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CSC-22: High risk changes #31

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Mar 4, 2024
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CSC-22: High risk changes #31

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877ba55
Restore EV guidelines version reference
CBonnell Oct 3, 2023
cca62c4
Capitalize "MUST NOT" (#19)
CBonnell Oct 3, 2023
50b40d4
Assign ballot number, fix ballot name
CBonnell Oct 3, 2023
f4cd5cf
High risk ballot draft language
CBonnell Nov 20, 2023
679ec55
Restore and tweak reference to 4.2.2 check
CBonnell Nov 29, 2023
a8bbca9
Merge remote-tracking branch 'upstream/main' into high-risk
CBonnell Dec 8, 2023
7dcd612
Edit version number and month/year
CBonnell Dec 8, 2023
50871dc
Remove all elements that should be changed by Chair after passage
CBonnell Dec 14, 2023
0430a85
Merge branch 'main' into high-risk
CBonnell Mar 4, 2024
81fabda
Remove errant newline
CBonnell Mar 4, 2024
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53 changes: 8 additions & 45 deletions docs/CSBR.md
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Original file line number Diff line number Diff line change
@@ -1,10 +1,10 @@
---
title: Baseline Requirements for the Issuance and Management of Publicly-Trusted Code Signing Certificates
subtitle: Version 3.6.0
subtitle: Version 3.7.0

author:
- CA/Browser Forum
date: February 28, 2024
date: February 28, 2024

copyright: |
Copyright 2024 CA/Browser Forum
Expand Down Expand Up @@ -57,6 +57,7 @@ The following Certificate Policy Identifier is reserved for use by CAs as a requ
| 3.4 | CSC-19 | Remove SSL BR References | 5 September 2023 |
| 3.5 | CSC-20 | Restore Version Reference to EV Guidelines | 7 December 2023 |
| 3.6 | CSC-21 | Improved signing services requirements | 28 February 2024 |
| 3.7 | CSC-22 | High risk changes | 28 February 2024 |


### 1.2.2 Relevant Dates
Expand Down Expand Up @@ -93,8 +94,6 @@ Before the CA authorizes a Delegated Third Party to perform a delegated function

The CA MUST verify that any Delegated Third Party's personnel involved in the issuance of a Certificate meet the training and skills requirements of [Section 5.3](#53-personnel-controls) of this document and the document retention and event logging requirements of [Section 5.4](#54-audit-logging-procedures) of this document.

If a Delegated Third Party fulfills any of the CA's obligations under [Section 4.2.1](#421-performing-identification-and-authentication-functions) of this document, the CA MUST verify that the process used by the Delegated Third Party to identify and further verify High Risk Certificate Requests provides at least the same level of assurance as the CA's own processes.

### 1.3.3 Subscribers

### 1.3.4 Relying parties
Expand Down Expand Up @@ -222,10 +221,6 @@ Capitalized Terms are as defined below and in the EV SSL Guidelines:

**Hardware Crypto Module:** A tamper-resistant device, with a cryptography processor, used for the specific purpose of protecting the lifecycle of cryptographic keys (generating, managing, processing, and storing).

**High Risk Certificate Request:** A Request that the CA flags for additional scrutiny by reference to internal criteria and databases maintained by the CA, which may include names at higher risk for phishing or other fraudulent usage, names contained in previously rejected certificate requests or revoked Certificates, names listed on the Miller Smiles phishing list or the Google Safe Browsing list, or names that the CA identifies using its own risk-mitigation criteria.

**High Risk Region of Concern (HRRC):** As set forth in Appendix A, a geographic location where the detected number of Code Signing Certificates associated with signed Suspect Code exceeds 5% of the total number of detected Code Signing Certificates originating or associated with the same geographic area.

**Individual Applicant**: An Applicant who is a natural person and requests a Certificate that will list the Applicant's legal name as the Certificate's Subject.

**Issuing CA**: In relation to a particular Certificate, the CA that issued the Certificate. This could be either a Root CA or a Subordinate CA.
Expand Down Expand Up @@ -622,11 +617,7 @@ Prior to the issuance of a Certificate, the CA MUST obtain from the Applicant a

The certificate request MAY include all factual information about the Applicant necessary to issue the Certificate, and such additional information as is necessary for the CA to obtain from the Applicant in order to comply with these Requirements and the CA's Certificate Policy and/or Certification Practice Statement. In cases where the certificate request does not contain all the necessary information about the Applicant, the CA MUST obtain the remaining information from the Applicant or, having obtained it from a reliable, independent, third-party data source, confirm it with the Applicant. The CA MUST establish and follow a documented procedure for verifying all data requested for inclusion in the Certificate by the Applicant.

Prior to issuing a Code Signing Certificate, each CA SHOULD check at least one database containing information about known or suspected producers, publishers, or distributors of Suspect Code, as identified or indicated by an Anti-Malware Organization and any database of deceptive names maintained by an Application Software Provider. The CA MUST determine whether the entity is identified as requesting a Code Signing Certificate from a High Risk Region of Concern. The CA MUST also maintain and check an internal database listing Certificates revoked due to Code Signatures on Suspect Code and previous certificate requests rejected by the CA.

A CA identifying a high risk application under this section MUST follow the additional procedures defined in [Section 4.2.2](#422-approval-or-rejection-of-certificate-applications) of this document to ensure that the applicant will protect its Private Keys and not sign Suspect Code.
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\[These requirements do not specify a particular database and leave the decision of qualifying databases to the implementers.\]
Prior to issuing a Code Signing Certificate, each CA SHOULD check at least one database containing information about known or suspected producers, publishers, or distributors of Suspect Code, as identified or indicated by an Anti-Malware Organization and any database of deceptive names maintained by an Application Software Provider. The CA MUST also maintain and check an internal database listing Certificates revoked due to Code Signatures on Suspect Code and previous certificate requests rejected by the CA. The CA MUST use this internal database to follow the additional procedures defined in [Section 4.2.2](#422-approval-or-rejection-of-certificate-applications) of this document to ensure that the Applicant will protect its Private Keys and not sign Suspect Code.

Prior to issuing Code Signing Certificates, the CA SHALL perform "due diligence" verification as specified in EV Guidelines 11.13.

Expand All @@ -642,13 +633,6 @@ CAs MUST NOT issue new or replacement Code Signing Certificates to an entity tha

CAs MAY issue new or replacement Code Signing Certificates to an entity who is the victim of a documented Takeover Attack, resulting in a loss of control of the Private Key associated with their Code Signing Certificate.

If the CA is aware that the Applicant was the victim of a Takeover Attack, the CA MUST verify that the Applicant is protecting its Code Signing Private Keys under [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(1) or [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(2). The CA MUST verify the Applicant's compliance with [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(1) or [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(2) through:

1. Technical means that confirm the Private Keys are protected using the method described in [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(1) or [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(2); or
2. Relying on a report provided by the Applicant that is signed by an auditor who is approved by the CA and who has IT and security training or is a CISA.

Documentation of a Takeover Attack MAY include a police report (validated by the CA) or public news report that admits that the attack took place. The Subscriber MUST provide a report from an auditor with IT and security training or a CISA that provides information on how the Subscriber was storing and using Private Keys and how the intended solution for better security meets the guidelines for improved security.

Except where issuance is expressly authorized by the Application Software Supplier, CAs MUST not issue new Code Signing Certificates to an entity where the CA is aware that the entity has been the victim of two Takeover Attacks or where the CA is aware that entity breached a requirement under this Section to protect Private Keys under [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(1) or [Section 6.2.7.4.1](#62741-subscriber-private-key-protection)(2).

### 4.2.3 Time to process certificate applications
Expand Down Expand Up @@ -1395,21 +1379,7 @@ Techniques that MUST be used to satisfy this requirement include:

##### 6.2.7.4.1 Subscriber Private Key protection

For Non-EV Code Signing Certificates issued prior to June 1, 2023, the CA MUST obtain a representation from the Subscriber that the Subscriber will use one of the following options to generate and protect their Code Signing Certificate Private Keys:

1. A Trusted Platform Module (TPM) that generates and secures a Key Pair and that can document the Subscriber’s Private Key protection through a TPM key attestation.
2. A suitable Hardware Crypto Module with a unit design form factor certified as conforming to at least FIPS 140-2 Level 2, Common Criteria EAL 4+, or equivalent.
3. Another type of hardware storage token with a unit design form factor of SD Card or USB token (not necessarily certified as conformant with FIPS 140-2 Level 2 or Common Criteria EAL 4+). The Subscriber MUST also warrant that it will keep the token physically separate from the device that hosts the code signing function until a signing session is begun.

For Non-EV Code Signing Certificates issued prior to June 1, 2023, a CA MUST recommend that the Subscriber protect Private Keys using the method described in Section 6.2.7.4.1(1) or 6.2.7.4.1(2) over the method described in Section 6.2.7.4.1(3) and obligate the Subscriber to protect Private Keys in accordance with [Section 9.6.3](#963-subscriber-representations-and-warranties) (2).

For EV Code Signing Certificates issued prior to June 1, 2023, CAs SHALL ensure that the Subscriber’s Private Key is generated, stored and used in a Hardware Crypto Module that meets or exceeds the requirements of FIPS 140-2 level 2 or Common Criteria EAL 4+. Acceptable methods of satisfying this requirement include (but are not limited to) the following:

4. The CA ships a suitable Hardware Crypto Module, with a preinstalled Private Key, in the form of a smartcard or USB device or similar;
5. The Subscriber counter-signs certificate requests that can be verified by using a manufacturer’s certificate indicating that the Private Key is managed in a suitable Hardware Crypto Module;
6. The Subscriber provides a suitable IT audit indicating that its operating environment achieves a level of security at least equivalent to that of FIPS 140-2 level 2.

Effective June 1, 2023, Subscriber Private Keys for Code Signing Certificates SHALL be protected per the following requirements.
Subscriber Private Keys for Code Signing Certificates SHALL be protected per the following requirements.
The CA MUST obtain a contractual representation from the Subscriber that the Subscriber will use one of the following options to generate and protect their Code Signing Certificate Private Keys in a Hardware Crypto Module with a unit design form factor certified as conforming to at least FIPS 140-2 Level 2 or Common Criteria EAL 4+:

7. Subscriber uses a Hardware Crypto Module meeting the specified requirement;
Expand All @@ -1420,16 +1390,15 @@ The CA MUST obtain a contractual representation from the Subscriber that the Sub

##### 6.2.7.4.2 Subscriber Private Key verification

Effective June 1, 2023, for Code Signing Certificates, CAs SHALL ensure that the Subscriber’s Private Key is generated, stored, and used in a suitable Hardware Crypto Module that meets or exceeds the requirements specified in [Section 6.2.7.4.1](#62741-subscriber-private-key-protection). One of the following methods MUST be employed to satisfy this requirement:
CAs SHALL ensure that the Subscriber’s Private Key is generated, stored, and used in a suitable Hardware Crypto Module that meets or exceeds the requirements specified in [Section 6.2.7.4.1](#62741-subscriber-private-key-protection). One of the following methods MUST be employed to satisfy this requirement:

1. The CA ships a suitable Hardware Crypto Module, with one or more pre-generated Key Pairs that the CA has generated using the Hardware Crypto Module;
2. The Subscriber counter-signs certificate requests that can be verified by using a manufacturer’s certificate, commonly known as key attestation, indicating that the Private Key was generated in a non-exportable way using a suitable Hardware Crypto Module;
3. The Subscriber uses a CA prescribed crypto library and a suitable Hardware Crypto Module combination for the Key Pair generation and storage;
4. The Subscriber provides an internal or external IT audit indicating that it is only using a suitable Hardware Crypto Module to generate Key Pairs to be associated with Code Signing Certificates;
5. The Subscriber provides a suitable report from the cloud-based key protection solution subscription and resources configuration protecting the Private Key in a suitable Hardware Crypto Module;
6. The CA relies on a report provided by the Applicant that is signed by an auditor who is approved by the CA and who has IT and security training or is a CISA witnesses the Key Pair creation in a suitable Hardware Crypto Module solution including a cloud-based key generation and protection solution;
7. The Subscriber provides an agreement that they use a Signing Service meeting the requirements of [Section 6.2.7.3](#6273-private-key-storage-for-signing-services);
8. Any other method the CA uses to satisfy this requirement. The CA SHALL specify and describe in detail those other methods in its Certificate Policy or Certification Practice Statement, and SHALL propose those methods to the CA/Browser Forum Code Signing Working Group for inclusion into these requirements until June 1, 2023, using the questions@cabforum.org mailing list. After that date, the Code Signing Working Group will discuss the removal of this "any other method" and allow only CA/Browser Forum-approved methods.
6. The CA relies on a report provided by the Applicant that is signed by an auditor who is approved by the CA and who has IT and security training or is a CISA witnesses the Key Pair creation in a suitable Hardware Crypto Module solution including a cloud-based key generation and protection solution; or
7. The Subscriber provides an agreement that they use a Signing Service meeting the requirements of [Section 6.2.7.3](#6273-private-key-storage-for-signing-services).

### 6.2.8 Method of activating private key

Expand Down Expand Up @@ -2138,9 +2107,3 @@ If a court or government body with jurisdiction over the activities covered by t
### 9.16.5 Force Majeure

## 9.17 Other provisions

# Appendix A High risk regions of concern

The geographic locations listed below have more than 5% of the Code Signing Certificates for that location associated with signed Suspect Code when compared to the number of all Code Signing Certificates for that area. Applications originating or associated from one of these HRRCs are considered high risk and require additional verification as specified under [Section 4.2.2](#422-approval-or-rejection-of-certificate-applications) of this document:

NONE