BSI-DSZ-CC-0831-2018 for SMGW-Integrationsmodul, Version 1.0 from OpenLimit SignCubes AG sponsored by Power Plus Communications 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 V5.22 BSI-DSZ-CC-0831-2018 (*) Smart Meter Gateway SMGW-Integrationsmodul, Version 1.0 from OpenLimit SignCubes AG sponsored by Power Plus Communications AG PP Conformance: Protection Profile for the Gateway of a Smart Metering System, Version 1.3, 31 March 2014, BSI-CC-PP-0073-2014 Functionality: PP conformant Common Criteria Part 2 extended Assurance: Common Criteria Part 3 conformant EAL 4 augmented by AVA_VAN.5 and ALC_FLR.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 and by advice of the Certification Body for components beyond EAL 5 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 4 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, 12 December 2018 For the Federal Office for Information Security Bernd Kowalski L.S. Head of Division SOGIS Recognition Agreement for components up to EAL 4 Common Criteria Recognition Arrangement recognition for components up to EAL 2 and ALC_FLR only Bundesamt für Sicherheit in der Informationstechnik Godesberger Allee 185-189 - D-53175 Bonn - Postfach 20 03 63 - D-53133 Bonn Phone +49 (0)228 99 9582-0 - Fax +49 (0)228 9582-5477 - Infoline +49 (0)228 99 9582-111 Certification Report BSI-DSZ-CC-0831-2018 This page is intentionally left blank. 4 / 24 BSI-DSZ-CC-0831-2018 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. Definitions..................................................................................................................19 13. Bibliography...............................................................................................................20 C. Excerpts from the Criteria...............................................................................................22 D. Annexes..........................................................................................................................23 5 / 24 Certification Report BSI-DSZ-CC-0831-2018 A. Certification 1. Preliminary Remarks Under the BSIG1 Act, the Federal Office for Information Security (BSI) has the task of issuing certificates for information technology products. Certification of a product is carried out on the instigation of the vendor or a distributor, hereinafter called the sponsor. A part of the procedure is the technical examination (evaluation) of the product according to the security criteria published by the BSI or generally recognised security criteria. The evaluation is normally carried out by an evaluation facility recognised by the BSI or by BSI itself. The result of the certification procedure is the present Certification Report. This report contains among others the certificate (summarised assessment) and the detailed Certification Results. The Certification Results contain the technical description of the security functionality of the certified product, the details of the evaluation (strength and weaknesses) and instructions for the user. 2. Specifications of the Certification Procedure The certification body conducts the procedure according to the criteria laid down in the following: ● Act on the Federal Office for Information Security1 ● BSI Certification and Approval Ordinance2 ● BSI Schedule of Costs3 ● Special decrees issued by the Bundesministerium des Innern (Federal Ministry of the Interior) ● DIN EN ISO/IEC 17065 standard ● BSI certification: Scheme documentation describing the certification process (CC- Produkte) [3] ● BSI certification: Scheme documentation on requirements for the Evaluation Facility, its approval and licencing process (CC-Stellen) [3] ● Common Criteria for IT Security Evaluation (CC), Version 3.14 [1] also published as ISO/IEC 15408 ● 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] 1 Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009, Bundesgesetzblatt I p. 2821 2 Ordinance on the Procedure for Issuance of Security Certificates and approval by the Federal Office for Information Security (BSI-Zertifizierungs- und -Anerkennungsverordnung - BSIZertV) of 17 December 2014, Bundesgesetzblatt 2014, part I, no. 61, p. 2231 3 Schedule of Cost for Official Procedures of the Bundesamt für Sicherheit in der Informationstechnik (BSI-Kostenverordnung, BSI-KostV) of 03 March 2005, Bundesgesetzblatt I p. 519 4 Proclamation of the Bundesministerium des Innern of 12 February 2007 in the Bundesanzeiger dated 23 February 2007, p. 3730 6 / 24 BSI-DSZ-CC-0831-2018 Certification Report 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.sogisportal.eu. The SOGIS-MRA logo printed on the certificate indicates that it is recognised under the terms of this agreement by the related bodies of the signatory nations. A disclaimer beneath the logo indicates the specific scope of recognition. This certificate is recognized according to the rules of SOGIS-MRA, i.e. up to and including CC part 3 EAL 4 components. The evaluation contained the component AVA_VAN.5 that is not mutually recognised in accordance with the provisions of the SOGIS MRA. For mutual recognition the EAL 4 component of this assurance family is relevant. 3.2. International Recognition of CC – Certificates (CCRA) The international arrangement on the mutual recognition of certificates based on the CC (Common Criteria Recognition Arrangement, CCRA-2014) has been ratified on 08 September 2014. It covers CC certificates based on collaborative Protection Profiles (cPP) (exact use), CC certificates based on assurance components up to and including EAL 2 or the assurance family Flaw Remediation (ALC_FLR) and CC certificates for Protection Profiles and for collaborative Protection Profiles (cPP). The current list of signatory nations and approved certification schemes can be seen on the website: https://www.commoncriteriaportal.org. The Common Criteria Recognition Arrangement logo printed on the certificate indicates that this certification is recognised under the terms of this agreement by the related bodies of the signatory nations. A disclaimer beneath the logo indicates the specific scope of recognition. This certificate is recognized according to the rules of CCRA-2014, i. e. up to and including CC part 3 EAL 2+ ALC_FLR components. 7 / 24 Certification Report BSI-DSZ-CC-0831-2018 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 SMGW-Integrationsmodul, Version 1.0 has undergone the certification procedure at BSI. The evaluation of the product SMGW-Integrationsmodul, Version 1.0 was conducted by TÜV Informationstechnik GmbH. The evaluation was completed on 30 November 2018. TÜV Informationstechnik GmbH is an evaluation facility (ITSEF)5 recognised by the certification body of BSI. For this certification procedure the applicant is: OpenLimit SignCubes AG. The sponsor is: Power Plus Communications AG. The product was developed by: OpenLimit SignCubes AG and Power Plus Communications AG. The certification is concluded with the comparability check and the production of this Certification Report. This work was completed by the BSI. 5. Validity of the Certification Result This Certification Report applies only to the version of the product as indicated. The confirmed assurance package is valid on the condition that ● all stipulations regarding generation, configuration and operation, as given in the following report, are observed, ● the product is operated in the environment described, as specified in the following report and in the Security Target. For the meaning of the assurance components and assurance levels please refer to CC itself. Detailed references are listed in part C of this report. The Certificate issued confirms the assurance of the product claimed in the Security Target at the date of certification. As attack methods evolve over time, the resistance of the certified version of the product against new attack methods needs to be re-assessed. Therefore, the sponsor should apply for the certified product being monitored within the assurance continuity program of the BSI Certification Scheme (e.g. by a re-assessment or re-certification). Specifically, if results of the certification are used in subsequent evaluation and certification procedures, in a system integration process or if a user's risk management needs regularly updated results, it is recommended to perform a re- assessment on a regular e.g. annual basis. In order to avoid an indefinite usage of the certificate when evolved attack methods would require a re-assessment of the product's resistance to state-of-the-art attack methods, the maximum validity of the certificate has been limited. Considering the specific legal circumstances this certificate will have a validity of 8 years combined with a regular mandatory re-assessment after every 2 years. The certificate issued on 12 December 2018 is valid until 11 December 2026. Furthermore, validity can be re-newed by re- certification. 5 Information Technology Security Evaluation Facility 8 / 24 BSI-DSZ-CC-0831-2018 Certification Report 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, 4. to monitor the resistance of the certified product against new attack methods and to provide a qualified confirmation by applying for a re-certification or re-assessment process on a regular basis every two years starting from the issuance of the certificate, 5. to make sure that over the complete lifetime of the certificate a security module with a valid CC certificate is used. In case of changes to the certified version of the product, the validity can be extended to the new versions and releases, provided the sponsor applies for assurance continuity (i.e. re-certification or maintenance) of the modified product, in accordance with the procedural requirements, and the evaluation does not reveal any security deficiencies. 6. Publication The product SMGW-Integrationsmodul, Version 1.0 has been included in the BSI list of certified products, which is published regularly (see also Internet: https://www.bsi.bund.de and [5]). Further information can be obtained from BSI-Infoline +49 228 9582-111. Further copies of this Certification Report can be requested from the developer6 of the product. The Certification Report may also be obtained in electronic form at the internet address stated above. 6 OpenLimit SignCubes AG Power Plus Communications AG Zugerstraße 74 Am Exerzierplatz 2 CH 6341 Baar 68167 Mannheim Switzerland Germany 9 / 24 Certification Report BSI-DSZ-CC-0831-2018 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 / 24 BSI-DSZ-CC-0831-2018 Certification Report 1. Executive Summary The Target of Evaluation (TOE) is the SMGW-Integrationsmodul, Version 1.0 consisting of “SMGW Integrationsmodul Software Version 1.0” and “SMGW Integrationsmodul Hardware Version 1.0”. It is an electronic unit comprising hardware, software and firmware used for collection, storage and provision of meter data from one or more meters of one or multiple commodities. The Gateway connects a wide area network (WAN) with a network of devices of one or more smart metering devices (local metrological network, LMN) and the consumer home area network (HAN), which hosts controllable local systems (CLS). The security functionality of the TOE comprises protection of confidentiality, authenticity, integrity of data and information flow control mainly to protect the privacy of consumers, to ensure a reliable billing process and to protect the Smart Metering System and a corresponding large scale infrastructure of the smart grid. Besides a certified security module the hardware device “Smart Meter Gateway” also includes a hard-wired communication adapter which both are not part of the TOE but which are always inseparable parts of the delivered entity. This communication adapter can be either an LTE, a BPL, a GPRS or an ethernet communication adapter. The Security Target [6] is the basis for this certification. It is based on the certified Protection Profile for the Gateway of a Smart Metering System, Version 1.3, 31 March 2014, BSI-CC-PP-0073-2014 [8]. The TOE Security Assurance Requirements (SAR) are based entirely on the assurance components defined in Part 3 of the Common Criteria (see part C or [1], Part 3 for details). The TOE meets the assurance requirements of the Evaluation Assurance Level EAL 4 augmented by AVA_VAN.5 and ALC_FLR.2. The TOE Security Functional Requirements (SFR) relevant for the TOE are outlined in the Security Target [6], chapter 6.2 to 6.10. 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 Functions: TOE Security Functions Addressed issue SF.1: Authentication of Communication and Role Assignment for external entities Authentication, confidentiality and integrity protection by TLS secured communications channels with external entities. SF.2: Acceptance and Deposition of Meter Data, Encryption of Meter Data for WAN transmission Reception of Meter Data from a paired Meter via the LMN interface, storage of Meter Data in the filesystem of the TOE and transmission of Meter Data to external entities via the WAN interface is cryptographically protected from disclosure and manipulation. SF.3: Administration, Configuration and SW Update Administration and configuration as well as updating the TOE’s software by authenticated Gateway Administrator. SF.4: Displaying Consumption Data Displaying consumption data to authenticated Consumers at interface IF_GW_CON. SF.5: Audit and Logging Generation of audit data for all security relevant actions and storage of audit records in System-, Calibration- and Consumer-Logfiles. 11 / 24 Certification Report BSI-DSZ-CC-0831-2018 TOE Security Functions Addressed issue SF.6: TOE Integrity Protection Detectable physical tampering through the TOE's sealed packaging of the device. TSF integrity protection by secure boot process and regular as well as on-demand self tests. Preservation of a secure state in case of failures. Table 1: TOE Security Functions For more details please refer to the Security Target [6], chapter 7.2 to 7.6. The assets to be protected by the TOE are defined in the Security Target [6], chapter 3.2. Based on these assets the TOE Security Problem is defined in terms of Assumptions, Threats and Organisational Security Policies. This is outlined in the Security Target [6], chapters 3.3 to 3.5. 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: SMGW-Integrationsmodul, Version 1.0 The following table outlines the TOE deliverables: No Type Identifier Release Form of Delivery 1 HW SMGW Integrationsmodul Hardware Version 1.0 (as built in part of the Smart Meter Gateway) Version 1.0 (value “1A” on the hardware revision number) Secure delivery process as described below table 2 SW Operating System Revision Number: 26533 Pre-installed on the HW. 3 SW SMGW Application Revision Number: 26663 Pre-installed on the HW. 4 DOC Handbuch für Verbraucher, SMGW Integrationsmodul Version 1.0 [10] Version: 3.5 SHA-256: 6e0d80bbd3371972434092 c86a0878e37bba921a8589 871e85cbb7caf085a8b0 Personal handover by the developer or download from https secured website. 12 / 24 BSI-DSZ-CC-0831-2018 Certification Report No Type Identifier Release Form of Delivery 5 DOC Handbuch für Service-Techniker, SMGW Integrationsmodul Version 1.0 [11] Version: 3.7 SHA-256: c23b14ea0a05e381bfe2b3 e407d6f9deeddbf1733b720 da5f6f13a502a0e4122 Personal handover by the developer or download from https secured website. 6 DOC Handbuch für Hersteller von Smart-Meter Gateway- Administrationssoftware, SMGW Integrationsmodul Version 1.0 [12] Version: 3.3 SHA-256: 8402082a2d95a8c063919e 3e7b776c75434a25dff1945 0f055e06926e01e170e Personal handover by the developer or download from https secured website. 7 DOC Auslieferungs- und Fertigungsprozeduren, Anhang Sichere Auslieferung, SMGW Integrationsmodul Version 1.0 [13] Version: 0.7 SHA-256: c46746193ead2563064ba4 631f185b833a6e37ede6c1 485603b78ef2ffa90061 Personal handover by the developer or download from https secured website. Table 2: Deliverables of the TOE The main circuit board of the TOE is built into a sealed case of the complete product (Smart Meter Gateway) and can be identified by the laser engraving on the case showing a hardware revision number. The revision number follows the following structure: “SMGW- X-1A-111-n0”. Thereby the X stands for the communication variant (E=Ethernet, B=BPL, G=GPRS, L=LTE) and the n stands for the SIM card type (0=none, 3= SIM slot only). The “1A” is the reference for the product generation and corresponds to the TOE hardware version 1.0 (cmp. ST [6], chapter 1.2). The software part of the SMGW can be identified by the value 26533-26663, which consists of two revision numbers of the underlying version control system for the TOE, where the first part is for the operating system and the second part is for the SMGW application. The guidance documentation for the different user roles [10], [11], [12] explain how to retrieve the information from the TOE. The value 26533-26663 corresponds to the TOE software version 1.0. The certified delivery process considers the complete delivery, starting with the manufacturer, through the different stages of storages to the final place of installation in the consumers premises. In this standard delivery process the hardware parts are delivered within a special and secure transport box (pylocx Box). Deviant to the standard delivery process for up to ten devices a personal handover by two employees of the producer or developer is also allowed. Details can be found in the guidance document “Auslieferungs- und Fertigungsprozeduren, Anhang Sichere Auslieferung, SMGW Integrationsmodul Version 1.0” [13]. The software is pre-installed on the hardware and therefore also part of the physical delivery. The guidance documents mentioned in the table 2 can either be downloaded by an https secured website https://service.ppc-ag.de (standard delivery) or (in case of personal delivery) they will be personally given to the consumer. In case they are downloaded, they can be uniquely identified by checking the hash sum from table 2 above, which are also included in the Security Target [6]. 13 / 24 Certification Report BSI-DSZ-CC-0831-2018 3. Security Policy The Security Policy is expressed by the set of Security Functional Requirements and implemented by the TOE. It covers the following issues: Security audit, secure communication, cryptographic support, user data protection, identification and authentication, security management, privacy protection, protection of the TSF and trusted channels. Specific details concerning the above mentioned security policies can be found in the Security Target [6], chapter 7. 4. Assumptions and Clarification of Scope The Assumptions defined in the Security Target and some aspects of Threats and Organisational Security Policies are not covered by the TOE itself. These aspects lead to specific security objectives to be fulfilled by the TOE-Environment. The following topics are of relevance: ● Trustworthy authorised and authenticated external entities ● Trustworthy and well-trained Gateway Administrators and Service Technicians ● Basic level of physical protection by installation in a non-public environment within the premises of the consumer ● Processing Profiles are obtained from a trustworthy and reliable source only ● Usage of certified Security Module for specific cryptographic services ● Certification of firmware updates prior to installation in the SMGWs ● Reliability and availability of WAN network connections, trustworthiness and availability of time sources, assumptions on LMN and HAN network connections ● Secure generation of ECC key pair and secure transmission to SMGW by the GWA Details can be found in the Security Target [6], chapter 4.2. 5. Architectural Information The TOE consists of three subsystems called “Hardware”, “Betriebssystem” and “SMGW- Anwendung”. Thereby the subsystem “Hardware” is the physical basement of the TOE and implements the electronic part as well as the case and seal of the device. It also offers the physical connection to the other hardware parts (e.g. power circuit board, communication adapter) which are not in the scope of the TOE. The subsystem “Betriebssystem” controls the hardware and manages the different bus systems, memory and the CPU. Furthermore, it provides the basic input-/output functionality. Additionally, it sends and receives commands by using the physical interfaces of the hardware. The subsystem itself runs on a Linux based kernel and distribution. The main functions of the subsystem “SMGW-Anwendung” are to collect meter data from connected meters, internal processing and storage of the received meter data, sending the processed meter data to authorized external entities and the overall security management of the TOE. 14 / 24 BSI-DSZ-CC-0831-2018 Certification Report 6. Documentation The evaluated documentation as outlined in table 2 is being provided with the product to the customer. This documentation contains the required information for secure usage of the TOE in accordance with the Security Target. Additional obligations and notes for secure usage of the TOE as outlined in chapter 10 of this report have to be followed. 7. IT Product Testing 7.1. Test configuration All tests in the context of the evaluation have been conducted using nine TOE samples in different test configurations. Hereby, three configurations correspond to the final unmodified TOE version (SW revision 26533-26663 and HW version “1A”). All other configurations are based on the same TOE version, but were slightly modified (e.g. a TOE with SSH capabilities) to enable detailed testing. For most of the test cases the final unmodified TOE was used. Only where necessary the modified TOE configurations were used, demonstrably without influencing the tested security functionality. 7.2. Developer tests The developer’s testing approach was to systematically test the TOE security functionality and the TSFI as well as the TOE behaviour on the level of the subsystems. Thereby all security functions as defined in the ST [6], chapter 7.2 – 7.6 have been tested. In order to do this, the developer selected a subset of more than 600 test cases of the tests that were produced during the development of the TOE, which was suitable to sufficiently cover the TSF. All test results were as expected. 7.3. Independent tests The evaluation body used the same TOE variants, test configurations and test environment for the repetition of the developer testing. Additionally, the evaluation body used an independent test system (Exceeding Solutions) to perform the independent tests and used additional modifications of the TOE for side- channel analysis (EMA) and testing of the case seal. The evaluation body chose to broadly cover all existing security functions without specific restrictions. Furthermore, all TSFI except IF_GW_CLS have been tested by the evaluator. The overall test result is that no security relevant deviations were found between the expected and the actual test results. 7.4. Penetration tests The evaluation body conducted penetration testing based on functional areas of concern derived from SFRs and architectural mechanisms. The areas were prioritized with regard to various factors, e.g. attack surface, estimated flaw likelihood, developer testing coverage, detectability of flaws during developer testing. 15 / 24 Certification Report BSI-DSZ-CC-0831-2018 The penetration testing activities were performed as tests and as analytical tasks. Whenever an analysis was estimated to yield better results, the evaluators chose the analytical approach. Analytical activities were especially applied in the areas secure boot, self-protection, domain separation, kernel and system hardening as well as non- bypassability. Combined approaches were also applied. The overall test result is that no deviations were found between the expected and the actual test results; moreover, considering the assumption concerning the physical protection by the environment no attack scenario with the attack potential High was actually successful. 8. Evaluated Configuration The TOE as identified in table 2 has been evaluated. There is only one configuration as the different variants of the communication adapter that are outside of the TOE scope run with the same HW and SW configuration of the TOE. 9. Results of the Evaluation 9.1. CC specific results The Evaluation Technical Report (ETR) [7] was provided by the ITSEF according to the Common Criteria [1], the Methodology [2], the requirements of the Scheme [3] and all interpretations and guidelines of the Scheme (AIS) [4] as relevant for the TOE. The Evaluation Methodology CEM [2] was used for those components up to EAL 5 extended by advice of the Certification Body for components beyond EAL 5 [4] (AIS 34) and guidance specific for the technology of the product [4] (AIS 46, 48). As a result of the evaluation the verdict PASS is confirmed for the following assurance components: ● All components of the EAL 4 package including the class ASE as defined in the CC (see also part C of this report) ● The components AVA_VAN.5 and ALC_FLR.2 augmented for this TOE evaluation. The evaluation has confirmed: ● PP Conformance: Protection Profile for the Gateway of a Smart Metering System, Version 1.3, 31 March 2014, BSI-CC-PP-0073-2014 [8] ● for the Functionality: PP conformant Common Criteria Part 2 extended ● for the Assurance: Common Criteria Part 3 conformant EAL 4 augmented by AVA_VAN.5 and ALC_FLR.2 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. 16 / 24 BSI-DSZ-CC-0831-2018 Certification Report 9.2. Results of cryptographic assessment7 The following table gives an overview of the cryptographic functionalities inside the TOE to enforce the security policy and outlines the standard of application where its specific appropriateness is stated. Purpose Cryptographic Mechanism Standard of Implementation Key Size in Bits Standard of Application Validity Period Basic support of integrity, authenticity SHA-256, SHA-384, SHA-512 [FIPS180-4] Hash length = 256, 384, 512 TR02102 [16] 2023+ Encryption / decryption, integrity of TSF AES-XTS-128 [FIPS-197], [IEEE 1619-2007], [SP800-38E] 128 (Enc/Dec), 128 (Integrity) TR02102 [16] 2023+ Key generation for CMS containers ECKA-EG [X.9.63], [RFC3565] 128 TR03116 [15] 2023+ Encryption / decryption /integrity of CMS container AES-CBC- CMAC [RFC5652], [RFC6033], [FIPS-197], [RFC4493], [SP800-38A] 128 TR03116 [15] 2023+ Encryption / decryption / integrity of CMS container AES-GCM [RFC5652], [RFC5084], [FIPS-197], [SP800-38D] 128 (Enc/Dec), 96 (Integrity) TR03116 [15] 2023+ Key generation for meter data AES-CMAC [RFC4493], [FIPS-197] 128 TR03116 [15] 2023+ Encryption / decryption, integrity of meter data AES-CBC- CMAC [RFC4493], [FIPS-197], [ISO10116] 128 TR03116 [15] 2023+ TLS record encryption AES-CBC (1), (2) [RFC5246], [FIPS-197], [SP800-38A] 128, 256 TR03116 [15] 2023+ TLS record layer encryption and integrity AES-GCM (3), (4) [RFC5246], [RFC5288], [FIPS-197], [SP800-38D] 128 (Enc/Dec), 32 (Integrity) TR03116 [15] 2023+ TLS record integrity HMAC-SHA2 [RFC5246], [FIPS180-4], [RFC2104] 256, 384 TR03116 [15] 2023+ TLS key derivation TLS-PRF- SHA2 [RFC5246], [FIPS180-4], 256, 384 (bit length of PRF) TR03116 [15] 2023+ 7 For the explanation of the abbreviations and referenced standards of implementation please refer to „BSI – Technical Guideline BSI TR-02102-1 Cryptographic Mechanisms: Recommendations and Key Lengths“ [16] 17 / 24 Certification Report BSI-DSZ-CC-0831-2018 Purpose Cryptographic Mechanism Standard of Implementation Key Size in Bits Standard of Application Validity Period function [RFC2104] Integrity of configuration data CMAC [SP-800-38B] 128 TR02102 [15] 2023+ TLS-cipher suites TLS-ECDHE-ECDSA-WITH-AES_128_CBC_SHA256 (1), TLS-ECDHE-ECDSA-WITH-AES_256_CBC_SHA384 (2), TLS-ECDHE-ECDSA-WITH-AES_128_GCM_SHA256 (3), TLS-ECDHE-ECDSA-WITH-AES_256_GCM_SHA384 (4) All cipher suites mandated by TR03116 [15]. 2023+ Table 3: TOE cryptographic functionality The strength of the these cryptographic algorithms was not rated in the course of this certification procedure (see BSIG Section 9, Para. 4, Clause 2). 10. Obligations and Notes for the Usage of the TOE The documents as outlined in table 2 contain necessary information about the usage of the TOE and all security hints therein have to be considered. In addition, all aspects of Assumptions, Threats and OSPs as outlined in the Security Target not covered by the TOE itself need to be fulfilled by the operational environment of the TOE. The customer or user of the product shall consider the results of the certification within his system risk management process. In order for the evolution of attack methods and techniques to be covered, he should define the period of time until a re-assessment of the TOE is required and thus requested from the sponsor of the certificate. The limited validity for the usage of cryptographic algorithms as outlined in chapter 9 has to be considered by the user and his system risk management process, too. If available, certified updates of the TOE should be used. If non-certified updates or patches are available the user of the TOE should request the sponsor to provide a re- certification. In the meantime a risk management process of the system using the TOE should investigate and decide on the usage of not yet certified updates and patches or take additional measures in order to maintain system security. 11. Security Target For the purpose of publishing, the Security Target [6] of the Target of Evaluation (TOE) is provided within a separate document as Annex A of this report. 18 / 24 BSI-DSZ-CC-0831-2018 Certification Report 12. Definitions 12.1. Acronyms AIS Application Notes and Interpretations of the Scheme BPL Broadband Over Power Lines BSI Bundesamt für Sicherheit in der Informationstechnik / Federal Office for Information Security, Bonn, Germany BSIG BSI-Gesetz / Act on the Federal Office for Information Security CCRA Common Criteria Recognition Arrangement CC Common Criteria for IT Security Evaluation CEM Common Methodology for Information Technology Security Evaluation CLS Controllable Local System cPP Collaborative Protection Profile CPU Central Processing Unit EAL Evaluation Assurance Level ECC Elliptic Curve Cryptography EMA Electro Magnetic Emanation ETR Evaluation Technical Report GPRS General Packet Radio Service GWA Gateway Administrator HAN Home Area Network IP Internet Protocol IT Information Technology ITSEF Information Technology Security Evaluation Facility LAN Local Area Network LMN Local Metrological Network LTE Long Term Evolution PP Protection Profile SAR Security Assurance Requirement SFP Security Function Policy SFR Security Functional Requirement SIM Subscriber Identity Module SMGW Smart Meter Gateway SSH Secure Shell ST Security Target 19 / 24 Certification Report BSI-DSZ-CC-0831-2018 TOE Target of Evaluation TSF TOE Security Functionality TSFI TOE Security Function Interface WAN Wide Area Network 12.2. Glossary Augmentation - The addition of one or more requirement(s) to a package. Collaborative Protection Profile - A Protection Profile collaboratively developed by an International Technical Community endorsed by the Management Committee. Extension - The addition to an ST or PP of functional requirements not contained in CC part 2 and/or assurance requirements not contained in CC part 3. Formal - Expressed in a restricted syntax language with defined semantics based on well- established mathematical concepts. Informal - Expressed in natural language. Object - A passive entity in the TOE, that contains or receives information, and upon which subjects perform operations. Package - named set of either security functional or security assurance requirements Protection Profile - A formal document defined in CC, expressing an implementation independent set of security requirements for a category of IT Products that meet specific consumer needs. Security Target - An implementation-dependent statement of security needs for a specific identified TOE. Semiformal - Expressed in a restricted syntax language with defined semantics. Subject - An active entity in the TOE that performs operations on objects. Target of Evaluation - An IT Product and its associated administrator and user guidance documentation that is the subject of an Evaluation. TOE Security Functionality - Combined functionality of all hardware, software, and firmware of a TOE that must be relied upon for the correct enforcement of the SFRs. 13. Bibliography [1] Common Criteria for Information Technology Security Evaluation, Version 3.1, Part 1: Introduction and general model, Revision 4, September 2012 Part 2: Security functional components, Revision 4, September 2012 Part 3: Security assurance components, Revision 4, September 2012 https://www.commoncriteriaportal.org [2] Common Methodology for Information Technology Security Evaluation (CEM), Evaluation Methodology, Version 3.1, Rev. 4, September 2012, https://www.commoncriteriaportal.org [3] BSI certification: Scheme documentation describing the certification process (CC- Produkte) and Scheme documentation on requirements for the Evaluation Facility, approval and licencing (CC-Stellen), https://www.bsi.bund.de/zertifizierung 20 / 24 BSI-DSZ-CC-0831-2018 Certification Report [4] Application Notes and Interpretations of the Scheme (AIS) as relevant for the TOE8 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-0831-2018, Version 2.9, 2018-10-29, Security Target SMGW Integrationsmodul Version 1.0 [7] Evaluation Technical Report, Version 3, 2018-11-30, TÜV Informationstechnik GmbH (confidential document) [8] Protection Profile for the Gateway of a Smart Metering System, Version 1.3, 31 March 2014, BSI-CC-PP-0073-2014 [9] Configuration list for the TOE, 2018-10-08(confidential document) [10] Handbuch für Verbraucher, SMGW Integrationsmodul Version 1.0, Version 3.5, 2018-10-02 [11] Handbuch für Service-Techniker, SMGW Integrationsmodul Version 1.0, Version 3.7, 2018-10-02 [12] Handbuch für Hersteller von Smart-Meter Gateway-Administrationssoftware, SMGW Integrationsmodul Version 1.0, Version 3.3, 2018-10-02 [13] Auslieferungs- und Fertigungsprozeduren, Anhang Sichere Auslieferung, SMGW Integrationsmodul Version 1.0, Version 0.7, 2018-10-02 [14] Technische Richtlinie BSI TR-03109-1, Anforderungen an die Interoperabilität der Kommunikationseinheit eines intelligenten Messsystem, Version 1.0, 2013-03-18 [15] Technische Richtlinie BSI TR-03116-3, Kryptographische Vorgaben für Projekte der Bundesregierung, Teil 3: Intelligente Messsysteme, 2017-01-23 [16] Technical Guideline BSI TR-02102-1 Cryptographic Mechanisms: Recommendations and Key Lengths, 2018-05-29 8 specifically • AIS 1, Version 14, Durchführung der Ortsbesichtigung in der Entwicklungsumgebung des Herstellers • 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 46, Version 3, Informationen zur Evaluierung von kryptographischen Algorithmen und ergänzende Hinweise für die Evaluierung von Zufallszahlengeneratoren • AIS 48, Version 1.0, Anforderungen an die Prüfung von Sicherheitsetiketten 21 / 24 Certification Report BSI-DSZ-CC-0831-2018 C. Excerpts from the Criteria For the meaning of the assurance components and levels the following references to the Common Criteria can be followed: • On conformance claim definitions and descriptions refer to CC part 1 chapter 10.4 • On the concept of assurance classes, families and components refer to CC Part 3 chapter 7.1 • On the concept and definition of pre-defined assurance packages (EAL) refer to CC Part 3 chapters 7.2 and 8 • On the assurance class ASE for Security Target evaluation refer to CC Part 3 chapter 11 • On the detailed definitions of the assurance components for the TOE evaluation refer to CC Part 3 chapters 12 to 16 • The table in CC part 3, Annex E summarizes the relationship between the evaluation assurance levels (EAL) and the assurance classes, families and components. The CC are published at https://www.commoncriteriaportal.org/cc/ 22 / 24 BSI-DSZ-CC-0831-2018 Certification Report D. Annexes List of annexes of this certification report Annex A: Security Target provided within a separate document. 23 / 24 Certification Report BSI-DSZ-CC-0831-2018 Note: End of report 24 / 24