1、 ETSI EN 319 401 V2.1.1 (2016-02) Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers EUROPEAN STANDARD ETSI ETSI EN 319 401 V2.1.1 (2016-02) 2 Reference REN/ESI-0019401V211 Keywords electronic signature, provider, security, trust services ETSI 65
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6、aff.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 written authorization
7、 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 and LTE are Tra
8、de 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 319 401 V2.1.1 (2016-02) 3 Contents Intellectual Property Rights 4g3Foreword . 4g3Modal verbs terminology
9、 4g3Introduction 4g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 6g33 Definitions and abbreviations . 7g33.1 Definitions 7g33.2 Abbreviations . 7g34 Overview 8g35 Risk Assesment 8g36 Policies and practices . 8g36.1 Trust Service Practice statement 8g36.2 Terms
10、and Conditions 9g36.3 Information security policy 9g37 TSP management and operation . 10g37.1 Internal organization. 10g37.1.1 Organization reliability . 10g37.1.2 Segregation of duties 10g37.2 Human resources 10g37.3 Asset management 12g37.3.1 General requirements 12g37.3.2 Media handling . 12g37.4
11、 Access control 12g37.5 Cryptographic controls . 12g37.6 Physical and environmental security 13g37.7 Operation security 13g37.8 Network security 14g37.9 Incident management . 15g37.10 Collection of evidence 16g37.11 Business continuity management . 16g37.12 TSP termination and termination plans 16g3
12、7.13 Compliance. 17g3Annex A (informative): Bibliography . 18g3History 19g3ETSI ETSI EN 319 401 V2.1.1 (2016-02) 4 Intellectual Property 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,
13、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 updates are available on t
14、he 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 server) which are, or may
15、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). National transposition dates Date of adoption of this EN: 22 February 2016 Date of latest announcement of this EN
16、(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 Modal verbs terminology In the present document “shall“, “shall not“, “should“, “should not“, “may“,
17、“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 NOT allowed in ETSI deliverables except when used in direct citation. Introduction Building trust
18、in the online environment is key to economic and social development. Lack of trust, in particular because of a perceived lack of security, makes consumers, businesses and administrations hesitate to carry out transactions electronically and to adopt new services. Trust service providers are often an
19、 essential element to establish trust between parties transacting electronically, particularly in open public networks, and can be used, for example, to provide trusted identity information and help establish secure communications between transacting parties. Examples of such trust service providers
20、 are issuers of public key certificates, time-stamping service providers, providers of remote electronic signature generation or validation services. For participants of electronic commerce to have confidence in the security of these trust services they need to have confidence that the trust service
21、 providers (TSPs) have established a set of procedures, processes and security measures in order to minimize the operational and financial threats and risks associated. The present document specifies baseline policy requirements on the operation and management practices of TSP regardless the service
22、 they provide. Other standards, addressing particular type of trust service, can build on the present document to identify supplement requirements for particular type of trust service. ETSI ETSI EN 319 401 V2.1.1 (2016-02) 5 The present document is aiming to meet the general requirements to provide
23、trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 i.2 and those from CA Browser Forum i.4. EXAMPLE: ETSI EN 319 411-2 i.11 annex A describes the application of the present document to the requirements of Regulation No
24、910/2014 i.2 requirements for TSPs issuing EU qualified certificates. ETSI ETSI EN 319 401 V2.1.1 (2016-02) 6 1 Scope The present document specifies general policy requirements relating to trust service providers (TSPs) that are independent of the type of TSP. It defines policy requirements on the o
25、peration and management practices of TSPs. Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present document does not specify how the requirements identified can be assessed by an independent party, including requirements for information to be m
26、ade available to such independent assessors, or requirements on such assessors. NOTE: See ETSI EN 319 403 i.6: “Electronic Signatures and Infrastructures (ESI); Requirements for conformity assessment bodies assessing Trust Service Providers“. 2 References 2.1 Normative references References are eith
27、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 reference document (including any amendments) applies. Referenced documents which a
28、re 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 referenced documents are necessary
29、 for the application of the present document. Not applicable. 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 non-specific references, t
30、he latest version of the reference 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 the application of the pr
31、esent document but they assist the user with regard to a particular subject area. i.1 Directive 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.2 Regulat
32、ion (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. i.3 ISO/IEC 27002:2013: “Information technology - Security techniques - Code of pr
33、actice for information security management“. i.4 CA/Browser Forum: “Guidelines for the issuance and management of extended validation certificates“. i.5 ISO/IEC 27005:2011: “Information technology - Security techniques - Information security risk management“. i.6 ETSI EN 319 403: “Electronic Signatu
34、res and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. ETSI ETSI EN 319 401 V2.1.1 (2016-02) 7 i.7 CA/Browser Forum: “Network and certificate system security requirements“. i.8 Recommendation ITU
35、-R TF.460-6 (2002): “Standard-frequency and time-signal emissions“. i.9 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.10 ETSI EN 301 549: “Accessibility requirem
36、ents suitable for public procurement of ICT products and services in Europe“. i.11 ETSI EN 319 411-2: “Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service providers issuing EU quali
37、fied certificates“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R TF.460-6 i.8 relying party: natural or legal pe
38、rson that relies upon an electronic identification or a trust service NOTE: Relying parties include parties verifying a digital signature using a public key certificate. subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations trust service:
39、electronic service for: creation, verification, and validation of digital signatures and related certificates; creation, verification, and validation of time-stamps and related certificates; registered delivery and related certificates; creation, verification and validation of certificates for websi
40、te authentication; or preservation of digital signatures or certificates related to those services. trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class of application with common security requirements NOTE: See clause 6 for fu
41、rther information on TSP policy. trust service practice statement: statement of the practices that a TSP employs in providing a trust service NOTE: See clause 6.2 for further information on practice statement. trust service provider: entity which provides one or more trust services trust service tok
42、en: physical or binary (logical) object generated or issued as a result of the use of a trust service NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses. 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: CA C
43、ertification Authority IP Internet ProtocolIT Information Technology TSP Trust Service Provider UTC Coordinated Universal Time ETSI ETSI EN 319 401 V2.1.1 (2016-02) 8 4 Overview Trust services may encompass but should not be limited to the issuance of public key certificates, provision of registrati
44、on services, time-stamping services, long term preservation services, e-delivery services and/or signature validation services. These policy requirements are not meant to imply any restrictions on charging for TSP services. The requirements are indicated in terms of the security objectives followed
45、by more specific requirements for controls to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be met. When implementing controls of clause 7, ISO/IEC 27002:2013 i.3 should be applied. NOTE: The details of controls required to meet an ob
46、jective is a balance between achieving the necessary confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing services. 5 Risk Assesment The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into account busin
47、ess and technical issues. The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results. The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk. NOTE: See ISO/IEC 27005 i.5 for guidance on information se
48、curity risk management as part of an information security management system. The TSP shall determine all security requirements and operational procedures that are necessary to implement the risk treatment measures chosen, as documented in the information security policy and the trust service practic
49、e statement (see clause 6). The risk assessment shall be regularly reviewed and revised. The TSP management shall approve the risk assessment and accept the residual risk identified. 6 Policies and practices 6.1 Trust Service Practice statement The TSP shall specify the set of policies and practices appropriate for the trust services it is providing. These shall be approved by management, published and communicated to employees and external parties as relevant. The TSP shall have a statement of the practices and procedures for t
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