ANSI INCITS ISO IEC TR 14516-2002 Information technology - Security techniques - Guidelines on the use and management of Trusted Third Party services (Technical Report).pdf

1、 INCITS/ISO/IEC TR 14516:2002 2015 (ISO/IEC TR 14516:2002, IDT) Information technology - Security techniques - Guidelines on the use and management of Trusted Third Party services (Technical Report) INCITS/ISO/IEC TR 14516:2002 2015 PDF disclaimer This PDF file may contain embedded typefaces. In acc

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5、Standards) as an American National Standard. Date of Registration: 6/28/2015 Published by American National Standards Institute, 25 West 43rd Street, New York, New York 10036 Copyright 2015 by Information Technology Industry Council (ITI). All rights reserved. These materials are subject to copyrigh

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7、tronic retrieval system, without the prior written permission of ITI. All requests pertaining to this standard should be submitted to ITI, 1101 K Street NW, Suite 610, Washington DC 20005. Printed in the United States of America ii ITIC 2015 All rights reserved Reference numberISO/IEC TR 14516:2002(

8、E)ISO/IEC 2002TECHNICAL REPORT ISO/IECTR14516First edition2002-06-15Information technology Security techniques Guidelines for the use and management of Trusted Third Party services Technologies de linformation Techniques de scurit Lignes directrices pour lemploi et la gestion des services TTP ISO/IE

9、C TR 14516:2002(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed or viewed but shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In down

10、loading this file, parties accept therein the responsibility of not infringing Adobes licensing policy. The ISO Central Secretariat accepts no liability in this area. Adobe is a trademark of Adobe Systems Incorporated. Details of the software products used to create this PDF file can be found in the

11、 General Info relative to the file; the PDF-creation parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address

12、given below. ISO/IEC 2002 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs

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14、iiiCONTENTS Page 1 Scope . 1 2 References 1 2.1 Identical Recommendations | International Standards 1 2.2 Paired Recommendations | International Standards equivalent in technical content 1 2.3 Additional References 1 3 Definitions 2 4 General Aspects 3 4.1 Basis of Security Assurance and Trust 3 4.2

15、 Interaction between a TTP and Entities Using its Services 4 4.2.1 In-line TTP Services . 4 4.2.2 On-line TTP Services 4 4.2.3 Off-line TTP Services. 5 4.3 Interworking of TTP Services 5 5 Management and Operational Aspects of a TTP 5 5.1 Legal Issues. 6 5.2 Contractual Obligations 6 5.3 Responsibil

16、ities 7 5.4 Security Policy. 7 5.4.1 Security Policy Elements 8 5.4.2 Standards 8 5.4.3 Directives and Procedures. 8 5.4.4 Risk Management. 8 5.4.5 Selection of Safeguards. 9 5.4.5.1 Physical and Environmental Measures . 9 5.4.5.2 Organisational and Personnel Measures . 9 5.4.5.3 IT Specific Measure

17、s. 9 5.4.6 Implementation Aspects of IT Security 10 5.4.6.1 Awareness and Training 10 5.4.6.2 Trustworthiness and Assurance 10 5.4.6.3 Accreditation of TTP Certification Bodies 11 5.4.7 Operational Aspects of IT Security 11 5.4.7.1 Audit/Assessment 11 5.4.7.2 Incident Handling 12 5.4.7.3 Contingency

18、 Planning 12 5.5 Quality of Service 12 5.6 Ethics 12 5.7 Fees. 12 6 Interworking. 12 6.1 TTP-Users . 13 6.2 User-User 13 6.3 TTP-TTP. 13 6.4 TTP-Law Enforcement Agency 14 7 Major Categories of TTP Services. 14 7.1 Time Stamping Service 14 7.1.1 Time Stamping Authority 14 7.2 Non-repudiation Services

19、 . 15 7.3 Key Management Services. 16 7.3.1 Key Generation Service 16 7.3.2 Key Registration Service. 16 7.3.3 Key Certification Service 16 7.3.4 Key Distribution Service. 17 7.3.5 Key Installation Service 17 7.3.6 Key Storage Service 17 7.3.7 Key Derivation Service. 17 7.3.8 Key Archiving Service 1

20、7 ISO/IEC TR 14516:2002(E) iv ISO/IEC 2002 All rights reservedPage 7.3.9 Key Revocation Service 17 7.3.10 Key Destruction Service . 17 7.4 Certificate Management Services . 18 7.4.1 Public Key Certificate Service 18 7.4.2 Privilege Attribute Service 18 7.4.3 On-line Authentication Service Based on C

21、ertificates 19 7.4.4 Revocation of Certificates Service. 19 7.5 Electronic Notary Public Services 19 7.5.1 Evidence Generation Service 20 7.5.2 Evidence Storage Service 20 7.5.3 Arbitration Service 20 7.5.4 Notary Authority 20 7.6 Electronic Digital Archiving Service 21 7.7 Other Services . 22 7.7.1

22、 Directory Service 22 7.7.2 Identification and Authentication Service 23 7.7.2.1 On-line Authentication Service 23 7.7.2.2 Off-line Authentication Service . 25 7.7.2.3 In-line Authentication Service 25 7.7.3 In-line Translation Service 25 7.7.4 Recovery Services 25 7.7.4.1 Key Recovery Services 25 7

23、.7.4.2 Data Recovery Services . 26 7.7.5 Personalisation Service . 26 7.7.6 Access Control Service. 26 7.7.7 Incident Reporting and Alert Management Service 26 Annex A Security Requirements for Management of TTPs 28 Annex B Aspects of CA management . 29 B.1 Example of Registration Process Procedures

24、. 29 B.2 An example of requirements for Certification Authorities. 29 B.3 Certification Policy and Certification Practice Statement (CPS) 31 Annex C Bibliography 32 Table of Figures Figure 1 In-line TTP Service Between Entities 4 Figure 2 On-line TTP Service Between Entities 5 Figure 3 Off-line TTP

25、Service Between Entities 5 Figure 4 Interworking of TTPs in Different Domains 13 Figure 5 Example of Non-repudiation Architecture . 16 Figure 6 Link Between an Attribute Certificate and a Public Key Certificate . 19 Figure 7 Directory Service Architecture 23 Figure 8 Example for On-line Authenticati

26、on Services 24 Figure 9 Example for In-line TTP Authentication Service . 25 Figure 10 Example of Alert Management Service 27 ISO/IEC TR 14516:2002(E) ISO/IEC 2002 All rights reserved vForeword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commis

27、sion) form the specialized system for worldwide standardization. National bodies that are members of ISO or IEC participate in the development of International Standards through technical committees established by the respective organization to deal with particular fields of technical activity. ISO

28、and IEC technical committees collaborate in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of information technology, ISO and IEC have established a joint technical committee, ISO/

29、IEC JTC 1. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 3. The main task of the joint technical committee is to prepare International Standards. Draft International Standards adopted by the joint technical committee are circulated to national

30、 bodies for voting. Publication as an International Standard requires approval by at least 75 % of the national bodies casting a vote. In exceptional circumstances, the joint technical committee may propose the publication of a Technical Report of one of the following types: type 1, when the require

31、d support cannot be obtained for the publication of an International Standard, despite repeated efforts; type 2, when the subject is still under technical development or where for any other reason there is the future but not immediate possibility of an agreement on an International Standard; type 3,

32、 when the joint technical committee has collected data of a different kind from that which is normally published as an International Standard (“state of the art”, for example). Technical Reports of types 1 and 2 are subject to review within three years of publication, to decide whether they can be t

33、ransformed into International Standards. Technical Reports of type 3 do not necessarily have to be reviewed until the data they provide are considered to be no longer valid or useful. Attention is drawn to the possibility that some of the elements of this Technical Report may be the subject of paten

34、t rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights. ISO/IEC TR 14516, which is a Technical Report of type 3, was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques, in collaboration wi

35、th ITU-T. The identical text is published as ITU-T Rec. X.842. ISO/IEC TR 14516:2002(E) vi ISO/IEC 2002 All rights reservedIntroduction Achievement of adequate levels of business confidence in the operation of IT systems is underpinned by the provision of practical and appropriate legal and technica

36、l controls. Business must have confidence that IT systems will offer positive advantages and that such systems can be relied upon to sustain business obligations and create business opportunities. An exchange of information between two entities implies an element of trust, e.g. with the recipient as

37、suming that the identity of the sender is in fact the sender, and in turn, the sender assuming that the identity of the recipient is in fact the recipient for whom the information is intended. This “implied element of trust“ may not be enough and may require the use of a Trusted Third Party (TTP) to

38、 facilitate the trusted exchange of information. The role of TTPs includes providing assurance that business and other trustworthy (e.g. governmental activities) messages and transactions are being transferred to the intended recipient, at the correct location, that messages are received in a timely

39、 and accurate manner, and that for any business dispute that may arise, there exist appropriate methods for the creation and delivery of the required evidence for proof of what happened. Services provided by TTPs may include those necessary for key management, certificate management, identification

40、and authentication support, privilege attribute service, non-repudiation, time stamping services, electronic public notary services, and directory services. TTPs may provide some or all of these services. A TTP has to be designed, implemented and operated to provide assurance in the security service

41、s it provides, and to satisfy applicable legal and regulatory requirements. The types and levels of protection adopted or required will vary according to the type of service provided and the context within which the business application is operating. The objectives of this Recommendation | Technical

42、 Report are to provide: a) Guidelines to TTP managers, developers and operations personnel and to assist them in the use and management of TTPs; and b) Guidance to entities regarding the services performed by TTPs, and the respective roles and responsibilities of TTPs and entities using their servic

43、es. Additional aspects covered by this Recommendation | Technical Report are to provide: a) An overview of the description of services provided; b) An understanding of the role of TTPs and their functional features; c) To provide a basis for the mutual recognition of services provided by different T

44、TPs; and d) Guidance of interworking between entities and TTPs. ISO/IEC TR 14516:2002 (E) ITU-T Rec. X.842 (10/2000) (E) 1 TECHNICAL REPORT ISO/IEC TR 14516 ITU-T RECOMMENDATION X.842 INFORMATION TECHNOLOGY SECURITY TECHNIQUES GUIDELINES FOR THE USE AND MANAGEMENT OF TRUSTED THIRD PARTY SERVICES 1 S

45、cope Associated with the provision and operation of a Trusted Third Party (TTP) are a number of security-related issues for which general guidance is necessary to assist business entities, developers and providers of systems and services, etc. This includes guidance on issues regarding the roles, po

46、sitions and relationships of TTPs and the entities using TTP services, the generic security requirements, who should provide what type of security, what the possible security solutions are, and the operational use and management of TTP service security. This Recommendation | Technical Report provide

47、s guidance for the use and management of TTPs, a clear definition of the basic duties and services provided, their description and their purpose, and the roles and liabilities of TTPs and entities using their services. It is intended primarily for system managers, developers, TTP operators and enter

48、prise users to select those TTP services needed for particular requirements, their subsequent management, use and operational deployment, and the establishment of a Security Policy within a TTP. It is not intended to be used as a basis for a formal assessment of a TTP or a comparison of TTPs. This R

49、ecommendation | Technical Report identifies different major categories of TTP services including: time stamping, non-repudiation, key management, certificate management, and electronic notary public. Each of these major categories consists of several services which logically belong together. 2 References 2.1 Identical Recommendations | International Standards IT U-T Recommendation X.509 (2001) | ISO/IEC 9594-8:2001, Inform