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Technical Specification
Electronic Signatures and Infrastructures (ESI);
PDF Advanced Electronic Signature Profiles;
CMS Profile based on ISO 32000-1
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2 ETSI TS 102 778 V1.1.1 (2009-04)
Reference
DTS/ESI-000063
Keywords
e-commerce, electronic signature, security
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3 ETSI TS 102 778 V1.1.1 (2009-04)
Contents
Intellectual Property Rights . 4
Foreword . 4
Introduction . 4
1 Scope . 5
2 References . 5
2.1 Normative references . 5
2.2 Informative references . 6
3 Definitions and abbreviations . 6
3.1 Definitions . 6
3.2 Abbreviations . 7
4 Description of Profile for CMS signatures in PDF . 7
4.1 Introduction . 7
4.2 Features . 7
4.3 PDF signatures . 7
4.4 Signature types . 9
4.5 Handlers . 9
4.6 PDF serial signatures . 9
4.7 Signature validation . 10
4.8 Time stamping . 10
4.9 Revocation checking . 11
4.10 Seed values and signature policies . 11
4.11 ISO 19005-1: 2005 (PDF/A-1) . 11
5 Requirements of profile for CMS signatures in PDF . 12
5.1 Requirements from clause 4.3 (PDF signatures) . 12
5.2 Requirements from clause 4.5 (handlers) . 12
5.3 Requirements from clause 4.6 (PDF serial signatures). 12
5.4 Requirements from clause 4.7 (signature validation) . 12
5.5 Requirements from clause 4.8 (time stamping) . 12
5.6 Requirements from clause 4.9 (revocation checking) . 12
5.7 Requirements from clause 4.10 (seed values and signature policies) . 12
History . 13
ETSI
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4 ETSI TS 102 778 V1.1.1 (2009-04)
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://webapp.etsi.org/IPR/home.asp).
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).
Introduction
ISO 32000-1 [1] specifies a digital form for representing documents called the Portable Document Format (PDF) that
enables users to exchange and view electronic documents easily and reliably, independent of the environment in which
they were created or the environment in which they are viewed or printed.
Clause 12.8 of ISO 32000-1 identifies the ways in which a digital signature may be used to authenticate the identity of a
user and the accuracy of the document's content. These digital signatures are based on the same CMS [i.2] technology
and techniques as TS 101 733 [i.1] (CAdES), but without the extensions defined in CAdES for the purposes of long
term validation.
The present document defines the first of a series of profiles that describe how digital signatures in PDF can be used in
a way that provide an Advanced Electronic Signature framework for the signing of electronic documents in PDF
format.
Therefore the following provisions represent a general consensus of the use of these standards and hence provide a
reliable basis for maximizing interoperability. Nevertheless, in particular business areas and niches there may be
specific needs and/or regulations that may require variations to these profiles.
ETSI
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5 ETSI TS 102 778 V1.1.1 (2009-04)
1 Scope
The present document profiles the use of PDF signatures, as described in ISO 32000-1 [1] and based on CMS [i.2], for
its use in any application areas where PDF is the appropriate technology for exchange of digital documents including
interactive forms. Further profiles in this series will specify additional features which add to the non-repudiation and
long-term validation properties of PDF Signatures.
This profile does not repeat the base requirements of the referenced standards, but instead aims to maximize
interoperability of CMS-based electronic signatures in various business areas. Clause 4 provides a general informative
description of the profile, while clause 5 specifies the normative conformance requirements of this profile.
2 References
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific.
• For a specific reference, subsequent revisions do not apply.
• Non-specific reference may be made only to a complete document or a part thereof and only in the following
cases:
- if it is accepted that it will be possible to use all future changes of the referenced document for the
purposes of the referring document;
- for informative references.
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 indispensable for the application of the present document. For dated
references, only the edition cited applies. For non-specific references, the latest edition of the referenced document
(including any amendments) applies.
[1] ISO 32000-1 (2008): "Document Management - Portable Document Format - PDF 1.7".
[2] IETF RFC 2315: "PKCS #7: Cryptographic Message Syntax, Version 1.5".
[3] ITU-T Recommendation X.509 / ISO/IEC 9594-8: "Information technology - Open Systems
Interconnection - The Directory: Public-key and attribute certificate frameworks".
[4] IETF RFC 3280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[5] IETF RFC 2560: "X.509 Internet Public Key Infrastructure Online Certificate Status Protocol
- OCSP".
[6] IETF RFC 3161: "Internet X.509 Public Key Infrastructure Time-Stamp Protocol (TSP)".
[7] ETSI TS 102 176-1: "Electronic Signatures and Infrastructures (ESI); Algorithms and Parameters
for Secure Electronic Signatures; Part 1: Hash functions and asymmetric algorithms".
[8] ISO 19005-1 (2005): Document management - Electronic document file format for long-term
preservation -- Part 1: Use of PDF 1.4 (PDF/A-1).
ETSI
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6 ETSI TS 102 778 V1.1.1 (2009-04)
2.2 Informative references
The following referenced documents are not essential to the use of the present document but they assist the user with
regard to a particular subject area. For non-specific references, the latest version of the referenced document (including
any amendments) applies.
[i.1] ETSI TS 101 733 (V1.7.4): "Electronic Signatures and Infrastructures (ESI); CMS Advanced
Electronic Signatures (CAdES)".
[i.2] IETF RFC 3852: "Cryptographic Message Syntax (CMS)".
[i.3] IETF RFC 3281: "An Internet Attribute Certificate Profile for Authorization".
3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ISO 32000-1 [1] and the following apply:
NOTE: The words "may", "shall" and "should" are used in the present document as keywords to signify
requirements.
certification signature: signature that is used in conjunction with modification detection permissions (MDP) as defined
by ISO 32000-1 [1], clause 12.8.2.2
conforming reader: software application that is able to read and process PDF files that have been made in
conformance with ISO 32000-1 [1]
may: means that a course of action is permissible within this profile.
PDF serial signature: specific signature workflow where the second (and subsequent) signers of a PDF not only sign
the document but also the signature of the previous signer and any modification that may also have taken place
(e.g. form fill-in)
PDF signature: DER-encoded PKCS#7 binary data object containing a digital signature and other information
necessary to verify the digital signature such as the signer's certificate along with any supplied revocation information
seed value dictionary: PDF data structure, of type dictionary, as described in ISO 32000-1 [1], clause 12.7.4.5,
table 234, that contains information that constrains the properties of a signature that is applied to a specific signature
field
shall: means that the definition is an absolute requirement of this profile and it has to strictly be followed in order to
conform to the present document
should: means that among several possibilities one is recommended, in this profile, as particularly suitable, without
mentioning or excluding others, or that a certain course of action is preferred but not necessarily required
NOTE: Implementers may know valid reasons in particular circumstances to ignore this recommendation, but the
full implications must be understood and carefully weighed before choosing a different course.
signature dictionary: PDF data structure, of type dictionary, as described in ISO 32000-1 [1], clause 12.8.1, table 252
that contains all of the information about the Digital Signature.
ETSI
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7 ETSI TS 102 778 V1.1.1 (2009-04)
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CAdES CMS Advanced Electronic Signatures
NOTE: As per TS 101 733 [i.1].
CMS Cryptographic Message Syntax
CRL Certificate Revocation List
MDP Modification Detection Permissions
OCSP Online Certificate Status Protocol
PDF Portable Document Format
4 Description of Profile for CMS signatures in PDF
4.1 Introduction
This profile specifies a PDF signature as specified in ISO 32000-1:2008 [1] that enables greater interoperability for PDF
signatures by providing additional restrictions beyond those of ISO 32000-1 [1].
4.2 Features
Signature encoded in CMS as defined by PKCS #7 1.5 (RFC 2315 [2]).
Supports serial signatures.
Optionally includes signature time-stamp.
Optionally includes revocation information.
Signature protects integrity of the document and authenticates the signatory.
Signature can optionally include the "reasons" for the signature.
Signature can optionally include a description of the location of signing.
Signature can option
...