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STANDARD
SIST EN 319 411-3 V1.1.1:2013
ETSI EN 319 411-3 V1.1.1 (2013-01) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for
Trust Service Providers issuing certificates; Part 3: Policy requirements for Certification Authorities issuing public key certificates
European Standard SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 2
Reference DEN/ESI-000088 Keywords e-commerce, electronic signature, Lightweight Certificate Policy, Normalized Certificate Policy, public key, security ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE
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© European Telecommunications Standards Institute 2013. All rights reserved.
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ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 3 Contents Intellectual Property Rights . 5 Foreword . 5 Introduction . 5 1 Scope . 7 2 References . 8 2.1 Normative references . 8 2.2 Informative references . 8 3 Definitions, abbreviations and notation . 9 3.1 Definitions . 9 3.2 Abbreviations . 10 3.3 Notation . 10 4 General concepts . 11 4.1 General Policy Requirements Concepts . 11 4.2 Certification Authority . 11 4.3 Certification services . 11 4.4 Certificate policy and certification practice statement . 12 4.4.1 Other CA statements . 12 4.5 Subscriber and subject . 13 5 Introduction to certificate policies . 13 5.1 Overview . 13 5.2 Identification . 14 5.3 User community and applicability . 14 5.4 Conformance . 14 5.4.1 Conformance claim . 14 5.4.2 Conformance requirements . 15 6 Obligations, warranties and liability . 15 6.1 Certification Authority obligations and warranties . 15 6.2 Subscriber obligations . 15 6.3 Information for relying parties . 16 6.4 Liability . 16 7 Requirements on CA practices . 16 7.1 Certification practice statement . 16 7.2 Public key infrastructure - Key management life cycle . 17 7.2.1 Certification Authority key generation . 17 7.2.2 Certification Authority key storage, backup and recovery . 18 7.2.3 Certification Authority public key distribution . 18 7.2.4 Key escrow . 19 7.2.5 Certification Authority key usage . 19 7.2.6 End of CA key life cycle . 19 7.2.7 Life cycle management of cryptographic hardware used to sign certificates . 19 7.2.8 CA provided subject key management services. 20 7.2.9 Secure user device preparation . 20 7.3 Certificate management life cycle . 21 7.3.1 Subject registration . 21 7.3.2 Certificate renewal and update . 23 7.3.3 Certificate generation . 23 7.3.4 Dissemination of terms and conditions . 24 7.3.5 Certificate dissemination . 25 7.3.6 Certificate revocation and suspension. 25 7.4 CA management and operation . 27 7.4.1 Security management . 27 SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 4 7.4.2 Asset classification and management . 27 7.4.3 Personnel security . 27 7.4.4 Physical and environmental security. 27 7.4.5 Operations management . 27 7.4.6 System access management . 28 7.4.7 Trustworthy systems deployment and maintenance . 29 7.4.8 Business continuity management and incident handling . 29 7.4.9 CA termination . 30 7.4.10 Compliance with legal requirements. 30 7.4.11 Recording of information concerning certificates . 30 7.5 Organizational . 31 8 Framework for the definition of other certificate policies . 31 8.1 Certificate policy management . 31 8.2 Additional requirements . 32 8.3 Conformance . 32 Annex A (informative): Model PKI disclosure statement . 34 A.1 Introduction . 34 A.2 The PDS structure . 35 Annex B (informative): IETF RFC 3647 and present certificate policy document cross reference . 36 Annex C (informative): Revisions made since TS 102 042 V2.1.3 . 38 Annex D (normative): Auditors qualification . 39 Annex E (informative): Bibliography . 40 History . 41
SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 5 Intellectual Property Rights IPRs essential or potentially essential to the present document 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 (http://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 000314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 3 of a multi-part deliverable. Full details of the entire series can be found in part 1 [i.4]. The present document was previously published as TS 102 042 [i.6].
National transposition dates Date of adoption of this EN: 15 January 2013 Date of latest announcement of this EN (doa): 30 April 2013 Date of latest publication of new National Standard or endorsement of this EN (dop/e):
31 October 2013 Date of withdrawal of any conflicting National Standard (dow): 31 October 2013
Introduction Electronic commerce, in its broadest sense, is emerging as a way of doing business and communicating across public and private networks. An important requirement of electronic commerce is the ability to identify the originator and protect the confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are supported by a Trust Service Provider issuing certificates, commonly called a Certification Authority (CA). For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they need to have confidence that the CA has properly established procedures and protective measure in order to minimize the operational and financial threats and risks associated with public key crypto systems.
EN 319 401 [10] identifies general policy requirements for Trust Service Providers supporting Electronic Signatures regardless the service they provide. EN 319 411-2 [i.5] provides a baseline for policy requirements for certification authorities issuing qualified certificates in line with the Directive 1999/93/EC [i.1] of the European Parliament and of the Council on a Community framework for electronic signatures (hereinafter referred to as "the Electronic Signature Directive"). The present document is based on the same approach as EN 319 411-2 [i.5] but is applicable to the general requirements of certification in support of cryptographic mechanisms, including other forms of electronic signature as well as the use of cryptography for authentication and encryption. Moreover, where requirements identified have general applicability they are carried forward into the present document. Annex A of the present document identifies significant differences to EN 319 411-2 [i.5] Both documents reference EN 319 401 [10] for the common general requirements. SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 6 Article 5.2 of the Electronic Signature Directive states that an electronic signature "is not denied legal effectiveness … solely on the grounds that …[it is] not based on a qualified certificate …". Hence, certificates issued by certification authorities operating in accordance with the present document are applicable to electronic signatures as described in article 5.2. The present document includes options for supporting the same level of quality by certification authorities issuing qualified certificates (as required article 5.1 of the Electronic Signature Directive 1999/93/EC [i.1]) but "normalized" for wider applicability and for ease of alignment with other similar specifications and standards from other sources and institutions. Through such harmonization the quality level set by the Electronic Signature Directive can become embodied in more widely recognized and accepted specifications. The present document applies also to certification authorities that include attributes in qualified certificates. Policy requirements for Attribute Authorities, i.e. for authorities that issue Attribute Certificate, are specified in TS 102 158 [i.9].
The present document is derived from the requirements specified in TS 102 042 "Policy requirements for certification authorities issuing public key certificates" [i.6]. Policy requirements relating to web server certificates previously covered in later versions of TS 102 042 [i.6] are to be addressed in a separate part of EN 319 411. SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 7 1 Scope The present document specifies policy requirements relating to Trust Service Providers (TSP) issuing public key certificates. It defines policy requirements on the operation and management practices of certification authorities issuing and managing certificates such that subscribers, subjects certified by the TSP and relying parties may have confidence in the applicability of the certificate in support of cryptographic mechanisms. The policy requirements are defined in terms of three reference certificate policies and a framework from which TSPs can produce a certificate policy targeted at a particular service. The first reference policy defines a set of requirements for TSPs providing a level of quality the same as that offered by qualified certificates, without being tied to the Electronic Signature Directive (1999/93/EC [i.1]) and without requiring use of a secure user (cryptographic) device. This is labelled the "Normalized" Certificate Policy (NCP). It is anticipated that the NCP may be used as the basis for realizing the quality level set by the Qualified Certificate Policy (as defined in EN 319 411-2 [i.5]) but without the legal constraints of the Electronic Signature Directive (1999/93/EC [i.1]). In addition to the NCP quality level, the present document specifies two alternative variants of NCP, the requirements of which may be used where alternative levels of service can be justified through risk analysis. The alternatives are referred to as: • the Lightweight Certificate Policy (LCP) for use where a risk assessment does not justify the additional costs of meeting the more onerous requirements of the NCP (e.g. physical presence); • the extended Normalized Certificate Policy (NCP+) for use where a secure user device is considered necessary. Certificates issued under these policies requirements may be used in support of any asymmetric mechanisms requiring certification of public keys including electronic and digital signatures, encryption, key exchange and key agreement mechanisms. The present document may be used by competent independent bodies as the basis for confirming that a CA provides a reliable service in line with recognized practices.
Subscribers and relying parties should consult the certificate policy and certification practice statement of the issuing TSP to obtain details of the requirements addressed by its certificate policy and how the certificate policy is implemented by the particular TSP. The policy requirements relating to the TSP include requirements on the provision of services for registration, certificate generation, certificate dissemination, revocation management, revocation status and if required, secure subject device provision. Support for other trusted third party functions such as time-stamping and attribute certificates are outside the scope of the present document. In addition, the present document does not address requirements for Certification Authority certificates, including certificate hierarchies and cross-certification. The present document does not specify how the requirements identified may be assessed by an independent party, including requirements for information to be made available to such independent assessors, or requirements on such assessors. NOTE: See TS 119 403 [i.2] for guidance on assessment of TSP processes and services against the present document. The present document references EN 319 401 [10] for policy general requirements common to all classes of TSP service. SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 8 2 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 reference document (including any amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at http://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. 2.1 Normative references The following referenced documents are necessary for the application of the present document. [1] FIPS PUB 140-1: "Security Requirements for Cryptographic Modules". [2] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules". [3] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria for IT security". [4] CEN Workshop Agreement 14167-2 (2004): "Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 2: Cryptographic Module for CSP signing operations with backup - Protection profile (CMCSOB-PP)". [5] CEN Workshop Agreement 14167-3 (2004): "Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 3: Cryptographic module for CSP key generation services - Protection profile (CMCKG-PP)". [6] CEN Workshop Agreement 14167-4 (2004): "Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 4: Cryptographic module for CSP signing operations - Protection profile (CMCSO PP)". NOTE: CEN Workshop Agreement 14167 is currently under revision to become the basis of a European Norm in CEN TC 224.
[7] ISO/IEC 9594-8/ITU-T Recommendation X.509: "Information technology - Open Systems Interconnection - The Directory: Public-key and attribute certificate frameworks". [8] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile". [9] ISO/IEC 17021: "Conformity assessment - Requirements for bodies providing audit and certification of management systems". [10] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers supporting electronic signatures". [11] ISO/IEC 19790: "Information technology - Security techniques - Security requirements for cryptographic modules". [12] CENELEC EN 45011: "General requirements for bodies operating product certification systems". 2.2 Informative references 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] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures. SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 9 [i.2] ETSI TS 119 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - General requirements and guidance". [i.3] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification Practices Framework". [i.4] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: Overview". [i.5] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 2: Policy requirements for certification authorities issuing qualified certificates ". [i.6] ETSI TS 102 042: "Electronic Signatures and Infrastructures (ESI); Policy requirements for certification authorities issuing public key certificates". [i.7] ISO/IEC 27002 (2005): "Information technology - Security techniques - Code of practice for information security management". [i.8] Council Directive 93/13/EEC of 5 April 1993 on unfair terms in consumer contracts. [i.9] ETSI TS 102 158: "Electronic Signatures and Infrastructures (ESI); Policy requirements for Certification Service Providers issuing attribute certificates usable with Qualified certificates". [i.10] CEN Workshop Agreement 14167-1: "Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 1: System Security Requirements". [i.11] ETSI TS 102 176-1: "Electronic Signatures and Infrastructures (ESI); Algorithms and Parameters for Secure Electronic Signatures; Part 1: Hash functions and asymmetric algorithms". 3 Definitions, abbreviations and notation 3.1 Definitions For the purposes of the present document, the terms and definitions given in EN 319 401 [10] and the following apply: attribute: information bound to an entity that specifies a characteristic of an entity, such as a group membership or a role, or other information associated with that entity certificate: public key of a user, together with some other information, rendered un-forgeable by encipherment with the private key of the Certification Authority which issued it Certificate Policy (CP): named set of rules that indicates the applicability of a certificate to a particular community and/or class of application with common security requirements NOTE: This is a specific type of TSP Policy as specified in EN 319 401 [10]. Certificate Revocation List (CRL): signed list indicating a set of certificates that are no longer considered valid by the certificate issuer NOTE: See ITU-T Recommendation X.509 [7]. Certification Authority (CA): authority trusted by one or more users to create and assign certificates NOTE: See clause 4.2 for further explanation of the concept of Certification Authority. Certification Practice Statement (CPS): statement of the practices which a Certification Authority employs in issuing managing, revoking, and renewing or re-keying certificates NOTE: See RFC 3647 [i.3]. SIST EN 319 411-3 V1.1.1:2013
ETSI ETSI EN 319 411-3 V1.1.1 (2013-01) 10 Lightweight Certificate Policy (LCP): certificate policy which offers a quality of service less onerous than the qualified certificate policy NOTE: The qualified certificate policy is as defined in EN 319 411-2 [i.5]. Normalized Certificate Policy (NCP): certificate policy which offers a quality of service equivalent to the qualified certificate policy NOTE: The qualified certificate policy is as defined in EN 319 411-2 [i.5]. Public-key certificate (PKC): public key of a user, together with some other information, rendered unforgeable by digital signature with the private key of the CA which issued it NOTE: See ITU-T Recommendation X.509-200
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