ETSI EN 319 421-2016 Electronic Signatures and Infrastructures (ESI) Policy and Security Requirements for Trust Service Providers issuing Time-Stamps (V1 1 1 Includes Diskette)《电子签_1.pdf

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1、 ETSI EN 319 421 V1.1.1 (2016-03) Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing Time-Stamps floppy3EUROPEAN STANDARD ETSI ETSI EN 319 421 V1.1.1 (2016-03) 2 Reference DEN/ESI-0019421 Keywords e-commerce, electronic signature, se

2、curity, time-stamping, trust services 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 prese

3、nt document can be downloaded 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

4、. In case of any existing or 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 th

5、e document may be subject to 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: ht

6、tps:/portal.etsi.org/People/CommiteeSupportStaff.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

7、be modified without the written 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 b

8、enefit of its Members. 3GPPTM 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 319 421 V1.1.1 (2016-03) 3 Contents Intellectual Property Ri

9、ghts 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 8g33 Definitions and abbreviations . 9g33.1 Definitions 9g33.2 Abbreviations . 9g34 General concepts 10g34.1 General policy requirements concepts 10g34

10、.2 Time-stamping services 10g34.3 Time-Stamping Authority (TSA) . 10g34.4 Subscriber . 11g34.5 Time-stamp policy and TSA practice statement . 11g35 Introduction to time-stamp policies and general requirements 11g35.1 General . 11g35.2 Identification 11g35.3 User community and applicability 12g35.3.1

11、 Best practices time-stamp policy 12g36 Policies and practices . 12g36.1 Risk assessment 12g36.2 Trust Service Practice Statement 12g36.3 Terms and conditions . 12g36.4 Information security policy 12g36.5 TSA obligations 12g36.5.1 General 12g36.5.2 TSA obligations towards subscribers 13g36.6 Informa

12、tion for relying parties . 13g37 TSA management and operation 13g37.1 Introduction 13g37.2 Internal organization. 13g37.3 Personnel security. 13g37.4 Asset management 14g37.5 Access control 14g37.6 Cryptographic controls . 14g37.6.1 General 14g37.6.2 TSU key generation 14g37.6.3 TSU private key prot

13、ection . 15g37.6.4 TSU public key certificate 15g37.6.5 Rekeying TSUs key . 15g37.6.6 Life cycle management of signing cryptographic hardware . 16g37.6.7 End of TSU key life cycle . 16g37.7 Time-stamping . 16g37.7.1 Time-stamp issuance. 16g37.7.2 Clock synchronization with UTC . 17g37.8 Physical and

14、 environmental security 17g37.9 Operation security 18g37.10 Network security 18g37.11 Incident management . 18g3ETSI ETSI EN 319 421 V1.1.1 (2016-03) 4 7.12 Collection of evidence 18g37.13 Business continuity management . 19g37.14 TSA termination and termination plans 19g37.15 Compliance. 19g38 Addi

15、tional requirements for qualified electronic time-stamps as per Regulation (EU) No 910/2014 . 19g38.1 TSU public key certificate 19g38.2 TSA issuing non-qualified and qualified electronic time-stamps as per Regulation (EU) No 910/2014 . 20g3Annex A (informative): Potential liability in the provision

16、 of time-stamping services 21g3Annex B (informative): Model TSA disclosure statement 22g3B.1 Introduction 22g3B.2 TSA disclosure statement structure 22g3Annex C (informative): Coordinated Universal Time (UTC). 24g3Annex D (informative): Long term verification of time-stamps . 25g3Annex E (informativ

17、e): Regulation (EU) No 910/2014 and qualified electronic time-stamp policy cross-reference 26g3Annex F (informative): Possible implementation architectures - time-stamping service 27g3F.1 Managed time-stamping service . 27g3F.2 Selective alternative quality . 27g3Annex G (informative): Major changes

18、 from ETSI TS 102 023 . 29g3Annex H (informative): Conformity Assessment Check list . 30g3History 31g3ETSI ETSI EN 319 421 V1.1.1 (2016-03) 5 Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining to the

19、se 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

20、 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 updates on the ETSI Web

21、 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 was previously published as ETSI TS 102 023 i.8. National transpos

22、ition dates Date of adoption of this EN: 22 February 2016 Date of latest announcement of this EN (doa): 31 May 2016 Date of latest publication of new National Standard or endorsement of this EN (dop/e): 30 November 2016 Date of withdrawal of any conflicting National Standard (dow): 30 June 2017 Moda

23、l 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 N

24、OT allowed in ETSI deliverables except when used in direct citation. Introduction 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 Regulati

25、on (EU) No 910/2014 i.4. The Regulation includes requirements for Trust Service Providers (TSP) providing services to the public, including TSPs issuing time-stamps. Additionally, more specific requirements are identified in the Regulation for a specific class of TSP called a Qualified TSP, with fur

26、ther specific requirements for those Qualified TSPs which issue qualified time-stamps. The present document is aimed to meet the requirements of the Regulation for both Qualified and non-Qualified TSPs issuing Qualified and non-Qualified electronic time-stamps respectively. In order to verify an ele

27、ctronic signature, it can be necessary to prove that the signature from the signer was applied when the signers certificate was valid. This is necessary in two circumstances: 1) during the validity period of the signers certificate, should the signers certificate be revoked before the end of its val

28、idity, e.g. because the signers private key has been compromised; 2) after the end of the validity period of the signers certificate, since CAs are not mandated to process revocation status information beyond the end of the validity period of the certificates they have issued. ETSI ETSI EN 319 421 V

29、1.1.1 (2016-03) 6 One method consists to use a time-stamp which allows proving that a datum existed before a particular time. This technique allows proving that the signature was generated before the date contained in the time-stamp. Policy requirements to cover that case are the primary aim of the

30、present document. However, these policy requirements allow addressing other needs. Time-stamping is gaining an increasing interest by the business sector and is becoming an important component of digital signatures, this is commonly based upon the Time-Stamp protocol from the IETF RFC 3161 i.2 which

31、 is profiled in ETSI EN 319 422 5. Agreed minimum security and quality requirements are necessary in order to ensure trustworthy validation of long-term digital signatures. ETSI ETSI EN 319 421 V1.1.1 (2016-03) 7 1 Scope The present document specifies policy and security requirements relating to the

32、 operation and management practices of TSPs issuing time-stamps. These policy requirements are applicable to TSPs issuing time-stamps. Such time-stamps can be used in support of digital signatures or for any application requiring to prove that a datum existed before a particular time. The present do

33、cument can be used by independent bodies as the basis for confirming that a TSP can be trusted for issuing time-stamps. The present document does not specify: protocols used to access the TSUs; NOTE 1: A time-stamping protocol is defined in IETF RFC 3161 i.2 including optional update in IETF RFC 581

34、6 i.3 and profiled in ETSI EN 319 422 5. how the requirements identified herein can be assessed by an independent body; requirements for information to be made available to such independent bodies; requirements on such independent bodies. NOTE 2: See ETSI EN 319 403 i.9. 2 References 2.1 Normative r

35、eferences 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

36、. 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 refe

37、renced documents are necessary for the application of the present document. 1 Recommendation ITU-R TF.460-6 (2002): “Standard-frequency and time-signal emissions“. 2 ISO/IEC 19790:2012: “Information technology - Security techniques - Security requirements for cryptographic modules“. 3 ISO/IEC 15408

38、(parts 1 to 3): “Information technology - Security techniques - Evaluation criteria for IT security“. 4 ETSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. 5 ETSI EN 319 422: “Electronic Signatures and Infrastructures (ESI); Ti

39、me-stamping protocol and time-stamp token profiles“. 6 FIPS PUB 140-2 (2001): “Security Requirements for Cryptographic Modules“. ETSI ETSI EN 319 421 V1.1.1 (2016-03) 8 2.2 Informative references References are either specific (identified by date of publication and/or edition number or version numbe

40、r) 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

41、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 EN 319 122-1: “Electronic Signatures and Infrastructures (ESI); CAdES digital signatures; Part 1: Bui

42、lding blocks and CAdES baseline signatures“. i.2 IETF RFC 3161 (2001): “Internet X.509 Public Key Infrastructure: Time-Stamp Protocol (TSP)“. i.3 IETF RFC 5816: “ESSCertIDV2 update to RFC 3161“. i.4 Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic identificatio

43、n and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. i.5 Council Directive 93/13/EEC of 5 April 1993 on unfair terms in consumer contracts. i.6 BIPM Circular T. NOTE: Available from the BIPM website http:/www.bipm.org/. i.7 ETSI TS 119 312: “Ele

44、ctronic Signatures and Infrastructures (ESI); Cryptographic Suites“. i.8 ETSI TS 102 023: “Electronic Signatures and Infrastructures (ESI); Policy requirements for time-stamping authorities“. i.9 ETSI EN 319 403: “Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Ass

45、essment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.10 ETSI EN 319 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements“. i.11 ETSI EN 319 411

46、-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.12 CEN EN 419 231: “Protection profile for trustworthy systems supporting ti

47、me stamping“. i.13 CEN EN 419 221-2: “Protection profiles for TSP Cryptographic modules - Part 2: Cryptographic module for CSP signing operations with backup“. i.14 CEN EN 419 221-3: “Protection profiles for TSP Cryptographic modules - Part 3: Cryptographic module for Cryptographic module for CSP ke

48、y generation services“. i.15 CEN EN 419 221-4: “Protection profiles for TSP Cryptographic modules - Part 4: Cryptographic module for CSP signing operations without backup“. i.16 CEN EN 419 221-5: “Protection profiles for TSP Cryptographic modules - Part 5: Cryptographic module for trust services“. E

49、TSI ETSI EN 319 421 V1.1.1 (2016-03) 9 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given ETSI EN 319 401 4 and the following apply: NOTE: Where a definition is copied from a referenced document this is indicated by inclusion of the reference identifier number at the end of the definition. Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R TF.460-6 1 NOTE: For most practical p