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STANDARD
SIST EN 319 522-1 V1.1.1:2018
ETSI EN 319 522-1 V1.1.1 (2018-09) Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 1: Framework and Architecture
EUROPEAN STANDARD SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 2
Reference DEN/ESI-0019522-1 Keywords e-delivery services, registered e-delivery services, registered electronic mail ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE
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ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 3 Contents Intellectual Property Rights . 4 Foreword . 4 Modal verbs terminology . 5 1 Scope . 6 2 References . 6 2.1 Normative references . 6 2.2 Informative references . 6 3 Definitions and abbreviations . 7 3.1 Definitions . 7 3.2 Abbreviations . 8 4 ERDS logical model . 8 4.1 Introduction . 8 4.2 Black-box model . 9 4.2.1 Functional viewpoint . 9 4.2.2 Sequence viewpoint . 10 4.3 4-corner model . 11 4.3.1 Functional viewpoint . 11 4.3.2 Sequence viewpoint . 12 4.4 Extended model . 14 4.4.1 Functional viewpoint . 14 4.4.2 Sequence viewpoint . 14 5 ERDS interfaces . 16 6 ERDS events and evidence set . 17 6.1 Overview . 17 6.2 Events and their Proof . 19 6.2.1 A. Events related to the submission . 19 6.2.2 B. Events related to the relay between ERDSs . 19 6.2.3 C. Events related to the acceptance/rejection by recipient . 20 6.2.4 D. Events related to the consignment to Recipient . 21 6.2.5 E. Events related to the handover to the recipient . 22 6.2.6 F. Events related to connections with non ERD systems . 22 History . 23
SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 4 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (https://ipr.etsi.org/). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Trademarks The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners. ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 1 of a multi-part deliverable covering the Electronic Registered Delivery Services, as identified below: Part 1: "Framework and Architecture"; Part 2: "Semantic contents"; Part 3: "Formats"; Part 4: "Bindings": Sub-part 1: "Message delivery bindings"; Sub-part 2: "Evidence and identification bindings"; Sub-part 3: "Capability/requirements bindings".
National transposition dates Date of adoption of this EN: 23 August 2018 Date of latest announcement of this EN (doa): 30 November 2018 Date of latest publication of new National Standard or endorsement of this EN (dop/e):
31 May 2019 Date of withdrawal of any conflicting National Standard (dow): 31 May 2019
SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 5 Modal verbs terminology In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of provisions). "must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 6 1 Scope The present document provides a reference framework and architecture for Electronic Registered Delivery Services. 2 References 2.1 Normative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at https://docbox.etsi.org/Reference/. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are necessary for the application of the present document. Not applicable. 2.2 Informative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are not necessary for the application of the present document but they assist the user with regard to a particular subject area. [i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. [i.2] ISO/IEC 13888-1:2009: "Information technology - Security techniques - Non-repudiation - Part 1: General". [i.3] ISO/IEC 13888-2:2010: "Information technology - Security techniques - Non-repudiation - Part 2: Mechanisms using symmetric techniques". [i.4] ISO/IEC 13888-3:2010: "Information technology - Security techniques - Non-repudiation - Part 3: Mechanisms using asymmetric techniques". [i.5] ETSI EN 319 522-2: "Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 2: Semantic Contents". [i.6] ETSI EN 319 522-3: "Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 3: Formats". [i.7] ETSI EN 319 522-4-1: "Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 4: Bindings; Sub-part 1: Message delivery bindings". [i.8] ETSI EN 319 522-4-2: "Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 4: Bindings; Sub-part 2: Evidence and identification bindings". SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 7 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: Common Service Interface (CSI): interface of a supporting system that can provide message routing, trust management, capability management, governance functions consignment: act of making the user content available to the recipient, within the boundaries of the electronic registered delivery service Electronic Registered Delivery Service (ERDS): electronic service that transmits data between a sender and recipients by electronic means, provides evidence relating to the handling of the transmitted data, including proof of sending and receiving the data, and that protects transmitted data against the risk of loss, theft, damage or any unauthorized alterations NOTE: An electronic registered delivery service is provided by one ERDSP. ERDSPs can cooperate in transferring data from a sender to a recipient when they are subscribed to different ERDSPs (as detailed in 4-corner and extended models in clauses 4.3 and 4.4). Electronic Registered Delivery Service Provider (ERDSP): entity which provides electronic registered delivery service NOTE: It can be a Trust Service Provider as defined in Regulation (EU) No 910/2014 [i.1]. ERD event: relevant event in the electronic delivery process, which can be attested by an ERDS evidence ERD message: data composed of an optional user content, ERDS relay metadata and zero or more ERDS evidence ERD User Agent/Application (ERD-UA): system consisting of software and/or hardware components by which senders and recipients participate in the exchange of data with electronic registered delivery service providers ERDS evidence: data generated by the electronic registered delivery service, which aims to prove that a certain event has occurred at a certain time ERDS handover metadata: data related to the user content which is generated by the electronic registered delivery service and handed over to the ERD user agent/application ERDS Message and Evidence Retrieval Interface (ERDS MERI): interface of electronic registered delivery service used by ERD user agent/application to retrieve user content and associated metadata ERDS Message Submission Interface (ERDS MSI): interface used by the sender's ERD user agent/application to submit original messages to the sender's electronic registered delivery service ERDS Relay Interface (ERDS RI): interface that supports ERD message relay between different electronic registered delivery services ERDS relay metadata: data related to the user content which is generated by the electronic registered delivery service for the purpose of relaying to another electronic registered delivery service ERD-UA Message and Evidence Push Interface (ERD-UA MEPI): interface of ERD-UA used by ERDS to push data handover: act of having the user content successfully cross the border of the recipient's electronic registered delivery service towards the recipient's ERD user agent/application original message: data including user content and submission metadata recipient: natural or legal person to which the user content is addressed sender: natural or legal person that has submitted the user content submission metadata: data submitted to the electronic registered delivery service together with the user content SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 8 user content: original data produced by the sender which has to be delivered to the recipient 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: CSI Common Service Interface DNS Domain Name System ERD Electronic Registered Delivery ERDS Electronic Registered Delivery Service ERDS MERI ERDS Message and Evidence Retrieval Interface ERDS MSI ERDS Message Submission Interface ERDS RI ERDS Relay Interface ERDSP Electronic Registered Delivery Service Provider ERD-UA MEPI ERD-UA Message and Evidence Push Interface ERD-UA Electronic Registered Delivery User Agent/Application ERP Enterprise Resource Planning I-ERDS Intermediate ERDS R-ERDS Recipient's ERDS SAML Security Assertion Markup Language S-ERDS Sender's ERDS WSDL Web Services Description Language 4 ERDS logical model 4.1 Introduction An ERDS provides evidence about events that happen during the transfer of data between parties (e.g. evidence that the data has been delivered to the recipient), similar to well-known physical postal services for paper-based documents, such as "registered mail" and/or "return receipt". This evidence can be used to prove to third parties, if needed also in legal proceedings, that the transaction took place at the time and between the parties as indicated in the evidence. The legal requirements to an ERDS and the evidence it needs to support can vary across different domains. An ERDS evidence is an attestation provided by an ERDS that a specific event related to the process of transferring some specific data between the sender and recipient (for instance, the submission of a message, the delivery of a message, the refusal of a message) happened at a certain time. An ERDS evidence can be immediately delivered to the sender/recipient or can be kept in a repository for later access by interested parties. It is common practice to implement ERDS evidence as digitally signed data. The concept of ERDS evidence can be assimilated to non-repudiation tokens defined in ISO/IEC 13888 [i.2], [i.3] and [i.4], with many specificities as illustrated in clause 6. Secure and reliable delivery to a recipient requires that the recipient is uniquely identified. The present document also covers the unique identification of the sender (which is a requirement, for instance, for enforcing legal accountability), even if in some cases his identity is not disclosed to the recipient. Unique identification can be achieved by one unique identifier or by a collection of attributes that together uniquely identify the actor. An important purpose of the present document is to support ERDS delivery between senders and recipients that are natural or legal persons; however, in principle any uniquely identified entity (system, service, function, etc.) that can be addressed through an ERDS can be a sender or recipient. The present document also addresses delegation, i.e. the capability of a sender or a recipient to delegate a different entity to act on their behalf. An ERDS can rely on external, trusted parties for authentication. The ERDS concept described above can be implemented in diverse ways, using different formats for identifiers and ERDS evidence, using different protocols for messaging, and even different message delivery models. Clause 4 aims to provide a general model that includes all relevant features, while abstracting from implementation issues. For convenience, the modelling goes through three steps: • A black-box model, dealing with a single ERDS. Internal complexities of the ERDS are not relevant as far as it can be seen as a unique system under the responsibility of a single ERDSP. The black-box model describes the interactions of the ERDS with the sender and recipients through an application layer outside of the boundary of the ERDS. SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 9 • A 4-corner model, dealing with the exchange of data and ERDS evidence between two ERDSs: one on the sender's side, the other on the recipient's side. The interaction of the ERDSs with the sender and recipient (interfaces) are the same as in the black-box model. • An extended model, dealing with the transmission of data and ERDS evidence through a chain of ERDSs. 4.2 Black-box model 4.2.1 Functional viewpoint In the simplest case, an ERDS can be represented as a black box, conveying messages between a sender and a recipient and producing the appropriate ERDS evidence. Figure 1 provides a simple representation.
Figure 1: Black-box registered delivery service model ERDS can be accessed by an ERD-UA, i.e. an application directly interacting with a human user or an enterprise application (an ERP, a document workflow, etc.) with or without involvement of a human user. ERDS allows to submit/receive user content plus associated metadata and to receive ERDS evidence related to the delivery process. The sender provides unique identification of the recipient, and the ERDS associates it to the correct delivery endpoint. Between applications, an application layer protocol (e.g. a business process protocol) is executed, consisting of a sequence of one or more messages in one or both directions. Applications can belong to service providers within particular (business) areas (e.g. an e-procurement service provider or an e-health service provider). An application layer protocol can include requirements and mechanisms for application of digital signatures to message content before sending, for end-to-end encryption between sender and recipient, etc. The application protocol is out of scope of the ERDS, which needs not to possess knowledge of the application layer logic nor the relationships between different messages. From the ERDS point of view, the application-level service providers will act in this case as a sender/recipient. The ERD-UA will submit the user content, together with additional metadata (receiver identification, etc.) to the ERDS. Breaking into the black box, figure 1 introduces some components which are typically included in an ERDS, namely: • ERDS Message delivery system: this component grants that the user content submitted by the sender is made available to the intended recipient. Note that this does not necessarily imply a transfer of the data (e.g. the delivery can consist in making existing data available to the recipient). • ERDS User directory: this component is used to translate the unique identification of a recipient, possibly augmented by further metadata, into a delivery endpoint. The same recipient can correspond to more delivery endpoints, depending on metadata (e.g. user content and evidence, or even different types of user content, can be directed to different endpoints). SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 10 • ERDS Evidence provider: this component produces the ERDS evidence upon completion of specific delivery events. • ERDS Evidence repository: this component grants the persistence of ERDS evidence for a period of time which depends on the specific policies of the service. Storing of the ERDS evidence can be performed by a third party service, outside the ERDS. 4.2.2 Sequence viewpoint In the black-box perspective, the typical electronic registered delivery flow appears as presented in figure 2. Clause 6.2 provides a precise definition of "handover" and "consignment".
Figure 2: Black-box registered delivery basic flow 1. The sender is authenticated to the electronic registered delivery service. As mentioned above, identification and authentication can also be implemented through a trusted third party or identity federation (e.g. using OpenID Connect or SAML). 2. The sender's ERD-UA prepares the original message consisting of the user content, one or more recipients, and optionally some options on the requested registered delivery service (e.g. confidential, urgent, etc.), and submits it to the electronic registered delivery service. This step can in some case merge with step 1 (e.g. if the message is packaged together with an authentication token). 3. The electronic registered delivery service tracks the event that the original message has been submitted. This is done producing ERDS evidence ("attestation of submission"), which can take many forms as long as an attestation of the event can be extracted from the system.
Sometimes the ERDS evidence is sent back to the sender. This behaviour can be defined by a policy, or depends on a delivery option indicated by the sender. Independently from sending to the sender, the ERDS evidence can be stored for a certain amount of time by the system as specified in the service policy. 4. Optionally, a notification to the recipient (possibly on a separate channel) about the to-be-consigned user content can be sent, in a service-specific way that ensures confidentiality. SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 11 5. Optionally, the recipient's ERD-UA interacts with the ERDS to accept the consignment of the user content. Alternatively, the recipient does not accept the consignment by not reacting or by explicit refusal. If the recipient rejects the user content, then the delivery process is aborted and the corresponding event is tracked by the service, otherwise the service tracks the notification event, and the delivery process is continued. 6. The consignment to the recipient(s) happens, meaning that the user content submitted by the sender is made available to the recipient(s) ERD-UA within the boundaries of the ERDS system, in a way that depends on the specific service implementation. 7. The electronic registered delivery service tracks the event that the user content has been made available to the recipient(s). Again, this is often done producing ERDS evidence ("attestation of consignment completed"). The attestation can be sent back to the sender. This behaviour can be defined by a policy, or depends on a delivery option indicated by the sender. Independently from sending to the sender, the attestation can also be stored for a certain amount of time by the system as specified in the service policy. 8. The recipient is authenticated to the ERDS. 9. The user content is handed over to the recipient's ERD-UA, meaning that the user content crosses the boundaries of the ERDS and reaches recipient's ERD-UA, in a service-specific way that ensures confidentiality. An ERDS evidence related to handover can be produced. Handover can also happen prior to consignment, or even in the absence of a consignment. For the sake of simplicity, the flow ignores negative cases (failure in delivery, etc.) and different modes for handing over the user content to the recipient (e.g. push/pull, with evidence attached to the user content or separated from it), as well as other relevant events which can be tracked by the system. Only the core events "submission" and "consignment" have been explicitly tracked in figure 2. 4.3 4-corner model 4.3.1 Functional viewpoint In many practical cases the sender and the recipient are subscribed to different ERDSs. In that case, when the sender's ERDS does not have the capability to directly deliver the user content to the recipient, it can have the option to relay to a different ERDS which has this capability. This gives rise to a new scenario, which is presented in figure 3.
Figure 3: 4-Corner electronic registered delivery service model SIST EN 319 522-1 V1.1.1:2018
ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 12 In this scenario, the sender's ERDS can inform the sender about the consignment only when the recipient's ERDS has completed its job and has notified the completion to the sender's ERDS. This is rendered in figure 3 by the backward direction of the "ERDS message relay" arrow, which is a notification of the completed tasks. The arrow represents only a logical transfer, since ERDS evidence is not necessarily pushed back as separate messages, as far as it is available to the sender's ERDS. This scenario implies some shared background to work. Contractual agreements will usually be needed, either directly between the ERDSPs or by the ERDSPs entering an agreement that includes them in some kind of community. Service can be provided based on common static configurations, or can require a shared technological infrastructure. Functions provided by the shared technological infrastructure can include: • Message routing: the sender's ERDS needs to know which ERDS (or ERDSs) can deliver to the recipient. In some cases, this information is embedded in the recipient's electronic identifier (e.g. in e-mail messaging, [email protected] already contains routing information). In the general case, the association of the recipient's electronic identifier to the recipient's ERDS may depend on other metadata and be supported by a shared infrastructure. The infrastructure can consist of a centralized directory, a distributed ledger, DNS entries, etc. • Trust es
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