechanism defined in [ICAO_9303] option by which means the
MRTD’s chip proves and the inspection system verifies the identity and
authenticity of the MRTD’s chip as part of a genuine MRTD issued by a
known State or Organization.
Application note Optional informative part of the PP containing sensitive supporting
information that is considered relevant or useful for the construction,
evaluation, or use of the TOE.
Audit records Write-only-once non-volatile memory area of the MRTDs chip to store the
Initialization Data and Pre-personalization Data.
Authenticity Ability to confirm the MRTD and its data elements on the MRTD’s chip were
created by the issuing State or Organization.
Basic Access Control (BAC) Security mechanism defined in [ICAO_9303] by which means the MRTD’s
chip proves and the inspection system protects their communication by
means of secure messaging with Document Basic Access Keys (see there).
Basic Inspection System
(BIS)
An inspection system which implements the terminals part of the Basic
Access Control Mechanism and authenticates itself to the MRTD’s chip
using the Document Basic Access Keys derived from the printed MRZ data
for reading the logical MRTD.
Biographical data (biodata) The personalized details of the MRTD holder of the document appearing as
text in the visual and machine readable zones on the biographical data
page of a passport book or on a travel card or visa. [ICAO_9303]
Biometric reference data Data stored for biometric authentication of the MRTD holder in the MRTD’s
chip as (i) digital portrait and (ii) optional biometric reference data.
Certificate chain Hierarchical sequence of Inspection System Certificate (lowest level),
Document Verifier Certificate and Country Verifying Certification Authority
Certificates (highest level), where the certificate of a lower lever is signed
with the private key corresponding to the public key in the certificate of the
next higher level. The Country Verifying Certification Authority Certificate is
signed with the private key corresponding to the public key it contains (self-
signed certificate).
Counterfeit An unauthorized copy or reproduction of a genuine security document
made by whatever means. [ICAO_9303]
Country Signing CA
Certificate (Ccsca)
Self-signed certificate of the Country Signing CA Public Key (KPuCSCA)
issued by CSCA stored in the inspection system.
Country Verifying
Certification Authority
The country specific root of the PKI of Inspection Systems and creates the
Document Verifier Certificates within this PKI. It enforces the Privacy policy
of the issuing State or Organization in respect to the protection of sensitive
biometric reference data stored in the MRTD.
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Term Definition
Current date The maximum of the effective dates of valid CVCA, DV and domestic
Inspection System certificates known to the TOE. It is used the validate card
verifiable certificates.
CVCA link Certificate Certificate of the new public key of the Country Verifying Certification
Authority signed with the old public key of the Country Verifying
Certification Authority where the certificate effective date for the new key
is before the certificate expiration date of the certificate for the old key.
Document Basic Access
Key Derivation Algorithm
The [ICAO_9303], describes the Document Basic Access Key Derivation
Algorithm on how terminals may derive the Document Basic Access Keys
from the second line of the printed MRZ data.
Document Basic Access
Keys
Pair of symmetric (two-key) Triple-DES keys used for secure messaging with
encryption (key KENC) and message authentication (key KMAC) of data
transmitted between the MRTD’s chip and the inspection system
[ICAO_9303]. It is drawn from the printed MRZ of the passport book to
authenticate an entity able to read the printed MRZ of the passport book.
Document Security Object
(SOD)
A RFC3369 CMS Signed Data Structure, signed by the Document Signer (DS).
Carries the hash values of the LDS Data Groups. It is stored in the MRTD’s
chip. It may carry the Document Signer Certificate (CDS). [ICAO_9303]
Document Verifier Certification authority creating the Inspection System Certificates and
managing the authorization of the Extended Inspection Systems for the
sensitive data of the MRTD in the limits provided by the issuing States or
Organizations.
Eavesdropper A threat agent with Enhanced-Basic attack potential reading the
communication between the MRTD’s chip and the inspection system to
gain the data on the MRTD’s chip.
Enrolment The process of collecting biometric samples from a person and the
subsequent preparation and storage of biometric reference templates
representing that person’s identity. [ICAO_9303]
Extended Access Control
(EAC)
Security mechanism identified in [ICAO_9303] by which means the MRTD’s
chip (i) verifies the authentication of the inspection systems authorized to
read the optional biometric reference data, (ii) controls the access to the
optional biometric reference data and (iii) protects the confidentiality and
integrity of the optional biometric reference data during their transmission
to the inspection system by secure messaging. The Personalization Agent
may use the same mechanism to authenticate themselves with
Personalization Agent Private Key and to get write and read access to the
logical MRTD and TSF data.
Extended Inspection
System (EIS)
A role of a terminal as part of an inspection system which is in addition to
Basic Inspection System authorized by the issuing State or Organization to
read the optional biometric reference data and supports the terminals part
of the Extended Access Control Authentication Mechanism.
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Term Definition
Forgery Fraudulent alteration of any part of the genuine document, e.g. changes to
the biographical data or the portrait. [ICAO_9303]
General Inspection System A Basic Inspection System which implements sensitively the Chip
Authentication Mechanism.
Global Interoperability The capability of inspection systems (either manual or automated) in
different States throughout the world to exchange data, to process data
received from systems in other States, and to utilize that data in inspection
operations in their respective States. Global interoperability is a major
objective of the standardized specifications for placement of both eye-
readable and machine readable data in all MRTDs. [ICAO_9303]
IC Dedicated Support
Software
That part of the IC Dedicated Software (refer to above) which provides
functions after TOE Delivery. The usage of parts of the IC Dedicated
Software might be restricted to certain phases.
IC Dedicated Test Software That part of the IC Dedicated Software (refer to above) which is used to test
the TOE before TOE Delivery but which does not provide any functionality
thereafter.
IC Identification Data The IC manufacturer writes a unique IC identifier to the chip to control the
IC as MRTD material during the IC manufacturing and the delivery process
to the MRTD manufacturer (i.e MRTD packaging responsible).
Impostor A person who applies for and obtains a document by assuming a false name
and identity, or a person who alters his or her physical appearance to
represent himself or herself as another person for the purpose of using that
person’s document. [ICAO_9303]
Improperly document
person
A person who travels, or attempts to travel with: (a) an expired travel
document or an invalid visa; (b) a counterfeit, forged or altered travel
document or visa; (c) someone else’s travel document or visa; or (d) no
travel document or visa, if required. [ICAO_9303]
Initialisation Process of writing Initialisation Data (see below) to the TOE (cf.2.2.3.2.2).
Initialization Data Any data defined by the TOE Manufacturer and injected into the non-
volatile memory by the Integrated Circuits manufacturer (Phase 2). These
data are for instance used for traceability and for IC identification as
MRTD’s material (IC identification data).
Inspection The act of a State examining an MRTD presented to it by a traveler (the
MRTD holder) and verifying its authenticity. [ICAO_9303]
Inspection System (IS) A technical system used by the border control officer of the receiving State
(i) examining an MRTD presented by the traveler and verifying its
authenticity and (ii) verifying the traveler as MRTD holder.
Integrated Circuit (IC) Electronic component(s) designed to perform processing and/or memory
functions. The MRTD’s chip is a integrated circuit.
Integrity Ability to confirm the MRTD and its data elements on the MRTD’s chip have
not been altered from that created by the issuing State or Organization
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Term Definition
Issuing Organization Organization authorized to issue an official travel document (e.g. the
United Nations Organization, issuer of the Laissez-passer). [ICAO_9303]
Issuing State The Country issuing the MRTD. [ICAO_9303]
Logical Data Structure
(LDS)
The collection of groupings of Data Elements stored in the optional capacity
expansion technology [ICAO_9303]. The capacity expansion technology
used is the MRTD’s chip.
Logical MRTD Data of the MRTD holder stored according to the Logical Data Structure
[ICAO_9303] as specified by ICAO on the contactless integrated circuit. It
presents contactless readable data including (but not limited to)
(1) personal data of the MRTD holder,
(2) the digital Machine Readable Zone Data (digital MRZ data, EF.DG1),
(3) the digitized portraits (EF.DG2),
(4) the biometric reference data of finger(s) (EF.DG3) or iris image(s)
(EF.DG4) or both and
(5) the other data according to LDS (EF.DG5 to EF.DG16).
(6) EF.COM and EF.SOD
Logical travel document Data stored according to the Logical Data Structure as specified by ICAO in
the contactless integrated circuit including (but not limited to)
(1) data contained in the machine-readable zone (mandatory),
(2) digitized photographic image (mandatory) and
(3) fingerprint image(s) and/or iris image(s) (optional).
Machine Readable Travel
Document (MRTD)
Official document issued by a State or Organization which is used by the
holder for international travel (e.g. passport, visa, official document of
identity) and which contains mandatory visual (eye readable) data and a
separate mandatory data summary, intended for global use, reflecting
essential data elements capable of being machine read. [ICAO_9303]
Machine Readable Visa
(MRV)
A visa or, where appropriate, an entry clearance (hereinafter collectively
referred to as visas) conforming to the specifications contained herein,
formulated to improve facilitation and enhance security for the visa holder.
Contains mandatory visual (eye readable) data and a separate mandatory
data summary capable of being machine read. The MRV is normally a label
which is attached to a visa page in a passport. [ICAO_9303]
Machine Readable Zone
(MRZ)
Fixed dimensional area located on the front of the MRTD or MRP Data Page
or, in the case of the TD1, the back of the MRTD, containing mandatory and
optional data for machine reading using OCR methods. [ICAO_9303]
Machine-verifiable
biometrics feature
A unique physical personal identification feature (e.g. an iris pattern,
fingerprint or facial characteristics) stored on a travel document in a form
that can be read and verified by machine. [ICAO_9303]
MRTD application Non-executable data defining the functionality of the operating system on
the IC as the MRTD’s chip. It includes
- the file structure implementing the LDS [ICAO_9303],
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Term Definition
- the definition of the User Data, but does not include the User Data itself
(i.e. content of EF.DG1 to EF.DG14, EF.DG 16, EF.COM and EF.SOD) and
- the TSF Data including the definition the authentication data but except
the authentication data itself.
MRTD Basic Access Control Mutual authentication protocol followed by secure messaging between the
inspection system and the MRTD’s chip based on MRZ information as key
seed and access condition to data stored on MRTD’s chip according to LDS.
MRTD holder The rightful holder of the MRTD for whom the issuing State or Organization
personalized the MRTD.
MRTD’s Chip A contactless integrated circuit chip complying with ISO/IEC 14443 and
programmed according to the Logical Data Structure as specified by ICAOT,
[ICAOT], p. 14.
MRTD’s chip Embedded
Software
Software embedded in a MRTD’s chip and not being developed by the IC
Designer. The MRTD’s chip Embedded Software is designed in Phase 1 and
embedded into the MRTD’s chip in Phase 2 of the TOE life-cycle.
Optional biometric
reference data
Data stored for biometric authentication of the MRTD holder in the MRTD’s
chip as (i) encoded finger image(s) (EF.DG3) or (ii) encoded iris image(s)
(EF.DG4) or (iii) both. Note that the European commission decided to use
only finger print and not to use iris images as optional biometric reference
data.
Passive authentication (i) verification of the digital signature of the Document Security Object and
(ii) comparing the hash values of the read LDS data fields with the hash
values contained in the Document Security Object.
Personalization The process by which the portrait, signature and biographical data are
applied to the document. This may also include the optional biometric data
collected during the “Enrolment” (cf. 2.2.3.2.3, Step 6).
Personalization Agent The agent acting on the behalf of the issuing State or Organization to
personalize the MRTD for the holder by (i) establishing the identity the
holder for the biographic data in the MRTD, (ii) enrolling the biometric
reference data of the MRTD holder i.e. the portrait, the encoded finger
image(s) or (ii) the encoded iris image(s) and (iii) writing these data on the
physical and logical MRTD for the holder.
Personalization Agent
Authentication
Information
TSF data used for authentication proof and verification of the
Personalization Agent.
Personalization Agent Key Symmetric cryptographic authentication key used (i) by the Personalization
Agent to prove their identity and get access to the logical MRTD and (ii) by
the MRTD’s chip to verify the authentication attempt of a terminal as
Personalization Agent according to the SFR FIA_UAU.4/BAC,
FIA_UAU.5/BAC and FIA_UAU.6/BAC.
Physical travel document Travel document in form of paper, plastic and chip using secure printing to
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Term Definition
present data including (but not limited to)
(1) biographical data,
(2) data of the machine-readable zone,
(3) photographic image and
(4) other data.
Pre-Personalisation Process of writing Pre-Personalisation Data (see below) to the TOE
including the creation of the MRTD Application (cf. 2.2.3.2.3,
Step 5)
Pre-personalization Data Any data that is injected into the non-volatile memory of the TOE by the
MRTD Manufacturer (i.e IC manufacturer) (Phase 2) for traceability of non-
personalized MRTD’s and/or to secure shipment within or between life
cycle phases 2 and 3. It contains (but is not limited to) the Active
Authentication Key Pair and the Personalization Agent Key Pair.
Pre-personalized MRTD’s
chip
MRTD’s chip equipped with an unique identifier and an unique asymmetric
Active Authentication Key Pair of the chip.
Primary Inspection System
(PIS)
An inspection system that contains a terminal for the contactless
communication with the MRTD’s chip and does not implement the
terminals part of the Basic Access Control Mechanism.
random identifier Random identifier used to establish a communication to the TOE in Phase 3
and 4 preventing the unique identification of the MRTD and thus
participates in the prevention of traceability.
Receiving State The Country to which the Traveler is applying for entry. [ICAO_9303]
reference data Data enrolled for a known identity and used by the verifier to check the
verification data provided by an entity to prove this identity in an
authentication attempt.
secondary image A repeat image of the holder’s portrait reproduced elsewhere in the
document by whatever means. [ICAO_9303]
Secure messaging in
encrypted mode
Secure messaging using encryption and message authentication code
according to ISO/IEC 7816-4
Skimming Imitation of the inspection system to read the logical MRTD or parts of it
via the contactless communication channel of the TOE without knowledge
of the printed MRZ data.
Terminal Authorization Intersection of the Certificate Holder Authorizations defined by the
Inspection System Certificate, the Document Verifier Certificate and
Country Verifying Certification Authority which shall be all valid for the
Current Date.
Travel document A passport or other official document of identity issued by a State or
Organization, which may be used by the rightful holder for international
travel. [ICAO_9303]
Traveller Person presenting the MRTD to the inspection system and claiming the
identity of the MRTD holder.
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Term Definition
TSF data Data created by and for the TOE, that might affect the operation of the TOE
([CC_1]).
Unpersonalized MRTD The MRTD that contains the MRTD Chip holding only Initialization Data and
Pre-personalization Data as delivered to the Personalisation Agent from the
Manufacturer.
User data Data created by and for the user, that does not affect the operation of the
TSF ([CC_1]).
Verification The process of comparing a submitted biometric sample against the
biometric reference template of a single 92nrolee whose identity is being
claimed, to determine whether it matches the 92nrolee’s template.
Verification data Data provided by an entity in an authentication attempt to prove their
identity to the verifier. The verifier checks whether the verification data
match the reference data known for the claimed identity.
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Appendix B: Acronyms
Acronym Term
BIS Basic Inspection System
CC Common Criteria
EF Elementary File
EIS Extended Inspection System
GIS General Inspection System
ICCSN Integrated Circuit Card Serial Number
ISK Issuer Secret Key
MF Master File
MSK Manufacturer Secret Key
n.a. Not applicable
OSP Organizational Security Policy
PT Personalization Terminal
SAR Security Assurance Requirements
SFR Security Functional Requirement
TOE Target Of Evaluation
TSF TOE Security Functions
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Appendix C: Literature
Common Criteria
[CC_1] Common Criteria for Information Technology Security Evaluation, Part 1: Introduction and
General Model; CCMB-2012-09-001, Version 3.1, Revision 4, September 2012
[CC_2] Common Criteria for Information Technology Security Evaluation, Part 2: Security Functional
Components; CCMB-2012-09-002, Version 3.1, Revision 4, September 2012
[CC_3] Common Criteria for Information Technology Security Evaluation, Part 3: Security Assurance
Requirements; CCMB-2012-09-003, Version 3.1, Revision 4, September 2012
[CC_EM] Common Methodology for Information Technology Security Evaluation, Evaluation
Methodology; CCMB-2012-09-004, Version 3.1, Revision 4, September 2012
Protection Profiles
[PP_0002] PP conformant to Smartcard IC Platform Protection Profile, Version 1.0, July 2001;
registered and certified by Bundesamt für Sicherheit in der Informationstechnik (BSI)
under the reference BSI-PP-0002-2001
Smartcard Integrated Circuit Platform Augmentations, Version 1.00, March 8th, 2002
[PP_IC] Certification Report - BSI-DSZ-CC-0964-2017 for Infineon Technologies Security
Controller M7794 A12 and G12
[PP_BAC] Machine readable travel documents with “ICAO Application”, Basic Access control – BSI-
PP-0055 v1.10 25th march 2009
[PP_EAC] Common Criteria Protection Profile Machine Readable Travel Document with „ICAO
Application", Extended Access Control, BSI-PP-0056, Version 1.10, 25th March 2009
[PP_EACwPACE] Common Criteria Protection Profile Machine Readable Travel Document with “ICAO
Application”, Extended Application Control with PACE (EAC PP), BSI-CC-PP-0056-V2-2012,
Version 1.3.2, 5th
December 2012
IC
[IC_CERT] Certification Report - BSI-DSZ-CC-0964-V2 for Infineon Technologies Security Controller
M7794 A12 and G12
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[IC_ST] M7794 A12 and G12 – Security Target Lite Version 2.0, 2017-02-03
[IC_PPM] User’s manual, SLx 70 Family, Production anad Personalization, 2015-04
ICAO
[ICAO_9303] ICAO Doc 9303, Machine Readable Travel Documents, Seventh Edition, 2015 – Security
Mechanisms for MRTDs
[ICAOT] INTERNATIONAL CIVIL AVIATION ORGANIZATION FACILITATION (FAL) DIVISION, twelfth
session (Cairo, Egypt, 22 March – 1 April 2004)
ISO
[ISO_9797_1] ISO/IEC 9797-1 Information technology – Security techniques – Message Authentication
codes (MACs) – part 1: Mechanisms using a block cipher, Second edition 2011-03-01
[ISO_15946] Information technology -- Security techniques -- Cryptographic techniques based on
elliptic curves
Oberthur Technologies
[ALC_KM] Key management for Flash code, I CRD13 2 CRD 512 03, January 2016
[ALC_SCT] ID division: sensitive code transfer, I/R&D/2/SQA 515 01, March 2010
[ALC_STM] Secure transfer of masks, I CRD13 2 CRD 507 04, January 2012
Other
[TR_03110] Technical Guideline Advanced Security Mechanisms for Machine Readable Travel
Documents – Extended Access Control (EAC), Version 1.11, TR-03110, Bundesamt für
Sicherheit in der Informationstechnik (BSI)
[FIPS_180_2] FIPS 180-2, Federal Information Processing Standards Publication (FIPS PUB) 180-2,
Secure Hash Standard, August 2002
[FIPS_46_3] FIPS 46-3, Federal Information Processing Standards Publication (FIPS PUB) 46-3, Data
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Encryption Standard (DES), 1999 October 25
[FIPS_186_3] FIPS 186-3, Federal Information Processing Standards Publication (FIPS PUB) 186-3,
Digital Signature Standard (DSS), June 2009
[FIPS_197] FIPS 197, Federal Information Processing Standards Publication (FIPS PUB 197),
Advanced Encryption Standard (AES)
[NIST_800_38B] NIST Special Publication 800-38B: 2005, Recommendation for Block Cipher Modes of
Operation: The CMAC Mode for Authentication, May 2005
[GPC_SPE_034] GlobalPlatform – Card Specification – Version 2.2.1 – Public Release, January 2011
[RGS2_B1] Référentiel Général de Sécurité version 2.0 – Annexe B1 – Mécanismes
cryptographiques – Règles et recommandations concernant le choix et lme
dimensionnement des mécanismes cryptographiques, Version 2.03 du 21 février 2014.
[AIS_32] Anwendungshinweise und Interpretationen zum Schema, AIS32: Übernahme
international abgestimmter CC-Interpretationen ins deutsche Zertifizierungsschema,
Version 1, 02.07.2001, Bundesamt für Sicherheit in der Informationstechnik