ETSI TS 119 421-2015 Electronic Signatures and Infrastructures (ESI) Policy and Security Requirements for Trust Service Providers issuing Time-Stamps (V1 0 1 Includes Diskette)《电子签.pdf

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1、 ETSI TS 119 421 V1.0.1 (2015-07) Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing Time-Stamps floppy3TECHNICAL SPECIFICATION ETSI ETSI TS 119 421 V1.0.1 (2015-07)2Reference RTS/ESI-0019421-TS Keywords e-commerce, electronic signat

2、ure, security, 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 Th

3、e 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 present document shall not be modified without the prior written authorization

4、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 drive within ETSI Secretariat. Users of the present document should be aware

5、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 present document, please send your comment to one of the following services: https

6、:/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 be

7、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, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the bene

8、fit 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 TS 119 421 V1.0.1 (2015-07)3Contents Intellectual Property Rights

9、5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 7g33 Definitions and abbreviations . 8g33.1 Definitions 8g33.2 Abbreviations . 8g34 General concepts 9g34.1 General policy requirements concepts 9g34.2 Time

10、-stamping services 9g34.3 Time-Stamping Authority (TSA) . 9g34.4 Subscriber . 9g34.5 Time-stamp policy and TSA practice statement . 10g35 Introduction to time-stamp policies and general requirements 10g35.1 General . 10g35.2 Identification 10g35.3 User community and applicability 10g35.3.1 Best prac

11、tices time-stamp policy 10g36 Policies and practices . 11g36.1 Risk assessment 11g36.2 Trust Service Practice Statement 11g36.3 Terms and conditions . 11g36.4 Information security policy 11g36.5 TSA obligations 11g36.5.1 General 11g36.5.2 TSA obligations towards subscribers 11g36.6 Information for r

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

13、3g37.6.4 TSU public key certificate 14g37.6.5 Rekeying TSUs key . 14g37.6.6 Life cycle management of signing cryptographic hardware . 14g37.6.7 End of TSU key life cycle . 14g37.7 Time-stamping . 15g37.7.1 Time-stamp issuance. 15g37.7.2 Clock synchronization with UTC . 15g37.8 Physical and environme

14、ntal security 16g37.9 Operation security 16g37.10 Network security 17g37.11 Incident management . 17g3ETSI ETSI TS 119 421 V1.0.1 (2015-07)47.12 Collection of evidence 17g37.13 Business continuity management . 17g37.14 TSA termination and termination plans 17g37.15 Compliance. 18g38 Additional requi

15、rements for Regulation (EU) No 910/2014 18g38.1 TSU public key certificate 18g3Annex A (informative): Potential liability in the provision of time-stamping services 19g3Annex B (informative): Model TSA disclosure statement 20g3B.1 Introduction 20g3B.2 TSA disclosure statement structure 20g3Annex C (

16、informative): Coordinated Universal Time (UTC). 22g3Annex D (informative): Long term verification of time-stamps . 23g3Annex E (informative): Regulation (EU) No 910/2014 and qualified electronic time-stamp policy cross-reference 24g3Annex F (informative): Possible implementation architectures - time

17、-stamping service 25g3F.1 Managed time-stamping service . 25g3F.2 Selective alternative quality . 25g3Annex G (informative): Major changes from ETSI TS 102 023 . 27g3Annex H (informative): Conformity Assessment Check list . 28g3History 29g3ETSI ETSI TS 119 421 V1.0.1 (2015-07)5Intellectual Property

18、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); Essent

19、ial, 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

20、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 Commit

21、tee Electronic Signatures and Infrastructures (ESI). The present document was previously published as ETSI TS 102 023 i.8. 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

22、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 The present document is aiming to meet the general requirements of the international commun

23、ity to provide trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (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. Additio

24、nally, more specific requirements are identified in the Regulation for a specific class of TSP called a Qualified TSP, with further 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 Qual

25、ified and non-Qualified TSPs issuing Qualified and non-Qualified electronic time-stamps respectively. In order to verify an electronic 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

26、: 1) during the validity period of the signers certificate, should the signers certificate be revoked before the end of its validity, 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 r

27、evocation status information beyond the end of the validity period of the certificates they have issued. 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 containe

28、d in the time-stamp. Policy requirements to cover that case are the primary aim of the 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 signature

29、s, this is commonly based upon the Time-Stamp protocol from the IETF RFC 3161 i.2 which is profiled in ETSI TS 119 422 5. Agreed minimum security and quality requirements are necessary in order to ensure trustworthy validation of long-term digital signatures. ETSI ETSI TS 119 421 V1.0.1 (2015-07)61

30、Scope The present document specifies policy and security requirements relating to the 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 applica

31、tion requiring to prove that a datum existed before a particular time. The present document 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-stampi

32、ng protocol is defined in IETF RFC 3161 i.2 including optional update in IETF RFC 5816 i.3 and profiled in ETSI TS 119 422 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 s

33、uch independent bodies. NOTE 2: See ETSI TS 119 403 i.10. 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 refere

34、nces, 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 t

35、ime of publication, ETSI cannot guarantee their long term validity. The following referenced 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 19790:2006: “Information technology - Se

36、curity techniques - Security requirements for cryptographic modules“. 3 ISO/IEC 15408 (1999) (parts 1 to 3): “Information technology - Security techniques - Evaluation criteria for IT security“. 4 ETSI TS 119 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trus

37、t Service Providers“. 5 ETSI TS 119 422: “Electronic Signatures and Infrastructures (ESI); Time-stamping protocol and time-stamp profiles“. ETSI ETSI TS 119 421 V1.0.1 (2015-07)72.2 Informative references References are either specific (identified by date of publication and/or edition number or vers

38、ion 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 g

39、uarantee 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 119 122: “Electronic Signatures and Infrastructures (ESI); CAdES digital signatures; Part

40、 1: Building 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 identi

41、fication 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 31

42、2: “Electronic 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 FIPS PUB 140-2 (2001): “Security Requirements for Cryptographic Modules“. i.10 ETSI TS 119 403: “

43、Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.11 ETSI TS 119 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Servi

44、ce Providers issuing certificates; Part 1: General requirements“. i.12 ETSI TS 119 411-2: “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 certifi

45、cates“. i.13 CEN EN 419 231: “Protection profile for trustworthy systems supporting time stamping“. i.14 CEN EN 419 221-2: “Protection profiles for TSP Cryptographic modules - Part 2: Cryptographic module for CSP signing operations with backup “. i.15 CEN EN 419 221-3: “Protection profiles for TSP C

46、ryptographic modules - Part 3: Cryptographic module for Cryptographic module for CSP key generation services “. i.16 CEN EN 419 221-4: “Protection profiles for TSP Cryptographic modules - Part 4: Cryptographic module for CSP signing operations without backup“. i.17 CEN EN 419 221-5: “Protection prof

47、iles for TSP Cryptographic modules - Part 5: Cryptographic module for trust services“. ETSI ETSI TS 119 421 V1.0.1 (2015-07)83 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given ETSI TS 119 401 4 and the following apply: NOTE: Wher

48、e 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 purposes UTC is

49、equivalent to mean solar time at the prime meridian (0). More specifically, UTC is a compromise between the highly stable atomic time (Temps Atomique International - TAI) and solar time derived from the irregular Earth rotation (related to the Greenwich mean sidereal time (GMST) by a conventional relationship) (see annex C for more details). relying party: recipient of a time-stamp who relies on that time-stamp subscriber: legal or natural person to whom a time-stamp is issued and who is bound