BSI-CC-PP-0105-V2-2020
for
Security Module Application for Electronic-
keeping Systems (SMAERS), Version 1.0
developed by
Federal Office for Information Security
Federal Office for Information Security (BSI), Postfach 20 03 63, 53133 Bonn, Germany
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-PP-414 V3.5
BSI-CC-PP-0105-V2-2020
Common Criteria Protection Profile
Security Module Application for Electronic-keeping Systems
(SMAERS), Version 1.0
developed by Federal Office for Information Security
Assurance Package claimed in the Protection Profile:
Common Criteria Part 3 conformant
EAL 2 augmented by
ALC_LCD.1 and ALC_CMS.3
valid until 27 July 2030
The Protection Profile identified in this certificate has been evaluated at an approved
evaluation facility using the Common Methodology for IT Security Evaluation (CEM),
Version 3.1 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 Protection Profile
and in conjunction with the complete Certification Report.
The evaluation has been conducted in accordance with the provisions of the certification
scheme of the German Federal Office for Information Security (BSI) and the conclusions
of the evaluation facility in the evaluation technical report are consistent with the
evidence adduced.
This certificate is not an endorsement of the Protection Profile by the Federal Office for
Information Security or any other organisation that recognises or gives effect to this
certificate, and no warranty of the Protection Profile by the Federal Office for Information
Security or any other organisation that recognises or gives effect to this certificate, is
either expressed or implied.
Common Criteria
Recognition
Arrangement
Bonn, 28 July 2020
For the Federal Office for Information Security
Joachim Weber
Head of Branch
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
SOGIS Recognition
Agreement
Certification Report BSI-CC-PP-0105-V2-2020
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BSI-CC-PP-0105-V2-2020 Certification Report
Contents
A Certification.......................................................................................................................6
1 Preliminary Remarks.....................................................................................................6
2 Specifications of the Certification Procedure................................................................6
3 Recognition Agreements...............................................................................................7
3.1 European Recognition of CC – Certificates (SOGIS-MRA)...................................7
3.2 International Recognition of CC – Certificates (CCRA)..........................................7
4 Performance of Evaluation and Certification.................................................................8
5 Validity of the certification result....................................................................................8
6 Publication.....................................................................................................................8
B Certification Results........................................................................................................10
1 Protection Profile Overview.........................................................................................11
2 Security Functional Requirements..............................................................................11
3 Assurance Requirements............................................................................................12
4 Results of the PP-Evaluation.......................................................................................12
5 Obligations and notes for the usage...........................................................................12
6 Protection Profile Document........................................................................................13
7 Definitions....................................................................................................................13
7.1 Acronyms..............................................................................................................13
7.2 Glossary................................................................................................................13
8 Bibliography.................................................................................................................14
C Annexes..........................................................................................................................16
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Certification Report BSI-CC-PP-0105-V2-2020
A Certification
1 Preliminary Remarks
Under the Act on the Federal Office for Information Security (BSIG), the Federal Office for
Information Security (BSI) has the task of issuing certificates for information technology
products as well as for Protection Profiles (PP).
A PP defines an implementation-independent set of IT security requirements for a category
of products which are intended to meet common consumer needs for IT security. A PP
claimed by a user, consumer or stakeholder for IT gives them the possibility to express
their IT security needs without referring to a specific product. Product certifications can be
based on Protection Profiles. For products which have been certified based on a
Protection Profile an individual certificate will be issued but the results from a PP
certification can be re-used for the Security Target evaluation within a product evaluation
when conformance to the PP has been claimed.
Certification of the Protection Profile is carried out on the instigation of the BSI or a
sponsor. A part of the procedure is the technical examination (evaluation) of the Protection
Profile according to Common Criteria [1]. The evaluation is usually 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.
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 Security (BSIG)1
● BSI Certification and Approval Ordinance2
● BMI Regulations on Ex-parte Costs 3
● 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], including PP Certification
● BSI certification: Scheme documentation on requirements for the Evaluation Facility, its
approval and licencing process (CC-Stellen) [3]
1
Act on the Federal Office for Information Security (BSI-Gesetz - BSIG) of 14 August 2009,
Bundesgesetzblatt I p. 2821
2
Ordinance on the Procedure for Issuance of Security Certificates and approval by the Federal Office for
Information Security (BSI-Zertifizierungs- und -Anerkennungsverordnung - BSIZertV) of 17 December
2014, Bundesgesetzblatt 2014, part I, no. 61, p. 2231
3
BMI Regulations on Ex-parte Costs - Besondere Gebührenverordnung des BMI für individuell
zurechenbare öffentliche Leistungen in dessen Zuständigkeitsbereich (BMIBGebV), Abschnitt 7 (BSI-
Gesetz) - dated 2 September 2019, Bundesgesetzblatt I p. 1365
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BSI-CC-PP-0105-V2-2020 Certification Report
● Common Criteria for IT Security Evaluation (CC), Version 3.14
[1] also published as ISO/
IEC 15408
● Common Methodology for IT Security Evaluation, Version 3.1 [2] also published as
ISO/IEC 18045
● BSI certification: Application Notes and Interpretation of the Scheme (AIS) [4]
● Internal procedure for the issuance of a PP certificate
3 Recognition Agreements
In order to avoid multiple certification of the same Protection Profile in different countries a
mutual recognition of IT security certificates - as far as such certificates are based on CC -
under certain conditions was agreed. Therefore, the results of this evaluation and
certification procedure can be re-used by the product certificate issuing scheme in the
evaluation of a Security Target within a subsequent product evaluation and certification
procedure.
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 up to and including Common Criteria (CC) Evaluation Assurance Levels EAL 4, and
in addition at higher recognition levels for IT-Products related to certain technical domains
only. In addition, certificates issued for Protection Profiles based on Common Criteria are
part of the recognition agreement.
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.
Details on recognition, the signatory nations, technical domains and the agreement itself
can be found at https://www.sogis.eu.
3.2 International Recognition of CC – Certificates (CCRA)
The international Common Criteria Recognition Arrangement (CCRA) became effictive in
September 2014 in its current version. It defines the recognition of certificates for IT-
products 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 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.
Details on recognition, the signatory nations and the agreement itself can be found at
https://www.commoncriteriaportal.org.
4
Proclamation of the Bundesministerium des Innern of 12 February 2007 in the Bundesanzeiger dated
23 February 2007
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Certification Report BSI-CC-PP-0105-V2-2020
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 PP Security Module Application for Electronic-keeping Systems (SMAERS), Version
1.0 has undergone the certification procedure at BSI. This is a re-certification based on
BSI-CC-PP-0105-2019.
The evaluation of the PP Security Module Application for Electronic-keeping Systems
(SMAERS), Version 1.0 was conducted by the ITSEF TÜV Informationstechnik GmbH.
The evaluation was completed on 24 July 2020. The ITSEF TÜV Informationstechnik
GmbH is an evaluation facility (ITSEF)5
recognised by the certification body of BSI.
For this certification procedure the sponsor and applicant is: Bundesamt für Sicherheit in
der Informationstechnik.
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 only applies to the version of the Protection Profile as indicated.
In case of changes to the certified version of the Protection Profile, the validity can be
extended to new versions and releases, provided the sponsor applies for assurance
continuity (i.e. re-certification or maintenance) of the modified Protection Profile, in
accordance with the procedural requirements, and the evaluation does not reveal any
security deficiencies.
For the meaning of the CC concepts and terms please refer to CC [1] Part 1 for the
concept of PPs, to CC [1] Part 2 for the definition of Security Functional Requirements
components (SFR) and to CC [1] Part 3 for the definition of the Security Assurance
Components, for the class AVA Vulnerability assessment and for the cross reference of
Evaluation Assurance Levels (EALs) and assurance components.
The validity of this certificate ends as outlined on the certificate. The applicant and the
sponsor of this certificate are recommended to review the technical content of the
Protection Profile certified according to the evolvement of the technology and of the
intended operational environment of the type of product concerned as well as according to
the evolvement of the evaluation criteria. Such review should result in an update and a re-
certification of the Protection Profile accordingly. Typically, technical standards are
reviewed on a five years basis.
The limitation of validity of this PP certificate does not necessarily impact the validity
period of a product certificate referring to this Protection Profile, but the certification body
issuing a product certificate based on this Protection Profile should take it into its
consideration on validity.
6 Publication
The PP Security Module Application for Electronic-keeping Systems (SMAERS), Version
1.0 has been included in the BSI list of the certified Protection Profiles, which is published
5
Information Technology Security Evaluation Facility
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BSI-CC-PP-0105-V2-2020 Certification Report
regularly (see also Internet: https://www.bsi.bund.de and [5]). Further information can be
obtained from BSI-Infoline +49 228 9582-111.
The Certification Report may be obtained in electronic form at the internet address stated
above.
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Certification Report BSI-CC-PP-0105-V2-2020
B Certification Results
The following results represent a summary of
● the certified Protection Profile,
● the relevant evaluation results from the evaluation facility, and
● complementary notes and stipulations of the certification body.
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BSI-CC-PP-0105-V2-2020 Certification Report
1 Protection Profile Overview
The Protection Profile Security Module Application for Electronic-keeping Systems
(SMAERS), Version 1.0 [6] is established by the Bundesamt für Sicherheit in der
Informationstechnik as a basis for the development of Security Targets in order to perform
a certification of an IT-product, the Target of Evaluation (TOE).
The TOE type is a security module application implemented as software. The security
module is part of a certified technical security system (CTSS) for electronic record-keeping
systems (ERS).
The TOE application is either running on the platform of a CSP (referred to as platform-
architecture), or running on a separate device communicating with the CSP via a trusted
channel (referred to as client-server architecture). Depending on the overall architecture,
different security requirements exist for a CSP.
The assets to be protected by a TOE claiming conformance to this PP are defined in the
Protection Profile [6], chapter 3.1. Based on these assets the security problem definition is
defined in terms of assumptions, threats and organisational security policies. This is
outlined in the Protection Profile [6], chapter 3.4, 3.2 and 3.3.
These assumptions, threats and organisational security policies are split into security
objectives to be fulfilled by a TOE claiming conformance to this PP and security objectives
to be fulfilled by the operational environment of a TOE claiming conformance to this PP.
These objectives are outlined in the PP [6], chapter 4.
The Protection Profile [6] requires a Security Target based on this PP or another PP
claiming this PP to fulfil the CC requirements for strict conformance.
To support proper and consistant usage of the PP, it is supplemented by the Supporting
Documents [9] and [10] for the proper usage of the CSP in support of the PP refer to the
Supporting Documents [11] to [14].
2 Security Functional Requirements
Based on the security objectives to be fulfilled by a TOE claiming conformance to this PP
the security policy is expressed by the set of security functional requirements (SFR) to be
implemented by a TOE. It covers the following issues:
● Cryptographic Support,
● User Data Protection,
● Identification and Authentication,
● Security Management,
● Protection of the TSF,
● Trusted Path/Channels (applied by Package Trusted Channel between TOE and CSP
only).
These TOE security functional requirements are outlined in the PP [6], chapter 6. They are
selected from Common Criteria Part 2 and some of them are newly defined. Thus the SFR
claim is called:
Common Criteria Part 2 extended
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3 Assurance Requirements
The TOE security assurance package claimed in the Protection Profile is based entirely on
the assurance components defined in part 3 of the Common Criteria. Thus, this assurance
package is called:
Common Criteria Part 3 conformant
EAL 2 augmented by
ALC_LCD.1 and ALC_CMS.3
(for the definition and scope of assurance packages according to CC see [1], part 3 for
details).
4 Results of the PP-Evaluation
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
Application Notes and Interpretations of the Scheme (AIS) [4] as relevant for the TOE.
As a result of the evaluation the verdict PASS is confirmed for the assurance components
of the class APE (Protection Profile evaluation).
The following assurance components were used:
APE_INT.1 PP introduction
APE_CCL.1 Conformance claims
APE_SPD.1 Security problem definition
APE_OBJ.2 Security objectives
APE_ECD.1 Extended components definition
APE_REQ.2 Derived security requirements
As the evaluation work performed for this certification procedure was carried out as a re-
evaluation based on the certificate BSI-CC-PP-0105-2019, re-use of specific evaluation
tasks was possible. The focus of this re-evaluation was to incorporate the CSPLight
Protection Profile and configurations and the revision of the UCP process. Further, the
assurance requirements were extended with an augmentation and several corrections and
re-phrasings were performed over the whole PP document.
The results of the evaluation are only applicable to the Protection Profile as defined in
chapter 1.
5 Obligations and notes for the usage
The following aspects need to be fulfilled when using the Protection Profile:
The PP [6] defines several Application Notes that shall be considered when creating a
security target and implementing a TOE that claims conformance to this.
Also, as the PP was created to offer great flexibility with respect to different architectural
designs, individual solutions of a SMAERS and CSP shall consider [6] Chapter 1.1.2 (Non-
TOE Hardware/Software/Firmware available to the TOE) and the Appendix: Operational
Requirements for CSPLight. A TOE that is based on this PP can only be run together with
a certified CSP / CSP-Light component.
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6 Protection Profile Document
The Protection Profile Security Module Application for Electronic-keeping Systems
(SMAERS), Version 1.0 [6] is being provided within a separate document as Annex A of
this report.
7 Definitions
7.1 Acronyms
AIS Application Notes and Interpretations of the Scheme
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
EAL Evaluation Assurance Level
ETR Evaluation Technical Report
IT Information Technology
ITSEF Information Technology Security Evaluation Facility
PP Protection Profile
SAR Security Assurance Requirement
SF Security Function
SFP Security Function Policy
SFR Security Functional Requirement
ST Security Target
TOE Target of Evaluation
TSF TOE Security Functionality
7.2 Glossary
Augmentation - The addition of one or more requirement(s) to a package.
Extension - The addition to an ST or PP of functional requirements not contained in part 2
and/or assurance requirements not contained in part 3 of the CC.
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.
Protection Profile - An implementation-independent statement of security needs for a
TOE type.
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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 - A set of software, firmware and/or hardware possibly accompanied
by guidance.
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.
8 Bibliography
[1] Common Criteria for Information Technology Security Evaluation, Version 3.1,
Part 1: Introduction and general model, Revision 5, April 2017
Part 2: Security functional components, Revision 5, April 2017
Part 3: Security assurance components, Revision 5, April 2017
https://www.commoncriteriaportal.org
[2] Common Methodology for Information Technology Security Evaluation (CEM),
Evaluation Methodology, Version 3.1, Revision 5, April 2017
https://www.commoncriteriaportal.org
[3] BSI certification: Scheme documentation describing the certification process (CC-
Produkte) and Scheme documentation on requirements for the Evaluation Facility,
approval and licencing (CC-Stellen), https://www.bsi.bund.de/zertifizierung
[4] Application Notes and Interpretations of the Scheme (AIS) as relevant for the TOE6
.
[5] German IT Security Certificates (BSI 7148), periodically updated list published also
on the BSI Website
[6] Protection Profile “Security Module Application for Electronic-keeping Systems
(SMAERS)“, Version 1.0, 2020-07-15, Bundesamt für Sicherheit in der
Informationstechnologie
[7] Evaluation Technical Report, Version 1, 2020-07-22, “EVALUATION TECHNICAL
REPORT SUMMARY (ETR SUMMARY)”, TÜV Informationstechnik GmbH
(confidential document)
[8] “Evaluation Methodology for Protection Profiles Security Elements with Application
Separation”, v0.1.3, 21.12.2017, Bundesamt für Sicherheit in der
Informationstechnologie (document can be requested from BSI)
[9] Technische Richtlinie BSI TR-03153 Technische Sicherheitseinrichtung für
elektronische Aufzeichnungssysteme, Version 1.0.1, 20. Dezember 2018,
Bundesamt für Sicherheit in der Informationstechnologie
[10] Ergänzungen der Technischen Richtlinie TR—03153, 02. Dezember 2019,
Bundesamt für Sicherheit in der Informationstechnologie
6
specially
• AIS 32, Version 7, CC-Interpretationen im deutschen Zertifizierungsschema
• AIS 38, Version 2.0, Reuse of evaluation results
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[11] Protection Profile “Cryptographic Service Provider (CSP)“, BSI-CC-PP-0104-2019,
Version 0.9.8, 19.02.2019, Bundesamt für Sicherheit in der Informationstechnologie
[12] Protection Profile “Configuration Cryptographic Service Provider – Time Stamp
Service and Audit“, BSI-CC-PP-0107-2019, Version 0.9.5, 2019-04-08, Bundesamt
für Sicherheit in der Informationstechnologie
[13] Protection Profile “Configuration Cryptographic Service Provider – Time Stamp
Service and Audit - Clustering“, BSI-CC-PP-0108-2019, Version 0.9.4, 2019-04-08,
Bundesamt für Sicherheit in der Informationstechnologie
[14] Protection Profile “Cryptographic Service Provider Light“, BSI-CC-PP-0111-2019,
Version 1.0, 2019-11-12, Bundesamt für Sicherheit in der Informationstechnologie
[15] Protection Profile “Configuration Cryptographic Service Provider Light – Time Stamp
Service and Audit“, BSI-CC-PP-0113-2019, Version 1.0, 2020-07-15, Bundesamt für
Sicherheit in der Informationstechnologie
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Certification Report BSI-CC-PP-0105-V2-2020
C Annexes
List of annexes of this certification report
Annex A: Protection Profile Security Module Application for Electronic-keeping Systems
(SMAERS), Version 1.0 [6] provided within a separate document.
Note: End of report
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