BSI-DSZ-CC-0946-2014 for Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software from Infineon Technologies AG BSI - Bundesamt für Sicherheit in der Informationstechnik, Postfach 20 03 63, D-53133 Bonn Phone +49 (0)228 99 9582-0, Fax +49 (0)228 9582-5477, Infoline +49 (0)228 99 9582-111 Certification Report V1.0 CC-Zert-327 V5.02 BSI-DSZ-CC-0946-2014 Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software from Infineon Technologies AG PP Conformance: Security IC Platform Protection Profile, Version 1.0, 15 June 2007, BSI-CC-PP-0035-2007 Functionality: PP conformant plus product specific extensions Common Criteria Part 2 extended Assurance: Common Criteria Part 3 conformant EAL 5 augmented by AVA_VAN.5 and ALC_DVS.2 SOGIS Recognition Agreement 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 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. 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. Common Criteria Recognition Arrangement for components up to EAL 4 Bonn, 28 October 2014 For the Federal Office for Information Security Bernd Kowalski L.S. Head of Department 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-0946-2014 This page is intentionally left blank. 4 / 44 BSI-DSZ-CC-0946-2014 Certification Report 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. 1 Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009, Bundesgesetzblatt I p. 2821 5 / 44 Certification Report BSI-DSZ-CC-0946-2014 Contents A Certification.........................................................................................................................7 1 Specifications of the Certification Procedure..................................................................7 2 Recognition Agreements.................................................................................................7 3 Performance of Evaluation and Certification...................................................................8 4 Validity of the Certification Result....................................................................................9 5 Publication.......................................................................................................................9 B Certification Results..........................................................................................................11 1 Executive Summary......................................................................................................12 2 Identification of the TOE................................................................................................14 3 Security Policy...............................................................................................................16 4 Assumptions and Clarification of Scope........................................................................17 5 Architectural Information................................................................................................17 6 Documentation..............................................................................................................17 7 IT Product Testing..........................................................................................................18 8 Evaluated Configuration................................................................................................19 9 Results of the Evaluation...............................................................................................20 10 Obligations and Notes for the Usage of the TOE........................................................23 11 Security Target.............................................................................................................24 12 Definitions....................................................................................................................24 13 Bibliography.................................................................................................................28 C Excerpts from the Criteria.................................................................................................31 CC Part 1:........................................................................................................................31 CC Part 3:........................................................................................................................32 D Annexes............................................................................................................................39 6 / 44 BSI-DSZ-CC-0946-2014 Certification Report A Certification 1 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 Security2 ● BSI Certification Ordinance3 ● BSI Schedule of Costs4 ● Special decrees issued by the Bundesministerium des Innern (Federal Ministry of the Interior) ● DIN EN ISO/IEC 17065 standard ● BSI certification: Technical information on the IT security certification, Procedural Description (BSI 7138) [3] ● BSI certification: Requirements regarding the Evaluation Facility (BSI 7125) [3] ● Common Criteria for IT Security Evaluation (CC), Version 3.15 [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] 2 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. European Recognition of ITSEC/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 technical domains only. The basic recognition level includes Common Criteria (CC) Evaluation Assurance Levels EAL1 to EAL4 and ITSEC Evaluation Assurance Levels E1 to E3 (basic). For higher recognition levels the technical domain Smart card and similar Devices has been defined. 2 Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009, Bundesgesetzblatt I p. 2821 3 Ordinance on the Procedure for Issuance of a Certificate by the Federal Office for Information Security (BSI-Zertifizierungsverordnung, BSIZertV) of 07 July 1992, Bundesgesetzblatt I p. 1230 4 Schedule of Cost for Official Procedures of the Bundesamt für Sicherheit in der Informationstechnik (BSI-Kostenverordnung, BSI-KostV) of 03 March 2005, Bundesgesetzblatt I p. 519 5 Proclamation of the Bundesministerium des Innern of 12 February 2007 in the Bundesanzeiger dated 23 February 2007, p. 3730 7 / 44 Certification Report BSI-DSZ-CC-0946-2014 It includes assurance levels beyond EAL4 resp. E3 (basic). In addition, certificates issued for Protection Profiles based on Common Criteria are part of the recognition agreement. As of September 2011 the new agreement has been signed by the national bodies of Austria, Finland, France, Germany, Italy, The Netherlands, Norway, Spain, Sweden and the United Kingdom. Details on recognition and the history of the agreement can be found at https://www.bsi.bund.de/zertifizierung. The SOGIS-MRA logo printed on the certificate indicates that it is recognised under the terms of this agreement by the nations listed above. This certificate is recognized under SOGIS-MRA for all assurance components selected. 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 September 8, 2014. It covers CC certificates based on collaborative Protection Profiles (cPP) (exact use), certificates based on assurance components up to and including EAL 2 or the assurance family Flaw Remediation (ALC_FLR) and certificates for Protection Profiles and for collaborative Protection Profiles (cPP). The CCRA-2014 replaces the old CCRA signed in May 2000 (CCRA-2000). Certificates based on CCRA-2000, issued before September 8, 2014 are still under recognition according to the rules of CCRA-2000. For on September 8, 2014 ongoing certification procedures and for Assurance Continuity (maintenance and re-certification) of old certificates a transition period on the recognition of certificates according to the rules of CCRA-2000 (i.e. assurance components up to and including EAL 4 or the assurance family Flaw Remediation (ALC_FLR)) is defined until September 8, 2017. As of September 2014 the signatories of the new CCRA are government representatives from the following nations: Australia, Austria, Canada, Czech Republic, Denmark, Finland, France, Germany, Greece, Hungary, India, Israel, Italy, Japan, Malaysia, The Netherlands, New Zealand, Norway, Pakistan, Republic of Korea, Singapore, Spain, Sweden, Turkey, United Kingdom, and the United States. The current list of signatory nations and approved certification schemes can be seen on the website: http://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 nations listed above. As the product certified has been accepted into the certification process before September 8, 2014, this certificate is recognized according to the rules of CCRA-2000, i.e. up to and including CC part 3 EAL 4 components. The evaluation contained the components ALC_DVS.2, AVA_VAN.5, ADV_FSP.5, ADV_INT.2, ADV_TDS.4, ALC_CMS.5, ALC_TAT.2 and ATE_DPT.3 that are not mutually that are not mutually recognised in accordance with the provisions of the CCRA-2000, for mutual recognition the EAL 4 components of these assurance families are relevant. 3 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. 8 / 44 BSI-DSZ-CC-0946-2014 Certification Report The product Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software has undergone the certification procedure at BSI. This is a re-certification based on BSI-DSZ-CC-0827-V2-2014. Specific results from the evaluation process BSI-DSZ-CC-0827-V2-2014 were re-used. The evaluation of the product Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software was conducted by TÜV Informationstechnik GmbH. The evaluation was completed on 20 October 2014. TÜV Informationstechnik GmbH is an evaluation facility (ITSEF)6 recognised by the certification body of BSI. For this certification procedure the sponsor and applicant is: Infineon Technologies AG. The product was developed by: Infineon Technologies AG. The certification is concluded with the comparability check and the production of this Certification Report. This work was completed by the BSI. 4 Validity of the Certification Result This Certification Report only applies to the version of the product as indicated. The confirmed assurance package is only 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 levels please refer to the excerpts from the criteria at the end of the Certification 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-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 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. 5 Publication The product Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software has been included in the BSI list of certified products, which is published regularly 6 Information Technology Security Evaluation Facility 9 / 44 Certification Report BSI-DSZ-CC-0946-2014 (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 developer7 of the product. The Certification Report may also be obtained in electronic form at the internet address stated above. 7 Infineon Technologies AG Alter Postweg 101 86159 Augsburg 10 / 44 BSI-DSZ-CC-0946-2014 Certification Report 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. 11 / 44 Certification Report BSI-DSZ-CC-0946-2014 1 Executive Summary The Target of Evaluation (TOE) is Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software. The TOE implements a dedicated security 32-bit RISC CPU designed on the basis of the ARMv7_M architecture. The core system is then composed by the 32-bit CPU as a variant of the ARM® SecurCore™ SC300™, the Cache system, the Memory Protection Unit and the Memory Encryption/Decryption Unit. The TOE implements a full 32-bit addressing with up to 4 GByte linear addressable memory space, a simple scalable memory management concept and a scalable stack size. The TOE embeds its own ROM, RAM and Non Volatile Memory, protected by the Infineon’s SOLID FLASH™ NVM memory system also called NVM in the following description. The TOE offers a wide range of peripherals, such as a UART (using the ISO7816 interface), several timers and watchdogs, a CRC module, a True Random Number Generator (TRNG) and two dedicated coprocessors for symmetric (e.g. DES, AES) and asymmetric (e.g. RSA, EC) cryptographic algorithms. Additionally a range of communication interfaces, such as GPIO, I2C, SWP, USB, SSC/SPI and a Mifare-compatible Interface are offered. The TOE provides the low-level firmware components: the Boot Software (BOS), the Resource Management System (RMS), the high-level firmware Flash Loader (FL) and the Mifare-compatible software. The RMS firmware provides functionalities via an API to the Smartcard Embedded Software (User Software) via an API such as NVM service routines (e.g. read, write and tearing save write) The BOS firmware (BOS) is used for initialization purposes and the FL allows the fast downloading of the User Software into the NVM during the manufacturing process. The BOS is implemented in a separated Test-ROM being part of the TOE. The Mifare-compatible software includes support for card emulation mode and reader mode. The term Smartcard Embedded Software is used in the following for all operating systems and applications stored and executed on the TOE. The TOE is the platform for the Smartcard Embedded Software. The Smartcard Embedded Software itself is not part of the TOE. The two cryptographic co-processors serve the need of modern cryptography: The symmetric co-processor (SCP) combines both AES and Triple-DES with dual-key or triple-key hardware acceleration. The Asymmetric Crypto Co-processor, called Crypto2304T in the following, supports RSA and Elliptic Curve (EC) cryptography with high performance. A True Random Number Generator (TRNG) specially designed for smart card applications is implemented. The TRNG fulfils the requirements from the functionality class PTG.2 of the AIS31 and produces genuine random numbers which then can be used internally or by the user software. The software part of the TOE consists of the cryptographic libraries RSA and EC and the supporting Toolbox and Base libraries. If RSA or EC or Toolbox is part of the shipment, the Base Library is automatically included. The RSA library is used to provide a high-level interface to RSA (Rivest, Shamir, Adleman) cryptography implemented on the hardware component Crypto2304T and includes countermeasures against SPA, DPA and DFA attacks. The routines are used for the 12 / 44 BSI-DSZ-CC-0946-2014 Certification Report generation of RSA key pairs (RsaKeyGen), RSA signature verification (RsaVerify), RSA signature generation (RsaSign) and RSA modulus recalculation (RsaModulus). The hardware Crypto2304T unit provides the basic long number calculations with high performance. The RSA library is delivered as object code. The RSA library can perform RSA operations from 512 to 4096 bits. The EC library is used to provide a high-level interface to Elliptic Curve cryptography implemented on the hardware component Crypto2304T and includes countermeasures against SPA, DPA and DFA attacks. The routines are used for ECDSA signature generation, ECDSA signature cerification, ECDSA key generation and Elliptic Curve Diffie-Hellman key agreement. The EC library is delivered as object code. The certification covers the standard NIST [DSS] and Brainpool [ECC] Elliptic Curves with key lengths of 160, 163, 192, 224, 233, 256, 283, 320, 384, 409, 512 or 521 Bits, due to national AIS32 regulations by the BSI. Note that there are numerous other curve types, being also secure in terms of side channel attacks on this TOE, which can the user optionally add in the composition certification process. The Toolbox library does not provide cryptographic support or additional security functionality as it provides only the following basic long integer arithmetic and modular functions in software, supported by the cryptographic coprocessor: Addition, subtraction, division, multiplication, comparison, reduction, modular addition, modular subtraction, modular multiplication, modular inversion and modular exponentiation. No security relevant policy, mechanism or function is supported. The toolbox library is deemed for software developers as support for simplified implementation of long integer and modular arithmetic operations. The Base Library provides the low level interface to the asymmetric cryptographic coprocessor and has no user available interface. The base library does not provide any security functionality, implements no security mechanisms, and does not does not contribute to a security functional requirement. The cryptographic libraries RSA, EC and Toolbox library are delivery options. If one of the libraries RSA, EC or Toolbox is delivered, the Base Lib is automatically part of it. Therefore the user may choose a free combination of these libraries. In the case of deselecting one or several of these libraries the TOE does not provide the corresponding functionality for Additional Specific Security Functionality Rivest-Shamir-Adleman Cryptography (RSA) and/or Elliptic Curve cryptography (EC). The Toolbox and Base Library are no cryptographic libraries and provide no additional specific security functionality. This TOE is intended to be used in smart cards for particularly security-relevant applications and for its previous use as developing platform for smart card operating systems according to the lifecycle model from [8]. The Security Target [6] is the basis for this certification. It is based on the certified Protection Profile Security IC Platform Protection Profile, Version 1.0, 15 June 2007, BSI-CC-PP-0035-2007 [8]. The TOE Security Assurance Requirements (SAR) are based entirely on the assurance components defined in Part 3 of the Common Criteria (see part C or [1], Part 3 for details). The TOE meets the assurance requirements of the Evaluation Assurance Level EAL 5 augmented by AVA_VAN.5 and ALC_DVS.2. The TOE Security Functional Requirements (SFR) relevant for the TOE are outlined in the Security Target [6] and [8], chapter 7. They are all selected from Common Criteria Part 2. 13 / 44 Certification Report BSI-DSZ-CC-0946-2014 Thus the TOE is CC Part 2 conformant / They are selected from Common Criteria Part 2 and some of them are newly defined. Thus the TOE is CC Part 2 extended. The TOE Security Functional Requirements are implemented by the following TOE Security Features: TOE Security Features Addressed issue SF_DPM Device Phase Management SF_PS Protection against Snooping SF_PMA Protection against Modification Attacks SF_PLA Protection against Logical Attacks SF_CS Cryptographic Support Table 1: TOE Security Functionalities For more details please refer to the Security Target [6] and [8], chapter 8. The assets to be protected by the TOE are defined in the Security Target [6] and [8], chapter 4.1.2. Based on these assets the TOE Security Problem is defined in terms of Assumptions, Threats and Organisational Security Policies. This is outlined in the Security Target [6] and [8], chapter 4.2. 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: Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software The following table outlines the TOE deliverables: No Type Identifier Release Form of delivery 1 HW M5072 Smart Card IC G11 (produced in Tainan) Bare dies, plain wafers, complete modules or IC cases 2 FW Flash Loader FW Identifier 80 00 11 41 Stored in reserved area of User ROM on the IC 3 FW BOS Boot System (the IC Dedicated Test Software) FW Identifier 80 00 11 41 Stored in Test ROM on the IC 14 / 44 BSI-DSZ-CC-0946-2014 Certification Report No Type Identifier Release Form of delivery 4 FW RMS Resource Management System (the IC Dedicated Support Software) FW Identifier 80 00 11 41 Stored in reserved area of User ROM on the IC (patch in NVM) 5 FW Mifare-compatible OS (optional) FW Identifier 80 00 11 41 Stored in reserved area of User ROM on the IC 6 SW NVM image (including Embedded Software) – Stored in Flash memory on the IC 7 SW RSA library (optional) RSA2048 v1.03.006 RSA4096 v1.03.006 Object code in electronic form 8 SW EC library (optional) EC v1.03.006 Object code in electronic form 9 SW Toolbox (optional) Toolbox v1.03.006 Object code in electronic form 10 SW Management of Mifare-compatible Cards (optional) v01.03.0927 or v01.04.1275 Object code in electronic form 11 SW Mifare-compatible Reader Mode Support (optional) v01.02.0800 Object code in electronic form 12 DOC SLE 97 32-bit Security Controller Family based on SC300 in 90 nm CMOS Technology M5072 Solid Flash Controller for SIM Applications Hardware Reference Manual 2014-04-09 Hardcopy or pdf-file 13 DOC SLE 97 SOLID FLASH Family 32-bit Security Controller Family based on SC300TM in 90 nm CMOS Technology m5072 Errata Sheet 2014-07-29 Hardcopy or pdf-file 14 DOC M5072 Security Guidelines User’s Manual 2014-06-25 Hardcopy or pdf-file 15 DOC SLE 97 Flash Controller Family Programmer’s Reference Manual 2014-06-03 Hardcopy and pdf-file 16 DOC ARMv7-M Architecture Reference Manual 2010-02-12 Hardcopy and pdf-file 17 DOC SLE97 Asymmetric Crypto Library for Crypto@2304T RSA / ECC / Toolbox 2012-08-16 Hardcopy and pdf-file 18 DOC SLE 97 /SLC 14 Family Production and Personalization User’s Manual 2012-05-10 Hardcopy and pdf-file Table 2: Deliverables of the TOE A processing step during production testing incorporates the chip-individual features into the hardware of the TOE. The individual TOE hardware is uniquely identified by its serial number. The serial number comprises the lot number, the wafer number and the coordinates of the chip on the wafer. Each individual TOE can therefore be traced unambiguously and thus assigned to the entire development and production process. As the TOE is under control of the user software, the TOE Manufacturer can only guarantee the integrity up to the delivery procedure. It is in the responsibility of the Composite Product Manufacturer to include mechanisms in the implemented software (developed by the IC Embedded Software Developer) which allows detection of modifications after the delivery. 15 / 44 Certification Report BSI-DSZ-CC-0946-2014 The TOE can be delivered in various configurations, achieved by means of blocking and depending on the customer order. All product derivates of this TOE, including all configuration possibilities differentiated by the GCIM (Generic Chip Identification Mode) data and the configuration information output, are manufactured by Infineon Technologies AG. New configurations can occur at any time depending on the user blocking or by different configurations applied by the manufacturer. In any case the user is able to clearly identify the TOE hardware, its configuration and proof the validity of the certificate independently, meaning without involving the manufacturer. The various blocking options, as well as the means used for the blocking, are done during the manufacturing process or at user premises. Entirely all means of blocking and the, for the blocking involved firmware respectively software parts, used at Infineon Technologies AG and/or the user premises, are subject of the evaluation. All resulting configurations of a TOE derivative are subject of the certificate. All resulting configurations are either at the predefined limits or within the predefined configuration ranges. For more information about blocking, please compere chapter 8. The hardware part of the TOE is identified by M5072 G11. Another characteristic of the TOE are the chip identification data. This chip identification data is accessible via the Generic Chip Identification Mode (GCIM). This GCIM outputs amongst other identifiers for the platform, chip mode, ROM code, chip type, design step, fabrication facility, wafer, die position, firmware identifier, temperature range, and frequency. 3 Security Policy The Security Policy is expressed by the set of Security Functional Requirements and implemented by the TOE. It covers the following issues: Symmetric cryptographic block cipher algorithms (Triple-DES and AES), to ensure the confidentiality of plain text data by encryption and to support secure authentication protocols and it will provide a random number generation of appropriate quality. The RSA library is used to provide a high level interface to RSA (Rivest, Shamir, Adleman) cryptography implemented on the hardware component Crypto2304T and includes countermeasures against SPA, DPA and DFA attacks. The EC library is used to provide a high level interface to Elliptic Curve cryptography implemented on the hardware component Crypto2304T and includes countermeasures against SPA, DPA and DFA attacks. The SHA-library provides the calculation of a hash value of freely chosen data input in the CPU. As the TOE is a hardware security platform, the security policy of the TOE is also to provide protection against leakage of information (e.g. to ensure the confidentiality of cryptographic keys during AES, Triple-DES, RSA and EC cryptographic functions performed by the TOE), against physical probing, against malfunctions, against physical manipulations and against abuse of functionality. Hence the TOE shall ● maintain the integrity and the confidentiality of data stored in the memory of the TOE and ● maintain the integrity, the correct operation and the confidentiality of security functionalities (security mechanisms and associated functions) provided by the TOE. 16 / 44 BSI-DSZ-CC-0946-2014 Certification Report 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: protection during composite manufacturing, usage of hardware platform and treatment of user data. Details can be found in the Security Target Details can be found in the Security Target [6] and [8], chapter 3.4 and 4.3. 5 Architectural Information The TOE is an integrated circuits (IC) providing a platform to a smart card operating system and smart card application software. A top level block diagram and a list of subsystems can be found within the TOE description of the Security Target Lite [8], chapter 2.1. The TOE implements a dedicated security 32-bit RISC CPU designed on the basis of the ARMv7_M architecture. The core system is then composed by the 32-bit CPU as a variant of the ARM® SecurCore™ SC300™, the Cache system, the Memory Protection Unit and the Memory Encryption/Decryption Unit. The TOE implements a full 32-bit addressing with up to 4 GByte linear addressable memory space, a simple scalable memory management concept and a scalable stack size. The TOE embeds its own ROM, RAM and Non Volatile Memory, protected by the Infineon’s SOLID FLASH™ NVM1 memory system also called NVM in the following description. Two co-processors for cryptographic operations are implemented on the TOE. The Crypto2304T for calculation of asymmetric algorithms like RSA and Elliptic Curve (EC) and the Symmetric Cryptographic Processor (SCP) for dual-key or triple-key triple-DES and AES calculations. These co-processors are especially designed for smart card applications with respect to the security and power consumption. The SCP module computes the complete DES algorithm within a few clock cycles and is especially designed to counter attacks like DPA, EMA and DFA. The Crypto2304T module provides basic functions for the implementation of RSA and EC cryptographic libraries. The BOS (Boot Software) and the RMS (Resource Management System) compose the TOE firmware stored in the ROM and the patches hereof in the NVM. All mandatory functions for start-up and internal testing are protected by a dedicated hardware firewall. Additionally two levels are provided, the privileged level and the user level, both are protected by a hardwired Memory Protection Unit (MPU) setting. The RMS is accessible in privileged level only. The FL (Flash Loader) and the Mifare-compatible software compose the TOE software stored in the NVM. The FL allows downloading of User Software into the NVM during the manufacturing process and can be completely deactivated. 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. 17 / 44 Certification Report BSI-DSZ-CC-0946-2014 7 IT Product Testing The tests performed by the developer were divided into six categories: 1. Technology development tests as the earliest tests to check the technology against the specification and to get the technology parameters used in simulations of the circuitry (this testing is not strictly related to Security Functionalities); 2. Tests which are performed in a simulation environment with different tools for the analogue circuitries and for the digital parts of the TOE; 3. Regression tests of the hardware within a simulation environment based on special software dedicated only for the regression tests; 4. Regression tests which are performed for the IC Dedicated Test Software and for the IC Dedicated Support Software on emulator versions of the TOE and within a software simulation of chip in special hardware; 5. Characterisation and verification tests to release the TOE to production: a) used to determine the behaviour of the chip with respect to different operating conditions and varied process parameters (often also referred to as characterisation tests); b) special verification tests for Security Functionalities which were done with samples of the TOE (referred also as developers security evaluation) and which include also layout tests by automatic means and optical control, in order to verify statements concerning the layout; 6. Functional production tests, which are done for every chip to check its correct functionality as a last step of the production process (phase 3). The developer tests cover all security functionalities and all security mechanisms as identified in the functional specification. The evaluators were able to repeat the tests of the developer either using the library of programs, tools and prepared chip samples delivered to the evaluator or at the developers site. They performed independent tests to supplement, augment and to verify the tests performed by the developer. The tests of the developer were repeated by sampling, by repetition of complete regression tests and by software routines developed by the evaluators and computed on samples with an evaluation operating system. For the developer tests repeated by the evaluators other test parameters were used and the test equipment was varied. Security features of the TOE realised by specific design and layout measures were checked by the evaluators during layout inspections both in design data and on the final product. The evaluation has shown that the actual version of the TOE provides the security functionalities as specified by the developer. The test results confirm the correct implementation of the TOE security functionalities. For penetration testing the evaluators took all security functionalities into consideration. Intensive penetration testing was planned based on the analysis results and performed for the underlying mechanisms of security functionalities using bespoke equipment and expert know how. The penetration tests considered both the physical tampering of the TOE and attacks which do not modify the TOE physically. The penetration tests results confirm that the TOE is resistant to attackers with high attack potential in the intended environment for the TOE. 18 / 44 BSI-DSZ-CC-0946-2014 Certification Report 8 Evaluated Configuration This certification covers the following configurations of the TOE: ● Smartcard IC M5072 G11 (Tainan/Taiwan). This TOE is represented by various configurations called products, which are all derived from the equal hardware design M5072. The same mask is used to produce different products of the TOE. The first metal mask (called the M1 mask) contains the specific information to identify the TOE. The M5072 product offers different configuration options, which a customer can choose. The mechanism to choose a configuration can be done by the following methods: ● by product selection or dialog-based in Tools, ● via Bill-per-Use (BPU) and Flash Loader (FL). The degree of freedom for configuring the TOE is predefined by Infineon Technologies AG. The list of predefined TOE configurations is given, as an example in Table 3 and in the Hardware Reference Manual [13], section 18. All these possible TOE configurations equal and/or within the specified ranges are covered by the certificate. Beside fix TOE configurations, which can be ordered as usual, this TOE implements optionally the so called Bill-Per-Use (BPU) ability. This solution enables the customer to tailor the product on his own to the required configuration by blocking parts of the chip on demand into the final configuration at his own premises, without further delivery or involving support by Infineon Technology AG. Customers, who are intended to use this feature receiving the TOE in a predefined configuration including the Flash Loader software, enhanced with the BPU blocking software. The blocking information is part of a chip configuration area and can be modified by customers using specific APDUs. Once a final blocking is done, further modifications are disabled. The BPU software part is only present on the products which have been ordered with the BPU option. In all other cases this software is not present on the product. For more details please refer to the Security Target Lite [7], chapter 2.2.7 and 2.2.8. Depending on the blocking configuration a M5072 product can have different user available configurations listed in Table 3. Blocking object Blocking options Solid Flash 0 to 1536 kByte User RAM 0 to 32 kByte Cache 0,5 to 2 kByte System Frequency 33 MHz up to 53 MHz Mifare compliant SW support Available / not available Crypto@2304T accessible / blocked SCP accessible / blocked Mifare accessible / blocked UART accessible / blocked USB accessible / blocked SSC/SPI accessible / blocked 19 / 44 Certification Report BSI-DSZ-CC-0946-2014 Blocking object Blocking options SWP accessible / blocked I2C accessible / blocked GPIO accessible / blocked RSA2048 Available / not available RSA4096 Available / not available EC Available / not available Toolbox Available / not available Management of Mifare-compatible Cards Library Available / not available Mifare-compatible Reader Mode Support Library Available / not available Table 3: TOE configurations All product derivates of this TOE, including all configuration possibilities differentiated by the GCIM data and the configuration information output, are manufactured by Infineon Technologies AG. The derivatives of the TOE produced in the factory TSMC coming with the additional top layer on board (WLB) are managed with the same design step. These derivatives output a G11 in the GCIM for WLB derivate. All other identification options, i.e. the various metal option identifiers of the GCIM remain unchanged. All products are identically from module design and layout, but may include further package options require flexibility in design and could also depend on user requirements. In these cases one or more additional metal layer may be added on top of one of the TOE mask set. These additional metal layers, it could also be more than one, just reroute the pads. Therefore, this last rerouting on top does not change the function of the TOE itself and is depending on the package only. These top metal layers are flexible in design, could depend also on user requirements and are of course not relevant for the security of the TOE. For these reasons, the metal layers are out the scope of the certification and do not belong to the TOE. Of course, in all cases passivation and isolation coating is applied on top of the last layers carrying wires. 9 Results of the Evaluation CC specific results The Evaluation Technical Report (ETR) [9] was provided by the ITSEF according to the Common Criteria [1], the Methodology [2], the requirements of the Scheme [3] and all interpretations and guidelines of the Scheme (AIS) [4] as relevant for the TOE. The Evaluation Methodology CEM [2] was used for those components up to EAL 5 extended by advice of the Certification Body for components beyond EAL 5 and guidance specific for the technology of the product [4] (AIS 34). The following guidance specific for the technology was used: ● The Application of CC to Integrated Circuits ● The Application of Attack Potential to Smartcards ● Guidance, Smartcard Evaluation (see [4], AIS 25, AIS 26, AIS 31). 20 / 44 BSI-DSZ-CC-0946-2014 Certification Report For RNG assessment the scheme interpretations AIS 31 was used (see [4]). To support composite evaluations according to AIS 36 the document ETR for composite evaluation [10] was provided and approved. This document provides details of this platform evaluation that have to be considered in the course of a composite evaluation on top. The assurance refinements outlined in the Security Target were followed in the course of the evaluation of the TOE. As a result of the evaluation the verdict PASS is confirmed for the following assurance components: ● All components of the EAL 5 package including the class ASE as defined in the CC (see also part C of this report) ● The components AVA_VAN.5 and 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-0827-V2-2014, re-use of specific evaluation tasks was possible. The focus of this re-evaluation was on the control logic to NVM. The evaluation has confirmed: ● PP Conformance: Security IC Platform Protection Profile, Version 1.0, 15 June 2007, BSI-CC-PP-0035-2007 [8] ● for the Functionality: PP conformant plus product specific extensions Common Criteria Part 2 extended ● for the Assurance: Common Criteria Part 3 conformant EAL 5 augmented by AVA_VAN.5 and ALC_DVS.2 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. Results of cryptographic assessment The strength of the cryptographic algorithms was not rated in the course of this certification procedure (see BSIG Section 9, Para. 4, Clause 2). But Cryptographic Functionalities with a security level of lower than 100 bits can no longer be regarded as secure without considering the application context. Therefore, for these functionalities it shall be checked whether the related crypto operations are appropriate for the intended system. Some further hints and guidelines can be derived from the 'Technische Richtlinie BSI TR-02102' (https://www.bsi.bund.de). Any Cryptographic Functionality that is marked in column 'Security Level above 100 Bits' of the following table with 'no' achieves a security level of lower than 100 Bits (in general context). 21 / 44 Certification Report BSI-DSZ-CC-0946-2014 Purpose Cryptographic Mechanism Standard of Implementation Key Size in Bits Security Level above 100 Bits Key Agreement ECDH [ANS X9.63] Key sizes corresponding to the used elliptic curves P-192, K-163 [FIPS186-4] and brainpoolP{160, 192}r1, brainpoolP{160, 192}t1 [RFC5639] No ECDH [ANS X9.63] Key sizes corresponding to the used elliptic curves P-{224, 256, 384, 521}, K-{233, 409}, B-{233, 283, 409} [FIPS186-4], brainpoolP{224,256,320,384,512}r1, brainpoolP{224,256,320,384,512}t1 [RFC5639] Yes Cryptographic Primitive TDES in ECB mode [NIST SP800-67] |k| = 112, 168 No TDES in CBC mode [NIST SP800-67] |k| = 112 No TDES in CBC mode [NIST SP800-67] |k| = 168 Yes AES in ECB mode [FIPS197] |k| = 128, 192, 256 No AES in CBC mode [FIPS197] |k| = 128, 192, 256 Yes RSA encryption / decryption / signature generation / verification (only modular exponentiation part) [PKCS #1] Modulus length = 1024 - 1975 No RSA encryption / decryption / signature generation / verification (only modular exponentiation part) [PKCS #1] Modulus length = 1976 - 4096 Yes ECDSA signature generation / verification [ANS X9.62] Key sizes corresponding to the used elliptic curves P-192, K-163 [FIPS186-4] and brainpoolP{160, 192}r1, brainpoolP{160, 192}t1 [RFC5639] No ECDSA signature generation / verification [ANS X9.62] Key sizes corresponding to the used elliptic curves P-{224, 256, 384, 521}, K-{233, 409}, B-{233, 283, 409} [FIPS186-4], brainpoolP{224,256,320,384,512}r1, brainpoolP{224,256,320,384,512}t1 [RFC5639] Yes Physical True RNG PTG.2 [AIS31] N/A N/A Table 4: TOE cryptographic functionality [ANS X9.62] American National Standard for Financial Services ANS X9.62-2005, Public Key Cryptography for the Financial Services Industry, The Elliptic Curve Digital Signature Algorithm (ECDSA), November 16, 2005, American National Standards Institute. 22 / 44 BSI-DSZ-CC-0946-2014 Certification Report [ANS X9.63] American National Standard for Financial Services X9.63-2001, Public Key Cryptography for the Financial Services Industry: Key Agreement and Key Transport Using Elliptic Curve Cryptography, November 20, 2001, American National Standards Institute. [FIPS 186-4] Federal Information Processing Standards Publication FIPS PUB 186-4, Digital Signature Standard (DSS), July 2013, U.S. department of Commerce / National Institute of Standards and Technology (NIST). [FIPS197] Federal Information Processing Standards Publication 197, November 26, 2001, Announcing the ADVANCED ENCRYPTION STANDARD (AES), National Institute of Standards and Technology. [NIST SP800-67] NIST Special Publication 800-67, Recommendation for the Triple Data Encryption Algorithm (TDEA) Block Cipher, Revised January 2012, Revision 1, National Institute of Standards and Technology (NIST), Technology Administration, U.S. Department of Commerce. [PKCS#1] PKCS #1: RSA Cryptography Standard, v2.1, June 14, 2002, RSA Laboratories [RFC5639] RFC 5639 - Elliptic Curve Cryptography (ECC) Brainpool Standard Curves and Curve Generation, IETF Trust and the persons identified as the document authors, March 2010. 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. Some security measures are partly implemented in the hardware and require additional configuration or control or measures to be implemented by the IC Dedicated Support Software or Embedded Software. For this reason the TOE includes guidance documentation (see table 2) which contains guidelines for the developer of the IC Dedicated Support Software and Embedded Software on how to securely use the microcontroller chip and which measures have to be implemented in the software in order to fulfil the security requirements of the Security Target of the TOE. In the course of the evaluation of the composite product or system it must be examined if the required measures have been correctly and effectively implemented by the software. Additionally, the evaluation of the composite product or system must also consider the evaluation results as outlined in the document ETR for composite evaluation [10]. The Security IC Embedded Software Developer receives all necessary recommendations and hints to develop his software in form of the delivered documentation. 23 / 44 Certification Report BSI-DSZ-CC-0946-2014 ● All security hints described in the delivered documents [12]..[17] have to be considered. The Composite Product Manufacturer receives all necessary recommendations and hints to develop his software in form of the delivered documentation. ● All security hints described in [18] have to be considered. In addition the following hint resulting from the evaluation of the ALC evaluation aspect has to be considered: ● The IC Embedded Software Developer can deliver his software either to Infineon to let them implement it in the TOE (in Flash memory) or to the Composite Product Manufacturer to let him download the software in the Flash memory. ● The delivery procedure from the IC Embedded Software Developer to the Composite Product Manufacturer is not part of this evaluation and a secure delivery is required. 11 Security Target For the purpose of publishing, the Security Target [8] 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 Definitions Acronyms AES Advanced Encryption Standard AIS31 “Anwendungshinweise und Interpretationen zu ITSEC und CC Funktionalitätsklassen und Evaluationsmethodologie für physikalische Zufallszahlengeneratoren” ANA Analog Units APB™ Advanced Peripheral Bus APDU Application Protocol Data Unit API Application Programming Interface AXI™ Advanced eXtensible Interface Bus Protocol BPU Bill Per Use BSI Bundesamt für Sicherheit in der Informationstechnik / Federal Office for Information Security, Bonn, Germany BOS Boot Software BSIG BSI-Gesetz / Act on the Federal Office for Information Security CC Common Criteria for IT Security Evaluation CEM Common Methodology for Information Technology Security Evaluation CI Chip Identification Mode (STS-CI) CIM Chip Identification Mode (STS-CI), same as CI CPU Central Processing Unit 24 / 44 BSI-DSZ-CC-0946-2014 Certification Report CCRA Common Criteria Recognition Arrangement Crypto2304T Asymmetric Cryptographic Processor CRC Cyclic Redundancy Check CRT Chinese Reminder Theorem DES Data Encryption Standard; symmetric block cipher algorithm DPA Differential Power Analysis DFA Differential Failure Analysis EAL Evaluation Assurance Level EC Elliptic Curve Cryptography ECC Error Correction Code ECDH Elliptic Curve Diffie–Hellman ECDSA Elliptic Curve Digital Signature Algorithm EDC Error Detection Code EDU Error Detection Unit EEPROM Electrically Erasable and Programmable Read Only Memory EMA Electro Magnetic Analysis Flash EEPROM Flash Memory FL Flash Loader software FTL Flash Translation Layer FW Firmware GCIM Generic Chip Identification Mode GPIO General Purpose IO HW Hardware IC Integrated Circuit ICO Internal Clock Oscillator ID Identification IMM Interface Management Module I2C Inter Integrated Chip IT Information Technology ITP Interrupt and Peripheral Event Channel Controller I/O Input/Output IRAM Internal Random Access Memory ISS Instruction Stream Signature Checking MED Memory Encryption and Decryption MMU Memory Management Unit 25 / 44 Certification Report BSI-DSZ-CC-0946-2014 NVM Non-Volatile Memory NVIC Nested Vectored Interrupt Controller OS Operating system PEC Peripheral Event Channel PP Protection Profile PRNG Pseudo Random Number Generator PROM Programmable Read Only Memory RAM Random Access Memory RMS Resource Management System RNG Random Number Generator ROM Read Only Memory RSA Rives-Shamir-Adleman Algorithm SAM Service Algorithm Minimal SCP Symmetric Cryptographic Processor SF Security Feature SFR Special Function Register, as well as Security Functional Requirement, the specific meaning is given in the context SOLID FLASH™ An Infineon Trade Mark and Stands for Flash EEPROM Technology SPA Simple Power Analysis SPI Serial Peripheral Interface SSC Synchronous Serial Communication ST Security Target STS Self Test Software SW Software SO Security Objective SWP Single Wire Protocol TOE Target of Evaluation TM Test Mode (STS) TSF TOE Security Functions TRNG True Random Number Generator TSC TOE Security Functions Control TSF TOE Security Functionality UART Universal Asynchronous Receiver/Transmitter UM User Mode (STS) UmSLC User Mode Security Life Control WLB Wafer Level Ballgrid Array 26 / 44 BSI-DSZ-CC-0946-2014 Certification Report WLP Wafer Level Package WDT Watch Dog Timer XRAM eXtended Random Access Memory 3DES Triple DES Encryption Standards 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. 27 / 44 Certification Report BSI-DSZ-CC-0946-2014 13 Bibliography [1] Common Criteria for Information Technology Security Evaluation, Version 3.1, Part 1: Introduction and general model, Revision 4, September 2012 Part 2: Security functional components, Revision 4, September 2012 Part 3: Security assurance components, Revision 4, September 2012 [2] Common Methodology for Information Technology Security Evaluation (CEM), Evaluation Methodology, Version 3.1, Rev. 4, September 2012 [3] BSI certification: Technical information on the IT security certification of products, protection profiles and sites (BSI 7138) and Requirements regarding the Evaluation Facility for the Evaluation of Products, Protection Profiles and Sites under the CC and ITSEC (BSI 7125) [4] Application Notes and Interpretations of the Scheme (AIS) as relevant for the TOE8 . [5] German IT Security Certificates (BSI 7148), periodically updated list published also in the BSI Website [6] Security Target BSI-DSZ-CC-0946-2014, M5072 including optional Software Libraries RSA - EC – Toolbox, Version 0.1, 2014-09-01, Infineon Technologies AG (confidential document) [7] Security IC Platform Protection Profile, Version 1.0, 15 June 2007, BSI-CC-PP-0035-2007 [8] Security Target Lite BSI-DSZ-CC-0946-2014, M5072 G11 including optional Software Libraries RSA – EC – Toolbox, Version 0.1, 2014-09-01, Infineon Technologies AG (sanitised public document) [9] Evaluation Technical Report Summary (ETR Summary) for the M5072 G11 with Crypto Libraries, Version 3, 2014-10-27, TÜV Informationstechnik GmbH, (confidential document) 8 specifically • AIS 20, Version 3, Funktionalitätsklassen und Evaluationsmethodologie für deterministische Zufallszahlengeneratoren • AIS 25, Version 8, Anwendung der CC auf Integrierte Schaltungen including JIL Document and CC Supporting Document • AIS 26, Version 9, 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 EAL5+ (CCv2.3 & CCv3.1) and EAL6 (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 4, Kompositionsevaluierung including JIL Document and CC Supporting Document • AIS 38, Version 2, Reuse of evaluation results 28 / 44 BSI-DSZ-CC-0946-2014 Certification Report [10] ETR for composite evaluation according to AIS 36 for the M5072 G11, Version 3, 2014-10-27, TÜV Informationstechnik GmbH (confidential document) [11] Configuration Management Scope M5072 G11 including optional Software Libraries RSA - EC – ToolboxL, Version 0.1, 2014-09-05, Infineon Technologies AG (confidential document) [12] M5072 Security Guidelines User’s Manual, 2014-06-25, Infineon Technologies AG [13] SLE 97 32-bit Security Controller Family based on SC300 in 90 nm CMOS Technology M5072 Solid Flash Controller for SIM Applications Hardware Reference Manual, Version 1.2, 2014-04-09, Infineon Technologies AG [14] SLE 97 Flash Controller Family Programmer’s Reference Manual, Version 2.8, 2014-06-03, Infineon Technologies AG [15] SLE 97 SOLID FLASH Family 32-bit Security Controller Family based on SC300TM in 90 nm CMOS Technology M5072 Errata Sheet, Version 1.0, 2014-07-29, Infineon Technologies AG [16] SLE97 Asymmetric Crypto Library for Crypto@2304T RSA / ECC / Toolbox (1.03.006), 2012-08-16, Infineon Technologies AG [17] ARMv7-M Architecture Reference Manual, ID 021310, 2010-02-12, ARM Limited [18] SLE 97 / SLC 14 Family Production and Personalization User’s Manual, 2012-05-10, Infineon Technologies AG 29 / 44 Certification Report BSI-DSZ-CC-0946-2014 This page is intentionally left blank. 30 / 44 BSI-DSZ-CC-0946-2014 Certification Report C Excerpts from the Criteria CC Part 1: Conformance Claim (chapter 10.4) “The conformance claim indicates the source of the collection of requirements that is met by a PP or ST that passes its evaluation. This conformance claim contains a CC conformance claim that: ● describes the version of the CC to which the PP or ST claims conformance. ● describes the conformance to CC Part 2 (security functional requirements) as either: – CC Part 2 conformant - A PP or ST is CC Part 2 conformant if all SFRs in that PP or ST are based only upon functional components in CC Part 2, or – CC Part 2 extended - A PP or ST is CC Part 2 extended if at least one SFR in that PP or ST is not based upon functional components in CC Part 2. ● describes the conformance to CC Part 3 (security assurance requirements) as either: – CC Part 3 conformant - A PP or ST is CC Part 3 conformant if all SARs in that PP or ST are based only upon assurance components in CC Part 3, or – CC Part 3 extended - A PP or ST is CC Part 3 extended if at least one SAR in that PP or ST is not based upon assurance components in CC Part 3. Additionally, the conformance claim may include a statement made with respect to packages, in which case it consists of one of the following: ● Package name Conformant - A PP or ST is conformant to a pre-defined package (e.g. EAL) if: – the SFRs of that PP or ST are identical to the SFRs in the package, or – the SARs of that PP or ST are identical to the SARs in the package. ● Package name Augmented - A PP or ST is an augmentation of a predefined package if: – the SFRs of that PP or ST contain all SFRs in the package, but have at least one additional SFR or one SFR that is hierarchically higher than an SFR in the package. – the SARs of that PP or ST contain all SARs in the package, but have at least one additional SAR or one SAR that is hierarchically higher than an SAR in the package. Note that when a TOE is successfully evaluated to a given ST, any conformance claims of the ST also hold for the TOE. A TOE can therefore also be e.g. CC Part 2 conformant. Finally, the conformance claim may also include two statements with respect to Protection Profiles: ● PP Conformant - A PP or TOE meets specific PP(s), which are listed as part of the conformance result. ● Conformance Statement (Only for PPs) - This statement describes the manner in which PPs or STs must conform to this PP: strict or demonstrable. For more information on this Conformance Statement, see Annex D.” 31 / 44 Certification Report BSI-DSZ-CC-0946-2014 CC Part 3: Class APE: Protection Profile evaluation (chapter 10) “Evaluating a PP is required to demonstrate that the PP is sound and internally consistent, and, if the PP is based on one or more other PPs or on packages, that the PP is a correct instantiation of these PPs and packages. These properties are necessary for the PP to be suitable for use as the basis for writing an ST or another PP. Assurance Class Assurance Components Class APE: Protection Profile evaluation APE_INT.1 PP introduction APE_CCL.1 Conformance claims APE_SPD.1 Security problem definition APE_OBJ.1 Security objectives for the operational environment APE_OBJ.2 Security objectives APE_ECD.1 Extended components definition APE_REQ.1 Stated security requirements APE_REQ.2 Derived security requirements APE: Protection Profile evaluation class decomposition” Class ASE: Security Target evaluation (chapter 11) “Evaluating an ST is required to demonstrate that the ST is sound and internally consistent, and, if the ST is based on one or more PPs or packages, that the ST is a correct instantiation of these PPs and packages. These properties are necessary for the ST to be suitable for use as the basis for a TOE evaluation.” Assurance Class Assurance Components Class ASE: Security Target evaluation ASE_INT.1 ST introduction ASE_CCL.1 Conformance claims ASE_SPD.1 Security problem definition ASE_OBJ.1 Security objectives for the operational environment ASE_OBJ.2 Security objectives ASE_ECD.1 Extended components definition ASE_REQ.1 Stated security requirements ASE_REQ.2 Derived security requirements ASE_TSS.1 TOE summary specification ASE_TSS.2 TOE summary specification with architectural design summary ASE: Security Target evaluation class decomposition 32 / 44 BSI-DSZ-CC-0946-2014 Certification Report Security assurance components (chapter 7) “The following Sections describe the constructs used in representing the assurance classes, families, and components.“ “Each assurance class contains at least one assurance family.” “Each assurance family contains one or more assurance components.” The following table shows the assurance class decomposition. Assurance Class Assurance Components ADV: Development ADV_ARC.1 Security architecture description ADV_FSP.1 Basic functional specification ADV_FSP.2 Security-enforcing functional specification ADV_FSP.3 Functional specification with complete summary ADV_FSP.4 Complete functional specification ADV_FSP.5 Complete semi-formal functional specification with additional error information ADV_FSP.6 Complete semi-formal functional specification with additional formal specification ADV_IMP.1 Implementation representation of the TSF ADV_IMP.2 Implementation of the TSF ADV_INT.1 Well-structured subset of TSF internals ADV_INT.2 Well-structured internals ADV_INT.3 Minimally complex internals ADV_SPM.1 Formal TOE security policy model ADV_TDS.1 Basic design ADV_TDS.2 Architectural design ADV_TDS.3 Basic modular design ADV_TDS.4 Semiformal modular design ADV_TDS.5 Complete semiformal modular design ADV_TDS.6 Complete semiformal modular design with formal high-level design presentation AGD: Guidance documents AGD_OPE.1 Operational user guidance AGD_PRE.1 Preparative procedures ALC: Life cycle support ALC_CMC.1 Labelling of the TOE ALC_CMC.2 Use of a CM system ALC_CMC.3 Authorisation controls ALC_CMC.4 Production support, acceptance procedures and automation ALC_CMC.5 Advanced support ALC_CMS.1 TOE CM coverage ALC_CMS.2 Parts of the TOE CM coverage ALC_CMS.3 Implementation representation CM coverage ALC_CMS.4 Problem tracking CM coverage ALC_CMS.5 Development tools CM coverage ALC_DEL.1 Delivery procedures ALC_DVS.1 Identification of security measures ALC_DVS.2 Sufficiency of security measures ALC_FLR.1 Basic flaw remediation ALC_FLR.2 Flaw reporting procedures ALC_FLR.3 Systematic flaw remediation ALC_LCD.1 Developer defined life-cycle model 33 / 44 Certification Report BSI-DSZ-CC-0946-2014 Assurance Class Assurance Components ALC_LCD.2 Measurable life-cycle model ALC_TAT.1 Well-defined development tools ALC_TAT.2 Compliance with implementation standards ALC_TAT.3 Compliance with implementation standards - all parts ATE: Tests ATE_COV.1 Evidence of coverage ATE_COV.2 Analysis of coverage ATE_COV.3 Rigorous analysis of coverage ATE_DPT.1 Testing: basic design ATE_DPT.2 Testing: security enforcing modules ATE_DPT.3 Testing: modular design ATE_DPT.4 Testing: implementation representation ATE_FUN.1 Functional testing ATE_FUN.2 Ordered functional testing ATE_IND.1 Independent testing – conformance ATE_IND.2 Independent testing – sample ATE_IND.3 Independent testing – complete AVA: Vulnerability assessment AVA_VAN.1 Vulnerability survey AVA_VAN.2 Vulnerability analysis AVA_VAN.3 Focused vulnerability analysis AVA_VAN.4 Methodical vulnerability analysis AVA_VAN.5 Advanced methodical vulnerability analysis Assurance class decomposition Evaluation assurance levels (chapter 8) “The Evaluation Assurance Levels (EALs) provide an increasing scale that balances the level of assurance obtained with the cost and feasibility of acquiring that degree of assurance. The CC approach identifies the separate concepts of assurance in a TOE at the end of the evaluation, and of maintenance of that assurance during the operational use of the TOE. It is important to note that not all families and components from CC Part 3 are included in the EALs. This is not to say that these do not provide meaningful and desirable assurances. Instead, it is expected that these families and components will be considered for augmentation of an EAL in those PPs and STs for which they provide utility.” Evaluation assurance level (EAL) overview (chapter 8.1) “Table 1 represents a summary of the EALs. The columns represent a hierarchically ordered set of EALs, while the rows represent assurance families. Each number in the resulting matrix identifies a specific assurance component where applicable. As outlined in the next Section, seven hierarchically ordered evaluation assurance levels are defined in the CC for the rating of a TOE's assurance. They are hierarchically ordered inasmuch as each EAL represents more assurance than all lower EALs. The increase in assurance from EAL to EAL is accomplished by substitution of a hierarchically higher assurance component from the same assurance family (i.e. increasing rigour, scope, and/or depth) and from the addition of assurance components from other assurance families (i.e. adding new requirements). These EALs consist of an appropriate combination of assurance components as described in Chapter 7 of this CC Part 3. More precisely, each EAL includes no more than one 34 / 44 BSI-DSZ-CC-0946-2014 Certification Report component of each assurance family and all assurance dependencies of every component are addressed. While the EALs are defined in the CC, it is possible to represent other combinations of assurance. Specifically, the notion of “augmentation” allows the addition of assurance components (from assurance families not already included in the EAL) or the substitution of assurance components (with another hierarchically higher assurance component in the same assurance family) to an EAL. Of the assurance constructs defined in the CC, only EALs may be augmented. The notion of an “EAL minus a constituent assurance component” is not recognised by the standard as a valid claim. Augmentation carries with it the obligation on the part of the claimant to justify the utility and added value of the added assurance component to the EAL. An EAL may also be augmented with extended assurance requirements. Evaluation assurance level 1 (EAL1) - functionally tested (chapter 8.3) “Objectives EAL1 is applicable where some confidence in correct operation is required, but the threats to security are not viewed as serious. It will be of value where independent assurance is required to support the contention that due care has been exercised with respect to the protection of personal or similar information. EAL1 requires only a limited security target. It is sufficient to simply state the SFRs that the TOE must meet, rather than deriving them from threats, OSPs and assumptions through security objectives. EAL1 provides an evaluation of the TOE as made available to the customer, including independent testing against a specification, and an examination of the guidance documentation provided. It is intended that an EAL1 evaluation could be successfully conducted without assistance from the developer of the TOE, and for minimal outlay. An evaluation at this level should provide evidence that the TOE functions in a manner consistent with its documentation.” Evaluation assurance level 2 (EAL2) - structurally tested (chapter 8.4) “Objectives EAL2 requires the co-operation of the developer in terms of the delivery of design information and test results, but should not demand more effort on the part of the developer than is consistent with good commercial practise. As such it should not require a substantially increased investment of cost or time. EAL2 is therefore applicable in those circumstances where developers or users require a low to moderate level of independently assured security in the absence of ready availability of the complete development record. Such a situation may arise when securing legacy systems, or where access to the developer may be limited.” Evaluation assurance level 3 (EAL3) - methodically tested and checked (chapter 8.5) “Objectives EAL3 permits a conscientious developer to gain maximum assurance from positive security engineering at the design stage without substantial alteration of existing sound development practises. 35 / 44 Certification Report BSI-DSZ-CC-0946-2014 EAL3 is applicable in those circumstances where developers or users require a moderate level of independently assured security, and require a thorough investigation of the TOE and its development without substantial re-engineering.” Evaluation assurance level 4 (EAL4) - methodically designed, tested, and reviewed (chapter 8.6) “Objectives EAL4 permits a developer to gain maximum assurance from positive security engineering based on good commercial development practises which, though rigorous, do not require substantial specialist knowledge, skills, and other resources. EAL4 is the highest level at which it is likely to be economically feasible to retrofit to an existing product line. EAL4 is therefore applicable in those circumstances where developers or users require a moderate to high level of independently assured security in conventional commodity TOEs and are prepared to incur additional security-specific engineering costs.” Evaluation assurance level 5 (EAL5) - semiformally designed and tested (chapter 8.7) “Objectives EAL5 permits a developer to gain maximum assurance from security engineering based upon rigorous commercial development practises supported by moderate application of specialist security engineering techniques. Such a TOE will probably be designed and developed with the intent of achieving EAL5 assurance. It is likely that the additional costs attributable to the EAL5 requirements, relative to rigorous development without the application of specialised techniques, will not be large. 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.” Evaluation assurance level 6 (EAL6) - semiformally verified design and tested (chapter 8.8) “Objectives EAL6 permits developers to gain high assurance from application of security engineering techniques to a rigorous development environment in order to produce a premium TOE for protecting high value assets against significant risks. EAL6 is therefore applicable to the development of security TOEs for application in high risk situations where the value of the protected assets justifies the additional costs.” Evaluation assurance level 7 (EAL7) - formally verified design and tested (chapter 8.9) “Objectives EAL7 is applicable to the development of security TOEs for application in extremely high risk situations and/or where the high value of the assets justifies the higher costs. Practical application of EAL7 is currently limited to TOEs with tightly focused security functionality that is amenable to extensive formal analysis.” 36 / 44 BSI-DSZ-CC-0946-2014 Certification Report Assurance Class Assurance Family Assurance Components by Evaluation Assurance Level EAL1 EAL2 EAL3 EAL4 EAL5 EAL6 EAL7 Development ADV_ARC 1 1 1 1 1 1 ADV_FSP 1 2 3 4 5 5 6 ADV_IMP 1 1 2 2 ADV_INT 2 3 3 ADV_SPM 1 1 ADV_TDS 1 2 3 4 5 6 Guidance Documents AGD_OPE 1 1 1 1 1 1 1 AGD_PRE 1 1 1 1 1 1 1 Life cycle Support ALC_CMC 1 2 3 4 4 5 5 ALC_CMS 1 2 3 4 5 5 5 ALC_DEL 1 1 1 1 1 1 ALC_DVS 1 1 1 2 2 ALC_FLR ALC_LCD 1 1 1 1 2 ALC_TAT 1 2 3 3 Security Target Evaluation ASE_CCL 1 1 1 1 1 1 1 ASE_ECD 1 1 1 1 1 1 1 ASE_INT 1 1 1 1 1 1 1 ASE_OBJ 1 2 2 2 2 2 2 ASR_REQ 1 2 2 2 2 2 2 ASE_SPD 1 1 1 1 1 1 ASE_TSS 1 1 1 1 1 1 1 Tests ATE_COV 1 2 2 2 3 3 ATE_DPT 1 1 3 3 4 ATE_FUN 1 1 1 1 2 2 ATE_IND 1 2 2 2 2 2 3 Vulnerability assessment AVA_VAN 1 2 2 3 4 5 5 Table 1: Evaluation assurance level summary” 37 / 44 Certification Report BSI-DSZ-CC-0946-2014 Class AVA: Vulnerability assessment (chapter 16) “The AVA: Vulnerability assessment class addresses the possibility of exploitable vulnerabilities introduced in the development or the operation of the TOE.” Vulnerability analysis (AVA_VAN) (chapter 16.1) “Objectives Vulnerability analysis is an assessment to determine whether potential vulnerabilities identified, during the evaluation of the development and anticipated operation of the TOE or by other methods (e.g. by flaw hypotheses or quantitative or statistical analysis of the security behaviour of the underlying security mechanisms), could allow attackers to violate the SFRs. Vulnerability analysis deals with the threats that an attacker will be able to discover flaws that will allow unauthorised access to data and functionality, allow the ability to interfere with or alter the TSF, or interfere with the authorised capabilities of other users.” 38 / 44 BSI-DSZ-CC-0946-2014 Certification Report D Annexes List of annexes of this certification report Annex A: Security Target provided within a separate document. Annex B: Evaluation results regarding development 40 and production environment 39 / 44 Certification Report BSI-DSZ-CC-0946-2014 Annex B of Certification Report BSI-DSZ-CC-0946-2014 Evaluation results regarding development and production environment The IT product Infineon Technologies Smart Card IC (Security Controller) M5072 G11 with optional RSA v1.03.006, EC v1.03.006 and Toolbox v1.03.006 with specific IC dedicated software (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 advice of the Certification Body for components beyond EAL 5 and guidance specific for the technology of the product for conformance to the Common Criteria for IT Security Evaluation (CC), Version 3.1. As a result of the TOE certification, dated 28 October 2014, 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.5, ALC_DEL.1, ALC_DVS.2, ALC_LCD.1 and ALC_TAT.2) are fulfilled for the development and production sites of the TOE listed below: Site Address Function Agrate - DNP DNP Photomask Europe S.p.A. Via C. Olivetti 2/A 20041 Agrate Brianza Italy Mask Production Augsburg Infineon Technologies AG Alter Postweg 101 86159 Augsburg Germany Development Bangalore Infineon Technologies India Pvt. Ltd. 13th Floor, Discoverer Building International Technology Park Whitefield Road Bangalore, India – 560066 SW Development and Testing Bangkok - SmarTrac covered by [AIS47] Site certification from 2013-12-19 (cert ID BSI-DSZ-CC-S-0023-2013) Smartrac Technology Ltd. 142/121/115 Moo Hi-Tech Industrial Estate Tambon Ban Laean Amphor Bang-Pa-In 13160 Ayutthaya Thailand Inlay Mounting Bukarest Infineon Technologies Romania Blvd. Dimitrie Pompeiu Nr. 6 Sector 2 020335 Bucharest Romania Development 40 / 44 BSI-DSZ-CC-0946-2014 Certification Report Site Address Function Burlington - ASK ASK-intTag, LLC Building 966 1000 River St., Essex Junction, Vermont 05452 USA Inlay Mounting Chanhassen Smartrac Technology US Inc. 1546 Lake Drive West Chanhassen, MN 55317 USA Inlay Mounting Corbeil Essones - Toppan Toppan Photomask, Inc. European Technology Center Boulevard John Kennedy 224 91105 Corbeil Essonnes France Mask Production Dresden - Toppan Toppan Photomask, Inc Rähnitzer Allee 9 01109 Dresden Germany Mask Production Galway - HID covered by [AIS47] Site certification from 2012-09-19 (cert ID BSI-DSZ-CC-S-0015-2012) HID Global Ireland Teoranta Pairc Tionscail na Tulaigh Baile na hAbhann Co. Galway Ireland Inlay Mounting Graz / Villach / Klagenfurt Infineon Technologies Austria AG Development Center Graz Babenbergerstr. 10 8020 Graz Austria Infineon Technologies Austria AG Siemensstr. 2 9500 Villach Austria Infineon Technologies Austria AG Lakeside B05 9020 Klagenfurt Austria Development, IT Großostheim - K&N Infineon Technology AG DCE Kühne & Nagel Stockstädter Strasse 10 – Building 8A 63762 Großostheim Germany Distribution Center Hayward - K&N Kuehne & Nagel 30805 Santana Street Hayward, CA 94544 USA Distribution Center Hsin-Chu - ARDT Ardentec Corporation No. 3, Gungye 3rd Rd., Hsin-Chu Industrial Park, Hu-Kou, Hsin-Chu Hsien, Taiwan 30351, R.O.C. Taiwan 30351, R.O.C. Wafer Test 41 / 44 Certification Report BSI-DSZ-CC-0946-2014 Site Address Function Manila - Amkor Amkor Technology Philippines Km. 22 East Service Rd. South Superhighway Muntinlupa City 1702 Philippines Amkor Technology Philippines 119 North Science Avenue Laguna Technopark, Binan Laguna 4024 Philippines Module Mounting Morgan Hill Infineon Technologies North America Corp. 18275 Serene Drive Morgan Hill, CA 95037 USA Inlay Testing, Distribution Center Munich Infineon Technologies AG Am Campeon 1-12 85579 Neubiberg Germany Development Ranzan - Toppan Toppan Printing Co., Ltd. 6-2, Hanami-Dai, Ranzan-Machi, Hiki-Gun Saitama 355-0204 Japan Inlay Mounting Regensburg-West Infineon Technologies AG Wernerwerkstraße 2 93049 Regensburg Germany Module Mounting, Inlay Mounting, Distribution Center Round Rock - Toppan Toppan Printing Company America, Inc. Round Rock Site 2175 Greenhill Drive Round Rock, Texas 78664 USA Inlay Mounting Singapore - DHL DHL Exel Supply Chain Richland Business Centre 11 Bedok North Ave 4, Level 3, Singapore 489949 Distribution Center Singapore Kallang Infineon Technologies Asia Pacific PTE Ltd. 168 Kallang Way Singapore 349253 Module Mounting, Electrical module testing Tainan - TSMC Taiwan Semiconductor Manufacturing Company Ltd. 1, Nan-Ke North Rd. Tainan Science Park Tainan 741-44 Taiwan Mask & Wafer Production, Initialization and Pre-personalization Wuxi Infineon Technologies (Wuxi) Co. Ltd. No. 118, Xing Chuang San Lu Wuxi-Singapore Industrial Park Wuxi 214028, Jiangsu P.R. China Module Mounting, Distribution Center 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 42 / 44 BSI-DSZ-CC-0946-2014 Certification Report and requirements for the TOE life cycle phases up to delivery (as stated in the Security Target [6] and [8]) are fulfilled by the procedures of these sites. 43 / 44 Certification Report BSI-DSZ-CC-0946-2014 This page is intentionally left blank. 44 / 44