Security Target
to reach the
evaluation level
Common Criteria EAL3+
for the
class 2 smart card reader
SPR532
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Table of contents
page
1 ST INTRODUCTION “ASE_INT.1” 4
1.1 ST identification 4
1.2 ST overview 5
1.3 Postulate of CC Conformance 5
2 TOE DESCRIPTION “ASE_DES.1” 6
3 TOE SECURITY ENVIRONMENT “ASE_ENV.1” 10
3.1 Assumptions 11
3.2 Threats 13
3.3 Organisational security policies 14
4 SECURITY OBJECTIVES “ASE_OBJ.1” 15
4.1 Security objectives for the TOE 15
4.2 Security objectives for the environment 16
4.3 Dependencies: requirements SigG/SigV – security objectives 18
5 IT SECURITY REQUIREMENTS “ASE_REQ.1” 20
5.1 Functional security requirements of the TOE 20
5.2 Minimum strength of TOE security objectives 24
5.3 Assurance requirements of the TOE 25
5.4 Security requirements for the IT environment 25
6 TOE SUMMARY SPECIFICATION “ASE_TSS.1” 26
6.1 TOE security functions 26
6.2 TOE security measures 28
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6.3 Assurance measures 28
7 PP CLAIMS “ASE_PPC.1” 29
8 EXPLANATION 29
8.1 Explanation of the security target 29
8.1.1 Connections: assumptions – security objectives, threats – security objectives 30
8.1.2 Cross references: threats – security objectives of the TOE 33
8.1.3 Cross references: assumptions/threats – security objectives of the environment 33
8.2 Explanation of the security requirements 34
8.2.1 Connections: security objectives – security requirements 35
8.2.2 Cross references: security objectives – security requirements 36
8.2.3 Dependencies of functional security requirements 37
8.2.4 Connections: security requirements – IT environment 39
8.3 Explanation of the TOE summary specification 40
8.3.1 Security requirements and security functions 40
8.3.2 Requirements and measures for security 41
8.3.3 Requirements and measures for assurance 41
8.4 Explanation of the PP postulates 43
9 ABBREVIATIONS 44
10 BIBLIOGRAPHY 45
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1 ST introduction “ASE_INT.1”
The target of evaluation is the SPR532 smart card reader with the
firmware version 5.09.
The smart card reader is available with one delivery version:
• SPR532, cable option with serial RS232 or USB connector
1.1 ST identification
Title of the Security Target:
Security Target to reach the evaluation level
Common Criteria EAL3+ for the
class 2 smart card reader SPR532
Version: 1.21
Issue date: 06.06.2006
Document ID: CCASESPR
Author: Torsten Maykranz / SCM Microsystems GmbH
Evaluation level: EAL3 with augmentations,
Strength of security functions “high”
Certification label: CC: BSI-DSZ-CC-0363
SigG: BSI.02072.TE.XX.2006
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1.2 ST overview
The SPR532 smart card readers are universal smart card readers with keypad and
offer capability for secure PIN entry and for authentic firmware download.
This security target describes the functional and organisational security requirements
and procedures for the TOE and its operational environment. They are compliant to
the security targets of SigG/SigV:
• No disclosure or storage of identification data
(§15 paragraph 2 number 1a SigV)
• Recognizability of security technical modifications
(§15 paragraph 4 SigV)
1.3 Postulate of CC Conformance
The security target with its functional requirements is compliant to the security
requirements according to part 2 and in its requirements for assurance compliant to
part 3 of Common Criteria (Version 2.1 August 1999) EAL3 with augmentation
(ADO_DEL.2, ADV_IMP.1, ADV_LLD.1, ALC_TAT.1, AVA_MSU.3, AVA_VLA.4).
The strength of security mechanism is classified as “high”.
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2 TOE description “ASE_DES.1”
The SPR532 smart card reader represents universal smart card reader devices,
which can communicate with processor cards compliant to ISO 7816 and EMV2004
through different application interfaces (CT-API [1], PC/SC [3]). The devices work
with all smart card transmission protocols compliant to ISO 7816 [4] (T=0, T=1). Data
transmission protocols for memory cards (I
2
C, 2-wire, 3-wire protocol) are also
supported.
SPR532 readers have a keypad with silicone keys, in order to guarantee a secure
PIN entry. The keypads include the numeric keys “0” to “9” as well as the keys
“Clear” (yellow), “Confirmation” (green) and “Cancel” (red). The reader recognizes
the commands sent by the host, which is typically a PC, and inserts the numbers
entered over the keypad as a PIN to the appropriate places of the command to the
smart card. Only the fact that a numeric key has been pressed is communicated to
the host. This causes the host application to display to the user that a key is pressed
and how many numbers of the PIN have been actually entered. The PIN never
leaves the reader towards the host.
The readers can be used at all host systems that possess a serial RS232 and/or a
USB interface. They are used as accessories in the PC surrounding field. The
current supply is made in the serial configuration by means of the PS/2 interface
(mouse, keyboard) and as USB equipment by the USB bus.
On the host side the application interfaces are made available as CT-API and
PC/SC, which can be used for all types of smart cards. All functions at the interfaces
are illustrated for CT-API in accordance with [1] and for PC/SC in accordance with
[3]. Further interfaces (such as OCF) are in planning.
The SPR532 smart card reader does not possess any functionality that works
without connection to a host. It must generally be operated at a host.
Details on available host software such as drivers, libraries and tools are available in
the user manual of the SPR532.
The driver software is not included in this evaluation. The TOE ends at the serial
RS232 or USB interface to the host computer. Installation software including drivers,
manual and tools (such as the tool to verify the firmware version) can be downloaded
from: http://www.scmmicro.com/security/pcs_product_drivers.html.
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SPR532 smart card readers are usable in many market segments because of their
multi-functionality. As class 2 readers [5], the SPR532 readers are also able to enter
identification data (PIN) and convey it securely to secure signature production units
(signature smart cards) according to §2 number 10 SigG; therefore the readers can
also be used for applications in accordance with signature law and signature
regulation [6], [7]. Moreover, they can be used for the transmission of the hash value
from the application to the signature card and for the provision of a signature from
the card for use in signature applications. Thus, they represent a partial component
for signature applications, which require a security confirmation to be able to be used
for qualified electronic signatures under §2 number 3 SigG. For the use of the TOE
in accordance with SigG/SigV, only signature applications and smart cards can be
used that were evaluated and confirmed in the SigG context. SPR532 smart card
readers fulfill the special requirements under §15 paragraph 2 number 1a (no
disclosure or storage of identification data) and paragraph 4 (recognizability of
security-relevant changes) to SigV.
The following list of supported instruction bytes for the secure PIN input must be
used by the applications and be supported by smart cards in accordance with the
specification. Non-supported instruction bytes will be rejected with a qualified error
message:
• VERIFY (ISO/IEC 7816-4): INS=0x20
• CHANGE REFERENCE DATA (ISO/IEC 7816-4): INS=0x24
• ENABLE VERIFICATION REQUIREMENT (ISO/IEC 7816-4):
INS=0x28
• DISABLE VERIFICATION REQUIREMENT (ISO/IEC 7816-4):
INS=0x26
• RESET RETRY COUNTER (ISO/IEC 7816-4): INS=0x2C
• UNBLOCK APPLICATION (EMV2004): INS=0x18
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The SPR532 smart card reader family offers secured firmware download, in order to
be prepared for future requirements. The verification of a signature of the firmware
with the asymmetrical RSA algorithm and a bit length of 1024 guarantees the
integrity and authenticity of the firmware during the loading of the firmware into the
smart card reader. The manufacturer SCM Microsystems ensures the secure
generation and administration for the production of the necessary secure signature
key. SCM guarantees that each new version of the TOE receives a new version
number and thus is clearly identifiable.
The user may download actual firmware versions of SPR532 from SCMs web site
(http://www.scmmicro.com/security/pcs_product_drivers.html) together with a
Windows tool to download the new firmware to the smart card reader.
SCMs web site clearly states during the download of firmware if the respective
firmware is CC certified or not.
If a non CC certified firmware version is loaded to the TOE, the smart card reader
loses the CC certified and SigG/SigV confirmed status.
A software tool is provided with which the user can control the version number of the
TOE to correspond with the confirmed firmware version.
The housing is sealed by means of a falsification secure security sticker, which will
be destroyed during removal and thus can be used only once.
The Common Criteria certification report of SPR532 is available at http://www.bsi.de
and the SigG/SigV compliance confirmation at http://www.bundesnetzagentur.de.
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SPR532 smart card readers demonstrate different operating conditions by means of
two LEDs and a buzzer as follows:
LED1
(green)
LED2
(orange)
Buzzer
Just after power on
Just after DFU
operation
OFF OFF 740Hz / 25ms
Reader powered 0.5s ON
4.5s OFF
OFF OFF
Smart card powered ON OFF OFF
Smart card
communication
500ms ON
500ms OFF
OFF OFF
Secure PIN entry mode ON 500ms ON
500ms OFF
Diff. sounds for each keys
0-9 2400Hz / 25ms
Clear 1100Hz / 25ms
Cancel 1100Hz / 25ms
OK 1100Hz / 25ms
PIN Success: 900Hz / 100ms
1200Hz / 100ms
PIN Fail 300Hz / 100ms
PIN entry successfully
completed,
Smart card powered
ON ON OFF
PIN entry successfully
completed,
Smart card
communication
500ms ON
500ms OFF
ON OFF
Smart card
communication Error
100ms ON
100ms OFF
Previous
state
OFF
Self test during boot of
SPR532 failed
100ms ON
100ms OFF
Previous
state
OFF
Firmware upgrade
running
OFF ON OFF
Firmware upgrade failed OFF 32ms ON
32ms OFF
OFF
BootROM mode ON ON OFF
Diagnostic mode 250ms ON
250ms OFF
250ms ON
250ms OFF
depends on test function
Device Firmware Upgrade
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3 TOE security environment “ASE_ENV.1”
This chapter describes the security aspects of the environment in which the TOE is
used, those values that can be protected and the acting subjects (like users and
attackers). Moreover, the organizational security precautions and references to the
secure use of the TOE are represented.
The values that can be protected are identification data (PIN) of the user as well as
the firmware and hardware of the smart card reader itself.
The threats of the TOE by an attacker are:
• Uncovering identification data
• Security-relevant changes in the equipment
An attacker with high offensive capability cannot uncover identification data from the
TOE. The firmware guarantees that the commands for verifying and modifying the
PIN are recognized and worked on by the security function “Secure PIN entry”. This
security function ensures that the PIN input is passed on surely over the keypad of
the smart card reader to the smart card, without the possibility to be spied out by the
host computer.
The storage areas of the PIN data are reworked by the firmware, so that no attack on
stored data is possible.
The requirements of the environment of the deployment are formulated in a way that
the user must be able to enter his or her identification data unobserved.
The falsification secure security seal guarantees the recognition of security-relevant
changes.
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3.1 Assumptions
The SPR532 smart card readers are suitable both for the office and for private use.
Due to multi-functionality, the readers can support additional uses beyond signature
applications, such as secure home banking.
The end user is informed about his or her responsibility during the use of the TOE:
A_USER.VERSION:
It is assumed that the user verifies routinely with a software tool provided by
the manufacturer, whether the version number of the TOE agrees with the
confirmed version, before use of the smart card reader.
Applications in accordance with §2 number 11 SigG should verify
automatically that only confirmed versions of the TOE are used, in order to
remove this task from the end user.
A_USER.UNOBSERV:
The user must enter his or her identification data unobserved.
A_USER.KEYPAD:
It is assumed that the user enters his or her identification data using the
keypad of the TOE.
A_USER.LED:
While the PIN is being entered on the keypad of the reader, the status of the
LED verifies that the mode of the secure PIN input is active.
A_USER.SEAL:
The user routinely has to examine that the security seal is intact.
A_USER.STORE:
The rules to the secure keeping and non-proliferation of the PIN are
communicated to the user by the publisher of the smart card.
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A_USER.USAGE:
The TOE is laid out for use in private and office environments.
In an office environment, the SPR532 smart card reader should be arranged
in such a way that the usage is avoided by unauthorized users. That means
that the smart card reader is set up in such a manner that its usage is possible
for authorized persons only and that a working environment protected from
manipulation attempts has to be guaranteed.
An unobserved input of identification data (PIN) is to be ensured by suitable
measures at the place of work.
A_USER.ISO_EMV:
For applications requesting a secure PIN input the user has to use only
processor smart cards compliant to ISO 7816 or EMV.
A_USER.FWLOAD:
The user may download firmware versions of the TOE from the Internet site of
the manufacturer, the supplier or the distributor as well as from intranet sites
of a company.
It is assumed that it is clearly communicated during the download of the
firmware from an external source, whether or not the firmware is CC certified.
It is assumed that the user will download CC certified firmware versions only.
It is assumed that the user knows that he or she will loose the CC certified and
SigG/SigV confirmed status of the product, if he or she downloads any non
CC certified firmware version to the TOE.
A_USER.SIG_APP:
It is assumed that for the use of the TOE in accordance with SigG/SigV, only
applications and smart cards that were evaluated and confirmed in the
SigG context are used.
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3.2 Threats
In the following section, threats are represented that require special preventive
measures within the TOE or in its environment. The authors of threats are identified
and described by attacks and attacked values. The motivation of the attacker is to
spy the PIN of the user. It is assumed that an attacker should have very good
knowledge in electronics and software.
The attacker could use the following weak points of the TOE:
• the interface between readers and smart card
• the keypad for the PIN entry
• the firmware download
Opportunity for attack is offered, if the TOE is unobserved by the user or if the user is
careless during PIN entry.
The PIN as identification code of the user represents a personal secret. An attacker
has two possibilities to uncover this secret:
T.REVEAL:
The attacker could try to intercept the communication between host
and smart card and/or smart card reader over a Trojan horse (virus), if
the PIN is entered into the host equipment. Or the attacker could try to
attain a PIN code outside of the commands planned for it.
T.STORE:
Storage of identification data:
Storing identification data in the TOE also poses a danger of attack because
these data could be obtained from the TOE by an attacker, if the attacker
came into the possession of the TOE and would have the technical facility.
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Security-type modifications give the opportunity to an attacker to obtain identification
data in the TOE and arrive thus in possession of the PIN:
T.DOWNLOAD:
By manipulations during the download, a modified or unauthorized firmware
could be loaded into the reader, which could contain capabilities for
uncovering the PIN.
T.SEAL:
By manipulation of the seal and following manipulation of the hardware after
opening the reader the attacker can intercept the communication between
reader and smart card.
3.3 Organisational security policies
There are no organisational security policies intended for this TOE.
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4 Security objectives “ASE_OBJ.1”
4.1 Security objectives for the TOE
The SPR532 smart card reader serves to get the identification data (PIN) from the
user. The basic security objectives for the TOE are:
O.REVEAL:
The TOE does not reveal any identification data.
O.TRANSFER:
The TOE guarantees that the PIN is only transferred to the smart card.
O.INS_BYTE:
The TOE guarantees that the PIN is transferred to the smart card only using
PIN commands with specified instruction bytes.
O.SIGNAL:
The TOE guarantees that the secure PIN entry mode is clearly signaled to the
user.
O.STORE:
The TOE does not store any identification data.
O.DOWNLOAD:
The TOE guarantees that newly downloaded firmware will be accepted only if
integrity and authenticity are successfully verified.
O.SEAL:
The TOE guarantees that the user may be alerted to security critical
modifications by changes made to the security seal.
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4.2 Security objectives for the environment
The security objectives for the environment correspond in a general manner to those
under 4.1 specified:
OE.UNOBSERV:
The user must be able to enter his or her identification data unobserved.
OE.KEYPAD:
The user must enter his or her identification data using the keypad of
the TOE.
OE.LED:
The user must examine the status of the LED during PIN entry on the keypad
of the reader to check that the mode of the secure PIN input is active.
OE.ISO_EMV:
For applications requesting a secure PIN input the user must use only
processor smart cards compliant to ISO 7816 or EMV.
OE.USAGE:
The TOE should to be used in non-public, private and office environment only.
An unobserved input of identification data (PIN) is to be ensured by suitable
measures at the place of work.
OE.STORE:
The user may not store his or her identification data unsecured outside the
secure smart card.
OE.SEAL:
The user must examine regulary before use that the security seal is intact.
OE.VERSION:
In regular intervals the user must verify that the version number of the TOE
agrees with the confirmed version. The user uses a software tool provided by
the manufacturer, supplier or system integrator.
Applications in accordance with §2 number 11 SigG should verify
automatically that only confirmed versions of the TOE are used, in order to
remove this task from the end user.
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OE.FWLOAD:
The user may download firmware versions of the TOE from the Internet site of
the manufacturer, supplier or distributor as well as from intranet sites of a
company.
It must be clearly communicated during the download of the firmware from an
external source whether or not the firmware is CC certified.
The user should download CC certified firmware versions only.
The user has to be informed that he or she will lose the CC certified and
SigG/SigV confirmed status of the product, if any non CC certified firmware
versions are downloaded to the TOE.
OE.SIG_APP:
For the use of the TOE in accordance with SigG/SigV, only applications and
smart cards that were evaluated and confirmed in the SigG context may be
used.
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4.3 Dependencies: requirements SigG/SigV – security objectives
In the following table the required security requirements of SigG/SigV are referenced
to the security objectives of Common Criteria.
Law / order Text of law Security
objectives
Description
§15
paragraph 2
number 1a
SigV
Signaturanwendungs-
komponenten nach §17
Abs. 2 des SigG müssen
gewährleisten, dass bei
der Erzeugung einer
qualifizierten Signatur die
Identifikationsdaten nicht
preisgegeben und diese
nur auf der jeweiligen
sicheren
Signaturerstellungseinheit
gespeichert werden.
(Signature application
components pursuant to
Section 17 (2) of the
Signatures Act must
ensure that,
when producing a
qualified electronic
signature
the identification data are
not disclosed and are
stored only on the
relevant secure signature
creation device)
O.REVEAL
O.STORE
O.SIGNAL
O.TRANSFER
O.INS_BYTE
OE.LED
OE.KEYPAD
The TOE guarantees
that the PIN does not
leave the reader
toward the host.
The TOE does not
store any
identification data.
The TOE guarantees
that the secure PIN
is clearly signaled to
the user.
The TOE guarantees
that the PIN is only
transferred to the
smart card.
The TOE guarantees
that the PIN is
transferred to the
smart card only
using PIN
commands with
specified instruction
bytes.
The user must
examine the status
of the LED during
PIN entry on the
keypad of the reader
to check that the
mode of the secure
PIN input is active.
The user must enter
his or her
identification data
using the keypad of
the TOE.
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§15
paragraph 4
SigV
Sicherheitstechnische
Veränderungen an
technischen
Komponenten nach den
Absätzen 1 bis 3 müssen
für den Nutzer erkennbar
sein
(Security-relevant
changes in technical
components pursuant to
subsections (1) to (3)
must be apparent for the
user)
O.SEAL
O.DOWNLOAD
OE.SEAL
OE.VERSION
OE.FWLOAD
The TOE guarantees
that the user may
recognize security
critical modifications
by the security seal.
The TOE guarantees
that newly
downloaded
firmware will be
accepted only if
integrity and
authenticity are
successfully verified.
The user must
examine regulary
before use that the
security seal is
intact.
In regular intervals
the user must verify
that the version
number of the TOE
agrees with the
confirmed version.
The user should
download CC
certified firmware
versions only.
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5 IT security requirements “ASE_REQ.1”
5.1 Functional security requirements of the TOE
FCS Cryptographic support:
SFR.FCS_COP.1_RSA: Cryptographic operation
The TSF shall perform a secure firmware download by means of decoding and
verification of signed data in accordance with a specified cryptographic algorithm by
RSA and cryptographic key sizes of 1024 bit length that meet the following:
Norms ISO/IEC 14888-3.
The verification of a signature of the firmware with the asymmetrical RSA algorithm
and a bit length of 1024 in connection with SFR.FCS_COP.1_SHA guarantees the
integrity and authenticity of the firmware while loading the firmware into the smart
card reader.
SFR.FCS_COP.1_SHA: Cryptographic operation
The TSF shall perform a secure firmware download by means of decoding and
verification of signed data in accordance with a specified cryptographic algorithm by
SHA-1 and cryptographic key sizes, which are here not relevant, that meets the
following:
Norms FIPS180-1 and ISO/IEC 10118-3
The verification of a signature of the firmware based on a 160-bit hash value in
accordance with SHA-1 and in connection with SFR.FCS_COP.1_RSA guarantees
the integrity and authenticity of the firmware while loading of the firmware into the
smart card reader.
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FDP User data protection:
SFR.FDP_ACC.1: Subset access control
The TSF shall enforce the smart card reader access policies on
the subjects:
• S.USER: User through the keypad interface
• S.PC: PC through the RS232 or the USB interface
• S.ICC: Smart card through the card reader interface
the objects:
• OB.PIN: PIN
• OB.LED: Two LEDs
• OB.FW: Firmware
and the operations covered by the SFP:
• OP.P_ENTRY: PIN entry
• OP.P_VERIFY: Verification of the PIN
• OP.L_CONTROL: Control of the LEDs
• OP.F_DOWNLD: Download valid signed firmware
Connections: subjects - objects - operations
S.USER S.PC S.ICC
OB.PIN OP.P_ENTRY OP.P_VERIFY
OB.LED OP.L_CONTROL
OB.FW OP.F_DOWNLD
The subjects S.* are accessing the objects OB.* by the operations OP.*.
page 22/45
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Version 1.21
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Date: 06.06.2006
SFR.FDP_ACF.1: Security attributes based access control
FDP_ACF.1.1:
The TSF shall enforce the smart card reader access policies to objects based on the
identity of the object.
The TSF must enforce the
subjects:
• User through the keypad interface
• PC through the serial RS232 or the USB interface
• Smart card through the card reader interface
objects:
• PIN
• Two LEDs
• Firmware
and operations:
• PIN entry
• Verification of the PIN
• Control of the LEDs
• Download valid signed firmware
The identity of the objects is sufficient as security attribute, since the objects are
attainable only over defined interfaces of the TOE and for each interface only one
subject is defined.
FDP_ACF.1.2:
The TSF shall enforce the following rules to determine if an operation among
controlled subjects and controlled objects is allowed:
The PC (S.PC) sends commands on behalf of the application to the reader, which
causes the TOE to then only cause the LEDs (OB.LED) to display the secure
indicator mode (OP.L_CONTROL) and to pass the entered PIN (OB.PIN) to the
smart card, if:
1.) the commands to the smart card reader are recognizable on the basis of
their command structure in accordance with CCID [8] as such for verifying or
modifying the PIN, and in addition
2.) a command with one of the following instruction bytes, which can be
passed on to the smart card, is contained:
• VERIFY (ISO/IEC 7816-4): INS=0x20
• CHANGE REFERENCE DATA (ISO/IEC 7816-4): INS=0x24
• ENABLE VERIFICATION REQUIREMENT (ISO/IEC 7816-4):
INS=0x28
• DISABLE VERIFICATION REQUIREMENT (ISO/IEC 7816-4):
INS=0x26
• RESET RETRY COUNTER (ISO/IEC 7816-4): INS=0x2C
• UNBLOCK APPLICATION (EMV2004): INS=0x18
page 23/45
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The PIN (OB.PIN) must be entered by the user (S.USER) at the keypad of the TOE
(OP.P_ENTRY).
The PIN (OB.PIN) may be sent only over the card reader interface to the smart card
(S.ICC) for verification of the PIN (OP.P_VERIFY).
The download of a new firmware (OP.F_DOWNLD), initiated by the PC (S.PC), may
be only accepted, if the integrity and authenticity of the firmware (OB.FW) were
successfully verified on the basis of its signature with the asymmetrical RSA
algorithm and a bit length of 1024.
FDP_ACF.1.3:
The TSF shall explicitly authorise access of subjects to objects based on the
following additional rules:
None.
FDP_ACF.1.4:
The TSF shall explicitly deny access of subjects to objects based on (the)
No further rules.
SFR.FDP_RIP.2: Full residual information protection
The TSF shall ensure that any previous information content of a resource is made
unavailable upon the deallocation of the resource from all objects.
A memory rework of the buffer for the transmission of the PIN from the keypad to the
smart card is realized with the power-on procedure, after transmission of the
command to the smart card, after pulling the card, in the case of abort by the user,
with a timeout during the PIN input and after defined resetting commands initiated by
the host.
page 24/45
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SCM Microsystems GmbH, Oskar-Messter-Straße 13, 85737 Ismaning, Germany, Tel.: +49 89 9595-5000
Version 1.21
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Date: 06.06.2006
FTA TOE access
SFR.FTA_TAB.1: Default TOE access banners
Before establishing a user session, the TSF shall display an advisory warning
message regarding unauthorised use of the TOE.
During execution of the function “Secure PIN entry” the orange LED is switched into
the flashing mode.
After transmission of the PIN to the signature component (smart card) and
confirmation by the smart card with the status byte SW1=0x90 the orange LED is
turned on.
A disturbance of the card reader caused intentionally or due to a technical failure is
indicated to the user by fast flashing the green LED.
Invalid data are rejected. An error message is transferred to the host.
FPT TOE material protection
SFR.FPT_PHP.1: Passive detection of physical attack
The TSF shall provide unambiguous detection of physical tampering that might
compromise the TSF.
The TSF shall provide the capability to determine whether physical tampering with
the TSF’s devices or TSF’s elements has occurred.
The housing is sealed by means of a falsification secure security sticker, which will
be destroyed during removal and thus can be used only once. Thus the user can
recognize by the condition of the safety seal that no manipulations at the hardware
were made.
5.2 Minimum strength of TOE security objectives
By the use of the algorithms RSA and SHA-1 in the security function SF.SECDOWN,
the TOE offers protection against high offensive capability and fulfills the minimum
strength of functions "high", as demanded in SigG.
page 25/45
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Version 1.21
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Date: 06.06.2006
5.3 Assurance requirements of the TOE
The requirements for the aimed evaluation assurance level 3 with augmentations are
listed in table 6.4 Common Criteria part 3 as follows:
Assurance class Assurance components
Class ACM:
Configuration management
ACM_CAP.3 Authorisation controls
ACM_SCP.1 TOE CM coverage
Class ADO:
Delivery and operation
ADO_DEL.2 Detection of modification
ADO_IGS.1 Installation, generation, and start-up
procedures
Class ADV:
Development
ADV_FSP.1 Informal functional specification
ADV_HLD.2 Security enforcing high-level design
ADV_RCR.1 Informal correspondence demonstration
ADV_IMP.1: Subset of the implementation of the TSF
ADV_LLD.1 Descriptive low-level design
Class AGD:
Guidance documents
AGD_ADM.1 Administrator guidance
AGD_USR.1 User guidance
Class ALC:
Life Cycle Documents
ALC_DVS.1 Identification of security measures
ALC_TAT.1: Well-defined development tools
Class ATE:
Tests
ATE_COV.2 Analysis of coverage
ATE_DPT.1 Testing: high-level design
ATE_FUN.1 Functional testing
ATE_IND.2 Independent testing sample
Class AVA:
Vulnerability assessment
AVA_MSU.3: Analysis and testing for insecure states
AVA_SOF.1 Strength of TOE security function
evaluation
AVA_VLA.4 Highly resistant
5.4 Security requirements for the IT environment
There are no security requirements for the IT environment.
page 26/45
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6 TOE summary specification “ASE_TSS.1”
6.1 TOE security functions
To realize a qualified electronic signature it is necessary that the user identifies
himself or herself to the signature application. This could be done for instance using
a PIN of his or her signature card.
The private PIN code has therefore to be protected.
The PIN data should be stored in the smart card reader only as long as the
corresponding command is sent to the smart card or until the smart card is removed.
The security specific functions to ward off any threats and reach the security
objectives are listed below:
SF.PINCMD:
The firmware in the reader checks the commands sent to the reader by means
of the command structure compliant to the USB smart card reader
specification.
If the commands for Verification or Modification of the PIN are recognized and
if the command, which has to be forwarded to the smart card, contains one of
the following instruction bytes:
• VERIFY (ISO/IEC 7816-4): INS=0x20
• CHANGE REFERENCE DATA (ISO/IEC 7816-4): INS=0x24
• ENABLE VERIFICATION REQUIREMENT (ISO/IEC 7816-4):
INS=0x28
• DISABLE VERIFICATION REQUIREMENT (ISO/IEC 7816-4):
INS=0x26
• RESET RETRY COUNTER (ISO/IEC 7816-4): INS=0x2C
• UNBLOCK APPLICATION (EMV2004): INS=0x18
it will be switched into the mode for secure PIN entry over the integrated
keypad.
The RS232 version of the reader emulates the protocol, which is specified for
the USB smart card reader, so for both host interface versions an identical
data stream will be processed by the security functions.
The security function SF.PINCMD recognizes the command for PIN entry,
sent by the host software, and inserts the PIN data entered over the keypad to
the corresponding place in the command to the smart card. As well, only the
fact that one of the numeric keys is pressed is reported to the host.
page 27/45
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This information is used by the host application to show the user with “*” the
progress of PIN entry.
During the PIN entry the corresponding LEDs display the mode of secure PIN
entry.
Even a determined attacker with significant technical capabilities cannot
bypass the security functions, as based on the implementation there is no
possibility to manipulate the processing of the PIN commands in the TOE. An
attacker can not influence the program flow of SF.PINCMD in the TOE which
guarantees the protection of the PIN data.
The exchange of the PIN takes place only between smart card and TOE over
the card reader interface. This interface is inside the TOE and from
manipulation protected by the security seal.
SF.CLMEM:
The memory area for the PIN data will be reworked after transfer of the
command to the smart card, after removing the card, after cancellation by the
user, after a timeout during PIN entry, during switch on process and after
defined reset commands from the host.
Even a determined attacker with significant technical capabilities cannot
bypass the security functions, as based on the implementation there is no
possibility to manipulate the rework of the memory area in the TOE. An
attacker can not influence the program flow of SF.CLMEM in the TOE which
guarantees the erasing of the PIN data in the internal memory of the TOE as
described above. An evasion of SF.CLMEM would be only possible if a
manipulated firmware would be loaded, which is however not possible due to
SF.SECDOWN.
SF.SECDOWN:
The verification of a signature of the firmware with the asymmetric RSA
algorithm and a bit length of 1024 guarantees the integrity and authenticity of
the firmware during loading of a new firmware into the smart card reader.
The hash value over those firmware, which will be loaded, is determined
based on the algorithm SHA-1 with a length by 160 bits. The verification of the
integrity and authenticity takes place in the TOE via comparison of the
determined hash value and the hash value as a component of the decoded
signature. The public key for this operation is stored in the TOE.
Even a determined attacker with significant technical capabilities cannot
bypass the security functions, as based on the implementation there is no
possibility to get the private key to manipulate the TOE.
As the probability of guessing or calculating the key is negligible,
SF.SECDOWN is fulfilling the minimum strength of functions ”high.”
page 28/45
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6.2 TOE security measures
The housing is sealed by means of a falsification secure security sticker, which will
be destroyed during removal and thus can be used only once.
Thus the user can recognize by the condition of the safety seal that no manipulations
at the hardware were made.
6.3 Assurance measures
The assurance measures are reflected by the following documents of the
manufacturer.
• Configuration management
• Delivery and operation
• Development:
o Informal functional specification
o Security enforcing high-level design
o Informal correspondence demonstration
o Descriptive low-level design
o Subset of the implementation of the TSF
• User guidance
• Life cycle support / Identification of security measures
• Test documentation
• Vulnerability assessment
page 29/45
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7 PP claims “ASE_PPC.1”
The present Security Target is not aiming at fulfillment of a PP.
8 Explanation
8.1 Explanation of the security target
These chapters furnish the proof that the security target is complete and result
coherently in a consistent whole, which corresponds to the security objectives.
The SPR532 smart card readers fulfill the requirements under §15 paragraph 2
number 1a (no disclosure or storage of identification data) and paragraph 4
(recognizability of security-relevant changes) to SigV.
page 30/45
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8.1.1 Connections: assumptions – security objectives, threats – security
objectives
Assumptions Security objectives Comments
A_USER.LED OE.LED During PIN entry on the keypad of
the reader the status of the LED
has to be verified, that the mode of
the secure PIN input is active.
A_USER.VERSION OE.VERSION By means of a software tool it is to
be checked in regular intervals that
the version number of the TOE
agrees with the confirmed
firmware release.
Applications in accordance with §2
number 11 SigG should
automatically verify that only
confirmed versions of the TOE are
used, in order to remove this task
from the end user.
A_USER.SEAL OE.SEAL The user regularly has to examine
that the security seal is intact.
A_USER.STORE OE.STORE The rules to the secure keeping
and non-proliferation of the PIN
are communicated to the user by
the publisher of the smart card.
A_USER.USAGE OE.USAGE The operational area of the TOE is
clearly defined with home and
office applications.
A_USER.UNOBSERV OE.UNOBSERV The user must enter his or her
identification data unobserved.
A_USER.KEYPAD OE.KEYPAD The user must enter his or her
identification data using the
keypad of the TOE.
A_USER.ISO_EMV OE.ISO_EMV For applications requesting a
secure PIN input the user must
use only processor smart cards
compliant to ISO 7816 or EMV.
A_USER.FWLOAD OE.FWLOAD The user will download CC
certified firmware versions only.
A_USER.SIG_APP OE.SIG_APP For the use of the TOE in
accordance with SigG/SigV, only
applications and smart cards that
were evaluated and confirmed in
the SigG context, may be used.
page 31/45
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Threats Security
objectives
Comments
T.REVEAL O.REVEAL
O.SIGNAL
O.TRANSFER
O.INS_BYTE
OE.USAGE
OE.SEAL
The TOE guarantees that the
PIN does not leave the
reader toward the host.
The TOE guarantees that the
secure PIN is clearly signaled
to the user.
The TOE guarantees that the
PIN is only transferred to the
smart card.
The TOE guarantees that the
PIN is transferred to the
smart card only using PIN
commands with specified
instruction bytes.
The TOE has to be used in
non public but private and
office environments only.
The user must examine
regulary before use that the
security seal is intact.
T.STORE O.STORE
OE.STORE
The TOE does not store any
identification data.
The user may not store
identification data unsecured.
T.DOWNLOAD O.DOWNLOAD
OE.FWLOAD
The secure firmware
download guarantees that
the TOE cannot be changed
without authorization.
The user should download
CC certified firmware
versions only.
T.SEAL O.SEAL
OE.SEAL
The user can recognize by
the condition of the security
seal that no manipulations at
the hardware were made.
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• By using a "Trojan horse", an attacker could try to spy the PIN entered by the
user. Since the PIN will be transferred only within the TOE directly to the smart
card, it is not possible to spy the PIN with such "Trojan horses".
• An attacker could try to modify the firmware to read out the PIN. Since the TOE
accepts only a correctly signed firmware for the download, loading a manipulated
firmware is not possible.
• An attacker could try to open the TOE and manipulate it in such a way that the
PIN could be read out. Since the TOE is sealed and the user is able to examine
the sealing before each use, a manipulation of the TOE is already identifiable
from the outside by the user.
The security objectives are suitable to counter the identified threats to security.
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8.1.2 Cross references: threats – security objectives of the TOE
T.REVEAL T.STORE T.DOWNLOAD T.SEAL
O.REVEAL
O.STORE
O.SEAL
O.SIGNAL
O.TRANSFER
O.INS_BYTE
O.DOWNLOAD
8.1.3 Cross references: assumptions/threats – security objectives of the
environment
OE.
UN
OBSERV
OE.
KEY
PAD
OE.
LED
OE.
FW
LOAD
OE.
SIG_APP
OE.
ISO_
EMV
OE.
USAGE
OE.
STORE
OE.
SEAL
OE.
VER
SION
A_USER.
UNOBSERV
A_USER.
KEYPAD
A_USER.
LED
A_USER.
VERSION
A_USER.
SEAL
A_USER.
STORE
A_USER.
USAGE
A_USER.
ISO_EMV
A_USER.
FWLOAD
A_USER.
SIG_APP
T.REVEAL
T.STORE
T.DOWNLOAD
T.SEAL
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8.2 Explanation of the security requirements
Together with the security requirements of the environment the TOE corresponds to
the security-relevant requirements.
The SPR532 smart card readers fulfill the special requirements under §15 paragraph
2 number 1a (no disclosure or storage of identification data) and paragraph 4
(recognizability of security-relevant changes) to SigV.
The security functions SF.PINCMD and SF.CLMEM for secure PIN input including
LED control and memory rework are not directly open to attack due to their
implementations.
The secure firmware download corresponds to the requirements according to the
minimum strength of the functions “high.”
An attacker with high offensive capability cannot go around the security functions,
since he or she cannot attain an access to the security functionality of the TOE.
Thus the TOE is consistent with the security objectives.
The minimum strength of the functions “high” is appropriate and consistent with the
TOE security objectives of non-revealing and non-storing from identification data and
the recognizability of security-relevant changes.
The minimum strength of the functions “high” is appropriate for the requirements to
the assurance, which reflects itself in the requirements going beyond EAL3
• ADO_DEL.2 (detection of modification)
• ADV_IMP.1 (subset of the implementation of the TSF)
• ADV_LLD.1 (descriptive low-level design)
• ALC_TAT.1 (well-defined development tools)
• AVA_MSU.3 (analysis and testing for insecure states)
• AVA_VLA.4 (highly resistant)
The quantity of the selected security requirements forms a mutually support and
whole consistent in itself, since all relevant dependence is considered. The
formulated requirements of the security policies are a completing part of this security
system.
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8.2.1 Connections: security objectives – security requirements
Security
objectives
Security requirements Comments
O.REVEAL
O.TRANSFER
O.INS_BYTE
SFR.FDP_ACC.1
SFR.FDP_ACF.1
The security function of the
“Secure PIN entry” guarantees
that only approved commands
are passed to the smart card.
O.SIGNAL SFR.FTA_TAB.1 The LEDs of the reader display
the mode of the “Secure PIN
entry”.
O.STORE SFR.FDP_RIP.2 A memory rework of the buffer for
the transmission of the PIN from
the keypad to the smart card is
realized with the power-on
procedure, after transmission of
the command to the smart card,
after pulling the card, in the case
of abort by the user, with a
timeout during the PIN input and
after defined resetting commands
from the host.
O.DOWNLOAD SFR.FDP_ACF.1
SFR.FCS_COP.1_RSA
SFR.FCS_COP.1_SHA
The verification of a signature of
the firmware with the hash
algorithm SHA-1 and the
asymmetrical RSA algorithm with
a bit length of 1024 guarantee the
integrity and authenticity of the
firmware while loading of the
firmware into the smart card
reader.
O.SEAL SFR.FPT_PHP.1 The falsification secure security
seal, which will be destroyed
during removal and thus can be
used only once, guarantees that
the user may recognize security
critical modifications.
page 36/45
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8.2.2 Cross references: security objectives – security requirements
O.REVEAL O.STORE O.SEAL
SFR.FDP_ACC.1
SFR.FDP_ACF.1
SFR.FTA_TAB.1
SFR.FDP_RIP.2
SFR.FCS_COP.1_RSA
SFR.FCS_COP.1_SHA
SFR.FPT_PHP.1
O.SIGNAL O.TRANSFER O.INS_BYTE O.DOWNLOAD
SFR.FDP_ACC.1
SFR.FDP_ACF.1
SFR.FTA_TAB.1
SFR.FDP_RIP.2
SFR.FCS_COP.1_RSA
SFR.FCS_COP.1_SHA
SFR.FPT_PHP.1
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8.2.3 Dependencies of functional security requirements
Security requirements Dependencies Reference
SFR1 SFR.FCS_COP.1_RSA [FDP_ITC.1 or
FCS_CKM.1]
FCS_CKM.4
FMT_MSA.2
not applicable
not applicable
not applicable
not applicable
SFR2 SFR.FCS_COP.1_SHA [FDP_ITC.1 or
FCS_CKM.1]
FCS_CKM.4
FMT_MSA.2
not applicable
not applicable
not applicable
not applicable
SFR3 SFR.FDP_ACC.1 FDP_ACF.1 SFR4
SFR4 SFR.FDP_ACF.1 FDP_ACC.1
FMT_MSA.3
SFR3
not applicable
SFR5 SFR.FDP_RIP.2 none -
SFR6 SFR.FTA_TAB.1 none -
SFR7 SFR.FPT_PHP.1 FMT_MOF.1 not applicable
SFR1: SFR.FCS_COP.1_RSA
FDP_ITC.1
• Import of user data without security attributes
• No direct dependence for the TOE, since the key is brought in
with the manufacturer and delivered with the TOE
FCS_CKM.1
• Cryptographic key generation
• A requirement for the development environment of the
manufacturer, which is describing the generation of the keys
• No direct dependence for the TOE
FCS_CKM.4
• Cryptographic key destructions
• A requirement for the IT environment describing the destruction
of the generated private keys
• No direct dependence for the TOE, since this contains only the
public key
FMT_MSA.2
• Secure security attributes
• No dependence for the TOE, since only one key for the secure
firmware download is present, whereby a management of the
security attributes can be dropped
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SFR2: SFR.FCS_COP.1_SHA
FDP_ITC.1
• Import of user data without security attributes
• No dependence, since the hash algorithm does not use keys
FCS_CKM.1
• Cryptographic key generation
• No dependence, since the hash algorithm does not use keys
FCS_CKM.4
• Cryptographic key destructions
• No dependence, since the hash algorithm does not use keys
FMT_MSA.2
• Secure security attributes
• No dependence, since the hash algorithm does not use keys
SFR3: SFR.FDP_ACC.1
FDP_ACF.1
• Security attribute based access control
• See SFR.FDP_ACF.1
SFR4: SFR.FDP_ACF.1
FDP_ACC.1
• Subset access control
• See SFR.FDP_ACC.1
FMT_MSA.3
• Static attribute initialisation
• No dependence for the TOE, since only one key for the secure
firmware download is present, whereby a management of the
security attributes can be dropped
SFR5: SFR.FDP_RIP.2
No dependencies
SFR6: SFR.FTA_TAB.1
No dependencies
SFR7: SFR.FPT_PHP.1
FMT_MOF.1
• Management of functions in TSF
• No dependence for the TOE, since no change of the behavior of
the security function is possible, whereby a management of the
behavior of the security functions can be dropped
page 39/45
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8.2.4 Connections: security requirements – IT environment
There are no security requirements for the IT environment.
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8.3 Explanation of the TOE summary specification
8.3.1 Security requirements and security functions
Those in the following represented security functions complement each other and
correspond in their cooperating to the security requirements of the TOE. All security
requirements are covered by the existing security functions, which complement each
other mutually to an overall secure system.
Security
function
Security requirement Comment
SF1 SF.PINCMD SFR.FDP_ACC.1
SFR.FDP_ACF.1
SFR.FTA_TAB.1
The security function guarantees
that only approved commands
are passed to the smart card.
The LEDs of the reader display
the mode of the “Secure PIN
entry” input.
SF2 SF.CLMEM SFR.FDP_RIP.2 A memory rework of the buffer
for the transmission of the PIN
from the keypad to the smart
card is realized with the power-
on procedure, after transmission
of the command to the smart
card, after pulling the card, in the
case of abort by the user, with a
timeout during the PIN input and
after defined resetting
commands from the host.
SF3 SF.SECDOWN SFR.FDP_ACF.1
SFR.FCS_COP.1_RSA
SFR.FCS_COP.1_SHA
The verification of a signature of
the firmware with the hash
algorithm SHA-1 and the
asymmetrical RSA algorithm with
a bit length of 1024 guarantee
the integrity and authenticity of
the firmware while loading of the
firmware into the smart card
reader.
page 41/45
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8.3.2 Requirements and measures for security
Measure for
assurance
Requirements of
assurance
Comment
SM1 Sealing SFR.FPT_PHP.1 The security requirement against
material manipulation of the TOE is
fulfilled by the sealing and not by a
security function (SF) as a
component of the TOE, but ensured
by the security measure (SM).
8.3.3 Requirements and measures for assurance
Those in the following represented measures for the assurance correspond to the
requirements of the assurance. All requirements to the assurance are covered by the
existing measures to the assurance, which complement each other mutually to an
overall secure system.
Measure for
assurance
Requirements
of assurance
Comment
AM1 Configuration
management
ACM_CAP.3
ACM_SCP.1
Authorisation control
TOE CM coverage
AM2 Delivery and
operation
ADO_DEL.2
ADO_IGS.1
Detection of modification
Installation, generation and start-up
procedures
AM3 Informal
functional
specification
ADV_FSP.1 Informal functional specification
AM4 Security
enforcing high-
level design
ADV_HLD.2 Security enforcing high-level design
AM5 Subset of the
implementation
ADV_IMP.1 Subset of the implementation of the
TSF
AM6 Descriptive low-
level design
ADV_LLD.1 Descriptive low-level design
page 42/45
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AM7 Informal
correspondence
demonstration
ADV_RCR.1 Informal correspondence
demonstration
AM8 Guidance AGD_ADM.1
AGD_USR.1
Guidance
AM9 Life cycle support ALC_DVS.1
ALC_TAT.1
Identification of the security
measures
Well-defined development tools
AM10 Test
documentation
ATE_COV.2
ATE_DPT.1
ATE_FUN.1
ATE_IND.2
Analysis of coverage
Testing: high-level design
Functional testing
Independent testing – sample
AM11 Vulnerability
assessment
AVA_MSU.3
AVA_SOF.1
AVA_VLA.4
Analysis and testing for insecure
states
Strength of TOE security function
evaluation
Highly resistant
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8.4 Explanation of the PP postulates
At present there exist no protection profiles for smart card readers to the employment
in the framework SigG/SigV.
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9 Abbreviations
BSI Bundesamt für Sicherheit in der Informationstechnik
CC Common Criteria
CCID Integrated Circuit(s) Cards Interface Devices
CT-API Card Terminal - Application Programming Interface
DFU Device Firmware Upgrade
EMV Europay, MasterCard, Visa
HBCI Home Banking Computer Interface
ID Identifier
LED Light Emmitting Diode
PC Personal Computer
PC/SC Personal Computer / Smart Card Interface
PIN Personal Identification Number
ROM Read Only Memory
RSA Rivest, Shamir, and Adleman Public-Key Cryptography
SHA-1 Secure Hash Algorithm Rev 1. One-way hash
SigG Signaturgesetz (Signature law)
SigV Signaturverordnung (Signature regulation)
SPR Secure pin pad reader
USB Universal Serial Bus
page 45/45
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10 Bibliography
Reference Description
[1] CT-API Application Independent
CardTerminal Application Programming Interface
for ICC Applications
Revision 1.1; Deutsche Telekom, GMD, TUV & Teletrust ;
15.04.1999
[2] CT-BCS Application Independent
CardTerminal Basic Command Set
for ICC applications
(MKT-Version 1.0, 15.04.1999)
[3] PC-SC V 1.0 Interoperability Specification for ICCs and Personal
Computer Systems, Revision 1.0, December 1997
[4] ISO/IEC 7816 Integrated circuit(s) cards with contacts
[5] Class 2 Definition Requirements at smart card readers for home use from
view of SKO“ V1.0 (09/97)
”SIZ - Informatikzentrum der Sparkassenorganisation
GmbH“
[6] Signaturgesetz
(signature law)
Gesetz über Rahmenbedingungen für elektronische
Signaturen und zur Änderung weiterer Vorschriften vom
(Law about basic conditions for electronic signatures and
for the change of further regulations from)
16. Mai 2001 (Signaturgesetz-SigG)
[7] Signaturverordnung
(signature
regulation)
Verordnung zur elektronischen Signatur
(Regulation to the electronic signature)
(Signaturverordnung-SigV)
vom 16. November 2001
(english version at
http://www.iid.de/iukdg/gesetz/SigV161101-engl.pdf)
[8] CCID Chip/Smart Card Interface Devices, Revision 1.00, 2001-
03-20
[9] Common Criteria Common Criteria for Information Technology Security
Evaluation
Part 1-3, August 1999
[10] EMV 2004 Integrated Circuit Card Terminal Specifications for
Payment Systems, version 4.1