BSI-DSZ-CC-1074-V2-2020 for Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 from MaskTech International GmbH sponsored by NTT DATA CORPORATION BSI - Bundesamt für Sicherheit in der Informationstechnik, Postfach 20 03 63, D-53133 Bonn Phone +49 (0)228 99 9582-0, Fax +49 (0)228 9582-5477, Infoline +49 (0)228 99 9582-111 Certification Report V1.0 CC-Zert-327 V5.3 BSI-DSZ-CC-1074-V2-2020 (*) Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 from MaskTech International GmbH sponsored by NTT DATA CORPORATION PP Conformance: None - Based on Protection Profile for ePassport IC with SAC (BAC+PACE) and Active Authentication, Version 1.00, March 8, 2016, JISEC C0500 Functionality: Product specific Security Target Common Criteria Part 2 extended Assurance: Common Criteria Part 3 conformant EAL 4 augmented by ALC_DVS.2 The IT Product identified in this certificate has been evaluated at an approved evaluation facility using the Common Methodology for IT Security Evaluation (CEM), Version 3.1 extended by Scheme Interpretations, by advice of the Certification Body for components beyond EAL 5 and CC Supporting Documents as listed in the Certification Report for conformance to the Common Criteria for IT Security Evaluation (CC), Version 3.1. CC and CEM are also published as ISO/IEC 15408 and ISO/IEC 18045. (*) This certificate applies only to the specific version and release of the product in its evaluated configuration and in conjunction with the complete Certification Report and Notification. For details on the validity see Certification Report part A chapter 5. The evaluation has been conducted in accordance with the provisions of the certification scheme of the German Federal Office for Information Security (BSI) and the conclusions of the evaluation facility in the evaluation technical report are consistent with the evidence adduced. This certificate is not an endorsement of the IT Product by the Federal Office for Information Security or any other organisation that recognises or gives effect to this certificate, and no warranty of the IT Product by the Federal Office for Information Security or any other organisation that recognises or gives effect to this certificate, is either expressed or implied. Bonn, 30 July 2020 For the Federal Office for Information Security Matthias Intemann L.S. Head of Branch SOGIS Recognition Agreement Common Criteria Recognition Arrangement recognition for components up to EAL 2 only Bundesamt für Sicherheit in der Informationstechnik Godesberger Allee 185-189 - D-53175 Bonn - Postfach 20 03 63 - D-53133 Bonn Phone +49 (0)228 99 9582-0 - Fax +49 (0)228 9582-5477 - Infoline +49 (0)228 99 9582-111 Certification Report BSI-DSZ-CC-1074-V2-2020 This page is intentionally left blank. 4 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report Contents A. Certification......................................................................................................................6 1. Preliminary Remarks....................................................................................................6 2. Specifications of the Certification Procedure...............................................................6 3. Recognition Agreements..............................................................................................7 4. Performance of Evaluation and Certification................................................................8 5. Validity of the Certification Result.................................................................................8 6. Publication....................................................................................................................9 B. Certification Results.......................................................................................................10 1. Executive Summary....................................................................................................11 2. Identification of the TOE.............................................................................................12 3. Security Policy............................................................................................................14 4. Assumptions and Clarification of Scope.....................................................................14 5. Architectural Information.............................................................................................14 6. Documentation...........................................................................................................15 7. IT Product Testing.......................................................................................................15 8. Evaluated Configuration.............................................................................................16 9. Results of the Evaluation............................................................................................16 10. Obligations and Notes for the Usage of the TOE.....................................................18 11. Security Target..........................................................................................................18 12. Regulation specific aspects (eIDAS, QES)..............................................................18 13. Definitions.................................................................................................................19 14. Bibliography..............................................................................................................20 C. Excerpts from the Criteria..............................................................................................23 D. Annexes.........................................................................................................................24 5 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 A. Certification 1. Preliminary Remarks Under the BSIG1 Act, the Federal Office for Information Security (BSI) has the task of issuing certificates for information technology products. Certification of a product is carried out on the instigation of the vendor or a distributor, hereinafter called the sponsor. A part of the procedure is the technical examination (evaluation) of the product according to the security criteria published by the BSI or generally recognised security criteria. The evaluation is normally carried out by an evaluation facility recognised by the BSI or by BSI itself. The result of the certification procedure is the present Certification Report. This report contains among others the certificate (summarised assessment) and the detailed Certification Results. The Certification Results contain the technical description of the security functionality of the certified product, the details of the evaluation (strength and weaknesses) and instructions for the user. 2. Specifications of the Certification Procedure The certification body conducts the procedure according to the criteria laid down in the following: ● Act on the Federal Office for Information Security1 ● BSI Certification and Approval Ordinance2 ● BMI Regulations on Ex-parte Costs3 ● Special decrees issued by the Bundesministerium des Innern (Federal Ministry of the Interior) ● DIN EN ISO/IEC 17065 standard ● BSI certification: Scheme documentation describing the certification process (CC- Produkte) [3] ● BSI certification: Scheme documentation on requirements for the Evaluation Facility, its approval and licencing process (CC-Stellen) [3] 1 Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009, Bundesgesetzblatt I p. 2821 2 Ordinance on the Procedure for Issuance of Security Certificates and approval by the Federal Office for Information Security (BSI-Zertifizierungs- und -Anerkennungsverordnung - BSIZertV) of 17 December 2014, Bundesgesetzblatt 2014, part I, no. 61, p. 2231 3 BMI Regulations on Ex-parte Costs - Besondere Gebührenverordnung des BMI für individuell zurechenbare öffentliche Leistungen in dessen Zuständigkeitsbereich (BMIBGebV), Abschnitt 7 (BSI- Gesetz) - dated 2 September 2019, Bundesgesetzblatt I p. 1365 6 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report ● Common Criteria for IT Security Evaluation (CC), Version 3.14 [1] also published as ISO/IEC 15408. ● Common Methodology for IT Security Evaluation (CEM), Version 3.1 [2] also published as ISO/IEC 18045 ● BSI certification: Application Notes and Interpretation of the Scheme (AIS) [4] 3. Recognition Agreements In order to avoid multiple certification of the same product in different countries a mutual recognition of IT security certificates - as far as such certificates are based on ITSEC or CC - under certain conditions was agreed. 3.1. European Recognition of CC – Certificates (SOGIS-MRA) The SOGIS-Mutual Recognition Agreement (SOGIS-MRA) Version 3 became effective in April 2010. It defines the recognition of certificates for IT-Products at a basic recognition level and, in addition, at higher recognition levels for IT-Products related to certain SOGIS Technical Domains only. The basic recognition level includes Common Criteria (CC) Evaluation Assurance Levels EAL 1 to EAL 4. For "Smartcards and similar devices" a SOGIS Technical Domain is in place. For "HW Devices with Security Boxes" a SOGIS Technical Domains is in place, too. In addition, certificates issued for Protection Profiles based on Common Criteria are part of the recognition agreement. The current list of signatory nations and approved certification schemes, details on recognition, and the history of the agreement can be seen on the website at https://www.sogis.eu. The SOGIS-MRA logo printed on the certificate indicates that it is recognised under the terms of this agreement by the related bodies of the signatory nations. A disclaimer beneath the logo indicates the specific scope of recognition. This certificate is recognized under SOGIS-MRA for all assurance components selected. 3.2. International Recognition of CC – Certificates (CCRA) The international arrangement on the mutual recognition of certificates based on the CC (Common Criteria Recognition Arrangement, CCRA-2014) has been ratified on 08 September 2014. It covers CC certificates based on collaborative Protection Profiles (cPP) (exact use), CC certificates based on assurance components up to and including EAL 2 or the assurance family Flaw Remediation (ALC_FLR) and CC certificates for Protection Profiles and for collaborative Protection Profiles (cPP). The current list of signatory nations and approved certification schemes can be seen on the website: https://www.commoncriteriaportal.org. The Common Criteria Recognition Arrangement logo printed on the certificate indicates that this certification is recognised under the terms of this agreement by the related bodies of the signatory nations. A disclaimer beneath the logo indicates the specific scope of recognition. 4 Proclamation of the Bundesministerium des Innern of 12 February 2007 in the Bundesanzeiger dated 23 February 2007, p. 3730 7 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 This certificate is recognized according to the rules of CCRA-2014, i. e. up to and including CC part 3 EAL 2 components. 4. Performance of Evaluation and Certification The certification body monitors each individual evaluation to ensure a uniform procedure, a uniform interpretation of the criteria and uniform ratings. The product Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 has undergone the certification procedure at BSI. This is a re-certification based on BSI-DSZ-CC-1074-2019. Specific results from the evaluation process BSI-DSZ-CC-1074-2019 were re-used. The evaluation of the product Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 was conducted by SRC Security Research & Consulting GmbH. The evaluation was completed on 28 July 2020. SRC Security Research & Consulting GmbH is an evaluation facility (ITSEF)5 recognised by the certification body of BSI. For this certification procedure the applicant is: MaskTech International GmbH. The sponsor is: NTT DATA CORPORATION. The product was developed by: MaskTech International GmbH. The certification is concluded with the comparability check and the production of this Certification Report. This work was completed by the BSI. 5. Validity of the Certification Result This Certification Report applies only to the version of the product as indicated. The confirmed assurance package is valid on the condition that ● all stipulations regarding generation, configuration and operation, as given in the following report, are observed, ● the product is operated in the environment described, as specified in the following report and in the Security Target. For the meaning of the assurance components and assurance levels please refer to CC itself. Detailed references are listed in part C of this report. The Certificate issued confirms the assurance of the product claimed in the Security Target at the date of certification. As attack methods evolve over time, the resistance of the certified version of the product against new attack methods needs to be re-assessed. Therefore, the sponsor should apply for the certified product being monitored within the assurance continuity program of the BSI Certification Scheme (e.g. by a re-assessment or re-certification). Specifically, if results of the certification are used in subsequent evaluation and certification procedures, in a system integration process or if a user's risk management needs regularly updated results, it is recommended to perform a re- assessment on a regular e.g. annual basis. In order to avoid an indefinite usage of the certificate when evolved attack methods would require a re-assessment of the products resistance to state of the art attack methods, the 5 Information Technology Security Evaluation Facility 8 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report maximum validity of the certificate has been limited. The certificate issued on 30 July 2020 is valid until 29 July 2025. Validity can be re-newed by re-certification. The owner of the certificate is obliged: 1. when advertising the certificate or the fact of the product's certification, to refer to the Certification Report as well as to provide the Certification Report, the Security Target and user guidance documentation mentioned herein to any customer of the product for the application and usage of the certified product, 2. to inform the Certification Body at BSI immediately about vulnerabilities of the product that have been identified by the developer or any third party after issuance of the certificate, 3. to inform the Certification Body at BSI immediately in the case that security relevant changes in the evaluated life cycle, e.g. related to development and production sites or processes, occur, or the confidentiality of documentation and information related to the Target of Evaluation (TOE) or resulting from the evaluation and certification procedure where the certification of the product has assumed this confidentiality being maintained, is not given any longer. In particular, prior to the dissemination of confidential documentation and information related to the TOE or resulting from the evaluation and certification procedure that do not belong to the deliverables according to the Certification Report part B, or for those where no dissemination rules have been agreed on, to third parties, the Certification Body at BSI has to be informed. In case of changes to the certified version of the product, the validity can be extended to the new versions and releases, provided the sponsor applies for assurance continuity (i.e. re-certification or maintenance) of the modified product, in accordance with the procedural requirements, and the evaluation does not reveal any security deficiencies. 6. Publication The product Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 has been included in the BSI list of certified products, which is published regularly (see also Internet: https://www.bsi.bund.de and [5]). Further information can be obtained from BSI-Infoline +49 228 9582-111. Further copies of this Certification Report can be requested from the developer6 of the product. The Certification Report may also be obtained in electronic form at the internet address stated above. 6 MaskTech International GmbH Nordostpark 45 90411 Nürnberg 9 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 B. Certification Results The following results represent a summary of ● the Security Target of the sponsor for the Target of Evaluation, ● the relevant evaluation results from the evaluation facility, and ● complementary notes and stipulations of the certification body. 10 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report 1. Executive Summary The target of evaluation (TOE) is the product Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 provided by MaskTech International GmbH. The TOE is an electronic travel document representing a contactless smart card providing the Basic Access Control (BAC), Password Authenticated Connection Establishment (PACE) and the Active Authentication protocol according to the “ICAO 9303” and BSI TR-03110 and is programmed according to ICAO Technical Report “Supplemental Access Control”. The main security features of the TOE are: • BAC function (mutual authentication and Secure Messaging), • PACE function (mutual authentication and Secure Messaging), • Active Authentication support function (prevention of copying the IC chip), • Disabling function of BAC function (prohibition of operating BAC after issuing a passport), • Write protection function (protection on writing data after issuing a passport), • Protection function in transport (protection against attacks during transport before issuing the TOE) and • Tamper resistance (protection against confidential information leak due to physical attacks). The Security Target [6] and [7] is the basis for this certification. It is based on the Protection Profile “JISEC C0500, version 1.00, Protection Profile for ePassport IC with SAC (BAC+PACE) and Active Authentication, JBMIA, 2016-03-08.” (English translation) [9], which requires strict conformance. The security functionality of the TOE is in principle strict conformant to the Protection Profile [9]. For formal reasons no strict conformance to the original Japanese Protection Profile is claimed, because the English translation [9] is not officially certified7 . Therefore the whole Security Target was evaluated. The additions to the Protection Profile [9] are described in [6] and [7], chapter 2.5. Please note that in consistency to the protection profile [9] the security mechanism Basic Access Control is in the main focus of this evaluation process in addition to the security mechanisms Password Authenticated Connection Establishment and Active Authentication. These were subject of the separate evaluation process BSI-DSZ-CC-1073- V2 [14] and the corresponding results were reused during this evaluation. The TOE Security Assurance Requirements (SAR) are based entirely on the assurance components defined in Part 3 of the Common Criteria (see part C or [1], Part 3 for details). The TOE meets the assurance requirements of the Evaluation Assurance Level EAL 4 augmented by ALC_DVS.2. The TOE Security Functional Requirements (SFR) relevant for the TOE are outlined in the Security Target [6] and [7], chapter 6.1. They are selected from Common Criteria Part 2 and some of them are newly defined. Thus the TOE is CC Part 2 extended. 7 ECSEC evaluated the Japanese Protection Profile C0500. After certification, the Protection Profile C0500 has been translated into English for publishing on the Web site of JISEC. The translated version [9] was checked by the IPA (Japanese certification body). But it was not strictly checked if the English translation used the appropriate English words as the CC-specific technical expression. 11 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 The TOE Security Functional Requirements are implemented by the following TOE Security Functionality: TOE Security Functionality Addressed issue F.IC_CL This Security Function covers the security functions of the hardware (IC) as well as of the cryptographic library F.Access_Control Regulates all access by external entities to operations of the TOE which are only executed after this TSF allowed access F.Identification_Authentication Provides identification/authentication of user roles F.Management Provides management capabilities during development, usage / preparation and usage / operational phases to set file layout, security attributes, and writing of data groups F.Crypto Provides a high-level interface to cryptographic functions F.Verification TOE internal functions to ensure correct operation Table 1: TOE Security Functionalities For more details please refer to the Security Target [6] and [7], chapter 7. The assets to be protected by the TOE are defined in the Security Target [6] and [7], chapter 3.1. Based on these assets the TOE Security Problem is defined in terms of Assumptions, Threats and Organisational Security Policies. This is outlined in the Security Target [6] and [7], chapter 3. This certification covers the configurations of the TOE as outlined in chapter 8. The vulnerability assessment results as stated within this certificate do not include a rating for those cryptographic algorithms and their implementation suitable for encryption and decryption (see BSIG Section 9, Para. 4, Clause 2). The certification results only apply to the version of the product indicated in the certificate and on the condition that all the stipulations are kept as detailed in this Certification Report. This certificate is not an endorsement of the IT product by the Federal Office for Information Security (BSI) or any other organisation that recognises or gives effect to this certificate, and no warranty of the IT product by BSI or any other organisation that recognises or gives effect to this certificate, is either expressed or implied. 2. Identification of the TOE The Target of Evaluation (TOE) is called: Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 The following table outlines the TOE deliverables: No Type Identifier Release Form of Delivery 1 HW/SW Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01 An IC module including the necessary basic software (OS) and ePassport application (file system): 12 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report No Type Identifier Release Form of Delivery 1. Hardware Platform STMicroelectronics ST31G480 D01 secure dual-interface controller ST31G480 D01 FW v2.1.0 CL: Neslib v6.2.1 SW is implemented in NVM memory; chip is initialised and tested before delivery to IC Sheet Manufacturer. Delivery type: The OS and application software flashed on the IC Platform 2. TOE Embedded Software IC Embedded Software (the operating system MTCOS Pro 2.5, implemented in NVM of the IC) MTCOS Pro Version 2.5, Build date 2020-03-16 3. TOE Embedded Applications IC Embedded Software / Part Application Software (containing the ePassport Application implemented in the NVM of the IC with the file system) MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication 2 DOC Xaica-α PLUS ePassport – User Guidance [11] Version 1.1, 17.07.2020 PGP encrypted email 3 SCRIPT Configuration Script, 20200316-generic-patch0v0-temp2perm.txt Revision 219 Table 2: Deliverables of the TOE The following delivery methods are used: • Sensitive electronic documents: Delivery of sensitive electronic data is performed PGP encrypted via email. This delivery method also applies for the guidance documentation. • Flash image production: The developer sends the flash image (HEX file) PGP- authenticated and encrypted. • TOE for Pre-issuance Personalisation: Chip card hardware is securely shipped to the IC Sheet Manufacturer. The sensitive electronic documents are retrieved by the IC Sheet Manufacturer via PGP encrypted mail. The delivery process of the IC from manufacturer to IC Sheet Manufacturer is supervised by STMicroelectronics. The IC Sheet Manufacturer responsible for pre-issuance personalisation can identify the product by: • delivery note, • correct working of the configuration script (20200316-generic-patch0v0-temp2perm.txt) which ensures a correct hardware, • the correct working of the transport key (PIN #8) and • using the command GET CHIP INFORMATION. After pre-issuance personalisation the product is delivered securely to the Booklet Manufacturer supervised by the IC Sheet Manufacturer. The Booklet Manufacturer is able to check the correct delivery visually by the labelling of the TOE. Further, the Booklet Manufacturer must perform a VERIFY command to authenticate himself against the post- issuance transport key PIN #1. 13 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 For the customer to be able to check the correct delivery visually, a delivery note together with the hardware stating the product type and certification reference number is provided. The response values of the command GET_CHIP_INFORMATION can be found in the guidance documentation [11], Annex A.2. The chip-individual data, e.g. the Chip ID, and possibly the initialization key identifier may be different from the manual. 3. Security Policy The Security Policy is expressed by the selected set of Security Functional Requirements and implemented by the TOE. It covers the following issues: The TOE implements physical and logical security functionality in order to protect user data stored and operated on the smart card when used in a hostile environment. Due to the nature of its intended application, i.e. the TOE may be issued to users and may not be directly under the control of trained and dedicated administrators. As a result, it is imperative that misleading, unreasonable and conflicting guidance is absent from the guidance documentation, and that secure procedures for all modes of operation have been addressed. Insecure states should be easy to detect. The TOE shall be shown to be highly resistant to penetration attacks to meet the security objectives. Specific details concerning the above mentioned security policies can be found in [6] and [7], sec. 6.3. 4. Assumptions and Clarification of Scope The Assumptions defined in the Security Target and some aspects of Threats and Organisational Security Policies are not covered by the TOE itself. These aspects lead to specific security objectives to be fulfilled by the TOE-Environment. The following topics are of relevance: ● OE.Administrative_Env ● OE.Disable_BAC ● OE.PKI ● OE.Personalization Details can be found in the Security Target [6] and [7], chapter 4.2. 5. Architectural Information The TOE is a composite product. It is composed from an Integrated Circuit, IC Embedded Software and IC Embedded Software / Part Application Software (containing the ePassport Application implemented in the NVM of the IC). While the IC Embedded software contains the operating system MTCOS Pro 2.5, the Part Application Software contains the ePassport application. As all these parts of software are running inside the IC, the external interface of the TOE to its environment can be defined as the external interface of this IC, the STMicroelectronics ST31G480 D01 secure dual-interface controller. For details concerning the CC evaluation of the STM IC and its cryptographic libraries see the evaluation documentation under the Certification ID ANSSI-CC-2019/12 [12]. The security functions of the TOE are enforced by the following subsystems: 14 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report Subsystem TSF supported Application data F.Access_Control, F.Identification_Authentication Operation System Kernel F.Access_Control, F.Identification_Authentication, F.Management, F.Crypto, F.Verification HAL F.IC_CL, F.Crypto, F.Identification_Authentication, F.Verification Hardware F.IC_CL Table 3: Subsystems enforcing TSF 6. Documentation The evaluated documentation as outlined in table 2 is being provided with the product to the customer. This documentation contains the required information for secure usage of the TOE in accordance with the Security Target. Additional obligations and notes for secure usage of the TOE as outlined in chapter 10 of this report have to be followed. 7. IT Product Testing The test cases are dedicated to the demonstration of the proper implementation of all security functions, card commands and operating system functionalities. For all commands resp. functionality, test cases are specified in order to demonstrate the expected behaviour including error cases. Each security function is covered by at least one test case. The conducted tests can be categorized into two groups: tests with the real card and tests with the emulator. The latter are used for situations where the test result cannot be verified externally (e.g. the secure deletion of data). The evaluators decided to focus their own independent tests on tests with real cards. For these tests the evaluators derived some test ideas from the developer tests under consideration of the described security functionality. All test cases were executed successfully and ended up with the expected result. If neces- sary the developer gave additional annotations. Based on this the evaluators decided to focus their own independent tests on tests with real cards. Developer tests with real cards and with emulated cards using the APDU Interface concerning the correctness of implementation of TSF code were repeated by the evaluators. During their independent testing, the evaluators covered: • testing APDU commands related to Access Control, • testing APDU commands related to Identification and Authentication, • testing APDU commands related to Management, • testing APDU commands related to Cryptographic Functions and Verification, • fuzzy testing related to verify the Reliability of the TOE, 15 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 • source code analysis performed by the evaluators, • testing the commands which are used to execute the different authentication protocols, • fault injection attacks (laser attacks and EM Glitches), Regarding penetration tests, no attack scenario with the attack potential enhanced-basic was actually successful in the TOE’s operational environment as defined in [6, 7] provided that all measures required by the developer are applied. The achieved test results correspond to the expected test results. 8. Evaluated Configuration This certification covers the following configuration of the TOE: Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01. It consists of: • STMicroelectronics ST31G480 D01 secure dual-interface controller, • cryptographic library NesLib 6.2.1, • the basic software (OS) implemented on the IC, • a file system in the context of the ePassport application, • the configuration script and • the associated guidance documentation. The IC embedded software consists of the operating system MTCOS Pro 2.5 and an application layer, consisting of the ePassport application. TOE configurations The product is provided in one configuration. This configuration enables the customer to deactivate the BAC mechanism before finalising the personalization, resulting in another product which implements only the PACE mechanism in operational usage phase that is evaluated in parallel to this evaluation process under cert. ID BSI-DSZ-CC-1073-V2. This evaluation addresses the TOE providing BAC+PACE functionality. 9. Results of the Evaluation 9.1. CC specific results The Evaluation Technical Report (ETR) [8] was provided by the ITSEF according to the Common Criteria [1], the Methodology [2], the requirements of the Scheme [3] and all interpretations and guidelines of the Scheme (AIS) [4] as relevant for the TOE. The Evaluation Methodology CEM [2] was used and guidance specific for the technology of the product [4] (AIS 34). The following guidance specific for the technology was used: (i) Application of CC to Integrated Circuits, (ii) Attack Methods for Smartcards and Similar Devices, (iii) Application of Attack Potential to Smartcards, 16 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report (iv) Evaluation Methodology for CC Assurance Classes for EAL5+ and EAL6, (v) Minimum Requirements for Evaluating Side-Channel Attack Resistance of RSA, DSA and Diffie-Hellman Key Exchange Implementations (vi) Composite product evaluation for Smart Cards and similar devices (see AIS 36). According to this concept the relevant guidance documents of the underlying platform and the documents ETR for Composition from the platform evaluations (i.e. on hardware [12, 13],) have been applied in the TOE evaluation. (see [4], AIS 25, AIS 26, AIS 34, AIS 36, AIS 46). For smart card specific methodology the scheme interpretations AIS 25, AIS 26 and AIS 36 were used (see [4]). For RNG assessment the scheme interpretations AIS 31 and AIS 20 were used (see [4]). As a result of the evaluation the verdict PASS is confirmed for the following assurance components: ● All components of the EAL 4 package including the class ASE as defined in the CC (see also part C of this report) ● The components ALC_DVS.2 augmented for this TOE evaluation. As the evaluation work performed for this certification procedure was carried out as a re- evaluation based on the certificate BSI-DSZ-CC-1074-2019, re-use of specific evaluation tasks was possible. In addition to the Password Authenticated Connection Establishment and Active Authentication functionality addressed in BSI-DSZ-CC-1074-2019, the Basic Access Control functionality was taken into account. The TOE itself did not change. The evaluation has confirmed: ● PP Conformance: None 8 ● for the Functionality: Product specific Security Target Common Criteria Part 2 extended ● for the Assurance: Common Criteria Part 3 conformant EAL 4 augmented by ALC_DVS.2 The cryptographic algorithms and protocols as outlined in the table presented in appendix A of the Security Target [6] and [7] are implemented in the card operating system and hereby make use of the STMicroelectronics ST31G480 D01 secure dual-interface controller and its related cryptographic library Neslib v6.2.1 that are part of the TOE. In particular, the ECC cryptographic routines (except for explicit ECC private key generation), the AES and DES CBC mode and the SHA hash calculation are taken from the cryptographic library, for random number generation the TOE is set up on the PTG.2 provided by the IC. The security evaluation of these cryptographic algorithms was performed in the framework of the certification of the STMicroelectronics ST31G480 D01 secure dual-interface controller with its related cryptographic library Neslib v6.2.1 (refer to the Certification Report [12] and the corresponding Security Target [15]). The TOE relies on the correct (i.e. standard-conform) and secure implementation of these cryptographic 8 Note that the ST [6,7] is based on the Protection Profile “JISEC C0500, version 1.00, Protection Profile for ePassport IC with SAC (BAC+PACE) and Active Authentication, JBMIA, 2016-03-08” (English translation) [9], which requires strict conformance. For formal reasons no strict conformance to the original Japanese PP is claimed, because the English translation of [9] is not officially certified. 17 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 algorithms. The remaining cryptographic implementation was analysed in the framework of the present composite evaluation of the TOE. For specific evaluation results regarding the development and production environment see annex B in part D of this report. The results of the evaluation are only applicable to the TOE as defined in chapter 2 and the configuration as outlined in chapter 8 above. The evaluation was performed as a composite evaluation according to AIS 36 and therefore relies on the platform certifications of the used platform (certification ID ANSSI- CC-2019/12) [12, 13]. The composite TOE takes care of the recommendations and requirements imposed by the guidance documentation and ETR for composition of the underlying platform to be resistant against attackers with attack potential enhanced-basic. 9.2. Results of cryptographic assessment The table presented in appendix A of the Security Target [6] and [7] gives an overview of the cryptographic functionalities inside the TOE to enforce the security policy and outlines the standard of application where its specific appropriateness is stated. The strength of these cryptographic algorithms was not rated in the course of this certification procedure (see BSIG Section 9, Para. 4, Clause 2). 10. Obligations and Notes for the Usage of the TOE The documents as outlined in table 2 contain necessary information about the usage of the TOE and all security hints therein have to be considered. In addition all aspects of Assumptions, Threats and OSPs as outlined in the Security Target not covered by the TOE itself need to be fulfilled by the operational environment of the TOE. The customer or user of the product shall consider the results of the certification within his system risk management process. In order for the evolution of attack methods and techniques to be covered, he should define the period of time until a re-assessment of the TOE is required and thus requested from the sponsor of the certificate. The limited validity for the usage of cryptographic algorithms as outlined in chapter 9 has to be considered by the user and his system risk management process, too. 11. Security Target For the purpose of publishing, the Security Target [7] of the Target of Evaluation (TOE) is provided within a separate document as Annex A of this report. It is a sanitised version of the complete Security Target [6] used for the evaluation performed. Sanitisation was performed according to the rules as outlined in the relevant CCRA policy (see AIS 35 [4]). 12. Regulation specific aspects (eIDAS, QES) None 18 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report 13. Definitions 13.1. Acronyms AES Advanced Encryption Standard AIS Application Notes and Interpretations of the Scheme APDU Application Protocol Data Unit BAC Basic Access Control BSI Bundesamt für Sicherheit in der Informationstechnik / Federal Office for Information Security, Bonn, Germany BSIG BSI-Gesetz / Act on the Federal Office for Information Security CCRA Common Criteria Recognition Arrangement CC Common Criteria for IT Security Evaluation CEM Common Methodology for Information Technology Security Evaluation cPP Collaborative Protection Profile DES Data Encryption Standard; symmetric block cipher algorithm EAC Extended Access Control EAL Evaluation Assurance Level ECC Elliptic Curve Cryptography ETR Evaluation Technical Report ICAO International Civil Aviation Organisation IPA Information-Technology Promotion Agency, Japan IT Information Technology ITSEF Information Technology Security Evaluation Facility JBMIA Japan Business Machine and Information System Industries Association JISEC Japan Information Technology Security Evaluation and Certification Scheme MAC Message Authentication Code MRTD Machine Readable Travel Document MRZ Machine Readable Zone PACE Password Authenticated Connection Establishment PP Protection Profile SAC Supplemental Access Control SAR Security Assurance Requirement SFP Security Function Policy SFR Security Functional Requirement SHA Secure Hash Algorithm SM Secure Messaging 19 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 ST Security Target TOE Target of Evaluation TSF TOE Security Functionality 13.2. Glossary Augmentation - The addition of one or more requirement(s) to a package. Collaborative Protection Profile - A Protection Profile collaboratively developed by an International Technical Community endorsed by the Management Committee. Extension - The addition to an ST or PP of functional requirements not contained in CC part 2 and/or assurance requirements not contained in CC part 3. Formal - Expressed in a restricted syntax language with defined semantics based on well- established mathematical concepts. Informal - Expressed in natural language. Object - A passive entity in the TOE, that contains or receives information, and upon which subjects perform operations. Package - named set of either security functional or security assurance requirements Protection Profile - A formal document defined in CC, expressing an implementation independent set of security requirements for a category of IT Products that meet specific consumer needs. Security Target - An implementation-dependent statement of security needs for a specific identified TOE. Semiformal - Expressed in a restricted syntax language with defined semantics. Subject - An active entity in the TOE that performs operations on objects. Target of Evaluation - An IT Product and its associated administrator and user guidance documentation that is the subject of an Evaluation. TOE Security Functionality - Combined functionality of all hardware, software, and firmware of a TOE that must be relied upon for the correct enforcement of the SFRs. 14. Bibliography [1] Common Criteria for Information Technology Security Evaluation, Version 3.1, Part 1: Introduction and general model, Revision 5, April 2017 Part 2: Security functional components, Revision 5, April 2017 Part 3: Security assurance components, Revision 5, April 2017 https://www.commoncriteriaportal.org [2] Common Methodology for Information Technology Security Evaluation (CEM), Evaluation Methodology, Version 3.1, Rev. 5, April 2017, https://www.commoncriteriaportal.org [3] BSI certification: Scheme documentation describing the certification process (CC- Produkte) and Scheme documentation on requirements for the Evaluation Facility, approval and licencing (CC-Stellen), https://www.bsi.bund.de/zertifizierung 20 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report [4] Application Notes and Interpretations of the Scheme (AIS) as relevant for the TOE9 https://www.bsi.bund.de/AIS [5] German IT Security Certificates (BSI 7148), periodically updated list published also on the BSI Website, https://www.bsi.bund.de/zertifizierungsreporte [6] Security Target BSI-DSZ-CC-1074-V2-2020, Version 0.3, 16.07.2020, Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01, MaskTech International GmbH (confidential document) [7] Security Target Lite BSI-DSZ-CC-1074-V2-2020, Version1.1, 17.07.2020, Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01, MaskTech International GmbH (sanitised public document) [8] Evaluation Technical Report, Version 1.3, 24.07.2020, Evaluation Technical Report (ETR) BSI-DSZ-CC-1074-V2, SRC Security Research & Consulting GmbH (confidential document) [9] JISEC C0500, version 1.00, Protection Profile for ePassport IC with SAC (BAC+PACE) and Active Authentication, JBMIA, 2016-03-08 [10] Configuration list - Xaica-α PLUS ePassport, BSI-DSZ-CC-1073-V2/1074-V2, MaskTech International GmbH, Version 0.5, 17.07.2020 (confidential document) [11] Xaica-α PLUS ePassport – User Guidance, BSI-DSZ-CC-1073-V2/1074-V2, MaskTech International GmbH, Version 1.1, 17.07.2020 [12] Rapport de certification ANSSI-CC-2019/12 – ST31G480 D01 including optional cryptographic library NESLIB v6.2.1 and optional technologies MIFARE DESFire EV1 v4.8.12 and MIFARE Plus X v2.4.6; Agence nationale de la sécurité des systèmes d’information; 2019-03-05 [13] ETR lite for Composition, Elixir 3 Project, Certification ID ANSSI-CC-2019/12, TOE ST31G480 D01; Serma Safety & Security; Version 1.3, 15.02.2019 [14] Certification Report BSI-DSZ-CC-1073-V2 for Xaica-αPLUS ePassport on MTCOS Pro 2.5 with SAC (PACE) and Active Authentication / ST31G480 D01 from 9 specifically • AIS 20, Version 3, Funktionalitätsklassen und Evaluationsmethodologie für deterministische Zufallszahlengeneratoren • AIS 25, Version 9, Anwendung der CC auf Integrierte Schaltungen including JIL Document and CC Supporting Document • AIS 26, Version 10, Evaluationsmethodologie für in Hardware integrierte Schaltungen including JIL Document and CC Supporting Document • AIS 31, Version 3, Funktionalitätsklassen und Evaluationsmethodologie für physikalische Zufallszahlengeneratoren • AIS 32, Version 7, CC-Interpretationen im deutschen Zertifizierungsschema • AIS 34, Version 3, Evaluation Methodology for CC Assurance Classes for EAL 5+ (CCv2.3 & CCv3.1) and EAL 6 (CCv3.1) • AIS 35, Version 2, Öffentliche Fassung des Security Targets (ST-Lite) including JIL Document and CC Supporting Document and CCRA policies • AIS 36, Version 5, Kompositionsevaluierung including JIL Document and CC Supporting Document • AIS 38, Version 2.9, Reuse of evaluation results 21 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 MaskTech International GmbH, 28.07.2020, Bundesamt für Sicherheit in der Informationstechnik (BSI) [15] ST31G480 D01 including optional cryptographic library NESLIB, and optional technologies MIFARE® DESFire® EV1 and MIFARE Plus® X – Security Target for composition; STMicroelectronics; ANSSI-CC-2019/12; October 2018 22 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report C. Excerpts from the Criteria For the meaning of the assurance components and levels the following references to the Common Criteria can be followed: • On conformance claim definitions and descriptions refer to CC part 1 chapter 10.5 • On the concept of assurance classes, families and components refer to CC Part 3 chapter 7.1 • On the concept and definition of pre-defined assurance packages (EAL) refer to CC Part 3 chapters 7.2 and 8 • On the assurance class ASE for Security Target evaluation refer to CC Part 3 chapter 12 • On the detailled definitions of the assurance components for the TOE evaluation refer to CC Part 3 chapters 13 to 17 • The table in CC part 3, Annex E summarizes the relationship between the evaluation assurance levels (EAL) and the assurance classes, families and components. The CC are published at https://www.commoncriteriaportal.org/cc/ 23 / 25 Certification Report BSI-DSZ-CC-1074-V2-2020 D. Annexes List of annexes of this certification report Annex A: Security Target provided within a separate document. Annex B: Evaluation results regarding development and production environment 24 / 25 BSI-DSZ-CC-1074-V2-2020 Certification Report Annex B of Certification Report BSI-DSZ-CC-1074-V2-2020 Evaluation results regarding development and production environment The IT product Xaica-α PLUS ePassport on MTCOS Pro 2.5 with SAC (BAC+PACE) and Active Authentication / ST31G480 D01, (Target of Evaluation, TOE) has been evaluated at an approved evaluation facility using the Common Methodology for IT Security Evaluation (CEM), Version 3.1 extended by Scheme Interpretations, by advice of the Certification Body for components beyond EAL 5 and CC Supporting Documents for conformance to the Common Criteria for IT Security Evaluation (CC), Version 3.1. As a result of the TOE certification, dated 30 July 2020, the following results regarding the development and production environment apply. The Common Criteria assurance requirements ALC – Life cycle support (i.e. ALC_CMC.4, ALC_CMS.4, ALC_DEL.1, ALC_DVS.2, ALC_LCD.1, ALC_TAT.1, ALC_COMP.1) are fulfilled for the development and production sites of the TOE listed below: a) MaskTech International GmbH, Nordostpark 45, 90411 Nuremberg, Germany (Development) b) The manufacturing and installation steps are completely performed by STMicroelectronics. For development and production sites regarding the platform please refer to the certification report ANSSI-CC-2019/12 [12] For the sites listed above, the requirements have been specifically applied in accordance with the Security Target [6]. The evaluators verified, that the threats, security objectives and requirements for the TOE life cycle phases up to delivery (as stated in the Security Target [6] and [7]) are fulfilled by the procedures of these sites. Note: End of report 25 / 25