ETSI TS 119 411-2-2015 Electronic Signatures and Infrastructures (ESI) Policy and security requirements for Trust Service Providers issuing certificates Part 2 Requirements for trut.pdf

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1、 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 floppy3TECHNICAL SPECIFICATION ETSI ETSI TS 119 4

2、11-2 V2.0.7 (2015-07)2Reference RTS/ESI-0019411-2-TS Keywords e-commerce, electronic signature, security, 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 lucrat

3、if enregistre la Sous-Prfecture de Grasse (06) N 7803/88 Important notice The present 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 pre

4、sent document shall not be modified without the prior written authorization of ETSI. 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 d

5、rive within ETSI Secretariat. Users of the present document should be aware that the document may be subject to revision or change of status. Information on the current status of this and other ETSI documents is available at http:/portal.etsi.org/tb/status/status.asp If you find errors in the presen

6、t document, please send your comment to one of the following services: https:/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

7、 by written permission of ETSI. The content of the PDF version shall not be modified without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2015. All rights reserved. DECTTM, PLUGTEST

8、STM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the benefit 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.

9、ETSI ETSI TS 119 411-2 V2.0.7 (2015-07)3Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 6g33 Definitions, abbreviations and notations 7g33.1 Definitions 7g33.2 Abbrev

10、iations . 7g33.3 Notation 7g34 General concepts 8g34.1 General policy requirements concepts 8g34.2 Certificate policy and certification practice statement . 8g34.2.1 Overview 8g34.2.2 Purpose . 8g34.2.3 Level of specificity . 8g34.2.4 Approach 8g34.2.5 Certificate policy 8g34.3 Other TSP statements

11、. 9g34.4 Certification services 9g35 General provisions on Certification Practice Statement and Certificate Policies. 9g35.1 General requirements . 9g35.2 Certification Practice Statement Requirements 9g35.3 Certificate Policy name and identification . 10g35.4 PKI Participants 10g35.4.1 Certificatio

12、n authority . 10g35.4.2 Subscriber and subject 10g35.4.3 Others 10g35.5 Certificate Usage 10g35.5.1 QCP-n . 10g35.5.2 QCP-l 11g35.5.3 QCP-n-qscd. 11g35.5.4 QCP-l-qscd . 11g35.5.5 QCP-w 11g36 Trust Service Providers practice . 11g36.1 Publication and Repository Responsibilities 11g36.2 Identification

13、 and Authentication . 11g36.2.1 Naming . 11g36.2.2 Initial Identity Validation 11g36.2.3 Identification and authentication for Re-key requests 12g36.2.4 Identification and authentication for revocation requests . 12g36.3 Certificate Life-Cycle Operational Requirements 12g36.3.1 Certificate Applicati

14、on 12g36.3.2 Certificate application processing . 12g36.3.3 Certificate issuance . 12g36.3.4 Certificate acceptance . 12g36.3.5 Key Pair and Certificate Usage . 12g36.3.6 Certificate Renewal. 13g36.3.7 Certificate Re-key . 13g36.3.8 Certificate Modification 13g36.3.9 Certificate Revocation and Suspe

15、nsion. 13g3ETSI ETSI TS 119 411-2 V2.0.7 (2015-07)46.3.10 Certificate Status Services 13g36.3.11 End of Subscription 13g36.3.12 Key Escrow and Recovery 14g36.4 Facility, Management, and Operational Controls . 14g36.4.1 General 14g36.4.2 Physical Security Controls 14g36.4.3 Procedural Controls 14g36.

16、4.4 Personnel Controls 14g36.4.5 Audit Logging Procedures 14g36.4.6 Records Archival 14g36.4.7 Key Changeover . 14g36.4.8 Compromise and Disaster Recovery . 15g36.4.9 CA or RA Termination . 15g36.5 Technical Security Controls . 15g36.5.1 Key Pair Generation and Installation 15g36.5.2 Private Key Pro

17、tection and Cryptographic Module Engineering Controls . 15g36.5.3 Other Aspects of Key Pair Management . 16g36.5.4 Activation Data . 16g36.5.5 Computer Security Controls . 16g36.5.6 Life Cycle Security Controls 16g36.5.7 Network Security Controls . 16g36.5.8 Time-stamping 16g36.6 Certificate, CRL, a

18、nd OCSP Profiles . 16g36.6.1 Certificate Profile 16g36.6.2 CRL Profile . 17g36.6.3 OCSP Profile 17g36.7 Compliance Audit and Other Assessment 17g36.8 Other Business and Legal Matters 17g36.8.1 Fees . 17g36.8.2 Financial Responsibility . 17g36.8.3 Confidentiality of Business Information . 17g36.8.4 P

19、rivacy of Personal Information . 17g36.8.5 Intellectual Property Rights 17g36.8.6 Representations and Warranties 17g36.8.7 Disclaimers of Warranties 18g36.8.8 Limitations of Liability . 18g36.8.9 Indemnities . 18g36.8.10 Term and Termination 18g36.8.11 Individual notices and communications with part

20、icipants 18g36.8.12 Amendments . 18g36.8.13 Dispute Resolution Procedures . 18g36.8.14 Governing Law . 18g36.8.15 Compliance with Applicable Law 18g36.8.16 Miscellaneous Provisions . 18g36.9 Other Provisions . 18g36.9.1 Organizational. 18g36.9.2 Additional testing 18g36.9.3 Disabilities 19g36.9.4 Te

21、rms and conditions 19g37 Framework for the definition of other certificate policies built on the present document . 19g37.1 Certificate policy management . 19g37.2 Additional requirements . 19g3Annex A (informative): Regulation and EU qualified certificate policy mapping . 20g3Annex B (informative):

22、 Conformity Assessment Check list . 24g3Annex C (informative): Revisions made since version 1.1.1 (2013-01) 25g3History 26g3ETSI ETSI TS 119 411-2 V2.0.7 (2015-07)5Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The informa

23、tion 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 ET

24、SI 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 upd

25、ates 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

26、 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“.

27、 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“

28、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 da

29、ta 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 (

30、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 co

31、mmunity 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 f

32、urther 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

33、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

34、to benefit from global best practices, and specify any additional requirements in a manner similar to the present document. ETSI ETSI TS 119 411-2 V2.0.7 (2015-07)61 Scope The present document specifies policy and security requirements for the issuance, maintenance and life-cycle management of EU qu

35、alified 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

36、 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

37、. 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

38、 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 guidanc

39、e 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 l

40、atest 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 publ

41、ication, 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: “

42、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: “Electron

43、ic 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 no

44、n-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

45、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 Dir

46、ective 1999/93/EC. ETSI ETSI TS 119 411-2 V2.0.7 (2015-07)7i.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 1

47、999 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

48、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 As

49、sessment - 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 910/2