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BSI TR-03119

1. 15 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 host computer can query for the retry counter using this command but cannot execute the complete PACE protocol The method EstablishPACEChannel Password PUK Role unauthenticated with a subsequent RESET RETRY COUNTER has to be supported to perform a reset of the retry counter A 4 4 Filtering Rules To prevent circumvention of the secure PIN input using the PIN pad the card reader must filter certain commands i e it must not execute or must not forward the commands to the card This means e It must be prevented that PACE can be executed by the host computer e EstablishPACEChannel must not be performed with an eID PIN or PUK provided by the host computer the input of these secret codes exclusively at the PIN pad must be enforced If EstablishPACEChannel is used with CAN provided by the host computer the card reader must request a user confirmation before establishing the secure channel e The following combinations of role and password pairs must be supported o unauthenticated terminal with CAN PUK and eID PIN o Authentication Terminal with CAN and eID PIN o if module A 7 QES with contactless cards is implemented Signature Terminal with CAN eID PIN and PUK All other combinations must be filtered out It must be prevented that the eID PIN can be changed by the host computer RESET RETR
2. PC SC part 3 A 3 Contact Interface Multifunctional reader types can additionally support contact smart cards Such readers have at least one contacting unit for smart cards of size ID 1 85 6 mm x 54 0 mm x 0 80 mm in accordance with ISO 7810 If the same slot is used for the contactless interface according to module A 2 and the contact interface special attention must be paid that the contacting unit does not damage cards of the format td1 see also module A 2 Should different card slots be used and the contact slot is unsuitable for cards of the format td1 the instruction manual for the reader has to point this out explicitly The dimensions and location of the electrical contacts are specified in ISO 7816 part 2 Furthermore the smart card reader can have additional optional contacting units They can be designed also for the format ID 000 plug in card according to ISO 7810 The contacts of the smart card reader must be resistant against short circuits of individual contacts or all contacts together After a short circuit between the contacts all functions of the card reader must be completely recoverable No irreversible damages may occur Note that some dual interface smart cards have a combined power management for the contactless and the contact interface Therefore the contact pads of a dual interface card must not be shorted or connected to GND if the contact interface is not in use The card reader provides the smart
3. e Transmitted Password may contain a password transmitted by the host optional must only be used for CAN All other passwords must be rejected by the reader e Certificate Holder Authorization Template CHAT contains the CHAT role identifier and access rights which shall be transmitted to the card as part of PACE must be present if authentication as Authentication Terminal Capability eID or Signature Terminal eSign is required In the latter case the presence of the CHAT with role Signature Terminal signals the card reader to perform step 8 in the process description below e CertificateDescription contains the Certificate Description as contained in the Terminal Certificate see step 7 in the description below must be present if authentication as Authentication Terminal Capability eID is required e HashOID contains the Object Identifier used for the hash computation of CertificateDescription see step 4 in the description below must be identical to the OID contained in the terminal certificate optional if not present the card reader shall assume SHA 256 as hash function The Output for this command comprises the following elements e The contents of EF CardAccess as read from the card e Status words as returned by MSE Set AT to convey the status of the password e g if the password is blocked suspended etc see TR 03110 e The trust points CARcu and CARprev returned by the card in the final step of PA
4. confirmation of the model type certification i e all readers of the same confirmed construction type receive the same certificate and the same private key This key is generated by the vendor and stored in a secure way The secure storage as well as secure transport of the key into the reader is part of the evaluation for obtaining the confirmation After a successful confirmation of the reader type the public key will be certified by the DV eSign located at the BSI For a re certification the manufacturer sends a new certificate request for the already existing private key to the BSI The prerequisite for a renewed certification is the continued validity of the confirmation of the reader and the sufficient key length of the private key according to TR 03116 part 2 If the key length does not suffice any more there are two possibilities 1 During the production process multiple private keys of various lengths are stored in the reader of which one is suitable for the re certification 19 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 2 The reader is capable of importing a new key using a secure interface For more details on the certification by the DV eSign refer to CP eSign A 7 3 Passive Authentication The card reader reads the file EF CardSecurity and verifies the signature contained in it For the signature validation a chain of certificates h
5. security policies B 5 Display The security of the display in particular e authentic display especially correct display of the certificate holder and the access certificates when using the eID function e manipulation proof display has to be proven using a Common Criteria certification see Appendix E B 6 QES with Contact Cards A confirmation according to the Signature Law has to be presented Federal Office for Information Security 22 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC B 7 QES with Contactless Cards according to TR 03117 A conformity evaluation of the ISO Layers 6 7 according to TR 03105 part 5 2 has to be performed by an evaluation facility recognized by BSI according to DIN ISO IEC 17025 At least the profiles R_Tra R_PACE R_TA R_CA R_ elD andR Sig have to be carried out The functions of the reader device declared in the manufacturer s Implementation Conformance Statement ICS can restrict the tests to be performed The card reader must be capable of employing the cryptographic algorithms and key lengths according to TR 03116 part 2 For reasons of future reliability it may be useful to also support other key lengths All test reports of the conformity evaluation are to be submitted as proof of conformity The security of specific mechanisms for use of the QES with contactless cards has to be proven by the following certifications e The private key for
6. the contactless interface only after a successful execution of EstablishPACEChannel Password CAN Role SignatureTerminal e Setting a new the signature PIN is triggered by ModifyPIN This command may be used on the contactless interface only after a successful execution of Estab lishPACEChannel Password eID PIN Role SignatureTerminal e Resetting the retry counter is performed using the command CHANGE REFERENCE DATA according to TR 03117 after an execution of EstablishPACEChannel Password PUK Role SignatureTerminal A 7 6 Filtering Rules Setting changing using the signature PIN can be performed only using the described commands this means in particular that the card reader must filter the commands of the host computer accessing the signature PIN especially VERIFY and CHANGE REFERENCE DATA A 7 7 Signature Generation The generation of the signature is performed using standard commands according to ISO 7816 as specified in TR 03117 Federal Office for Information Security 20 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC A 8 Firmware Update If a card reader supports updates the card reader must be equipped with a secure firmware download function The firmware of the smart card reader is the fundamental basis for securing the approved service features The download function can be executed with a separate loading program which is provided for the various system environments
7. the Terminal Authentication must be stored in a secure way For this purpose a security module certified according to PP SSCD compliant to Common Criteria with Assurance Level EAL4 must be used In exceptional cases other security modules can be used in accordance with BSI e The software accessing the security module Firmware must be certified with Assurance Level EAL 3 based on the Security Target of the vendor It is recommended to create this Security Target based on the Protection Profile PP IS If the Security Target is not derived from this Protection Profile it must be ensured that the corresponding security requirements are represented in the Security Target e Ifthe optional import of a new private key for the terminal authentication is implemented the import mechanism has to be certified at Assurance Level EAL4 This is not covered by PP IS thus it must be additionally considered in the Security Target A confirmation in accordance with the Signature Law must be presented B 8 Firmware Update The security of the firmware updates in particular e securing and verifying the integrity of the firmware has to be proven by a Common Criteria certification provided the firmware contains security relevant components see Appendix E C Functional Tests The tests in this section verify the functionality of the card readers or respectively of the pertaining drivers for the supported Operating Systems see Appendix A 1
8. the conformity evaluation and a final test report summarising the results are provided by the respective evaluation facility 1 A list of all evaluation facilities authorised to perform conformity evaluations according to Technical Guidelines is published on the BSI website Federal Office for Information Security 6 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC The certification authority at the BSI supervises the conformity evaluation and grants the certificate applied for after a successful conclusion ofthe evaluation and on the basis of all test reports Granted certificates are published by the BSI In addition certified smart card readers are labelled with the BSI test seal indicating a successful certification according to BSI TR 03119 The BSI test seal can after a successful certification and following the terms of usage specified by BSI be placed on the card reader and be used for advertising purposes If a certification according to BSI TR 03119 is a prerequisite for the official use of a card reader the application of the BSI test seal is mandatory This can also apply if such qualification is required for tendering or similar procedures For more information on the certification procedure according to Technical Guidelines refer to the BSI website 3 Categories of Smart Card Readers For reasons of interoperability and as a basis for evaluation and assessment all smart card readers ha
9. CE see TR 03110 present if authentication as Authentication Terminal Capability eID is required e The ephemeral public key of the terminal IDpicc see TR 03110 present if authentication as Authentication Terminal Capability eID is required Error Code as detailed below Federal Office for Information Security 30 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC m FOI Sr OxF003SW1SW2 0xF006SW1SW2 RSW SED FSW an TF OMSW IS rH FSW TE ww ass FAS WISH TE FOS WISW In the following the execution of the function EstablishPACEChannel is described 1 2 3 The host computer invokes EstablishPACEChannel The card reader reads EF CardAccess from the card and extracts the parameters necessary for PACE The card reader extracts from InputData e the Password ID PIN CAN PUK e and if available the CHAT Certificate Holder Authorization Template If the Role from the CHAT denotes an Authentication Terminal and a display is available The card reader extracts the certificate description from InputData retrieves and displays the certificate holder If no certificate description has been provided or the certificate holder cannot be displayed using the character set available in the card reader the certificate holder is displayed as Unknown Then the access rights contained in CHAT will be displayed The user can inspect them individually in the re
10. CEN prEN 1332 5 Identification card systems Man machine interface Part 5 Raised tactile symbols for differentiation of application on ID 1 cards PP SSCD CEN prEN 14169 1 Protection Profile for Secure signature creation device Part 2 Device with key generation BSI CC PP 0059 EMC EMV Integrated circuit card Specification for Payment systems Application independent ICC to terminal interface requirements EMV EMV Integrated circuit card Specification for Payment systems Application independent ICC to terminal interface requirements ICAO 9303 ICAO Doc 9303 Machine Readable Travel Documents Part 3 ISO 14443 ISO IEC ISO 14443 Identification cards Contactless integrated circuit s cards Proximity cards ISO 7810 ISO IEC ISO 7810 Identification cards Physical characteristics ISO 7816 ISO IEC ISO 7816 Identification cards Integrated circuit cards ISO 10373 ISO IEC ISO IEC 10373 Identification cards Test methods DER ITU T Information Technology ASN 1 encoding rules Specification of Basic Encoding Rules BER Canonical Encoding Rules CER and Distinguished Encoding Rules DER PC SC PC SC Workgroup PC SC Workgroup Specifications 1 0 2 0 MKT TeleTrust Multifunktionale KartenTerminals MKT Spezifikation MKT Version 1 0 CCID USB Implementers Forum Universal Serial Bus Device Class Smart Card CCID Specification for Integrated Circuit s Cards Interface D
11. If the firmware provides security services i e if the reader implements any of the modules A 4 A 7 the download process must be protected in the way preventing that the reader firmware can be modified by an unauthorised access By using a cryptographic securing system it must be guaranteed that only authorised persons or systems can change the features of the smart card reader The integrity and completeness of the new data must be verified by the firmware of the reader itself Protecting the data using a digital signature is mandatory B Certification Requirements This appendix describes the testing requirements for the respective modules defined in Appendix A The test reports or manufacturer s declarations are to be presented to the BSI certification authority in the course of the certification procedure To verify the correct functional implementation of the modules functional tests and conformity tests are carried out If the reader supports a security relevant module modules form A 4 up the security must be proven by a Common Criteria certification as specified in Appendix E Depending on the module additional specific requirements must be met e g a confirmation according to the Signature Act The individual types model PIN biometrics displays etc determine the scope of the evaluation B 1 Interface to the Host Computer The functional tests ascertain the interoperability among diverse smart card readers and verify the b
12. MR Bundesamt f r Sicherheit in der Informationstechnik Technical Guideline BSI TR 03119 Requirements for Smart Card Readers Supporting eID and eSign Based on Extended Access Control Version 1 3 22 March 2013 Bundesamt f r Sicherheit in der Informationstechnik Postfach 20 03 63 53133 Bonn Germany Email ePA bsi bund de Internet https www bsi bund de Bundesamt f r Sicherheit in der Informationstechnik 2013 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC Table of Contents 1 ea CRN zer 3 2 Interoperable Smart Card Besen ee 5 2 1 Terminal Defini oheinen a owiehe NEE E E N 6 2 2 ATCHItE CHIT Sunc a E E Had Sted REIHE 6 2 3 Cerificate a a EN ES AN A a dade EE E 6 3 aleranss oF Smart Card Beudeis una ee 7 3 1 Bas c Reader Cat B ernier in e EOE E E E asian T E 7 3 2 Standard Reader C t S en E E EE E EE EE i 8 3 3 Comfort Reader Cate unse i E sans single 8 4 General Recommendations a ne 8 4 1 Utilisation Processes and Use Cases uuneessssessssessnessnennnnennnnnnnnnnennnnnennnnennnnennnennnnsnnnnensnsennnansn nen 9 4 2 Fundamental Requirements and Assumptions crsuessessessnssssennnensnnnnnennnennnneennennnen nn 9 4 3 Interfaces sr a e EREE TEE R E E A AEE E SE 10 A aTe 1 e E EALE AAE E AE PTE EE A E EEE E E E T EE AE E 12 A l Interface to the Host Computer n uu 2 002 00a E E E E A E E a 12 A 2 Contactless Interface s cs cssisiisstbsteinandege
13. The functional tests are not a substitute for the conformity evaluation according to TR 03105 C 1 General Requirements To perform functional tests of reader devices consistent unchanging and reproducible test environments have to be created The following sections describe the requirements for the test instruments as well as the necessary preparations for carrying out the tests 23 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 C 1 1 Test Instruments To perform the tests various hardware and software components are necessary In principle the test setup should correspond to computer equipment utilised by a home user e Operating Systems listed in the Appendix A 1 each with the current patches of the OS vendor e configured Internet access e for each Operating System the current version of an elD Client o if the Operating System is supported by the AusweisApp the up to date and officially available version of the AusweisApp shall be used as eID Client o otherwise any other eCard API compliant eID Client may be used e nPA test card or nPA simulator C 1 2 Preparations To perform the test a separate test system has to be set up for every tested Operating System The installation of the various Operating Systems in a virtual machine is not permitted since the connection to the card reader largely depends on the host system which runs the virt
14. Y COUNTER Additional filtering is permitted as long as it does not affect the functionality of the reader device A 4 5 Protection against Manipulation The PIN pad must be designed in a way allowing for effective prevention of a PIN pad manipulation or allowing the owner to recognise that manipulation took place The necessary protection level must be based on the specifications of the signature law A 5 Display A display must contain at least 2 lines with a minimum of 16 display characters in each line As a character set upper and lower case letters including the umlaut and special characters must be supported as specified in DIN 66003 Besides the German language other languages to display messages can be implemented Further symbols and characters for the user interface e g secure mode are permitted A blinking cursor symbol should show the position of the cursor when texts are displayed requiring a subsequent keyboard input The following standard texts must be provided in the card reader The semantics of the texts are binding the specific wording can differ Federal Office for Information Security 16 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC No Text German mandatory Text English optional 1 Bitte Karte Please insert position bereitstellen card 2 Bitte Karte Please remove entfernen ca
15. ader but no further restrictions can be made The reader computes the hash of the certificate description and stores it 31 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 5 The card reader prompts for entering a password if not included in the InputData and derives K from it If PIN or PUK are used as a password the password must be entered at the PIN pad 6 The card reader executes PACE using MSE Set AT General Authenticate according to TR 03110 and computes the key material for the Secure Messaging between the card reader and the chip The card reader clears all information from the memory which would allow conclusions on the PIN as soon as possible 7 Ifa certificate description is included in InputData and a display is available The commands for which the card reader performs Secure Messaging are monitored for PSO Verify Certificate with Terminal Certificate From the Terminal Certificate the Extension for the Certificate Description is extracted and the hash value from the Extension is compared to the value stored in step 4 If these two values are not identical the command is blocked and status words SW1SW2 69 85 are returned 8 Ifthe Role from the CHAT denotes a Signature Terminal After the establishment of the PACE channel the card reader performs Terminal Authentication and Chip Authentication After a successful Chip Authent
16. aders without dedicated software driver i e driverless installation The choice of supported interfaces is up to the card reader vendor Therefore a client application must support both interfaces If a card reader supports both interfaces the client application should use the PC SC interface A 1 3 Information about the Reader The smart card reader or the driver of the reader must provide commands to retrieve the following information e vendor name e product designation e firmware version e driver version The commands are listed in Table 2 Command Description OxFF 0x9A 0x01 0x01 0x00 vendor name OxFF 0x9A 0x01 0x03 0x00 product name OxFF 0x9A 0x01 0x06 0x00 firmware version OxFF 0x9A 0x01 0x07 0x00 driver version Table 2 Command Overview GetReaderInfo Example Command OxFF 0x9A 0x01 0x07 0x00 Response 0x3 1 0x2e 0x30 0x3 1 0x90 0x00 1 01 These commands have to be implemented for all interfaces However they only have to be provided when a smart card is available at the respective interface The implementation of this functionality without a card being available is optional A 2 Contactless Interface Contactless smart card readers meet the requirements according to ISO 14443 parts 2 3 and 4 The card reader supports protocol types Type A and Type B according to ISO 14443 part 2 2 Ifthe card reader is supported by Operating Systems listed in A 1 1 without a driver and no drivers are del
17. art card readers for personal use where it is important that the application programming is flexible and can be easily developed other special requirements come into play when system readers are in focus System readers are not subject of this Technical Guideline If a module is not required by specific reader characteristics the modules can be used optionally If a functionality is used in a smart card reader and this function of the reader s characteristics is described as a module this module has to be implemented for interoperability reasons In Chapter 3 the specific characteristics are described resulting from the requirements of the individual applications use cases Chapter 4 contains general recommendations Appendix A provides a detailed description of the modules 2 3 Certification Smart card reader manufacturers can apply for a conformity evaluation according to the Technical Guideline BSI TR 03119 for their products and obtain a certificate confirming such adherence For granting of a certificate by the BSI a successful conformity evaluation in accordance with the requirements defined in this guideline Appendix B is a prerequisite Conformity evaluations are carried out by independent commercial evaluation facilities recognized by the BSI according to DIN ISO IEC 17025 Responsibility for choosing and commissioning one or more suitable evaluation facilities lies with the applicant A protocol of all tests performed during
18. as to be examined ending at the CSCA certificate of the BSI The card reader has to store the CSCA certificate in a manipulation proof way All other necessary data and certificates are stored on the identity card itself When the BSI changes the CSCA certificate about every 2 3 years the new certificate must be made available to the reader and stored in the reader for signature validation A secure import of the certificate is not necessary since the new certificate can be verified using the old root certificate The specifications of the key lengths according to TR 03116 part 2 must be taken into account A 7 4 Chip Authentication Using the public key of the chip retrieved from the file EF CardSecurity and verified with the help of the Passive Authentication a new secure channel Secure Messaging between the reader and the identity card will be established which replaces the PACE channel A 7 5 Signature PIN In order to use the signature PIN the card reader must implement the following procedures using the commands from Appendix D and translate them in the corresponding commands command sequences according to TR 03117 e Verifying the signature PIN is triggered by the host computer using VerifyPIN This command may be used on the contactless interface only after a successful execution of EstablishPACEChannel Password CAN Role SignatureTerminal e Changing the signature PIN is triggered by ModifyPIN This command may be used on
19. asic requirements by practical testing All functional tests performed must be documented in a test report Testing the reader devices comprises e the installation of a smart card reader including the driver on the Operating Systems according to A 1 1 and e the functional tests including verification of the driver interface on these Operating Systems The tests to be performed are described in the Appendix C and have to be conducted by a test lab recognised by BSI according to DIN ISO IEC 17025 for the performance of conformity evaluations according to TR 03105 B 2 Contactless Interface The manufacturer of the smart card readers has to prove that use of smart cards of the format td1 up to a thickness of 1100um cf A 2 with the contactless interface does not cause any damage 21 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 For all reader types the conformity to TR 03105 part 4 has to be proven For this purpose a conformity evaluation for the ISO Layer 2 4 has to be performed by an evaluation facility recognised by BSI according to DIN ISO IEC 17025 All test reports of the conformity evaluation are to be submitted as proof of conformity B 3 Contact Interface The contact interface has to be tested according to ISO 10373 part 3 The examination must be performed by an evaluation facility recognised by BSI according to DIN ISO IEC 17025 Alt
20. ation The special case of installing a signature certificate should always be displayed seperately These identifiers shall be used to denote the different secrets Sign Zertifikat installieren PIN PUK Zugangsnummer Signatur PIN Install sign certificate PIN PUK Access number Signature PIN During reading of data by the host To ask the user to enter a secret this text shall be used os a Den During execution of PACE pee Be dette After successful execution of PACE aera an If PACE failed because the entered secret is wrong as Ea a ee If PACE failed because the secret is blocked nn t S d If PACE failed because the PIN is deactivated oes a Lese Daten Reading data Federal Office for Information Security 18 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC A 5 2 Protection against Manipulation The display must be designed in a way allowing for effective prevention of display manipulation or allowing the owner to recognise that manipulation took place The necessary protection level must be based on the specifications of the Signature Law Signature Ordinance A 6 QES with Contact Cards The reader device must adhere to the specifications of the Signature Law and Signature Ordinance A 7 QES with Contactless Cards according to TR 03117 This module defines the protocols and reader properties necessary for the generation of qualified signa
21. be clearly indicated by the manufacturer of the card reader An update of the interface drivers for future and further versions of the Operating Systems must be possible and be provided by the manufacturer on demand A 1 2 API Depending on the Operating System at least one of the following APIs must be supported by the card reader the driver of the card reader e PC SC The communication with the card reader is carried out via PC SC PC SC is a standard for accessing smart card readers developed by the PC SC Workgroup For PC SC on Windows platforms WHQL certificates by Microsoft are necessary If applicable the PC SC mapping for commands from Appendix D is used Federal Office for Information Security 12 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC e CCID CCID is a USB driver class for smart card readers specified in CCID The reader must support transmission and receiving of extended APDUs as defined in CCID If applicable the CCID mapping for commands from Appendix D is used As a special case embedded card readers are accessed using the applicable methods of the Operating System e g on Android the class android nfc tech IsoDep is used for communication with embedded card readers If applicable the CCID mapping for commands from Appendix D is used While PC SC allows more flexibility especially in a multi application environment CCID allows the construction of card re
22. can be used which can directly simulate this status Execution e The correct CAN will be entered If the eID Client offers entering the CAN directly in the application for reader devices with a PIN pad the input of the CAN both at the PIN pad and via the elD Client should be tested e The correct PIN will be entered When using readers with a PIN pad entering PIN must be possible only directly at the reader Documentation e The prompt for CAN and PIN input as well as the feedback of the reader device and eID Client are to be documented e Jn addition it must be documented whether the PIN or respectively the CAN was entered using elD Client or the PIN pad of the reader device C 2 2 5 PUK Input The card must be put in the state blocked see TR 03110 After that the correct behaviour prompting for and allowing to enter PUK of the reader device is to be verified When using a reader device with its own PIN pad the PIN and PUK must be entered on this PIN pad A prompt for the PIN or PUK via a PC keyboard is not permitted for this reader device type Federal Office for Information Security 26 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC When using reader devices with a display the prompt for PIN CAN or PUK input has to appear on this display Preconditions The card will be placed in the reading position defined by the manufacturer of the reader e The card must be put in th
23. card with the supply voltage of 5 V as standard for Class A according to ISO 7816 part 3 The support for an additional lower supply voltage for power saving is optional This corresponds to Class B and Class C for 3 V and 1 8 V smart cards respectively according to ISO 7816 part 3 The operation of asynchronous contact smart cards with the card reader is undertaken in a way conforming to ISO 7816 part 3 It comprises e activation of the smart card e behaviour and configuration during ATR answer to reset e Protocol and Parameter Selection PPS e information exchange with the smart card e deactivation of the smart card 4 Note According to TR 03110 the security status of an identity card can be reset by SELECT MF without Secure Messaging This is not supported by all eID cards cf TR 03127 For these cards a reset of the security status after an executed authentication is only possible by switching the reading field off and on This can be supported by the smart card reader using the PC SC command SCardReconnect with SCARD_RESET_ CARD or the CCID command PC_to RDR_IccPowerOn No signal identifying a new card should be sent to the host computer Federal Office for Information Security 14 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC The support of PPS and the selection of protocol and parameters pertaining to it is required to achieve higher data transfer rates in accordance
24. ch software must be installed beforehand as described by the vendor of the reader device If after connecting to the test system the reader device is automatically detected by the Operating System as a recognised device the drivers recommended by the manufacturer are still to be installed In most cases Embedded Smart Card Readers do not need to be installed manually Therefore for these devices no installation tests are required 5 Source https www ausweisapp bund de Federal Office for Information Security 24 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC Errors caused by incorrect missing or incompatible components of the Operating System e g missing package dependencies in Linux systems are to be analysed and documented C22 Functional Tests For the following tests a successfully installed reader device is a prerequisite All tests described here have the objective to verify the functionality of the reader device in the interaction with the eID Client Depending on the modules from Appendix A used in the reader the test procedure differs only slightly Vendor specific additional software will not be tested Instead of a test card a corresponding simulator for performing reader tests can also be used This can minimise the test overhead as the state of the card suspended blocked can be directly simulated When testing reader devices with a display one must ensure that the formu
25. cters The Comfort Reader supports all functions of the eID card including the qualified electronic signature Next to the contactless interface e g of the identity card including the signature function also the contact interface of classic signature cards or of health cards including security functions is supported Support for bank applications FinTS Secoder or other applications is also possible Whereas the Basic Readers constitute the inexpensive variant used especially for applications with limited security level dedicated to home users the Standard and Comfort Reader devices are in addition construed for applications with extended security functions in terms of both function and safety 4 General Recommendations This chapter contains general recommendations for the characteristics of a card reader The recommendations are not binding and not a part of the conformity evaluation The scope of the conformity evaluation for the individual modules is specified in the Appendix B Federal Office for Information Security 8 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC 4 1 Utilisation Processes and Use Cases The specification of the devices must take all use cases in the life cycle of the smart card reader into consideration The following specific features have to be taken into account 1 2 4 2 The installation of the device is usually carried out by the user If the reader su
26. dPassword 2 NumericString OPTIONAL 6 This function may not be supported by card readers implemented according to version 1 2 or earlier of this TR The support for this function is explicitly signalled as Capability see PC SC part 10 amendment 1 7 The coding given here is an alternative to the commands in CCID which are not supported by all CCID stacks A client application should preferably use the commands in CCID if available 33 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 cHAT 3 OCTET STRING OPTIONAL as defined in TR 03110 including tag 0x7F4C certificateDescription 4 CertificateDescription OPTIONAL hashOID 5 OBJECT IDENTIFIER OPTIONAL EstablishPACEChannelOutput SEQUENCE errorCode 1 OCTET STRING SIZE 4 statusMSESetAT 2 OCTET STRING SIZE 2 efCardAccess 3 SecurityInfos idPICC 4 OCTET STRING OPTIONAL encoded as ephemeral public key see TR 03110 curCAR 5 OCTET STRING OPTIONAL prevCAR 6 OCTET STRING OPTIONAL CAR encoded as Character Strings see TR 03110 The types CertificateDescription and SecurityInfos are defined in TR 03110 E IT Security Evaluation The fulfillment of IT security requirements by a smart card reader has to be proved by an IT security eval
27. ders Supporting elD and QES based on EAC BSI TR 03119 e Protection against manipulation The end user should be able to recognize that the device has not been manipulated This particularly refers to card readers with built in security functions such as PIN pad or keyboard e Conformity Testing If further applications are supported e g gematik applications electronic health card VDV core application or banking applications it is recommended to test the interoperability according to the respective standards These tests are not subject of this guideline These requirements should be taken into account when selecting the function modules and their implementation 4 3 Interfaces A smart card reader serves as the link between the chip card the host computer and the user and respectively provides interfaces to at least these three entities If interfaces beyond the modules defined in appendix A are implemented BSI recommends testing these interfaces based on the corresponding test specifications 4 3 1 Smart Card Interface Appendix A contains definitions of modules for the contactless interface according to ISO 14443 and for the contact interface according to ISO 7816 as basic card reader interfaces in compliance to this guideline 4 3 1 1 EMV Support Banking applications can optionally be supported The essential requirements are laid down in the EMV standard Since this standard is not compatible to ISO 7816 a switchover op
28. e g MKT Multifunktionales Kartenterminal for synchronous cards used in the health care sector 4 3 3 User Interface Smart card readers can employ a variety of user interfaces The PIN pad and the display are specified within the modules in A 4 or A 5 respectively If a PIN pad is available the following regulations should be followed Federal Office for Information Security 10 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC e Ina 12 key input device the 11 and 12 key should be assigned respectively to the Cancel and Confirmation functions e Ifa 16 key input device is used an additional correction key should be provided Care should be taken to provide an ergonomic form of the keyboard and a barrier free access for people with disabilities e g by using a tactile key field or text in Braille The layout of the keys can be based on CEN 1332 part 5 Furthermore the card reader can offer further user interfaces some of them are listed as examples in the following 4 3 3 1 LEDs The smart card reader is ready to use after connecting the supply voltage An light emitting diode in a first colour preferably green indicates the state after a correct initialisation of the card reader The operating mode after activation contact or selection contactless of the chip card is indicated by an LED if possible in a second colour preferably yellow Should there be a differentiation between i
29. e g a PIN input at the host computer for certain applications this must be conveyed to the user in an explicit way cf also 4 3 3 2 A non secure PIN input can be provided only for applications where corresponding specifications prescribe it The signalling must not be controllable by the host computer An entered PIN has to be immediately deleted or overwritten after use A 4 2 PACE The PACE protocol allows for establishing a secure channel between the reader device and the smart card When a reader with a PIN pad is used PACE is executed directly in the card reader For this module PACE support with Capabilities PACE and eID according to Appendix D must be implemented The card reader must be capable of employing the cryptographic algorithms and key lengths according to TR 03116 part 2 For reasons of future reliability it may be useful to also support other key lengths The requirements from TR 03116 part 2 on random numbers for key generation must be met A 4 3 PIN Management Changing the eID PIN is performed by a verification of the existing eID PIN using the method EstablishPACEChannel Password eID PIN Role unauthenticated and subsequent setting a new eID PIN with the help of ModifyPIN according to Appendix D In order to query the retry counter of the eID PIN the command MSE SetAT is used in the coding for the start of the PACE protocol in the role of an unauthenticated terminal The reader device must ensure that the
30. e smart card reader should not assume an undefined status but react with termination and or error messages Support In the case of technical problems the user must have a possibility to perform a simple check of his smart card reader and should he need further support technical customer support must be available Operating systems To prevent unnecessary constrains to the users as many operating systems as possible shall be supported i e corresponding drivers must be available including the necessary updates Security of the PIN pad Provided that the reader is equipped with a PIN pad the design of such must ensure its security This means that e g the PIN entered must neither be transferred to the host nor to the card in an unprotected way particularly if a contactless interface is used Security of the display module An integrated display if available shall be used to provide the user with information securely In the case of the eID function of the identity card the displayed data comprise e g the access rights and the name of the provider Cryptographic procedures If cryptographic procedures are implemented for the card reader e g PACE these procedures must be implemented in a secure way This concerns both the correct and secure implementation of the cryptography itself and e g the secure generation of key material random numbers Federal Office for Information Security Requirements for Smart Card Rea
31. e status blocked see TR 03110 A possible approach In the elD Client select the option Change PIN Entering the PIN incorrectly several times will put the card in the state suspended The correct CAN will be entered and subsequently again the wrong PIN will be entered The card will now be in the state blocked Alternatively a simulator can be used which can directly simulate this status Execution e To unblock the card the corresponding function is to be invoked by the eID Client After entering the correct PUK the original PIN is active again Documentation e The display the input procedures and the feedback of the reader device as well as of the eID Client are to be documented C 2 2 6 Online Authentication Within this test the complete authentication at an Online portal has to be performed When using a reader device with a PIN pad the PIN must be entered at this PIN pad A prompt for the PIN via a PC keyboard is not permitted for this reader device type When using reader devices with a display the prompt for PIN input has to appear on this display Also the display should show data of the authorisation certificate Preconditions e The card will be placed in the reading position defined by the manufacturer of the reader e Ina browser the login page of a service provider supporting nPA login will be opened Execution e In the service portal a login procedure will be started e In the case of reader devices wi
32. en taken into account After the presentation of basic characteristics and requirements Chapter 3 provides a detailed specification for selected categories of smart card readers 2 1 Terminal Definition Smart card reader devices can have different characteristics due to different usages and different applications The variety ranges from simple smart card interfaces without a keyboard and display to sophisticated smart card reader devices with proprietary applications for extended security relevant functions These smart card readers are often also called card terminals The transition from a smart card reader which is essentially responsible for the communication between the smart card and the host and a card terminal with extended functions is fluid This guideline does not explicitly distinguish between a smart card reader and a card terminal The term smart card reader will be used independently of the actual characteristics 2 2 Architecture Due to the variety of smart card readers and the originally required interoperable objectives as well as to provide a foundation for a product qualification a classification of the specific characteristics of a smart card reader in terms of individual modules will be defined The smart card the reader and their functional components a keyboard a display etc are controlled by commands specified in CCID PC SC and APDUs according to ISO 7816 as well as other optional APIs In contrast to sm
33. ernatively verifications according to EMC together with supplementary testing according to ISO 10373 can be performed The detailed scope of the testing will be determined by the BSI B 4 PIN Pad with PACE Support For validation of the PACE implementation a conformity evaluation of the ISO Layers 6 7 according to TR 03105 part 5 2 has to be performed by a test lab an evaluation facility recognised by the BSI according to DIN ISO IEC 17025 At least the tests of the profiles R_Tra R_PACE and R_elID have to be performed The functions of the reader device declared in the manufacturer s Implementation Conformance Statement ICS can restrict the tests to be performed The card reader must be capable of employing the cryptographic algorithms and key lengths according to TR 03116 part 2 For reasons of future reliability it may be useful to also support other key lengths All test reports of the conformity evaluation are to be submitted as proof of conformity The adherence to the security policies in particular e secure handling of the PINs entered especially deletion of the PIN after use e implementation of PACE e g key generation e compliance to filter rules e protection against manipulation e if available indication of the secure mode have to be proven using a Common Criteria certification see Appendix E It is recommended to base the certification on the Standard Reader Protection Profile PP 0083 which covers the listed
34. evices 35 Federal Office for Information Security
35. host EstablishPACEChannel 17 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 Text German mandatory English optional If no card is present To display the holder of the authorization certificate Bitte Karte einlegen Zugriff durch lt name from cert desc gt Please insert card Access by lt name from cert desc gt To display the access rights as transmitted in the CHAT The access rights shall be denoted by these texts The texts can be either displayed seperately the user has to confirm each right or as a batch e g using scrolling text In the latter case the user should be able to adapt the scrolling speed The texts are abbreviated to fit into a 16 character display If a larger display is available or scrolling texts are used the texts may be used in the corresponding unabbreviated form Zugriff auf lt see below gt Dokumentenart Ausstell Staat G ltig bis Vorname n Familienname Ord Kitinstl name Doktorgrad Geburtsdatum Geburtsort Staatsangeh r Geburtsname Anschrift Nebenbest Pseudonym Wohnortbestat Altersbestat Access to lt see below gt Document type Issuing country Valid until Given name s Family name Rel art name Doctoral degree Date of birth Place of birth Nationality Birth name Address Aux conditions Pseudonym Address verif Age verific
36. ication Secure Messaging with PACE keys is terminated and replaced by Secure Messaging using the newly negotiated keys D 1 3 DestroyPACEChannel This command is used to close an established PACE channel The session keys of the channel are deleted This command has no Input and no Output D 1 4 VerifyPIN ModifyPIN These command are used to verify modify a PIN inside a pre established secure channel Exact input and output are defined by the mappings in D 2 and D 3 D 2 Mapping on PC SC In the case of PC SC the command from section D 1 are mapped to FEATURE EXECUTE PACE as defined in PC SC part 10 amendment 1 and FEATURE _VERIFY_PIN_ DIRECT FEATURE MODIFY _ PIN DIRECT as defined in PC SC part 10 The commands are mapped as follows e GetReaderPACECapabilities gt FEATURE EXECUTE_PACE GetReaderPACECapabilities the numerical values representing the Capabilities are given in PC SC part 10 amendment 1 e EstablishPACEChannel gt FEATURE EXECUTE_PACE EstablishPACEChannel The InputData of EstablishPACEChannel as defined in PC SC part 10 amendment 1 are extended by the following fields for support of the eID function for the conditions on the presence of these fields see the generic description in section D 1 2 Federal Office for Information Security 32 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC re pe Fame Pen pa SHORT length CertificateDescription Length of Ce
37. ifyPIN o ModifyPIN A mapping of these commands to PC SC and CCID is given in sections D 2 and D 3 respectively D 1 Commands D 1 1 GetReaderPACECapabilities This command is used to query the PACE features supported by the card reader This command takes no input and returns the following capabilities as supported e PACE The reader supports PACE to establish a password authenticated secure channel between card reader and card including the necessary user interaction input of password e eID The reader supports the eID function Role Authentication Terminal and if the card reader has a display shows eID data from the Terminal Certificate e eSign The reader supports QES with contactless cards according to TR 03117 Role Signature Terminal e Destroy The reader supports explicit destruction of the PACE channel via DestroyPACEChannel If not present only implicit destruction e g by a Secure Messaging error is supported 29 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 D 1 2 EstablishPACEChannel The function EstablishPACEChannel is used to establish a password authenticated secure channel via the PACE protocol including the necessary user interaction The Input for this command comprises the following elements e Password ID as defined in TR 03110 i e one of the numerical values CAN 2 PIN 3 PUK 4 always present
38. input of these secret codes exclusively at the PIN pad must be enforced see chapter A 4 4 This test has to be performed with PIN and PUK in separate test runs Preconditions e The card will be placed in the reading position defined by the manufacturer of the reader Execution e Initiate PACE with PIN PUK The PIN PUK must be send inside the EstablishPACEChannel command direct to the reader device The user should not be prompted to enter the PIN PUK via the PIN pad e The card reader must deny the PACE establishment Documentation e The display the input procedures and the feedback of the reader device as well as the used test tool are to be documented C 2 4 CAN confirmation If EstablishPACEChannel is used with CAN provided by the host computer the card reader must request a user confirmation before establishing the secure channel see chapter A 4 4 When using a reader device with a PIN pad the use ofthe CAN must be confirmed at this PIN pad A user confirmation via the host PC is not permitted for this reader device type When using reader devices with a display the prompt for CAN confirmation has to appear on this display Preconditions The card will be placed in the reading position defined by the manufacturer of the reader Execution e Initiate PACE with CAN The CAN must be send inside the EstablishPACEChannel command direct to the reader device The user should not be prompted to enter the CAN but must be requested
39. ivered with the card reader the string CCID shall be returned as the driver version 3 Note In accordance to the current version of ISO 14443 part 2 this means in particular a minimum field strength of 2A m for the field generated by the reader Further this includes mandatory support for Extended Length APDUs I block chaining according to ISO 14443 part 4 13 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 The following transmission protocol is supported as a transport layer protocol e T CL block oriented half duplex protocol according to ISO 14443 part 4 including Protocol and Parameter Selection PPS At least data transfer rates of 106 212 and 424 kbit s as specified in ISO 14443 part 2 must be supported For the contactless interface the card reader must support cards in the format td1 85 6 mm x 54 0 mm x 1 25 mm compliant to ICAO 9303 part 3 volume 1 though supporting a card thickness in the range from 800um to 1100um is sufficient card thickness 800um to a maximum of 900um address label with lamination to a maximum of 200um The format td1 implies a Class l antenna according to ISO 14443 part 1 If a contact interface is supported module A 3 upon switching from a contact card to a contactless card a reset is necessary with an ATR conforming to ISO 7816 part 3 sent to the application This is specified in
40. lated messages from Chapter A 5 are used and correspond in each case to the functions of the respective test C 2 2 1 Card Recognition After positioning the test card on the reader to be tested eID Client will signal that a card has been recognised Preconditions e No preparation necessary Execution The card will be placed in the reading position defined by the manufacturer of the reader Documentation e It must be documented whether the card has been recognised and displayed in the eID Client C 2 2 2 Reader Information It will be verified if the reader supports retrieval of the reader information see Chapter A 1 3 Preconditions e No preparation necessary Execution e All four commands from the Chapter A 1 3 Table 2 are to be successively sent to the reader device In the response the information requested in the string format and the status word 0x9000 is expected Documentation e All return values are to be documented C 2 2 3 Changing PIN Using the eID Client the PIN of the test card is to be changed When using a reader device with a PIN pad the PIN must be entered via this PIN pad A prompt for the PIN via a PC keyboard is for this reader device not permitted If a prompt for the PIN appears at the test computer the PIN can still be entered only using the PIN pad of the tested reader device Feedback of the PIN entered at the PIN pad to the test computer is not permitted When using reader devices with a dis
41. n PCSC nassen ale ln npeestreemeemtaklrlte 32 D 3 Mapping On CCID seen RR NEE EEE AO AE 33 E IT Security Evan ian RAT a 34 3 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 Index of Tables Table 1 Overview of Smart Card Reader Categories cccccccscesssceesseeeseeesneeeesecensecesaecseeecsueeenseeeseateeeeseneaaes 7 Table 2 Command Overview GetReaderInf0o eccecceescsscesseeeseceseceseceeeescecseeesecesecceceneececeeeaeeeseeeaeeeneeeaeees 13 Table 3 Standard Display Texts a i5 scccestest sz reset Hecht ne ss 17 Version Date Changes 1 1 15 12 09 Version 1 1 of the Technical Guideline 1 2 27 05 11 Basic revision error corrections practical experiences taken into account 1 3 22 03 13 English translation CCID host interface Federal Office for Information Security 4 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC 1 Introduction The German electronic ID card combines the conventional identity card with three new electronic functions in the credit card format e Mutual electronic proof of identity eID function for eBusiness and eGovernment applications e Qualified Electronic Signature eSign function according to the German Electronic Signature Act for eBusiness and eGovernment applications e Electronic identification for exclusive governmental use The data is sto
42. n of visual and acoustic signals It has to be ensured that the signal cannot be accessed in an unauthorized way and is only controlled by the firmware residing on the smart card reader The usage of such signals must be documented in the user manual in an unambiguous way 4 3 3 3 Biometric Sensor The smart card reader can additionally have one or more biometric sensors Possibilities include for instance fingerprint speech recognition or iris scanning for the identification of biometric characteristics The biometric data must not be transmitted in the environment of the host computer No further criteria relating to the function and security of the biometric systems are specified in this guideline 11 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 A Modules The following modules serve to ensure the interoperability and compatibility of different smart card readers Combinations of mandatory and optional modules will determine different types of readers hence not all modules have to be taken into account in every card reader Also the reader can have properties or support functions which are not defined in any of the following modules However if the type or the function unit is defined here exclusively the subsequent module descriptions shall be used If commands for controlling the card reader are required e g PIN input no proprietary command
43. nterfaces yellow should be reserved for the contact interface and blue for the contactless one A blinking LED in the second colour or a third colour signalises a failure The exact behaviour of the LED has to be described in the user manual At least one LED display should be present It shows as a minimum if a chip card is currently activated or selected Also the user should be able to see that the card reader is ready Exceptions can be made if the design of the reader e g integrated smart card reader offers no possibilities to integrate any LEDs 4 3 3 2 Indication of the Secure Mode Security relevant applications require authentic input and output For example an indicator is provided to tell a user that the secret number entered using the keyboard of the smart card reader will not be transmitted into the insecure environment of the PC used or into the host computer via insecure communication channels Also output pertaining to e g a digital signature or a payment procedure may require an indication of authenticity The information that the smart card reader is in the secure mode has to be conveyed to the user in an explicit way For this purpose acoustic visual or other clearly perceptible signals can be used Common indicators used at present are additional LEDs or symbols appearing in the display It should be taken into account that a barrier free support of the function is available e g by using enlarged symbols or a combinatio
44. play the prompt for PIN input has to appear on this display 25 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 Preconditions e The card will be placed in the reading position defined by the manufacturer of the reader Execution e Jn the eID Client changing PIN will be invoked e The PIN will be set to a new value e After a successful change the PIN is to be changed to the original value Documentation e Feedback to both changes of the PIN is to be documented e In addition it must be documented whether the PIN was entered using a PC keyboard or the PIN pad of the reader device C 2 2 4 CAN Input The card must be put in the state suspended see TR 03110 The reader device or the eID Client respectively must prompt the user for entering CAN When using a standard or comfort reader the PIN has to be entered at the PIN pad A prompt for the PIN via a PC keyboard is for this reader type not permitted When using reader devices with a display the prompt for PIN and CAN input has to appear on this display Preconditions The card will be placed in the reading position defined by the manufacturer of the reader e The card must be put in the status suspended see TR 03110 A possible approach In the elD Client select the option Change PIN Repeat entering incorrect PIN until you will be prompted for CAN Alternatively a simulator
45. pports a firmware update and a firmware update proves to be necessary in the course of time the update must be installed on the card reader by the end user with the help of a simple procedure In the course of time application specific software packages may be installed depending on the choice of services which are to be used This applies to the initial installation and to the updates In principle concurrently using an arbitrary number of services provided by different suppliers should be possible As soon as a Service is not needed any more the service specific software should be uninstalled Fundamental Requirements and Assumptions All legal and other regulatory requirements always have to be met such as EMC limiting values the CE label or waste disposal commitments according to EU policies Different requirements and considerations should be taken into account when developing a smart card reader based on this guideline Optimising the cost benefit ratio Depending on the designated use different equipment characteristics are necessary one has to weigh the pros and cons relevant for the application when considering for example the costs and benefits of a PIN pad or a display User friendliness Also laymen must be able to easily install the card reader at their PC This concerns particularly the Basic Readers Fault tolerance At failure of hardware components which can be diagnosed regarding the logic of the card reader th
46. r various security modes a clear division of these applications and safe separation of the security modes is also part of the Security Target If the smart card reader supports the qualified signature the Security Target must take into account the security requirements of the signature law Finally when supporting QES with the identity card the special test requirements form B 7 have to be covered Federal Office for Information Security 34 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC Bibliography CP eSign BSI Certificate Policy f r die eSign Anwendung des ePA PP 0083 BSI Common Criteria Protection Profile BSI CC PP 0083 Standard Reader Smart Card Reader with PIN Pad supporting eID based on Extended Access Control PP IS BSI Common Criteria Protection Profile for Inspection Systems BSI CC PP 0064 TR 03105 BSI Technische Richtlinie TR 03105 Conformity Tests for Official Electronic ID Documents TR 03110 BSI Technische Richtlinie TR 03110 Advanced Security Mechanisms for Machine Readable Travel Documents TR 03116 BSI Technische Richtlinie TR 03116 Technische Richtlinie f r die eCard Projekte der Bundesregierung TR 03117 BSI Technische Richtlinie TR 03117 eCards mit kontaktloser Schnittstelle als sichere Signaturerstellungseinheit TR 03127 BSI Technische Richtlinie TR 03127 Architektur elektronischer Personalausweis und elektronischer Aufenthaltstitel CEN 1332
47. rance scheme e age verification e eTicketing according to VDV core application VDV Association of German Transport Companies with contactless smart card as specified for VDV core application e proof of identity and proof of residence for Internet shopping For these applications the reader device supports the exchange of data between the carrier medium and the respective application server on the Internet 3 2 Standard Reader Cat S One frequently finds smart card readers which meet higher quality requirements being designed such that they can be placed on the table and varying in form e g with a PIN pad display etc depending on the desired fields of application These smart card readers are designated as Standard Readers here and have at least a PIN pad to ensure the secure PIN entry In addition to the applications for which a Cat B reader is designed a Standard Reader can be used for the following applications depending on the characteristics e eID function on the Internet with increased security requirements e optional contact interface applications e optional qualified signature requires confirmation according to the signature law 3 3 Comfort Reader Cat K Another card reader variant is the Comfort Reader which can be used for a variety of applications due to its versatility and convenient utilisation modes It has at least a PIN pad to allow secure PIN input and a display with 2 x16 alpha numeric chara
48. rd 3 Karte unlesbar Card unreadable Falsche Lage Vrong position 4 Bitte Geheimzahl Please enter eingeben secret number 5 Aktion Action erfolgreich successful 6 Geheimzahl Secret number falsch gesperrt incorrect locked 7 Neue Geheimzahl Enter new eingeben secret number g Eingabe Repeat wiederholen entry 9 Geheimzahl nicht Secret numbers gleich Abbruch differ Cancel Bitte Eingabe Please confirm 10 bestatigen input 11 Bitte Please Dateneingabe enter data Abbruch Cancel 12 If for texts no 4 6 7 9 additional information on the type of the secret number PIN PUK is available the displayed text should indicate the type of the number Table 3 Standard Display Texts The card reader must indicate in a clear way whether the displayed information is authentic and generated by the reading device itself or controlled by the host computer cf also 4 3 3 2 A 5 1 Use of eID The card reader must ensure the authentic display of the certificate holder and access rights before the user enters his PIN The name of the certificate holder must be retrieved from the certificate description the access rights from the CHAT transmitted by EstablishPACEChannel For this module PACE support with Capabilities PACE and eID according to Appendix D must be implemented In order to provide a consistent user guidance for the eID the following standardized display texts shall be used after the process is initiated by the
49. red on an RF chip integrated in the smart card The communication between the chip and a contactless smart card reader is carried out via an inductive coupling compliant to ISO 14443 To protect information and ensure its confidentiality integrity and availability only secure IT products must be employed This imposes high requirements in functionality and security on smart card readers This technical guideline serves as a foundation for mutually compatible smart card readers which can also be used for other applications It enables application developers to establish a uniform interface for deploying smart card readers by arbitrary manufacturers which are compliant to this Technical Guideline The most important requirement for a smart card reader is a faultless interference free and reliable operation as well as the integrity of the smart cards This is why detailed requirements and further functions have to be specified to ensure the interoperability of both contact and contactless smart card readers Finally information security must be taken into account as well to ensure the confidentiality and the integrity of the processes and the communication Compatible approaches from national and international standards policies and guidelines have been taken into consideration Scope of the Technical Guideline This technical guideline for contact and contactless smart card readers is intended primarily for equipment to be used with the identit
50. rtificateDescription BYTE ertificateDescription omplete certificate description allowing the card reader to perform hash computation SHORT length _hashOID Length of HashOID ER po hashOID Object Identifier of the Hash function used for the hash computation of CertificateDescription Data types are used according to PC SC part 9 USHORT gt unsigned 16 bit BYTE array of unsigned 8 bit e DestroyPACEChannel FEATURE EXECUTE_PACE DestroyPACEChannel e VerifyPIN gt FEATURE VERIFY PIN DIRECT e ModifyPIN FEATURE MODIFY PIN DIRECT D 3 Mapping on CCID For this mapping the commands from D 1 are encapsulated in Pseudo APDUs with the following structure Command APDU Response APDU prt ee aa ilities 0x9000 rare il EstablishP ACE ishPACEc Buccessful EstablishPACECha coal 0x02 I ieee other execution PHelOurpur OxFF 0x9A 0x04 Fa nn nn RDR to PC_DataBlock as defined in CCID oding of input as PC_to RDR_ Secure and output as The Command Data and Response Data are encoded as DER encoded ASN 1 structures cf DER defined as follows PACECapabilities SEQUENCE capabilityPACE 1 BOOLEAN capabilityEID 2 BOOLEAN capabilityESign 3 BOOLEAN capabilityDestroy 4 BOOLEAN EstablishPACEChannellnput SEQUENCE passwordID 1 NTEGER transmitte
51. s shall be used only the terminal commands specified here Al Interface to the Host Computer A 1 1 Supported Operating Systems Depending in the card reader type the following Operating Systems must be supported by the card reader the corresponding driver e An External Smart Card Reader is a separate device and connected to the host computer via e g USB An External Smart Card Reader must support at least the following Operating Systems o Windows MacOS X Linux e g Debian Ubuntu openSUSE e An Integrated Smart Card Reader is a device integrated into the host computer e g a notebook The card reader must support the following Operating Systems as far as they are available for the host computer For each Operating System from the list which cannot be supported the technical impossibility or the legal non admissibility of supporting this Operating System must be justified o Windows MacOS X Linux e g Debian Ubuntu openSUSE e An Embedded Smart Card Reader is a card reader integrated into an embedded device e g a smart phone Embedded devices do not allow the installation of different Operating Systems therefore in this case the Operating System ofthe embedded device must be supported At least one version of each Operating System being supported by its vendor at the time of certification must be supported If both 32 bit and 64 bit versions are available both must be supported The supported Operating Systems must
52. tbaccieduhbadaia eld naked RED a daane 13 A 3 Contact Interface nun r EEE A E EE E EE 14 A 4 PIN P d Supporting PACE ustesasekieansking ienle idaisiielinhaileskiniak 15 A 5 Display esse ua EE Damien O ERE 16 A 6 OES With Contact Cards an ee ten obs E EE E E E E E EGE 19 A 7 QES with Contactless Cards according to TR 03117 ccccescecsseesseeeenseeeneeseeeeseeesseeeeessnteeeeenenaes 19 A 8 Firmware pdalern nennses tea een Drei eek EREE ERa a EEES 21 B VEriicalon Ber US EROS ek 21 B 1 Interface to the Host Computter cceccesccesseesecececeeeeeeeesecesecenecnecseecaeeeseceaeceseeeneceesreeseeeaeeeaeeeneees 21 B 2 Contactless Interface a ee ads 21 B 3 Contact Interface seen kin nennen rip nein ka 22 B 4 PIN Pad with PACE Support taninsuisneiksnskn uses 22 B 5 DIS Play vis cee saes sinned dees E N anand bares E E A N alte seine Siedacadasesnaeee Sones 22 B 6 OBS with Contact Cards 4c i35sc05i075122h ieee seen eea A agen EN een O 22 B 7 QES with Contactless Cards according to TR 03 117 ccccceccessseesseeceneeeenseeseeeeseeesseeeeesseteeeeesenaes 23 B 8 Firmware Update anne cans vecesadedsavasudzesdastenadelaeiaieuedalecieldaesnaneetears 23 C WTR Toi eu a SAN 23 Cl General Requirements nennen ins hen 23 C 2 TESIS nennen een lehnen dedbeedewns E caw neon e 24 C 3 Test Report ia el O EELEE NEEE E E 28 D Suppor PACK Sil BAG A EE S E A O T T 29 D 1 Command e S NSE iz enti EEE EEEE EE E REEE a E Ee E 29 D 2 Mapping o
53. th a display the data in the display must correspond with the data in the authorisation certificate shown by eID Client e The login procedure will be completed and the user authenticated by the correct input of the PIN In the case of a reader device with a PIN pad entering the PIN is only possible directly at this PIN pad Entering the PIN directly in the eID Client shall only be possible with reader devices without own PIN pad e A successful login is verified by inspection of read data accessible within the portal Documentation e The service portal used is to be documented e The display the input procedures and the feedback of the reader device as well as of eID Client are to be documented e The feedback of the service portal after the login procedure is to be documented 27 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 C 2 3 Filter rule Tests For the following tests a successfully installed reader device is a prerequisite All tests described here have the objective to verify the correct behaviour of the reader device filter mechanisms see chapter A 4 4 These tests have to be performed only for reader devices with PIN pad For the test execution it may be necessary to use additional test tools on the host C 2 3 1 PIN PUK filter The command EstablishPACEChannel must not be performed with an eID PIN or PUK provided by the host computer the
54. tion can be provided in the smart card reader controlled by the application on the host computer if both standards are to be supported In this case the mechanism for switching between EMV mode and ISO mode has to be described by the manufacturer in the instruction manual or the programming manual 4 3 1 2 Synchronous Smart Cards Next to asynchronous chip cards synchronous chip cards can also be used with the contact interface If after positioning a contact smart card for reading the card reader does not receive an ATR as specified in ISO 7816 part 3 it will be assumed that there is a synchronous card in the contact unit The smart card reader thereupon initiates an activation of the smart card according to the conventions for synchronous chip cards The card reader interprets the first 32 clock cycles as a 4 byte long ATR of a synchronous smart card as specified in ISO 7816 part 10 and if successful it determines the protocol for data transmission to be used with the card correspondingly On failure the smart card reader tries to establish the communication with the chip card without the reset function using the PC bus protocol If this is not successful either the contacts are deactivated in accordance with the requirements of ISO 7816 part 3 4 3 2 Interface to the Host Computer The fundamental interface between the card reader and the host computer is PC SC or CCID see module A 1 Additionally other interfaces can be supported
55. to confirm the use ofthe CAN via the PIN pad Documentation e The display the input procedures and the feedback of the reader device as well as the used test tool are to be documented C 3 Test Report The test report must contain at least the following information e vendor and type designation of the reader device Federal Office for Information Security 28 BSI TR 03119 Requirements for Smart Card Readers Supporting elD and QES based on EAC e firmware version of the reader device e driver version of the reader device e Operating Systems used version numbers of the installed patches service packs kernel versions PCSC daemon e name and version number of the used eID Client s e test card used or simulator e service portal used e results of the described tests e Any deviations from the described test instructions must be described in detailed and justified The evaluation facility should conclude the test with an overall assessment of the functionality of the tested reader device D Support for PACE and EAC If a card reader implements one of the modules A 4 A 5 or A 7 in order to support PACE and EAC according to TR 03110 and TR 03117 The following commands have to be supported to the extent mandated by the implemented modules e Support for PACE channel o GetReaderPACECapabilities EstablishPACEChannel DestroyPACEChannel e Support for PIN Management inside a pre established secure channel o Ver
56. tures with contactless cards according to TR 03117 e g the German identity card The generation of a qualified key pair or loading a qualified certificate is carried out in the role of an authentication terminal thus it is not in the scope of this module The card reader must implement the reader side of the protocols described in the following subsections The detailed process is described in TR 03110 and TR 03117 For this module PACE support with Capabilities PACE and eSign according to Appendix D must be supported The card reader must be capable of employing the cryptographic algorithms and key lengths according to TR 03116 part 2 For reasons of future reliability it may be useful to support additional key lengths A 7 1 PACE The card reader must support PACE with the Card Access Number CAN as password The CAN can be entered either via the PIN pad of the reader or be already known to the reader i e stored in the reader or the signature creation application A 7 2 Terminal Authentication For access to the signature function the card reader identifies itself to the card via Terminal Authentication as a confirmed signature terminal In order to perform the Terminal Authentication the reader must possess a private key and be able to generate a signature with this key The corresponding public key must be signed by the DV eSign of the EAC PKI The certification of the readers by the DV eSign is carried out as part of the
57. ual machine The installations of Windows and Linux Operating Systems can in each case be tested on the same hardware platform For the test on the Operating System Mac OS the hardware platform prescribed by the vendor must be used All Operating Systems must be updated to the most recent version using the updates provided by the OS vendor before the test is performed The eID Client has to be installed on the test computer Moreover a browser has to be configured for use with the eID Client For this purpose an installation of a browser plug in may also be necessary The installation of the drivers for the reader device is one of the test procedures C2 Tests All tests listed here must be performed for each of the Operating Systems listed in the Appendix A 1 C 2 1 Installation Tests The installation of the reader device is carried out following the installation guide if available provided by the manufacturer If no instruction is enclosed with the reader the installation is performed by connecting the reader to the system and subsequent installation of the device drivers using conventional installation methods These have to be documented in the test report The reader device will be connected to the test system as described in the installation guide provided by the manufacturer If additional software made available by the vendor of the reader devices or a third party must be installed prior to connecting the reader device su
58. uation and certification according to the Common Criteria Common Criteria for Information Technology Security Evaluation Version 3 1 To a smart card reader without QES support the evaluation level EAL3 augrmented with AVA_VAN 3 and dependencies has to be applied to a card reader with QES support EAL3 augmented with AVA_VAN 5 and dependencies It is recommended to base the certification on the Standard Reader Protection Profile PP 0083 The IT security evaluation must be carried out by an evaluation facility recognised by the BSI according to DIN ISO IEC 17025 The subsequent IT security certification is granted by the BSI The Security Target ST serves as the central basis for an IT security evaluation The ST is created by the manufacturer of the smart card reader and must depending on the type of reader cover the following minimum requirements functions e secure handling of the PINs entered especially deletion of the PIN after use module A 4 e implementation PACE e g key generation module A 4 e compliance to filter rules module A 4 e if available indication of the secure mode module A 4 e authentic display especially correct display of the certificate authority and the access certificates when using the eID function module A 5 e protection against manipulation modules A 4 A 5 e securing and verifying the integrity of the firmware module A 8 If the smart card reader supports various applications o
59. ve the same basic properties Depending on the application different additional functionalities and hardware variants are required for the smart card readers Three categories of smart card readers are described in the following subsections see 1 3 1 Basic Reader Cat B Simple card readers are often generically developed or they have been designed for a particular application and therefore support several basic functions which can be used by applications with similar requirements Reader Category Module Test Specifications Cat B Cat S Cat K Appendix A Appendix B Interface to the host computer X X X A 1 B 1 Contactless interface according to ISO 14443 X X X A 2 B 2 Contact interface according to ISO 7816 Eu O X A 3 B 3 PIN pad secure PIN entry with PACE support Ea X X A 4 B 4 Display 2x16 alpha numeric characters O O X A 5 B 5 Qualified signature with contact cards O O X A 6 B 6 a ee 2 B3 Firmware update O X X A 8 B 8 X mandatory O optional Table 1 Overview of Smart Card Reader Categories 7 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 The Basic Readers Cat B can be deployed for home use or can be a building block for integrated devices like smart phones or notebooks amongst others for the following services e eGovernment services of the identity card e g authentication service pension insu
60. with ISO 7816 part 3 After a smart card is positioned for reading it is assumed at first that an asynchronous smart card is to be read A reset command sent to the card reader executes an activation sequence and an evaluation of the ATR Answer to reset according to ISO 7816 part 3 In the case of missing or incorrectly received ATR of an asynchronous card the card reader can repeat the activation twice as a maximum The following transmission protocols are supported e T 1 block oriented half duplex protocol according to ISO 7816 part 3 e T 0 character orientated half duplex protocol according to ISO 7816 part 3 A 4 PIN Pad Supporting PACE The smart card reader can possess a keyboard In this module the requirements for a PIN pad will be defined including the requirements resulting from supporting PACE A 4 1 Secure PIN Input The PIN will be transmitted directly from the keyboard of the card reader to the smart card the data does not leave the terminal The verification of the PIN takes place in the card A higher level of security for the PIN is achieved this way in comparison with card readers without a PIN pad For the latter there is always a possibility that e g a keylogger on the host computer also reads the PIN A contactless smart card reader uses the PACE protocol to protect the data communication via the contactless interface If next to the secure PIN input the reader supports a non secure PIN input
61. y card and in further smart card projects of the Federal Administration where non governmental applications can be involved Since a card reader for personal identification by the Executive must have different characteristics from a smart card reader for an authentication or an electronic signature these card readers are not in the scope of this Technical Guideline This document describes individual modules for individual use cases as based on the special requirements pertaining to the use case Combining mandatory and optional modules will result in a specification of practical variants of smart card readers which are defined in this Technical Guideline and supplemented by certification requirements 2 Interoperable Smart Card Reader This guideline defines card readers for the use with the eID and QES functions of the new German electronic identity card It is sometimes also required to use the same smart card reader for smart cards supporting other applications health card signature card money card Therefore in the following sections variants of smart card readers are described which allow for multifunctional use with other applications 5 Federal Office for Information Security Requirements for Smart Card Readers Supporting elD and QES based on EAC BSI TR 03119 All smart card readers described here are to be used primarily with the identity card and the contactless smart card interface The contact smart card interface has also be

BSI TR-03119

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