ETSI EN 319 142-1-2016 Electronic Signatures and Infrastructures (ESI) PAdES digital signatures Part 1 Building blocks and PAdES baseline signatures (V1 1 1)《电子签名和基础设施(ESI) PAdES数字.pdf

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1、 ETSI EN 319 142-1 V1.1.1 (2016-04) Electronic Signatures and Infrastructures (ESI); PAdES digital signatures; Part 1: Building blocks and PAdES baseline signatures EUROPEAN STANDARD ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 2 Reference DEN/ESI-0019142-1 Keywords electronic signature, PAdES, profile,

2、security ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N 348 623 562 00017 - NAF 742 C Association but non lucratif enregistre la Sous-Prfecture de Grasse (06) N 7803/88 Important notice The present document can be downloaded

3、 from: http:/www.etsi.org/standards-search The present document may be made available in electronic versions and/or in print. The content of any electronic and/or print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any existing or

4、perceived difference in contents between such versions and/or in print, the only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat. Users of the present document should be aware that the document may be subject to

5、revision or change of status. Information on the current status of this and other ETSI documents is available at https:/portal.etsi.org/TB/ETSIDeliverableStatus.aspx If you find errors in the present document, please send your comment to one of the following services: https:/portal.etsi.org/People/C

6、ommiteeSupportStaff.aspx Copyright Notification No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm except as authorized by written permission of ETSI. The content of the PDF version shall not be modified without the writt

7、en authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2016. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GPPTM

8、 and LTE are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 3 Contents Intellectual Property Rights 4g3Foreword . 4g3Modal

9、 verbs terminology 4g3Introduction 4g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 7g33 Definitions and abbreviations . 7g33.1 Definitions 7g33.2 Abbreviations . 8g34 General syntax 8g34.1 General requirements for PAdES signatures based on PDF signatures 8g35 A

10、ttributes syntax and semantics . 9g35.1 Introduction 9g35.2 CMS and CAdES defined attributes . 9g35.3 ISO 32000-1 defined attributes 9g35.4 Validation data and archive validation data attributes 10g35.4.1 Overview 10g35.4.2 Document Security Store 11g35.4.2.1 Catalog 11g35.4.2.2 DSS Dictionary . 11g

11、35.4.2.3 Signature VRI Dictionary . 13g35.4.3 Document Time-stamp . 14g35.5 Requirements on encryption . 14g35.6 Extensions dictionary . 15g36 PAdES baseline signatures . 15g36.1 Signature levels 15g36.2 General requirements for PAdES baseline signatures 16g36.2.1 Algorithm requirements 16g36.2.2 No

12、tation for requirements . 16g36.3 PAdES baseline signatures . 18g36.4 Legacy PAdES baseline signatures 22g3History 23g3ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 4 Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The informatio

13、n 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

14、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 upda

15、tes 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 1 of a multi-part deliverable covering

16、the PDF digital signatures (PAdES), as identified below: Part 1: “Building blocks and PAdES baseline signatures“; Part 2: “Additional PAdES signatures profiles“. National transposition dates Date of adoption of this EN: 1 April 2016 Date of latest announcement of this EN (doa): 31 July 2016 Date of

17、latest publication of new National Standard or endorsement of this EN (dop/e): 31 January 2017 Date of withdrawal of any conflicting National Standard (dow): 31 January 2017 Modal verbs terminology In the present document “shall“, “shall not“, “should“, “should not“, “may“, “need not“, “will“, “will

18、 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 has emerged as a fre

19、quent way of doing business between companies across local, wide area and global networks. Trust in this way of doing business is essential for the success and continued development of electronic commerce. It is therefore important that companies using this electronic means of doing business have su

20、itable security controls and mechanisms in place to protect their transactions and to ensure trust and confidence with their business partners. In this respect digital signatures are an important security component that can be used to protect information and provide trust in electronic business. The

21、 present document is intended to cover digital signatures supported by PKI and public key certificates, and aims to meet the general requirements of the international community to provide trust and confidence in electronic transactions, including, amongst other, applicable requirements from Regulati

22、on (EU) No 910/2014 i.2. ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 5 The present document can be used for any transaction between an individual and a company, between two companies, between an individual and a governmental body, etc. The present document is independent of any environment. It can be ap

23、plied to any environment e.g. smart cards, SIM cards, special programs for electronic signatures, etc. The present document is part of a rationalized framework of standards (see ETSI TR 119 000 i.3). ETSI TR 119 100 i.4 provides guidance on how to use the present document within the aforementioned f

24、ramework. ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 6 1 Scope The present document specifies PAdES digital signatures. PAdES signatures build on PDF signatures specified in ISO 32000-1 1 with an alternative signature encoding to support digital signature formats equivalent to the signature format CAdE

25、S as specified in ETSI EN 319 122-1 2, by incorporation of signed and unsigned attributes, which fulfil certain common requirements (such as the long term validity of digital signatures) in a number of use cases. The present document specifies formats for PAdES baseline signatures, which provide the

26、 basic features necessary for a wide range of business and governmental use cases for electronic procedures and communications to be applicable to a wide range of communities when there is a clear need for interoperability of digital signatures used in electronic documents. The present document defi

27、nes four levels of PAdES baseline signatures addressing incremental requirements to maintain the validity of the signatures over the long term, in a way that a certain level always addresses all the requirements addressed at levels that are below it. Each level requires the presence of certain PAdES

28、 attributes, suitably profiled for reducing the optionality as much as possible. Procedures for creation, augmentation, and validation of PAdES digital signatures are out of scope and specified in ETSI EN 319 102-1 i.5. Guidance on creation, augmentation and validation of PAdES digital signatures in

29、cluding the usage of the different attributes defined in the present document is provided in ETSI TR 119 100 i.4. The present document aims at supporting electronic signatures in different regulatory frameworks. NOTE: Specifically but not exclusively, PAdES digital signatures specified in the presen

30、t document aim at supporting electronic signatures, advanced electronic signatures, qualified electronic signatures, electronic seals, advanced electronic seals, and qualified electronic seals as per Regulation (EU) No 910/2014 i.2. 2 References 2.1 Normative references References are either specifi

31、c (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 fo

32、und 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

33、application of the present document. 1 ISO 32000-1: “Document management - Portable document format - Part 1: PDF 1.7“. NOTE: Available at http:/ 2 ETSI EN 319 122-1: “Electronic Signatures and Infrastructures (ESI); CAdES digital signatures; Part 1: Building blocks and CAdES baseline signatures“. 3

34、 IETF RFC 5652 (2009): “Cryptographic Message Syntax (CMS)“. 4 IETF RFC 5280 (2008): “Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile“. 5 IETF RFC 6960 (2013): “X.509 Internet Public Key Infrastructure Online Certificate Status Protocol - OCSP“. 6 I

35、ETF RFC 3161 (2001): “Internet X.509 Public Key Infrastructure Time-Stamp Protocol (TSP)“. 7 W3C Recommendation (May 2008): “Canonical XML Version 1.1“. 8 IETF RFC 5816 (2010): “ESSCertIDv2 Update for RFC 3161“. ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 7 2.2 Informative references References are eith

36、er 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

37、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 ETSI TS 101 533-1: “E

38、lectronic Signatures and Infrastructures (ESI); Data Preservation Systems Security; Part 1: Requirements for Implementation and Management“. i.2 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 tr

39、ansactions in the internal market and repealing Directive 1999/93/EC. i.3 ETSI TR 119 000: “Electronic Signatures and Infrastructures (ESI); The framework for standardization of signatures: overview“. i.4 ETSI TR 119 100: “Electronic Signatures and Infrastructures (ESI); Business Driven Guidance for

40、 Signature Creation and Validation“. i.5 ETSI EN 319 102-1: “Electronic Signatures and Infrastructures (ESI); Procedures for Creation and Validation of AdES Digital Signatures; Part 1: Creation and Validation“. i.6 ETSI TS 119 312: “Electronic Signatures and Infrastructures (ESI); Cryptographic Suit

41、es“. i.7 Adobe XFA: “XML Forms Architecture (XFA) Specification“ version 2.5, (June 2007), Adobe Systems Incorporated“. i.8 ETSI TS 103 172: “Electronic Signatures and Infrastructures (ESI); PAdES Baseline Profile“. i.9 IETF RFC 2315 (1998): “PKCS #7: Cryptographic Message Syntax Version 1.5“. i.10

42、ETSI TS 119 612: “Electronic Signatures and Infrastructures (ESI); Trusted Lists“. i.11 ETSI EN 319 142-2: “Electronic Signatures and Infrastructures (ESI); PAdES digital signatures; Part 2: Additional PAdES signatures profiles“. i.12 ETSI TR 119 001: “Electronic Signatures and Infrastructures (ESI)

43、; The framework for standardization of signatures; Definitions and abbreviations“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given in ISO 32000-1 1, ETSI TR 119 001 i.12 and the following apply: digital signature: data appende

44、d to, or a cryptographic transformation of a data unit that allows a recipient of the data unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient digital signature value: result of the cryptographic transformation of a data unit that allows a recipi

45、ent of the data unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient electronic time-stamp: data in electronic form which binds other electronic data to a particular time establishing evidence that these data existed at that time generator: any pa

46、rty which creates, or augments a digital signature NOTE: This can be the signer or any party that initially validates or further maintains the signature. ETSI ETSI EN 319 142-1 V1.1.1 (2016-04) 8 Legacy PAdES baseline signature: digital signature generated according to ETSI TS 103 172 i.8 PAdES sign

47、ature: digital signature that satisfies the requirements specified within the present document or ETSI EN 319 142-2 i.11 proof of existence: evidence that proves that an object existed at a specific date/time signature augmentation policy: set of rules, applicable to one or more digital signatures,

48、that defines the technical and procedural requirements for their augmentation, in order to meet a particular business need, and under which the digital signature(s) can be determined to be conformant signature creation policy: set of rules, applicable to one or more digital signatures, that defines

49、the technical and procedural requirements for their creation, in order to meet a particular business need, and under which the digital signature(s) can be determined to be conformant signature handler: software application, or part of a software application, that knows how to perform digital signature operations (e.g. signing and/or validating) in conformance with ISO 32000-1 1 and the requirements of the appropriate profile signature policy: signature creat