ETSI TS 119 411-2 V2.0.7 (2015-07)

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

ETSI TS 119 411-2 V2.0.7 (2015-07)

Name:ETSI TS 119 411-2 V2.0.7 (2015-07)   Standard name: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
Standard number:ETSI TS 119 411-2 V2.0.7 (2015-07)   language:English language
Release Date:30-Jun-2015   technical committee:ESI - Electronic Signatures and Infrastructures
Drafting committee:   ICS number:
ETSI TS 119 411-2 V2.0.7 (2015-07)






TECHNICAL SPECIFICATION
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



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2 ETSI TS 119 411-2 V2.0.7 (2015-07)



Reference
RTS/ESI-0019411-2-TS
Keywords
e-commerce, electronic signature, security, trust
services
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3 ETSI TS 119 411-2 V2.0.7 (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 . 6
3 Definitions, abbreviations and notations . 7
3.1 Definitions . 7
3.2 Abbreviations . 7
3.3 Notation . 7
4 General concepts . 8
4.1 General policy requirements concepts . 8
4.2 Certificate policy and certification practice statement . 8
4.2.1 Overview . 8
4.2.2 Purpose . 8
4.2.3 Level of specificity . 8
4.2.4 Approach . 8
4.2.5 Certificate policy . 8
4.3 Other TSP statements . 9
4.4 Certification services . 9
5 General provisions on Certification Practice Statement and Certificate Policies. 9
5.1 General requirements . 9
5.2 Certification Practice Statement Requirements . 9
5.3 Certificate Policy name and identification . 10
5.4 PKI Participants . 10
5.4.1 Certification authority . 10
5.4.2 Subscriber and subject . 10
5.4.3 Others . 10
5.5 Certificate Usage . 10
5.5.1 QCP-n . 10
5.5.2 QCP-l . 11
5.5.3 QCP-n-qscd. 11
5.5.4 QCP-l-qscd . 11
5.5.5 QCP-w . 11
6 Trust Service Providers practice . 11
6.1 Publication and Repository Responsibilities . 11
6.2 Identification and Authentication . 11
6.2.1 Naming . 11
6.2.2 Initial Identity Valid atio n . 11
6.2.3 Identification and authentication for Re-key requests . 12
6.2.4 Identification and authentication for revocation requests . 12
6.3 Certificate Life-Cycle Operational Requirements . 12
6.3.1 Certificate Application . 12
6.3.2 Certificate application processing . 12
6.3.3 Certificate issuance . 12
6.3.4 Certificate acceptance . 12
6.3.5 Key Pair and Certificate Usage . 12
6.3.6 Certificate Renewal. 13
6.3.7 Certificate Re-key . 13
6.3.8 Certificate Modification . 13
6.3.9 Certificate Revocation and Suspension. 13
ETSI

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4 ETSI TS 119 411-2 V2.0.7 (2015-07)
6.3.10 Certificate Status Services . 13
6.3.11 End of Subscription . 13
6.3.12 Key Escrow and Recovery . 14
6.4 Facility, Management, and Operational Controls . 14
6.4.1 General . 14
6.4.2 Physical Security Controls . 14
6.4.3 Procedural Controls . 14
6.4.4 Personnel Controls . 14
6.4.5 Audit Logging Procedures . 14
6.4.6 Records Archival . 14
6.4.7 Key Changeover . 14
6.4.8 Compromise and Disaster Recovery . 15
6.4.9 CA or RA Termination . 15
6.5 Technical Security Controls . 15
6.5.1 Key Pair Generation and Installation . 15
6.5.2 Private Key Protection and Cryptographic Module Engineering Controls . 15
6.5.3 Other Aspects of Key Pair Management . 16
6.5.4 Activation Data . 16
6.5.5 Computer Security Controls . 16
6.5.6 Life Cycle Security Controls . 16
6.5.7 Network Security Controls . 16
6.5.8 Time-stamping . 16
6.6 Certificate, CRL, and OCSP Profiles . 16
6.6.1 Certificate Profile . 16
6.6.2 CRL Profile . 17
6.6.3 OCSP Profile . 17
6.7 Compliance Audit and Other Assessment . 17
6.8 Other Business and Legal Matters . 17
6.8.1 Fees . 17
6.8.2 Financial Responsibility . 17
6.8.3 Confidentiality of Business Information . 17
6.8.4 Privacy of Personal Information . 17
6.8.5 Intellectual Property Rights . 17
6.8.6 Representations and Warranties . 17
6.8.7 Disclaimers of Warranties . 18
6.8.8 Limitations of Liability . 18
6.8.9 Indemnities . 18
6.8.10 Term and Termination . 18
6.8.11 Individual notices and communications with participants . 18
6.8.12 Amendments . 18
6.8.13 Dispute Resolution Procedures . 18
6.8.14 Governing Law . 18
6.8.15 Compliance with Applicable Law . 18
6.8.16 Miscellaneous Provisions . 18
6.9 Other Provisions . 18
6.9.1 Organizational . 18
6.9.2 Additional testing . 18
6.9.3 Disabilities . 19
6.9.4 Terms and conditions . 19
7 Framework for the definition of other certificate policies built on the present document . 19
7.1 Certificate policy management . 19
7.2 Additional requirements . 19
Annex A (informative): Regulation and EU qualified certificate policy mapping . 20
Annex B (informative): Conformity Assessment Check list . 24
Annex C (informative): Revisions made since version 1.1.1 (2013-01) . 25
History . 26

ETSI

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5 ETSI TS 119 411-2 V2.0.7 (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 2 of a multi-part deliverable on policy requirements for Trust Service Providers issuing
certificate. Full details of the entire series can be found in part 1 [2].
The present document is derived from the requirements specified in ETSI TS 101 456 [i.2] "Policy requirements for
certification authorities issuing qualified certificates".
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
(Verbal forms for the expression of
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
Introduction
The Regulation (EU) N° 910/2014 [i.1] establishes a legal framework for electronic signature and electronic seal and
for website authentication services. It addresses for example the ability to electronically sign data in the same way they
are signed using a hand-written signature. These concepts can be commonly achieved by using cryptographic
mechanisms. Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms
are generally supported by a trust service provider (TSP) issuing public key certificates, commonly called a certification
authority (CA).
By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the
series ETSI TS 119 411 [2], is aiming to meet the general requirements of the international community to provide trust
and confidence in electronic transactions including, amongst others, requirements from Regulation (EU)
No 910/2014 [i.1] and from CA Browser Forum [i.4].
The present document incorporates the general policy and security requirements as specified in ETSI TS 119 411-1 [2]
and adds further requirements in order to meet the specific requirements of Regulation (EU) N° 910/2014 for TSPs
issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU
qualified certificates for web site authentication in accordance with but not limited to Articles 19, 24, 28, 38 and 45 of
Regulation (EU) N° 910/2014 [i.1].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can build their specifications on the general policy requirements specified in ETSI TS 119 411-1 [2] to benefit from
global best practices, and specify any additional requirements in a manner similar to the present document.
ETSI

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6 ETSI TS 119 411-2 V2.0.7 (2015-07)
1 Scope
The present document specifies policy and security requirements for the issuance, maintenance and life-cycle
management of EU qualified certificates as defined in Regulation (EU) N° 910/2014 [i.1]. These policy and security
requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU
qualified certificates issued to natural persons (including natural persons associated with a legal person), to legal
persons and to web sites, respectively.
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. The present document however provides in annex B a check list of the policy requirements specific to TSP
issuing EU qualified certificates (as expressed in the present document) as well as all the requirements incorporated by
reference to ETSI TS 119 411-1 [2] and ETSI TS 119 401 [1], that can be used by the TSP to prepare an assessment of
its practices against the present document and/or by the assessor when conducting the assessment for confirming that a
TSP meets the requirements for issuing qualified certificates under Regulation (EU) N° 910/2014 [i.1].
NOTE: See ETSI TS 119 403 [i.7] for guidance on assessment of TSP processes and 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
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] ETSI TS 119 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[2] ETSI TS 119 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers issuing certificates; Part 1: General requirements".
[3] Guidelines for The Issuance and Management of Extended Validation Certificates v1.5.5,
CA/Browser Forum.
[4] ETSI TS 119 412-5: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 5:
QCStatements".
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) N 910/2014 of the European Parliament and of the Council on electronic
identification and trust services for electronic transactions in the internal market and repealing
Directive 1999/93/EC.
ETSI

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7 ETSI TS 119 411-2 V2.0.7 (2015-07)
[i.2] ETSI TS 101 456: "Electronic Signatures and Infrastructures (ESI); Policy requirements for
certification authorities issuing qualified certificates".
[i.3] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures.
[i.4] Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates,
CA/Browser Forum.
[i.5] IETF RFC 3647: "Internet X.509 Public Key Infrastructure Certificate Policy and Certification
Practices Framework".
[i.6] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing of personal data and on the free movement
of such data.
[i.7] ETSI TS 119 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
3 Definitions, abbreviations and notations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ETSI TS 119 401 [1], ETSI
TS 119 411-1 [2], the Regulation (EU) N° 910/2014 [i.1] and the following apply:
EU Qualified Certificate: qualified certificate as specified in Regulation (EU) No 910/2014 [i.1]
Qualified Electronic Signature/Seal Creation Device: As specified in Regulation (EU) No 910/2014 [i.1].
3.2 Abbreviations
For the purposes of the present document, the abbreviations given in ETSI TS 119 401 [1], ETSI TS 119 411-1 [2] and
the following apply:
QCP-l Policy for EU qualified certificate issued to a legal person
QCP-l-qscd Policy for EU qualified certificate issued to a legal person where the private key and the related
certificate reside on a QSCD
QCP-n Policy for EU qualified certificate issued to a natural person
QCP-n-qscd Policy for EU qualified certificate issued to a natural person where the private key and the related
certificate reside on a QSCD
QCP-w Policy for EU qualified certificate issued to a web site
QSCD Qualified electronic Signature/Seal Creation Device
3.3 Notation
The requirements identified in the present document include:
a) requirements applicable to any certificate policy. Such requirements are indicated by clauses without any
additional marking;
b) requirements applicable
...

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