Feasibility study on an electronic identification, authentication and signature policy (IAS)

Transcription

1 FR Ref. Ares(2013) /08/2013 Feasibility study n an electrnic identificatin, authenticatin and signature plicy (IAS) FINAL REPORT A study prepared fr the Eurpean Cmmissin DG Cmmunicatins Netwrks, Cntent & Technlgy Digital Agenda fr Eurpe

2 This study was carried ut fr the Eurpean Cmmissin by Internal identificatin Cntract number: 30-CE /00-31 SMART 2010/0008 DISCLAIMER By the Eurpean Cmmissin, Directrate-General f Cmmunicatins Netwrks, Cntent & Technlgy. The infrmatin and views set ut in this publicatin are thse f the authr(s) and d nt necessarily reflect the fficial pinin f the Cmmissin. The Cmmissin des nt guarantee the accuracy f the data included in this study. Neither the Cmmissin nr any persn acting n the Cmmissin s behalf may be held respnsible fr the use which may be made f the infrmatin cntained therein. ISBN DOI: /25928 Eurpean Unin, All rights reserved. Certain parts are licensed under cnditins t the EU. Reprductin is authrised prvided the surce is acknwledged.

3 Table f cntents 1. SUMMARY OF THE STUDY GOALS AND SCOPE Backgrund f the Study Scpe f the Study Rle f this dcument in the Study APPENDICES Deliverable D.1: IAS in the Eurpean plicy cntext Deliverable D.2: IAS in Eurpe, an verview f the state f the art Deliverable D.3: Prpsal fr a Eurpean IAS plicy framewrk...

4 1. Summary f the Study gals and scpe 1.1 Backgrund f the Study The purpse f the present prject, as described in the tender specificatins, is t study the feasibility f a cmprehensive EU legal framewrk that wuld apply t all electrnic credentials needed t secure electrnic transactins as well as the ancillary services needed t use them: electrnic identificatin, authenticatin, signature, seals, certified delivery and a vluntary fficial address. The perspective f the legal framewrk wuld be t facilitate the smth wrking f electrnic transactins in the internal market. In ther wrds, it wuld be based n article 114 f the Treaty n the Functining f EU (TFEU). The Digital Agenda cnfirms that "Electrnic identity (eid) technlgies and authenticatin services are essential fr transactins n the internet bth in the private and public sectrs. Tday the mst cmmn way t authenticate is the use f passwrds. Fr many applicatins this may be sufficient, but mre secure slutins are increasingly needed. As there will be many slutins, industry, supprted by plicy actins in particular egvernment services - shuld ensure interperability based n standards and pen develpment platfrms." The Cmmissin, therefre, will "In 2011 prpse a revisin f the esignature Directive with a view t prvide a legal framewrk fr crss-brder recgnitin and interperability f secure eauthenticatin systems". This Study aims t prvide inputs fr this actin. 1.2 Scpe f the Study The scpe f this study is t determine if and hw a cmprehensive Eurpean IAS framewrk culd be frmed, including the legal, technical and trust cmpnents required fr such a framewrk. Each f these cmpnents will be defined by the study team, in a way that will allw them t serve as building blcks and t be cmbined int a cmprehensive plicy framewrk cvering IAS services and ancillary services. The study shuld culminate in a recmmendatin frm the study team t the Cmmissin n hw a cmplete and functining legal, technical and trust framewrk fr IAS services culd be cnstructed. This recmmendatin shuld build n cnsultatins f selected experts thrugh direct discussins and wrkshps, as well as the feedback received thrugh the Cmmissin's 2011 public cnsultatin n electrnic identificatin, authenticatin and signatures. In this way, the study team aims t prvide an immediately usable prpsal, while ptimally allwing the Cmmissin rm t adapt t future plicy discussins r changed plicy preferences.

5 1.3 Rle f this dcument in the Study Apart frm a general n-ging supprt task t the Cmmissin, the present Study cnsists f three tasks that crrespnd t a lgical phase in the study. The phases and tasks can be graphically summarized as fllws: The current dcument crrespnds t all phases in the verview abve and cntains the final versins f the deliverables prduced during the three phases. This Final Study Reprt cntains the fllwing dcuments: Deliverable D.1.1.b: IAS in the Eurpean plicy cntext Deliverable D.2.2.b: IAS in Eurpe, an verview f the state f the art Deliverable D.3.2.b: Prpsal fr a Eurpean IAS plicy framewrk

6 2. Appendices 2.1 Deliverable D.1.1.b: IAS in the Eurpean plicy cntext 2.2 Deliverable D.2.2.b: IAS in Eurpe, an verview f the state f the art 2.3 Deliverable D.3.2b: Prpsal fr a Eurpean IAS plicy framewrk

7 Study n an electrnic identificatin, authenticatin and signature plicy (IAS) IAS in the Eurpean plicy cntext Final Versin (D.1.1.b) 20 February 2013

8 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) This study was cmmissined by the Eurpean Cmmissin's Infrmatin Sciety and Media Directrate-General, in respnse t the general invitatin t tender f the Directrate- General Infrmatin Sciety and Media, n SMART N 2010/008. The study des nt, hwever, express the Cmmissin's fficial views. The views expressed and all recmmendatins made are thse f the authrs. 2

9 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Table f cntents 1. SUMMARY OF THE STUDY GOALS AND SCOPE Backgrund f the Study Scpe f the Study Rle f this dcument in the Study DEFINING IAS What are IAS services? Putting the basic definitins in a services perspective Interim Observatins POLICY NEEDS FOR IAS IN THE DIGITAL SINGLE MARKET Hw d IAS services fit in the Digital Single Market? Needs fr a functining IAS internal market The internatinal dimensin: needs and challenges REVIEW OF PAST IAS POLICY: SCOPE, IMPACT AND CHALLENGES Analysis f the impact f EU plicy n IAS: hw (in)cmplete is the picture? Identificatin f key gaps THE ROAD AHEAD Hw useful is the esignatures Directive as a starting pint fr IAS regulatins? Weaknesses f the esignatures Directive lessns learned What are the alternatives? CONCLUSIONS IAS summary f challenges and gals frm a plicy perspective Perspectives fr a future cmprehensive trust services framewrk APPENDICES Abbreviatins Wrkshp reprt: analysis f cmments received Surces f IAS use cases

10 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) 1. Summary f the Study gals and scpe 1.1 Backgrund f the Study The purpse f the present prject, as described in the tender specificatins, is t study the feasibility f a cmprehensive EU legal framewrk that wuld apply t electrnic assertins needed t secure electrnic transactins as well as the ancillary services needed t use them: electrnic identificatin, authenticatin, signature, seals, certified delivery. The perspective wuld be t facilitate the smth wrking f electrnic transactins in the internal market. In ther wrds, it wuld be based n article 114 f the Treaty n the Functining f EU (TFEU). The Digital Agenda cnfirms that "Electrnic identity (eid) technlgies and authenticatin services are essential fr transactins n the internet bth in the private and public sectrs. Tday the mst cmmn way t authenticate is the use f passwrds. Fr many applicatins this may be sufficient, but mre secure slutins are increasingly needed. As there will be many slutins, industry, supprted by plicy actins in particular egvernment services - shuld ensure interperability based n standards and pen develpment platfrms." The Cmmissin, therefre, will "In 2011 prpse a revisin f the esignature Directive with a view t prvide a legal framewrk fr crss-brder recgnitin and interperability f secure eauthenticatin systems". This Study aims t prvide inputs fr this actin. 1.2 Scpe f the Study The scpe f this study is t determine if and hw a cmprehensive Eurpean IAS framewrk culd be frmed, including the legal, technical and trust cmpnents required fr such a framewrk. The study shuld include recmmendatins n hw a cmplete and functining legal, technical and trust framewrk fr IAS services culd be cnstructed. This recmmendatin shuld build n cnsultatins f selected experts thrugh direct discussins and wrkshps, as well as the feedback received thrugh the Cmmissin's 2011 public cnsultatin n electrnic identificatin, authenticatin and signatures. 4

11 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) 1.3 Rle f this dcument in the Study The present Study mainly cnsists f three tasks that crrespnd t a lgical phase in the study. The phases and tasks can be graphically summarized as fllws: Figure 1: IAS study phases The current dcument is Deliverable IAS in the Eurpean plicy cntext, and crrespnds t Phase 1 in the verview abve. The gal f this reprt is t create the basis fr the develpment f a cmprehensive plicy framewrk, specifically by: Defining IAS: it is abslutely crucial that participants in the IAS plicy debate have a clear and cmmn understanding f IAS cncepts. Sectin 2 will therefre cnsist f elabrating the study team s understanding f the main ntins, and building up, frm the industry and legal standards, the definitins aimed t serve as cmmn basis and language. Understanding Eurpean IAS plicy needs: in rder t define a cmprehensive IAS plicy framewrk, it must first be clear what the Eurpean needs and ambitins 5

12 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) in this area are. This will be analyzed in Sectin 3 f the reprt, building n the relevant sectins f the Digital Agenda. Determining t what extent the existing IAS plicy framewrk in Eurpe already cvers these plicy needs: It is imprtant t understand the impact f this framewrk n IAS, and t determine what the gaps (if any) are. This will be examined in Sectin 4 f the reprt. Establishing a rad frward: if there are indeed gaps between IAS plicy needs and the current framewrk, we will need t determine hw these can be reslved. While a cmprehensive visin n this tpic will be develped in Phase 3 f the Study, we can already define in Sectin 5 f the present dcument what the main cnceptual ptins are. This dcument has been finalized in tw iteratins: A draft versin (D.1.1) utlining the study team s initial thughts and pinins n the fur aspects utlined abve. This draft was presented t the Stakehlders fr discussin. A final versin (D.1.1.b) based n the feedback received. As indicated in the graphic abve, this reprt has been used as ne f the key inputs fr the recmmendatins f phase 3. 6

13 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) 2. Defining IAS 2.1 What are IAS services? With regard t defining IAS services, the cre challenge is twfld: there are t many and ften even different, cnflicting r verlapping definitins f the basic terms; the fields f identity, authenticatin and signature are highly linked in practise while bearing their wn differences. Hwever cnsidering (i) the current mve twards the ratinalisatin f the entire esignature standardisatin framewrk in the cntext f the executin f Mandate M460 1, (ii) the recent EC Decisins enabling Member States harmnising the publicatin f trust infrmatin n supervised r accredited certificatin services supprting electrnic signatures and hence ratinalising smehw the related trust framewrk, (iii) the plitical decisin t better and further address IAS frm a plicy perspective and establishment f further legal measures as cnfirmed in the Digital Agenda fr Eurpe 2, the Eurpean egvernment Actin Plan 3 and the Single Market Act 4, (iv) the executin f the present study aiming t adequately supprt this legal track, arriving at a cmmn semantic basis is difficult but clearly necessary. There will be rarely a better pprtunity and mmentum fr establishing a sund and cnsistent set f definitins between all legal, technical and trust framewrks. We will elabrate in this sectin the terminlgy and definitin building blcks we need fr the study n the basis f the esignature Directive 1999/93/EC, the Mdinis study 5 (cvering exclusively the identificatin and authenticatin aspects) and the draft ratinalised 1 Mandate M460 is a standardisatin mandate given end 2009 by the EC t the Eurpean Standardisatin Organisatins CEN, CENELEC and ETSI in the field f infrmatin and cmmunicatin technlgies applied t electrnic signatures. Fr further infrmatin see: 2 Digital Agenda fr Eurpe COM(2010)245 f 19 May 2010: key actins n PSCs, e-id, esignatures. 3 Eurpean egvernment Actin Plan COM(2010) Single Market Act COM(2011)206, 13 April pririty actin n Digital Single Market (sectin 2.7). 5 Mdinis Study n Identity Management in egvernment Cmmn terminlgical framewrk fr interperable electrnic identity management, v2.01, Nvember 23,

14 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) framewrk fr electrnic signature standardisatin (DSR/ESI ) 6 and related standards, while ratinalising and arbitrating when facing cnflicting r verlapping definitins. Entity & Identity The first basic term we will here define is the term 'entity'. Entity: means any natural r legal persn r any infrmatin system that shall be characterised thrugh a cllectin f identity attributes f which at least ne subset f such identity attributes uniquely represents it. We believe imprtant, as stressed in Mdinis, t keep this definitin pen t any type f persn (including natural persns f curse but als legal persns r public sectr bdies) while further defining ther types f entities (e.g. cmputers r ther frms f machinery, digital resurces r prcesses) as cvered by any "infrmatin system" as defined in Framewrk Decisin 2005/222/JHA f 24 February 2005 n attacks against infrmatin systems 7. The fllwing definitin f 'identity' is als based n the Mdinis definitin. Identity: The identity f an entity means the cllectin f all the entity s identity attributes. An entity has nly ne such cllectin r set f all its identity attributes; t this extent ne can say that ne entity has nly ne identity. Each f the identity attributes frm this cllectin needs nt necessarily be unique t that entity but sme and ften several subsets f such identity attributes can uniquely identify an entity. Unique Identity: means a cllectin f an entity s identity attributes that uniquely represents that entity. 6 Draft Ratinalised Framewrk Fr Electrnic Signature Standardisatin (DSR/ESI ) available frm and elabrated in the cntext f Mandate M Defined as any device r grup f inter-cnnected r related devices which perfrms autmatic prcessing f cmputer data, as well as cmputer data stred, prcessed, retrieved r transmitted by them fr the purpses f their peratin, use, prtectin and maintenance ; see 8

15 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Sub-sets r cllectin f an entity's identity attributes that des nt uniquely identify an entity are ften called "partial identities". Identity Attribute: means a distinct, measurable, physical r abstract named prperty belnging t an entity. Cmmn examples f such identity attributes include name, surname(s), natinality, date and place f birth, address, bimetric data, prfessinal r hnrific title, gender, age statement,..., but als ther characteristics such as, pssessin f a public/private key pair, a delegatin, a grant culd be cnsidered as identity attributes. A unique identifier is a special type f identity attribute that, n its wn uniquely identifies an entity. Identity Attribute Assertin: means an electrnic attestatin which links ne r mre identity attributes t a unique identity f an entity and cnfirms the identity f that entity. The term assertin is preferred t the term 'credential' which is ften misused r misunderstd. Such electrnic attestatin may nt be delivered under the frm f digital certificates, which is the mst cmmn type in a PKI wrld, but under ther frms f signed statements (i.e. X/C/PAdES frmatted signatures, SAML messages, XACML statements). Digital Certificates and Attribute Certificates can be cnsidered as special types f Identity Attribute Assertins as they mainly link a specific type f identity attribute, namely a signature verificatin data, t an entity. Mandates 8, authrisatins 9 and ther types f permissins 10 can als be seen as specific types f identity attribute assertins. Figure 2 belw illustrates a nn exhaustive list f different sub-sets f identity attribute assertins. An "fficial identity" can be defined as an Identity Attribute Assertin delivered by r n behalf f a public sectr bdy 11 acting as an Identity Attribute Assertin Prvider Mandate can be defined as a revcable rle (i.e. a set f ne r mre authrisatins related t a specific applicatin r service) r a set f revcable rles which refer t ne r mre permissins granted by an identified entity t anther identified entity t perfrm well-defined actins with legal cnsequences in the name and fr the accunt f the frmer. [Mdinis] 9 Authrisatin, here, refers t the permissin f an authenticated entity t perfrm a defined actin r t use a defined service/resurce. [Mdinis] 10 Permissin describes the privileges granted t an authenticated entity (e.g. priviledge with respect t lw-level peratins that may be perfrmed n sme resurce such as read, write, delete, execute, create, etc.). [Based n Mdinis] 11 Defined in Directive 2003/98/EC f the Eurpean Parliament and f the Cuncil f 17 Nvember 2003 n the re-use f public sectr infrmatin, as the State, reginal r lcal authrities, bdies gverned by public law and assciatins frmed by ne r several such authrities r ne r several such bdies 9

16 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Identity Attribute Assertins Digital Certificates Attributes Certificates Permissins Authrisatins Mandates Figure 2: Identity Attribute Assertins Identificatin can then be defined as the prcess f using claimed (e.g. by means f Identity Attribute Assertin) r bserved attributes f an entity t deduce wh the entity is. It can lead t a unique r a partial identity. Authenticatin Authenticatin is the crrbratin f a claimed set f attributes r facts with a specified, r understd, level f cnfidence 5. Authenticatin is typically divided int data authenticatin and entity authenticatin. We will als further define the cncept f data authenticatin data as it will later serve as building blck t define electrnic signatures and clarify the distinctin and interrelatin between thse cncepts. Entity Authenticatin: means the crrbratin f the claimed identity f an entity and a set f its bserved attributes. 5 Data Authenticatin: means the crrbratin that the rigin and the integrity f data are as claimed. 5 Data Authenticatin Data: means data in electrnic frm which are attached t r lgically assciated with ther electrnic data and which crrbrates the identity f the entity at the gverned by public law ; see 12 See definitin further in the text. 10

17 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) rigin f the assciated data and the integrity f the assciated data. The current definitin f electrnic signature in Directive 1999/93/EC (Art.2.1) ( data in electrnic frm which are attached t r lgically assciated with ther electrnic data and which serve as a methd f authenticatin ) is actually equivalent t the abve data authenticatin data definitin. This has been surce f lng misunderstanding between technical and legal wrlds als linked t the fact that the mst currently deplyed PKI based technlgy fr implementing rely n the exact same cryptgraphic peratin fr implementing electrnic signatures and PKI based authenticatin. We prpse t add t the cncept f electrnic signature the expressin f a cnsent, an intent r cmmitment. Of curse the expressin f such an explicit cnsent r cmmitment culd be that the signature is created with n ther purpse than authenticating the signatry as an entity. The definitin f electrnic signature is given later in the present sectin and ther aspects f the legal issues related t the current definitin f electrnic signature in Directive 1999/93/EC are als discussed in Sectin 3. Practical examples f use f data authenticatin data fr nt being an electrnic signature are Message Authenticatin Cdes, being key-dependent ne-way hash functins which can be used t authenticate files between users As in many cases a device is used t btain such data r entity authenticatin, we further define the ntin f authenticatin device. Authenticatin Device: means cnfigured tls, sftware r hardware used by an entity fr the purpse f entity r data authenticatin. Tday these devices take many frms and invlve ne r mre factrs (the classic 'what yu are', 'what yu knw', what 'yu pssess', and the mre recent 'hw yu behave'), and supprt the crrbratin f the claimed identity and the related relevant set f identity attributes, particularly it typically includes UserID/passwrd, One Time Passwrd (OTP) slutins, TAN cards, PKI based tkens and smart cards. In a number f usage scenaris, the Authenticatin Device may require an interface device such as a keybard, a bimetric capturing device, r a card reader with r withut a PINpad. Authenticatin Interface Device: means cnfigured tls, sftware r hardware used by an entity fr the purpse f authenticatin in cnjunctin with an Authenticatin Device t facilitate r enable the use f the latter. 11

18 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Signatures Similarly t the previus identificatin and authenticatin related sets f definitins, the first basic term that we will here define is the term 'signatry'. Signatry: means a persn wh hlds a signature creatin device and {acts, creates an electrnic signature} either n his wn behalf r n behalf f the natural r legal persn r public sectr bdy he represents. 5 Nte: text between { } designates that a chice shuld be made between several pssible terms, in this latter chice, the underlined term is the ne prpsed. The first ccurrence f the wrd persn is nt qualified t be natural r legal persn. The ntin f persn is interpreted differently in EU Member States. In sme Member States a legal persn is entitled t sign with the same rights and effects that a natural persn. Hwever if we later cnsider specific types f electrnic signatures, namely electrnic seals which are generated by signatries being legal persn, public sectr bdies 13, cmpetent authrities, r public authrities, then either we enlarge this first ccurrence f 'persn' t 'natural r legal persn' (with the r being als meant t cnsider cases fr which this legal persn is nt an ptin in sme Member States). Electrnic Signature: means data authenticatin data which {states, indicates the expressin f, expresses} a {binding cmmitment, cnsent, intent, endrsement, adherence} frm the signatry twards the assciated data. Nte: text between { } designates that a chice shuld be made between several pssible terms, in this latter chice, the underlined term is the ne prpsed. 13 Defined in Directive 2003/98/EC f the Eurpean Parliament and f the Cuncil f 17 Nvember 2003 n the re-use f public sectr infrmatin, as the State, reginal r lcal authrities, bdies gverned by public law and assciatins frmed by ne r several such authrities r ne r several such bdies gverned by public law ; see 12

19 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) This cnsent may be expressed in an explicit r implicit manner (while it wuld be far better being explicit). As explained previusly and als as experienced in real life, electrnic signature can be used fr the purpse f entity authenticatin r fr the purpse f data authenticatin; the desired gal wuld then be reflected in the expressed cnsent. It is wrth stressing the "universal" nature f electrnic signature in the sense that it is applicable t any cntext and situatin. Intrinsically, an electrnic signature is f the same nature when used fr egvernment applicatins, fr a private sectr applicatin r fr any ther type f use. In rder t address expressed market requirements and cmments highlighted in the results f the Public Cnsultatin, we intrduce specific types f electrnic signatures, namely electrnic seals which are generated by signatries being legal persn r public (sectr) bdies. Electrnic Seal: means an electrnic signature created by a legal persn r a public sectr bdy. Similarly t what is dne in Directive 1999/93/EC, we further refine the definitin f advanced and qualified electrnic signatures and electrnic seals. Advanced Electrnic Signature ( 14 ): means an electrnic signature which meets the fllwing requirements: (a) it is uniquely linked t the signatry; (b) it is capable f identifying the signatry; (c) it is created using means that the signatry can maintain under his sle cntrl; and (d) it is linked t the data t which it relates in such a manner that any subsequent change f the data is detectable. Advanced Electrnic Seal: means an advanced electrnic signature created by a legal persn r a public sectr bdy. Qualified Electrnic Signature ( 15 ): means an advanced electrnic signature which is based n a qualified certificate [issued t a natural persn] and which is created by a secure signature creatin device. Qualified Electrnic Seal: means a qualified electrnic signature fr which the signatry is 14 Directive 1999/93/EC, Art Based n Directive 1999/93/EC, Art

20 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) a legal persn r a public sectr bdy. It can be bserved that Directive 1999/93/EC, and the abve definitins, defines electrnic signatures in a brad and technlgy neutral way. It is the pinin f the IAS Study team that at the time f cnducting ur Study, the nly viable large-scale implementatin available is based n cryptgraphy. Cryptgraphic primitives are available frm varius different mathematical families (e.g. RSA, ElGamal, ECC). These are based n different mathematical cncepts (the hardness f factring, the hardness f cmputing the discrete lgarithm, and the hardness f finding pints n elliptic curves). Hwever, they ffer cmparable functinality. While being then less technlgy neutral the fllwing definitins are imprtant and kept frm Directive 1999/93/EC: Signature Creatin Data ( 16 ): means unique data, such as cdes r private cryptgraphic keys, which are used by the signatry t create an electrnic signature. Signature Creatin Device ( 17 ): means cnfigured sftware r hardware used t implement the signature creatin data. Secure Signature Creatin Device ( 18 ): means a signature-creatin device which meets the requirements laid dwn in Annex III f Directive 1999/93/EC. Signature Verificatin Data ( 19 ): means data, such as cdes r public cryptgraphic keys, which are used fr the purpse f verifying an electrnic signature. Signature Verificatin Device ( 20 ): means cnfigured sftware r hardware used t implement the signature verificatin data. The expressin f a cnsent/intent/cmmitment as a cnditin f an electrnic signature, is already present in sme Member States implementatin f Directive 1999/93/EC (e.g. in the 16 Directive 1999/93/EC, Art Directive 1999/93/EC, Art Directive 1999/93/EC, Art Directive 1999/93/EC, Art Directive 1999/93/EC, Art

21 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Grand-Duchy f Luxemburg) and in signature related standards e.g. when cmbining ETSI TS v1.2.2 definitins f "digital signatures" and f "signers": Digital signature: data appended t, r a cryptgraphic transfrmatin f, a data unit that allws a recipient f the data unit t prve the surce and integrity f the data unit and prtect against frgery, e.g. by the recipient (ISO ). Signer: entity that creates an electrnic signature. The Signer is the entity that initially creates the electrnic signature. When the signer digitally signs ver data using the prescribed frmat, this represents a cmmitment n behalf f the signing entity t the data being signed. Mrever the expressin f a (signed) cmmitment is already a standardised feature f electrnic signature frmats whether based n XAdES, CAdES r PAdES prfiles. Furthermre, prducing electrnic signatures, data authenticatin data r authenticatin itself as an entity suppses the cunterpart f verifying such electrnic signatures, data authenticatin data and entity authenticatin which is the gal f s-called verifiers r relying parties. Bth signers and authenticating parties n the ne side and relying parties n the ther side are likely t rely n ne r mre entities helping them t execute their task and t build trust relatinships between them, the s-called trust service prviders. Such entities supprt the signer/authenticating parties and verifiers by means f supprting trust services and related trust service tkens as tangibles utputs f such services. Such services typically include the prvisin f identity attributes assertins, in particular the prvisins f digital certificates used t guarantee the identity f a signer r an authenticating party and their related services (e.g. registratin services, certificate status validity services, certificate revcatin services, repsitry services), the prvisin f time-stamping services as the ntin f trusted time may be f critical imprtance when securing transactins and in particular electrnic signatures and authenticatin, signature generatin and signature validatin services, archiving r infrmatin preservatin services. Trust Service Prviders The fllwing definitins are prpsed t serve as building blcks in the cntext f the study. They are mstly based n the current Draft Ratinalised Framewrk Fr Electrnic Signature Standardisatin 6 and the EFVS study EFVS Study Framewrk cntract ENTR/05/58-SECURITY, SC N 14 Final Reprt "Cmmn Slutin Mdel: Cmpletin f the framewrk fr Signature Validatin Services", February

22 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Trust Service: means an electrnic service which enhances trust and cnfidence in electrnic transactins. Nte: Such trust services are typically but nt necessarily using cryptgraphic techniques r invlving cnfidential material. Trust Service Prvider: means an entity which prvides ne r mre electrnic Trust Services. Trust Service Tken: means a physical r binary (lgical) bject generated r issued as a result f the use f a Trust Service. Nte: Examples f binary Trust Service Tkens are Identity Attribute Assertin, like Certificates, CRLs, Time-Stamp Tkens, OCSP respnses, Digitised Data, Registered Electrnic Delivery and Infrmatin Preservatin Recrd. Similarly t the cncept f qualified electrnic signature, we will define: Qualified Trust Service Tken: means a Trust Service Tken that meets the requirements laid dwn in a specific annex/list, and that is prvided by a Trust Service Prvider wh fulfils the requirements laid dwn in a specific annex/list and that in cnsequence benefits frm a legal certainty. There is n cncept f Qualified Trust Service Prvider (TSP) but well f a TSP issuing Qualified Trust Service and Qualified Trust Service Tkens. We can identify: Qualified Time-Stamp Tken, Qualified Digitised Data, Qualified Certificate, Qualified Registered Electrnic Delivery, Qualified Infrmatin Preservatin Recrd, Qualified Identity Attribute Assertin, etc. Trust Service Prviders issuing certificates We suggest replacing the cncept f Certificatin Service Prvider defined in Art f Directive 1999/93/EC as an entity r a legal r natural persn wh issues certificates r prvides ther services related t electrnic signatures by the cncept f Trust Service Prvider issuing certificates with the fllwing definitins: 16

23 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Trust Service Prvider issuing certificates: means a Trust Service Prvider wh issues Certificates and prvides related Certificate creatin, assignment and life cycle management services. Certificate: means an Identity Attribute Assertin which links signature verificatin data t a unique identity f an entity t which the signature verificatin data belngs. An Attribute Certificate means a Certificate which links signature verificatin data t ne r mre identity attributes and cnfirms that thse identity attributes belngs t the entity t which the signature verificatin data belngs. Certificates and Attribute Certificates are special types f Identity Attribute Assertins as they link a specific type f identity attribute, namely a signature verificatin data, t an entity. Electrnic signature can be used fr the purpse f entity authenticatin r fr the purpse f authenticating data; it wuld then be reflected in the expressed cnsent as per the definitin f Electrnic Signature. Using X.509 based Certificates and the related signature creatin and verificatin data fr the purpse f entity authenticatin means implementing electrnic signatures (usually applied n randm assciated data) fr which the expressed cnsent is limited t the scpe and purpse f identifying the signatry authenticating itself thrugh such means. It shuld be nted that the expressin f this cnsent may be explicit r implicit but it shuld always be stated as clearly as pssible. Qualified Certificate ( 22 ): means a certificate which meets the requirements laid dwn in Annex I f Directive 1999/93/EC and is prvided by a Trust Service Prvider issuing certificates wh fulfils the requirements laid dwn in Annex II f Directive 1999/93/EC. We suggest t review the requirements currently laid dwn in thse Annexes I and II as part f the Phase 3 f the IAS study. Signature Generatin and Validatin Service Prviders Signature Generatin Service Prvider: means a Trust Service Prvider which prvides Trust Services that allw secure remte management f signatry s signature creatin device and generatin f electrnic signatures by means f such a remtely managed 22 Directive 1999/93/EC, Art

24 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) device. Thse elements may rely n a Signature Plicy that can be either explicit r implicit, be defined by the Signature Generatin Service Prvider (SGSP) r the relying party using the SGSP services r jintly negtiated by the parties. Signature Plicy: means a set f rules fr the creatin and validatin f ne r mre electrnic signatures that defines the technical and prcedural requirements fr creatin, validatin and (lng term) management f this(these) electrnic signature(s), in rder t meet a particular business need, and under which the signature(s) can be determined t be valid. There can be human readable r machine prcessable presentatin f signature plicies. Signature Validatin Assertin: means an electrnic attestatin prvided by a Signature Validatin Service Prvider that cnfirms the results f the validatin f an electrnic signature. Signature Validatin Service Prvider [based n EFVS study 21 ]: means a Trust Service Prvider ffering the fllwing services in relatin t an electrnic signature supprted by certificates issued by certificate issuing services frm TSP's issuing certificates (CAs): a) Validatin f the certificates supprting the electrnic signature; Nte: This validatin step shuld be extended t include the certificate chain, starting frm the signatry s certificate up t a trusted (rt) CA certificate. b) Validatin f the electrnic signature. Thse services ((a) and (b) abve) may rely n a Signature Plicy that can be either explicit r implicit, be defined by the SVSP r the relying party using the SVSP services r jintly negtiated by the parties. It shuld be nted that Signature Validatin Service Prvider (SVSP) prviding the abve services may als prvide extended services that may ptinally include but nt be limited t the fllwing additinal services: 18 Trusted Time services (e.g. Time-stamping services, Time-marking services); (Lng term) Archiving f the signatures and/r signed dcuments; The extensin f such signatures fr preservatin purpses; The maintenance f the signature/dcument frmats; Any additinal transactinal service r delivery service related t the signed dcuments and signatures.

25 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Qualified Signature Validatin Assertin: means a Signature Validatin Assertin that meets the requirements laid dwn in a specific annex/list, including the prvisin t end-users with specific guarantees with regard t the trustwrthiness and legal reliability f the electrnic signature, i.e. assessing the legal value f the signature and prviding an acceptable liability mdel that allws the relying party t rely legally n this statement; such guarantees can rely n statements made n sme technical r legal requirements and/r quality criteria n certificates and electrnic signatures, and is prvided by a Trust Service Prvider wh fulfils the requirements laid dwn in a specific annex/list and that in cnsequence wuld benefit frm a legal certainty. This may invlve all r a limited cmbinatin f rules described in mre details in the EFVS study. 21 Time-Stamping Service Prviders Time-Stamping Service Prvider: means a Trust Service Prvider which issues Time- Stamp Tkens. This entity may als be referred t as a Time-Stamping Authrity. Time-Stamp Tken: means a data bject that binds a representatin f a datum t a particular time, thus establishing evidence that the datum existed befre that time. Infrmatin Preservatin Service Prviders Infrmatin Preservatin Service Prvider (IPSP): means a Trust Applicatin Service Prvider which prvides trust services t which infrmatin, amng which dcuments, is entrusted in an agreed frm (digital r analg) fr being securely kept in digital frm fr a perid f time specified in the applicable agreement; this service is expected t be able t exhibit all preserved infrmatin at any mment during, r at the end f, the preservatin perid. Nte: Cfr ETSI TS

26 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Registered Electrnic Delivery Service Prviders Registered Electrnic Delivery: means enhanced frm f data transmitted by electrnic means (ex. , dcument, message) which prvides evidence relating t the handling f the data including prf f submissin and delivery. Registered Electrnic Delivery Service Prvider: means a Trust Applicatin Service Prvider which prvides Registered Electrnic Delivery trust services. Identity Attribute Assertin Service Prviders Identity Attribute Assertin Prvider: means a Trust Service Prvider that prvides Identity Attribute Assertins. Supervisin f Service Prviders The cncept f supervisin f service prviders issuing qualified certificates is an essential building blck f the current Directive 1999/93/EC as it allws implementatin f a trust mdel f thse qualified electrnic signatures benefiting f an autmatic equivalence t hand written signatures as explained further in the legal sectin f the present dcument. Hwever the implementatin in practice f such a cncept has lead t several issues: the c-existence and differences between the interpretatin f an 'apprpriate system that allws fr supervisin' (as intrduced by Art 3.3 f the Directive) and f 'vluntary accreditatin' (as defined in Art f the Directive) are nt always, if ever, understd clearly, even by thse wh are in charge f such systems; the terms and definitins used are ften verlapping r cnflicting with the terminlgy used in the audit and assessment wrld; the divergence f implementatin in practice f the cncept f "apprpriate [...] supervisin" by Member States has lead t significant differences in the effective implementatin f the cntrls underlying such a supervisin ranging frm very basic cntrls up t frmal certificatin. The recent Digintar case has, if nthing else, shwn that there is a clear need fr sufficiently effective supervisin, since security 20

27 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) risks can have a very serius impact n the trustwrthiness f CAs and n their ecnmic utility. Given the imprtance f supervisin as a tl fr establishing and maintaining trust in trust service prviders, it is ur strng belief that it is time t mve twards a mre structured and specified system fr allwing effective, systematic, independent and dcumented supervisin fr btaining evidence and evaluating such evidence bjectively. It is prpsed that such a mre structured and specified supervisin system shuld be intrduced fr qualified trust services, while similar systems may be kept vluntary fr nn-qualified trust services. The present dcument recmmends the system t rely n standardised cnfrmance criteria against which the (qualified) trust services (shall) will be assessed (audited) and that the assessment f cnfrmance f trust services and prviders f related trust services t the standardised cnfrmance criteria (including standard plicies and practices) is perfrmed by auditrs against standardised cnfrmance assessment prcesses. These auditrs shuld be accredited as perating t standard audit practices (e.g. by a Natinal Accreditatin Bdy such as UKAS in UK, ENAC in Spain, DAkkS in Germany, NAT in Hungary, full list at as thse Natinal Accreditatin Bdies perate under cmmn practices and have crss recgnitin thrugh the Eurpean c-peratin fr Accreditatin (EA) and all are members f the Internatinal Accreditatin Frum 23 ). It is expected that the MS Supervisry Bdy (i.e. the Administratin in charge f the supervisin) culd rely n such accredited auditrs, internally r externally if lacking relevant cmpetencies themselves, wh will be assigned, under a selectin prcess t be defined, with the missin f the effective audit f the qualified trust services (mandatry) r f a nnqualified trust services upn request by the TSP prviding such services (vluntary). 23 The Internatinal Accreditatin Frum, Inc. (IAF) is the wrld assciatin f Cnfrmance Assessment Accreditatin Bdies and ther bdies interested in cnfrmance assessment in the fields f management systems, prducts, services, persnnel and ther similar prgrammes f cnfrmance assessment. Its primary functin is t develp a single wrldwide prgram f cnfrmance assessment which reduces risk fr business and its custmers by assuring them that accredited certificates may be relied upn. 21

28 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Natinal Supervisin scheme Trusted List f supervised Trust Services Supervisry Bdy (MS Administratin in charge f supervisin) Natinal Accreditatin Bdy Internatinal Accreditatin Frum (IAF) Supervisin (incl. Audit) status & cnclusins Evaluatrs Evaluatrs Accredited Auditrs Audit Trust Services frm TSP Figure 3 A pssible supervisin audit prcess flw is depicted in Figure 4 belw and is based n the CROBIES study Cmplaints r bservatin f nn-cnfrmity r regular r randm cntrl nce supervised (audited) 6. Evaluatin f reprt MS Supervisry Bdy 2. Designatin & Missin allcatin 1. Ntificatin / Request fr Supervisin n the basis f a selfdeclaratin f cnfrmance 5. Audit reprt Accredited Auditrs 4. Audit 3. Designatin acceptance/ refusal 7. Supervisin cnclusins (incl. Audit reprt) and Supervisin status ntified Trust Services frm TSP Figure 4 24 Study n Crss-Brder Interperability f esignatures (CROBIES), A reprt t the Eurpean Cmmissin frm SEALED, time.lex and Siemens (Versin 1.0, 2010); available at 22

29 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Supervisin based n a cmmn set f cnfrmance criteria established n a standardised basis (i.e. in the cntext f mandate M460), specified per type f qualified trust service and based n a standardised cntrl prcess (i.e. based n well-established audit practices), tgether with the inclusin f qualified trust services in natinal Trusted Lists will ensure a mre efficient and safer market than it is tday. Trust Framewrk Standardisatin Framewrk Trusted List f supervised Trust Services Internatinal Accreditatin Frum (IAF) Guidance Natinal Supervisin scheme Supervisin (incl. Audit) status & cnclusins Supervisry Bdy (MS Administratin in charge f supervisin) Evaluatrs Evaluatrs Accredited Auditrs Natinal Accreditatin Bdy Cnfrmance (Audit) Criteria (declined per cntrlled activity) Cnfrmance Assessment (Audit) Prcess Plicy & Security Requirements Technical Specificatins Cnfrmance Assessment Testing Cmpliance & Interperability Audit Trust Services frm TSP Accreditatin Mdel & Prcess Flw 6. Evaluatin f reprt 1. Cmplaints r bservatin f nn-cnfrmity r regular r randm cntrl nce supervised (audited) MS Supervisry Bdy 1. Ntificatin / Request fr 2. Designatin Supervisin n the basis f a selfdeclaratin f cnfrmance & Missin allcatin Accredited Auditrs 5. Audit reprt 4. Audit 3. Designatin acceptance/ refusal 7. Supervisin cnclusins (incl. Audit reprt) and Supervisin status ntified Trust Services frm TSP Legal Framewrk Cmmn sectin: Specific Trust Services Principles esignatures (e-cnsent) Requirements n Trust esignatures, eseals Specific Service Prviders eidentity Attribute Assertins Sectins Internal Market Identity Attributes Assertins (e.g. Certificates, signed statements) Requirements Supervisin/Accreditatin Mandates, Authrisatins fr guaranteed (incl. Trusted Lists) Pseudnyms legal effect Harmnisatin / Mutual «Official eid» Liability Recgnitin eauthenticatin (Data &/r Entity) References t Technlgical neutrality + Time-Stamps standards legal effect f cmpliance t esignature Validatin Assertins standards ( New Apprach ) Registered Electrnic Delivery Privacy and Data usage Infrmatin Preservatin (earchiving) plicies Digitised Data (certified true t the riginal) cvering -Signature Creatin & Validatin -Signature Creatin Devices - Signature Cryptgraphic Suites - Trust Service Prviders supprting esignatures - TSP issuing Certificates -TSP issuing time-stamps -Signature Generatin SP - Signature Validatin SP - Trust Applicatin Service Prviders - Registered / edelivery - Infrmatin Preservatin SP -Trust Service Status Lists Prviders Figure 5 Trust Service Status Lists Service Prviders The fllwing definitins are used Trust Service Status List: means a signed list presentatin f the trust service status infrmatin n which interested parties may determine whether a trust service is r was perating under the apprval f any recgnized scheme at either the time the service was prvided, r the time at which a transactin reliant n that service tk place. This is the base cncept frm which Trusted List is a baseline prfile applied t the cntext f Directive 1999/93/EC and CD 2009/767/EC amended by CD 2010/425/EU. Trusted List: refers t a Eurpean Unin Member State's "Supervisin/Accreditatin Trust Service Status List f certificatin services frm Certificatin Service Prviders, which are supervised / accredited by the referenced Member State fr cmpliance with the relevant 23

30 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) prvisins laid dwn in Directive 1999/93/EC". Nte: Based n CD 2009/767/EC amended by 2010/425/EU. Trust Service Status List Prvider: means a Trust Service Prvider issuing a Trust Service Status List. 2.2 Putting the basic definitins in a services perspective In this Study, the relatinships and interactins between Electrnic Identificatin, Authenticatin and Signature are initially cnsidered frm the basic islated service perspectives. Subsequently we cnsider them frm their verlaps. Perspective 1 - Electrnic Identificatin We cnsider Electrnic Identificatin the family f Use Cases fr an identifiable entity (Mdinis term) that address the lifecycle f cllectin f attributes, establishment, activatin, mdificatin, archival. We cnsider Electrnic Identificatin as distinct frm Electrnic Authenticatin. With regard t Electrnic Identificatin, we distinguish between Electrnic Identity Establishment, and Electrnic Identity Use: Electrnic Identity Establishment is addressed by an enrlment prcess that: Captures the selected identity attributes. This may include bimetric attributes. Such attributes shuld be derived frm an authentic surce. Relates thse attributes t a primary key (electrnic identity primary key, i.e. an identifier cnsisting in itself a Unique Identity) fr later retrieval. There is typically a repsitry r database that may be centralised r decentralised in nature. May include: Crrbratin f different infrmatin surces as t cnfirm the identity that is t be established; The allcatin f identity attribute assertins and related authenticatin devices (e.g. an identity card, a scial services card, userid and passwrd r a tken) fr use in subsequent authenticatin. 24

31 Final Reprt - IAS in the Eurpean plicy cntext (D.1.1.b) Electrnic Identity Use cntains a wide range f pssible Use Cases where the electrnic identity primary key (i.e. a Unique Identity), the related identity attributes, r additinal infrmatin linked t the abve are used. This includes 1:N identificatin as in the cntext f law enfrcement r brder cntrl. Bth establishment and use shuld take int cnsideratin respect fr privacy and cnsent. Cnsent f the identifiable entity may be present r absent, depending n the Use Case. It can be assumed t be present when e.g. enrlling fr and cllecting an emplyee identificatin badge. It may be absent when using the identity attributes f a drunk driver wh tried t escape frm the accident he caused. Typical use cases include: Selectin f beneficiaries (address, family status, age, etc) fr e.g. a gvernmental benefit; Studies and evaluatins fr diverse purpses (public health, marketing campaigns, spam, ); Member recruitment; HR prcessing; Identificatin f citizens, migrants, and asylum seekers; Identificatin f criminals; Identity prfiling; Fr a cmprehensive list f surces f identity Use Cases, refer e.g. t the appendices. When cnsidering an identificatin scheme where all desired prperties f ideal identity management are met such as uniqueness f an entity, persistency f identities, minimal disclsure f identity attributes, full user cntrl, annymity, data privacy, etc., ne can cnsider and mdel as fllws the way f addressing the basic identity building blcks and related services defined in the previus sectin. Every persn is unique in the Wrld. The same uniqueness principle may apply whether dealing with natural r legal persns (including public sectr bdies). This might be als applicable fr a wide set f ther types f entities r infrmatin systems when suitable and applicable. Uniqueness f natural persns is characterised by bimetrical prperties such as DNA, fingerprint, retina and many thers r when ultimately required thrugh a cmbinatin 25