Prime minister

Agence nationale de la sécurité des systèmes d’information

Qualified / seal creation devices

Criteria for assessing compliance with the eIDAS regulation Based on French version 1.0 of 16 November 2017

VERSION HISTORY DATE VERSION DOCUMENT CHANGES EDITOR

20/06/2016 0.9 Working version for comments. ANSSI Version for application on 16 November 2017.

Amendments: 16/11/2017

- Addition of contact details of ANSSI; ANSSI 1.0 - Details on certification maintenance ; - Definitions of the sponsor certification commitments

Comments on this document should be sent to:

Agence nationale de la sécurité des systèmes d’information SGDSN/ANSSI 51 boulevard de La Tour-Maubourg 75700 Paris 07 SP [email protected]

Creation devices for qualified electronic signatures and seals – Criteria for assessing compliance with the eIDAS regulation Version Date Circulation criterion Page 1.0 16/11/2017 PUBLIC 2/14

CONTENTS

I. Introduction ...... 4 I.1. Subject ...... 4 I.2. Legal framework ...... 4 I.3. Updating ...... 4 I.4. Acronyms...... 5 II. Requirements relating to qualified electronic signature /seal creation devices ...... 6 II.1. Assignment process of the conformity certificate ...... 6 II.1.1. Conformity certificate request ...... 6 II.1.2. Form of the conformity certificate ...... 6 II.1.3. Validity of the conformity certificate ...... 6 II.2. Criteria for assessing the compliance of QSCD ...... 7 II.3. QSCD certification conformity terms ...... 8 II.3.1. When the electronic signature creation data or electronic seal creation data is held in an entirely user-managed environment ...... 8 a. Conformity certificate issuance ...... 8 b. Conformity certificate maintenance ...... 8 II.3.2. When the electronic signature creation data or electronic seal creation data is managed by a qualified PSCO on behalf of the user ...... 9 a. Conformity certificate issuance ...... 9 b. Conformity certificate maintenance ...... 10 Appendices ...... 11 I. Appendix 1 Documentary references ...... 11 II. Appendix 2 Commitments relating to the security follow-up of the product ...... 12 III. Appendix 3 Implementation example of a QSCD implemented by a qualified TSP ...... 13

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I. Introduction

I.1. Subject

The purpose of this document is to describe the attribution procedure by ANSSI of conformity certificates for qualified electronic signature creation devices (QSCD) in accordance with article 30 of the [eIDAS] regulation and for qualified electronic seal (QSCD) under article 39 of the [eIDAS] regulation. The [eIDAS] regulation specifies that in order to create a “qualified” electronic signature or electronic seal, the electronic signature and seal creation devices must themselves be qualified. The requirements which apply to these devices are mentioned in Appendix II of the [eIDAS] regulation. The conformity of these devices to the requirements of the [eIDAS] regulation is nationally certified by a certification body. In France, ANSSI, has been designated as a certification body by the note from the French authorities [DESIGNATION]. The following chapters specify the conditions for obtaining a conformity certificate for a QSCD. Appendix II provides an implementation example of a QSCD when the creation data of an electronic signature or electronic seal is managed by a qualified TSP on behalf of the user. This document repeals the SIG/P/01.1 procedure, reference 872/SGDN/DCSSI/SDR of 7th April 2003.

I.2. Legal framework

The qualified electronic signature and seal creation devices, certified in accordance with the present procedure, and appearing on the list published by the European Commission, are presumed to meet the requirements of Appendix II of the [eIDAS] regulation. Advanced electronic signatures, based on a qualified electronic signature certificate, and created using a qualified electronic signature creation device, are qualified electronic signatures, benefiting from the legal effects provided for in article 25 of the [eIDAS] regulation and in article 1367 of the French Civil Code. Advanced electronic seals, based on a qualified electronic seal certificate, and created using a qualified electronic seal creation device, are qualified electronic seals, benefiting from the legal effects provided for in article 35 of the [eIDAS] regulation.

I.3. Updating The opportunity to update this document is evaluated by ANSSI and can in particular result from a change in the regulatory or standards framework linked to the [eIDAS] regulation or from a change in the state of the art. ANSSI specifies the effective date of each update and the particulars for transition where applicable.

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I.4. Acronyms The acronyms used in this reference document are:

ANSSI Agence Nationale de la Sécurité des Systèmes d’Information (National Cybersecurity Agency of France). CC Common Criteria.

HSM Hardware Security Module.

QSCD Qualified electronic Signature/Seal Creation Device.

SSCD Secure Signature Creation Device. SOG-IS Senior Officials Group-Information System Security.

TSP .

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II. Requirements relating to qualified electronic signature /seal creation devices II.1. Assignment process of the conformity certificate

II.1.1. Conformity certificate request

The conformity certificate request is addressed to the Qualification and Approval Unit of ANSSI ([email protected]). This request must be addressed with the elements on which the decision of the conformity certification is based on (for example, the device certification report under the Common Criteria).

The Industrial Policy and Assistance Unit of ANSSI ([email protected]) is the privileged point of contact for any question relating to the procedure of conformity certification for a new device.

II.1.2. Form of the conformity certificate

The conformity certificate issued by ANSSI is based on a distinct and complementary process from the security certificate delivered for the product itself. The conformity certificate indicates the functions for which it has been issued and the certification report relating to the security certificate on which it is based. This conformity certificate may include restrictions of use which must be imperatively respected, especially during the preparation, the delivery and the implementation of the device. In the case of the conformity certification of a QSCD used in the environment of a qualified TSP, ensuring the generation and the management of signature creation data (respectively seal) on the behalf of the signatory (respectively the seal creator), a partial conformity certificate can be issued for the sole product. This conformity certificate must be completed after the verification of the QSCD implementation in the environment of a qualified TSP.

II.1.3. Validity of the conformity certificate The conformity certificate is linked to the initial security certificate, typically the [CC] certificate. Yet, the state of the art of the attacks, on which the security certificate has been issued, can evolve. Hence, the security certificate, that allowed the attribution of the conformity certificate, must be included in a surveillance process, such as defined in note [CERTIF_SURV]. The surveillance certificate is expected by ANSSI within a maximum period of 5 years after the [CC] certification decision or the last surveillance. In case of failure of the surveillance process, or any other fact reported to ANSSI and questioning the device conformity to the requirements of the [eIDAS] regulation, ANSSI examines on a case-by-case basis the maintenance (with eventual caveats) or the revocation of the conformity certificate. In particular, non-compliance with the requirements relating to the product security follow-up, detailed in Appendix 2 of the present document, is a revocation cause of the conformity certificate. In each case, a conformity certificate is automatically revoked after a certain time specified in chapter II.3 of the present document, according to the type of QSCD that received the conformity certification.

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II.2. Criteria for assessing the compliance of QSCD

The products enabling the qualified electronic signature and the qualified electronic seal are defined as follows by the [eIDAS] regulation, article 3:  ““electronic signature creation device”, configured software or hardware used to create an electronic signature”;  “ “qualified electronic signature creation device “, an electronic signature creation device that meets the requirements laid down in Annex II “ ;  “ “ electronic seal creation device”, configured software or hardware used to create an electronic seal”;  “ “qualified electronic seal creation device”, an electronic seal creation device that meets mutatis mutandis the requirements laid down in Annex II”.

The assessment must make it possible to demonstrate compliance with the requirements of the [eIDAS] regulation specified in its Annex II “Requirements for qualified electronic signature devices”: 1. Qualified electronic signature creation devices shall ensure, by appropriate technical and procedural means, that at least: (a) the confidentiality of the electronic signature creation data used for electronic signature creation is reasonably assured; (b) the electronic signature creation data used for electronic signature creation can practically occur only once; (c) the electronic signature creation data used for electronic signature creation cannot, with reasonable assurance, be derived and the electronic signature is reliably protected against forgery using currently available technology; (d) the electronic signature creation data used for electronic signature creation can be reliably protected by the legitimate signatory against use by others. 2. Qualified electronic signature creation devices shall not alter the data to be signed or prevent such data from being presented to the signatory prior to signing. 3. Generating or managing electronic signature creation data on behalf of the signatory may only be done by a qualified trust service provider. 4. Without prejudice to point (d) of point 1, qualified trust service providers managing electronic signature creation data on behalf of the signatory may duplicate the electronic signature creation data only for back-up purposes provided the following requirements are met: (a) the security of the duplicated datasets must be at the same level as for the original datasets; (b) the number of duplicated datasets shall not exceed the minimum needed to ensure continuity of the service.

Requirements of this Annex II apply, mutatis mutandis, to qualified electronic seal creation devices.

The conformity certification to those requirements is achieved in accordance with the implementing decision 2016/650 [eIDAS_DE_QSCD]1.

For QSCD which the electronic signature creation data or electronic seal creation data is held in an entirely user- managed environment, the conformity certification lays down on the requirements referenced in Annex I of the execution decision whose implementing measures are defined in the present document, paragraph II.3.1.

1 See https://eur-lex.europa.eu/legal-content/FR/TXT/?uri=CELEX:32016D0650 Creation devices for qualified electronic signatures and seals – Criteria for assessing compliance with the eIDAS regulation Version Date Circulation criterion Page 1.0 16/11/2017 PUBLIC 7/14

For QSCD which electronic signature creation data or electronic seal creation data is managed by a qualified TSP on behalf of the signatory or of the creator of the seal, the conformity certification lays down on an alternative process provided in article 30.3.b of the [eIDAS] regulation. The present document, paragraph II.3.2, presents the process implemented by ANSSI.

II.3. QSCD certification conformity terms

II.3.1. When the electronic signature creation data or electronic seal creation data is held in an entirely user-managed environment a. Conformity certificate issuance

The QSCD conformity certificate is issued if it is verified, by ANSSI, operating as national certification body, that:

 The system or the product in which the private signature key or seal is implemented has been certified within the framework of the SOG-IS2 European recognition agreement on the basis of one of the protection profiles referenced in the [eIDAS_DE_QSCD] decision ;

and

 The cryptography complies with the rules defined in the [SOGIS-CRYPTO] document. This verification lays down on a theoretical assessment of the cryptographic mechanisms and on an expertise of their implementation.

The conformity certificate is issued for an identified version of the QSCD, and its validity period is set in the certification decision. The validity period of the conformity certificate cannot exceed 10 years after the [CC] certification or the last QSCD surveillance.

The issuance of a conformity certificate by ANSSI gives rise to a notification to the European Commission, to enrolment in the qualified QSCD list provided in article 31 of the [eIDAS] regulation.

b. Conformity certificate maintenance

Every new version must receive an explicit decision of extension of the conformity certificate, under the same conditions as the initial attribution decision of the conformity certificate.

Once the decision of the conformity certification expires or is revoked, the QSCD is removed from the list published by the European Commission.

2 See http://www.ssi.gouv.fr/entreprise/produits-certifies/ Creation devices for qualified electronic signatures and seals – Criteria for assessing compliance with the eIDAS regulation Version Date Circulation criterion Page 1.0 16/11/2017 PUBLIC 8/14

II.3.2. When the electronic signature creation data or electronic seal creation data is managed by a qualified PSCO on behalf of the user

a. Conformity certificate issuance

The partial conformity certificate of the product is issued if it is verified, by ANSSI, operating as national certification body, that:

 The system or the product in which the private signature key or seal is implemented has been certified within the framework of the SOG-IS3 European recognition agreement on the basis of a security target validated by ANSSI4; and

 The systems or the products used to protect this private key against a use by others than the signatory or the creator of the seal, have been certified according to a prior strategy defined with ANSSI.5 and

 The cryptography complies with the rules defined in the [SOGIS-CRYPTO] document. This verification lays down on a theoretical assessment of the cryptographic mechanisms and on an expertise of their implementation.

Annex III of this document provides an implementation example which responds to these requirements.

The issuance of a partial conformity certificate does not give rise to a notification to the European Commission to enroll on the qualified QSCD list provided in article 31 of the [eIDAS] regulation. ANSSI publishes on its Internet website the list of the partial conformity certificates that have been delivered.

The complete conformity certificate of the QSCD is issued if it is verified, by ANSSI, operating as national certification body, pursuant to article 20.2 of the [eIDAS] regulation that:  The system or the product is implemented in the environment of a qualified TSP, appearing in the trusted list of one of the Members States of the European Union;

and  This qualified TSP uses the product or the system in accordance with the restrictions of use appearing in its certification report [CC]; and  This qualified TSP complies with the requirements issued in point 4 of Annex II of the [eIDAS] regulation; and

3 See http://www.ssi.gouv.fr/entreprise/produits-certifies/ 4 In the absence of a protection profile applicable to those systems or products, it is necessary to write a “security target” (in sense of [CC]). This target must be assessed by ANSSI which could determine if the system or the product does respond to the requirements of Annex II of the [eIDAS] regulation and if the certification level as well as the assurance components retained are identical to those required in the protection profiles referenced in the [eIDAS_DE_QSCD] decision. 5 Annex II presents an example of a solution allowing the remote creation of signature or seal, on behalf of the user, and specifies in this case the components that must be certified, and the required level of certification. Creation devices for qualified electronic signatures and seals – Criteria for assessing compliance with the eIDAS regulation Version Date Circulation criterion Page 1.0 16/11/2017 PUBLIC 9/14

 This qualified TSP complies with the requirements of the [eIDAS] regulation that apply to all TSP, specified in article 5, of article 15, article 19, and in particular has an up-to-date risk assessment covering the implementation of the product or the system in its environment; and  This qualified TSP complies with the requirements of the [eIDAS] regulation that apply to all qualified TSP, specified in document [PSCO_QUALIF], on the environment implementation of the QSCD.

ANSSI may delegate any of its conformity assessment work to these requirements to a conformity assessment body which comply with the criteria as described in note [CRITERES_OEC].

The conformity certificate is issued for an identified version of each system or product composing the QSCD, and the validity period is set in the certification decision. The validity period of the conformity certificate cannot exceed 5 years after the [CC] certification or the last surveillance of the system or the product in which the private key signature or seal is used.

The issuance of a complete conformity certificate by ANSSI gives rise to a notification to the European Commission, to enrolment in the qualified QSCD list provided in article 31 of the [eIDAS] regulation. The complete conformity certificate specifies the name of the qualified TSP which must implement the QSCD, and indicates in restriction use that the certification is valid only if the QSCD is effectively implemented by this TSP.

b. Conformity certificate maintenance

Every new version of the system or product in which the private key signature or seal is used must receive an explicit decision of extension of the conformity certificate, under the same conditions as the initial attribution decision of the conformity certificate.

New versions of systems or products used to protect this private key against a use by others than the signatory or the creator of the legitimate seal implicitly benefit from the extension of the conformity certificate, provided that :

1. prior to the deployment of this new version, an impact assessment recording all of the modifications carried out, the reason of these modifications, and their impact on the security must be addressed to ANSSI; and that

2. in parallel of the deployment of this new version, the device supplier :

○ provides, within a maximum period of two months, answers to all complementary information request to ANSSI ; and

○ initiates, within a maximum period of two months, all complementary assessment work required by ANSSI.

Once the decision of the conformity certification expires or is revoked, the QSCD is removed from the list published by the European Commission.

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Appendices

I. Appendix 1 Documentary references

Document Regulation 910/2014 of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive [eIDAS] 1999/93/EC. Available at http://www.europa.eu Note from the French authorities of 29 April 2016 to the Commission, designating [DESIGNATION] ANSSI as the supervisory body in terms of articles 30 and 39 of the eIDAS regulation.

Implementing decision (UE) 2016/50 of the Commission of 25 April 2016 laying down norms with regard to the security assessment of qualified electronic [eIDAS_DE_QSCD] signature and electronic seal creation devices according to article 30, paragraph 3, and to article 39, paragraph 2, of the [eIDAS] regulation. [CC] ISO/IEC 15408:2005 Common Criteria for Information Technology Security Evaluation : Part 1 : Introduction and general model; Part 2 : Security functional requirements; Part 3 : Security assurance requirements. Procédure de contrôle des produits certifiés, version en vigueur. [CERTIF_SURV] Surveillance procedure of certified products, current version (French version only). Available at http://www.ssi.gouv.fr [SOGIS-CRYPTO] SOG-IS Crypto Evaluation Scheme - Agreed Cryptographic Mechanisms - Version 1.0 – May 2016 Available at http://sogis.org [CRITERES_OEC] Organismes d’évaluation de la conformité– Critères de reconnaissance au titre du règlement eIDAS, version en vigueur. Conformity assessment bodies – Criteria for assessing compliance with the eIDAS regulation, current version (French version only). Available at http://www.ssi.gouv.fr Qualified trust service providers - Criteria for assessing compliance with the [PSCO_QUALIF] eIDAS regulation, current version. Available at http://www.ssi.gouv.fr

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II. Appendix 2 Commitments relating to the security follow-up of the product

The sponsor of the conformity certification of the QSCD commits to:

- Ensuring a security watch of the certified device in order to identify as soon as possible any vulnerability relating to the certified device;

- Informing without delay and in writing ANSSI and all users of the certified device of :

○ Any security patch publication relating to the certified device; ○ Any security watch stop relating to the certified device;

- Informing without delay and in writing ANSSI of any vulnerability discovery which impact or is susceptible to impact the certified device. For each vulnerability, the sponsor provides :

○ The vulnerability description and its gravity level from its impact assessment, the conditions of its exploitation and of its publicity;

○ The security patch identifier which allows to prevent the vulnerability exploitation when it exists or the foreseeable publication date of the security patch, when necessary;

○ The description of the technical or organisational temporary palliative measures, when they exist, allowing to prevent the vulnerability exploitation or to limit its impacts pending the security patch publication;

- Informing without delay and in writing ANSSI of:

○ Any security incident which impacts or is susceptible to impact the certified device;

○ Any security incident which impacts or is susceptible to impact an information system involved in the specification, conception, development, production, exploitation, administration, maintenance, pre- sales, technical support or delivery of the certified device;

○ Any security incident which impacts or is susceptible to impact the sensitive data relating to the users of the certified device, that these data is personal data or not.

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III. Appendix 3 Implementation example of a QSCD implemented by a qualified TSP

(5)

(1) (4) (6) If TSP

If user Network HSM TSP

(2) (7) (3)

Authentification means Application

Typically, a service (5) accessible via an untrustworthy network (4) allows to sign data that is transmitted by a signatory (1) via its information system (2). The principal requirements provided in Annex II of the [eIDAS] regulation are recalled below with a comment on what it involves :

- “the confidentiality of the electronic signature creation data used for electronic signature creation is reasonably assured” and - “the electronic signature creation data used for electronic signature creation can practically occur only once” and - “the electronic signature creation data used for electronic signature creation cannot, with reasonable assurance, be derived and the electronic signature is reliably protected against forgery using currently available technology”.

In practice, it involves the use of a HSM (6) and a state of the art cryptography. It also involves an adapted use of the HSM in which the service provider cannot have the capacity to use the user’s key without the express consent of the latter.

- “the electronic signature creation data used for electronic signature creation can be reliably protected by the legitimate signatory against use by others”.

It involves a strong authentication (3) between the signatory and the HSM (6), this authentication allowing the activation of the signature calculation, and allowing to establish a security channel between the local means by which the user authenticates himself and the remote HSM.

By analogy with the previous case, the HSM (6) must be certified, within the framework of the SOG-IS European recognition agreement, to a trust level comparable to the one required by the protection profiles referenced on the SOG-IS website (typically, EAL4+AVA_VAN.5…) implementing a secured channel between the local means by which the user authenticates and the remote HSM.6

Note: In general, the HSM certifications concern generic functionalities and do not take into account secured operations chaining allowing to realize a specific function.

In the case where this operations chaining would be realized by the information system of the signature provider to which the HSM is connected, all or part of the information system should be to the same trust level that the HSM itself,

6 For example, certified under the PP HSM CMCSO 14167-4 August 2015. Creation devices for qualified electronic signatures and seals – Criteria for assessing compliance with the eIDAS regulation Version Date Circulation criterion Page 1.0 16/11/2017 PUBLIC 13/14 with the corresponding certifications. Practice shows that this goal is hardly reachable.

That is the reason why it is recommended that the operations chaining allowing to realize the electronic signature in the context of a session ensuring the identity of the signatory as well as the integrity of the data transmitted by the signatory be insured by an application (7) embedded in the HSM itself (6).

If it is, the application (7) realizing these functionalities must have been, at least, the subject to a first level security certification (CSPN), and it is recommended that it is subjected to a certification under the common criteria at the EAL3+ level in accordance with the SOG-IS European recognition agreement. Furthermore, the cryptographic specifications guaranteeing the signatory authenticity and the session integrity must be given to ANSSI and must be the subject to a conformity assessment according to the [SOGIS-CRYPTO] document by an approved laboratory in this field.

The system must ensure the confidentiality of the user private key, at any time, since its generation until its destruction:

- If the private key is generated in the HSM, the proof of the private key possession, mandatory to the certificate request, must be generated under the control or with the consent of the user; - If the private key is generated in an other environment (for example, by the TSP issuing the user certificate), the HSM must provide for mechanisms allowing to protect its integrity and its confidentiality during its import, and the certification requirements of the HSM apply to the device that aims to generate this private key.

The “remote” aspect introduces additional risks compared to the local authentication. The user authentication must be strong (via the use of two distinct factors), and the authentication device must be the subject to, at least, a first level security certification (CSPN). This authentication device must be under the user exclusive control, and implement security controls in order that it is highly unlikely that activities such as decryption attempts, hearing, payback attack or the manipulation of a communication by an attacker which has a moderated attack potential can harm the authentication mechanisms. The authentication mechanism implemented must be dynamic.

Furthermore, the cryptographic specifications must be given to ANSSI and must be the subject to a conformity assessment in accordance with the [SOGIS-CRYPTO] document by an approved laboratory in this field.

Finally, this device must allow to ensure the authenticity and to protect the integrity of the transmitted data by the signatory and contributing to the signature realization (data or hash data to sign, reference to the key signature, etc.).

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