ETSI EN 319 411-1-2016 Electronic Signatures and Infrastructures (ESI) Policy and security requirements for Trust Service Providers issuing certificates Part 1 General requirements.pdf

1、 ETSI EN 319 411-1 V1.1.1 (2016-02) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements floppy3EUROPEAN STANDARD ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 2 Reference DEN/ESI-0019411-1 Keywords

2、 e-commerce, electronic signature, extended validation certificate, public key, 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 lucratif enregistre la

3、 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 present document sh

4、all 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 drive within ETSI

5、 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 https:/portal.etsi.org/TB/ETSIDeliverableStatus.aspx If you find errors in the present docu

6、ment, 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 by wr

7、itten 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 2016. All rights reserved. DECTTM, PLUGTESTSTM, U

8、MTSTMand 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. ETSI E

9、TSI EN 319 411-1 V1.1.1 (2016-02) 3 Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 8g33 Definitions, abbreviations and notation 9g33.1 Definitions 9g33.2 Abbreviatio

10、ns . 11g33.3 Notation 12g34 General concepts 12g34.1 General policy requirements concepts 12g34.2 Certificate policy and certification practice statement . 12g34.2.1 Overview 12g34.2.2 Purpose . 13g34.2.3 Level of specificity . 13g34.2.4 Approach 13g34.2.5 Certificate Policy 13g34.3 Other Trust Serv

11、ice Providers statements 14g34.4 Certification services 14g35 General provisions on Certification Practice Statement and Certificate Policies. 15g35.1 General requirements . 15g35.2 Certification Practice Statement requirements . 16g35.3 Certificate Policy name and identification . 16g35.4 PKI parti

12、cipants 17g35.4.1 Certification Authority 17g35.4.2 Subscriber and subject 17g35.4.3 Others 18g35.5 Certificate usage . 18g36 Trust Service Providers practice . 18g36.1 Publication and repository responsibilities . 18g36.2 Identification and authentication 19g36.2.1 Naming . 19g36.2.2 Initial identi

13、ty validation . 19g36.2.3 Identification and authentication for Re-key requests 21g36.2.4 Identification and authentication for revocation requests . 22g36.3 Certificate Life-Cycle operational requirements 23g36.3.1 Certificate application . 23g36.3.2 Certificate application processing . 23g36.3.3 C

14、ertificate issuance . 23g36.3.4 Certificate acceptance . 25g36.3.5 Key pair and certificate usage . 26g36.3.6 Certificate renewal 27g36.3.7 Certificate Re-key. 27g36.3.8 Certificate modification 27g36.3.9 Certificate revocation and suspension. 28g36.3.10 Certificate status services 28g36.3.11 End of

15、 subscription . 29g36.3.12 Key escrow and recovery 29g36.4 Facility, management, and operational controls . 29g36.4.1 General 29g3ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 4 6.4.2 Physical security controls . 29g36.4.3 Procedural controls . 30g36.4.4 Personnel controls . 30g36.4.5 Audit logging proced

16、ures 30g36.4.6 Records archival . 31g36.4.7 Key changeover 31g36.4.8 Compromise and disaster recovery . 31g36.4.9 Certification Authority or Registration Authority termination . 32g36.5 Technical security controls . 33g36.5.1 Key pair generation and installation . 33g36.5.2 Private key protection an

17、d cryptographic module engineering controls . 34g36.5.3 Other aspects of key pair management . 35g36.5.4 Activation data 35g36.5.5 Computer security controls . 36g36.5.6 Life cycle security controls . 36g36.5.7 Network security controls . 37g36.5.8 Timestamping . 37g36.6 Certificate, CRL, and OCSP p

18、rofiles 37g36.6.1 Certificate profile 37g36.6.2 CRL profile . 37g36.6.3 OCSP profile . 37g36.7 Compliance audit and other assessment . 37g36.8 Other business and legal matters 37g36.8.1 Fees . 37g36.8.2 Financial responsibility . 37g36.8.3 Confidentiality of business information 38g36.8.4 Privacy of

19、 personal information 38g36.8.5 Intellectual property rights 38g36.8.6 Representations and warranties . 38g36.8.7 Disclaimers of warranties . 38g36.8.8 Limitations of liability 38g36.8.9 Indemnities . 38g36.8.10 Term and termination 38g36.8.11 Individual notices and communications with participants

20、39g36.8.12 Amendments . 39g36.8.13 Dispute resolution procedures. 39g36.8.14 Governing law 39g36.8.15 Compliance with applicable law . 39g36.8.16 Miscellaneous provisions 39g36.9 Other provisions . 39g36.9.1 Organizational. 39g36.9.2 Additional testing 39g36.9.3 Disabilities 39g36.9.4 Terms and cond

21、itions 40g37 Framework for the definition of other certificate policies 40g37.1 Certificate policy management . 40g37.2 Additional requirements . 40g3Annex A (informative): Model PKI disclosure statement . 41g3A.1 Introduction 41g3A.2 The PDS structure 41g3A.3 The PDS format 42g3Annex B (informative

22、): Revisions made since previous versions . 43g3Annex C (informative): Conformity assessment checklist 44g3Annex D (informative): Bibliography . 45g3History 46g3ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 5 Intellectual Property Rights IPRs essential or potentially essential to the present document may

23、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); Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI sta

24、ndards“, which is available from the ETSI Secretariat. Latest 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

25、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 European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is pa

26、rt 1 of a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates, as identified below: Part 1: “General requirements“; Part 2: “Requirements for trust service providers issuing EU qualified certificates“; Part 3: “Policy requirements for Certification Au

27、thorities issuing public key certificates“. The present document is derived from the requirements specified in ETSI TS 102 042 i.6 “Policy requirements for certification authorities issuing public key certificates“ that has been updated as detailed in annex B. National transposition dates Date of ad

28、option 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 Modal verbs terminology In

29、 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 NOT allowed in ETSI del

30、iverables except when used in direct citation. Introduction Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private networks. An important requirement of electronic commerce is the ability to identify the originator and protect the confident

31、iality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA). For participants of electronic commerce to have confidence in the security of these

32、cryptographic mechanisms they need to have confidence that the TSP has properly established procedures and protective measure in order to minimize the operational and financial threats and risks associated with public key cryptographic systems. ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 6 The present d

33、ocument 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 Regulation (EU) No 910/2014 i.14 and those from CA/Browser Forum, BRG 5. Bodies wishing to establish po

34、licy requirements for TSPs issuing certificates in a regulatory context other than the EU can base their requirements on those specified in the present document and specify any additional requirements in a manner similar to ETSI EN 319 411-2 i.5, which builds on the present document requirements so

35、as to benefit from the use of generally accepted global best practices. ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 7 1 Scope The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP) issuing public key certificates, including trusted web site

36、 certificates. The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle management of certificates. These policy and security requirements support six reference certificate policies, defined in clause 5. A framework for the definition of

37、policy requirements for TSPs issuing certificates in a specific context where particular requirements apply is defined in clause 7. The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as specified in the present document. It does not includ

38、e requirements for root CAs and intermediate CAs for other purposes. The present document is applicable to: the general requirements of certification in support of cryptographic mechanisms, including digital signatures and seals; the general requirements of certification authorities issuing TLS/SSL

39、certificates; the general requirements of the use of cryptography for authentication and encryption. 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 assessor

40、s, or requirements on such assessors. NOTE: See ETSI EN 319 403 i.2 for guidance on assessment of TSP processes and services. The present document references ETSI EN 319 401 8 for general policy requirements common to all classes of TSP services. The present document however provides in annex C, a c

41、hecklist of the policy requirements specific to TSP issuing certificates (as expressed in the present document) including the generic requirements which are independent of the type of service (as expressed in ETSI EN 319 401 8). The present document includes provisions consistent with the requiremen

42、ts from the CA/Browser Forum in EVCG 4 and BRG 5. 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, th

43、e 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 time of p

44、ublication, ETSI cannot guarantee their long term validity. The following referenced documents are necessary for the application of the present document. 1 ISO/IEC 15408 (parts 1 to 3): “Information technology - Security techniques - Evaluation criteria for IT security“. 2 ETSI EN 319 412-4: “Electr

45、onic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4: Certificate profile for web site certificates“. ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 8 3 ISO/IEC 19790:2012: “Information technology - Security techniques - Security requirements for cryptographic modules“. 4 CA/Browser Foru

46、m (V1.5.5): “Guidelines for The Issuance and Management of Extended Validation Certificates“. 5 CA/Browser Forum (V1.3.0): “Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates“. 6 ISO/IEC 9594-8/Recommendation ITU-T X.509: “Information technology - Open Systems Int

47、erconnection - The Directory: Public-key and attribute certificate frameworks“. 7 IETF RFC 5280: “Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile“. 8 ETSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for

48、Trust Service Providers“. 9 ETSI EN 319 412-2: “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2: Certificate profile for certificates issued to natural persons“. 10 ETSI EN 319 412-3: “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3: Certif

49、icate profile for certificates issued to legal persons“. 11 IETF RFC 6960: “X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol - OCSP“. 12 FIPS PUB 140-2 (2001): “Security Requirements for Cryptographic Modules“. 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, the latest version of the referenced document (includ