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TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
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2 ETSI TS 119 411-1 V1.0.1 (2015-07)
Reference
RTS/ESI-0019411-1-TS
Keywords
e-commerce, electronic signature, extended
validation certificat, public key, security, trust
services
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3 ETSI TS 119 411-1 V1.0.1 (2015-07)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 7
3 Definitions, abbreviations and notation . 8
3.1 Definitions . 8
3.2 Abbreviations . 10
3.3 Notation . 11
4 General concepts . 11
4.1 General policy requirements concepts . 11
4.2 Certificate policy and certification practice statement . 11
4.2.1 Overview . 11
4.2.2 Purpose . 11
4.2.3 Level of specificity . 12
4.2.4 Approach . 12
4.2.5 Certificate Policy . 12
4.3 Other Trust Service Providers statements . 13
4.4 Certification services . 13
5 General provisions on Certification Practice Statement and Certificate Policies. 14
5.1 General requirements . 14
5.2 Certification Practice Statement requirements . 15
5.3 Certificate Policy name and identification . 15
5.4 PKI participants . 16
5.4.1 Certification Authority . 16
5.4.2 Subscriber and subject . 16
5.4.3 Others . 17
5.5 Certificate usage . 17
6 Trust Service Providers practice . 17
6.1 Publication and repository responsibilities . 17
6.2 Identification and authentication . 18
6.2.1 Naming . 18
6.2.2 Initial identity validation . 18
6.2.3 Identification and authentication for Re-key requests . 20
6.2.4 Identification and authentication for revocation requests . 20
6.3 Certificate Life-Cycle operational requirements . 21
6.3.1 Certificate application . 21
6.3.2 Certificate application processing . 22
6.3.3 Certificate issuance . 22
6.3.4 Certificate acceptance . 23
6.3.5 Key pair and certificate usage . 24
6.3.6 Certificate renewal . 25
6.3.7 Certificate Re-key . 26
6.3.8 Certificate modification . 26
6.3.9 Certificate revocation and suspension. 26
6.3.10 Certificate status services . 27
6.3.11 End of subscription . 27
6.3.12 Key escrow and recovery . 27
6.4 Facility, management, and operational controls . 27
6.4.1 General . 27
ETSI
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4 ETSI TS 119 411-1 V1.0.1 (2015-07)
6.4.2 Physical security controls . 28
6.4.3 Procedural controls . 28
6.4.4 Personnel controls . 28
6.4.5 Audit logging procedures . 29
6.4.6 Records archival . 29
6.4.7 Key changeover . 29
6.4.8 Compromise and disaster recovery . 30
6.4.9 Certification Authority or Registration Authority termination . 30
6.5 Technical security controls . 31
6.5.1 Key pair generation and installation . 31
6.5.2 Private key protection and cryptographic module engineering controls . 32
6.5.3 Other aspects of key pair management . 33
6.5.4 Activation data . 34
6.5.5 Computer security controls . 34
6.5.6 Life cycle security controls . 34
6.5.7 Network security controls . 35
6.5.8 Timestamping . 35
6.6 Certificate, CRL, and OCSP profiles. 35
6.6.1 Certificate profile . 35
6.6.2 CRL profile . 35
6.6.3 OCSP profile . 35
6.7 Compliance audit and other assessment . 35
6.8 Other business and legal matters . 35
6.8.1 Fees . 35
6.8.2 Financial responsibility . 36
6.8.3 Confidentiality of business information . 36
6.8.4 Privacy of personal information. 36
6.8.5 Intellectual property rights . 36
6.8.6 Representations and warranties . 36
6.8.7 Disclaimers of warranties . 36
6.8.8 Limitations of liability . 36
6.8.9 Indemnities . 36
6.8.10 Term and termination. 37
6.8.11 Individual notices and communications with participants . 37
6.8.12 Amendments . 37
6.8.13 Dispute resolution procedures. 37
6.8.14 Governing law . 37
6.8.15 Compliance with applicable law . 37
6.8.16 Miscellaneous provisions . 37
6.9 Other provisions . 37
6.9.1 Organizational . 37
6.9.2 Additional testing . 37
6.9.3 Disabilities . 38
6.9.4 Terms and conditions . 38
7 Framework for the definition of other certificate policies . 38
7.1 Certificate policy management . 38
7.2 Additional requirements . 38
Annex A (informative): Model PKI disclosure statement . 39
A.1 Introduction . 39
A.2 The PDS structure . 40
A.3 The PDS format . 40
Annex B (informative): Revisions made compared to TS 102 042 . 41
Annex C (informative): Conformity assessment check list . 42
Annex D (informative): Bibliography . 43
History . 44
ETSI
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5 ETSI TS 119 411-1 V1.0.1 (2015-07)
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 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
The present document is part 1 of a multi-part deliverable on policy requirements for Trust Service Providers issuing
certificate as identified below:
Part 1: "General requirements";
Part 2: "Requirements for trust service providers issuing EU qualified certificates".
The present document is derived from the requirements specified in ETSI TS 102 042 "Policy requirements for
certification authorities issuing public key certificates" [i.6] that has been updated as detailed in annex B.
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.
Introduction
Electronic commerce, in its broadest sense, is 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 (TSP) 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 TSP has properly established procedures and protective measure in order to minimize
the operational and financial threats and risks associated with public key cryptographic systems.
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.15] and those from CA/Browser Forum, BRG [5].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can base their requirements specified in the present document and specifying any additional requirements in a manner
similar to ETSI TS 119 411-2 [i.5], which builds on the present document requirements so as to benefit from the use of
generally accepted global best practices.
ETSI
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6 ETSI TS 119 411-1 V1.0.1 (2015-07)
1 Scope
The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP)
issuing public key certificates, including trusted web site certificates.
The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle
management of certificates. These policy and security requirements support six reference certificate policies, defined in
clause 5.
A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where
particular requirements apply is defined in clause 7.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
and seals;
• the general requirements of certification authorities issuing TLS/SSL certificates;
• the general requirements of the use of cryptography for authentication and encryption.
The present document does not specify how the requirements identified can 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 ETSI TS 119 403 [i.2] for guidance on assessment of TSP processes and services. The present
document references ETSI TS 119 401 [8] for general policy requirements common to all classes of TSP
services.
The present document however provides in annex C, a check list of the policy requirements specific to TSP issuing
certificates (as expressed in the present document) including the generic requirements which are independent of the type
of service (as expressed in ETSI TS 119 401 [8]).
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [5].
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
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.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 15408 (parts 1 to 3): "Information technology -- Security techniques -- Evaluation criteria
for IT security".
[2] ETSI TS 119 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:
Certificate profile for web site certificates issued to organizations". .
[3] ISO/IEC 19790:2006: "Information technology -- Security techniques -- Security requirements for
cryptographic modules".
[4] CA/Browser Forum (V1.5.5): "Guidelines for The Issuance and Management of Extended
Validation Certificates".
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7 ETSI TS 119 411-1 V1.0.1 (2015-07)
[5] CA/Browser Forum (V1.3.0): "Baseline Requirements for the Issuance and Management of
Publicly-Trusted Certificates".
[6] ISO/IEC 9594-8/ITU-T Recommendation X.509: "Information technology - Open Systems
Interconnection - The Directory: Public-key and attribute certificate frameworks".
[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[8] ETSI TS 119 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[9] ETSI TS 119 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:
Certificate profile for certificates issued to natural persons".
[10] ETSI TS 119 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:
Certificate profile for certificates issued to legal persons".
[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -
OCSP".
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] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures.
[i.2] ETSI TS 119 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.3] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification
Practices Framework".
[i.4] ISO 19005 parts 1 to 3: "Document management - electronic document file format for long-term
preservation".
[i.5] ETSI TS 119 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service
providers issuing EU 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 27002:2013: "Information technology -- Security techniques -- Code of practice for
information security management".
[i.8] ISO/IEC 7498-2/ ITU-T Recommendation X.800: "Data communications network -- Open
systems interconnection -- Security, structure and applications: Security architecture for open
systems interconnection for CCITT applications".
[i.9] CEN TS 419 261: "Security Requirements for Trustworthy Systems Managing Certificates for
Electronic Signatures".
[i.10] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.11]
...