ETSI EN 319 411-2-2016 Electronic Signatures and Infrastructures (ESI) Policy and security requirements for Trust Service Providers issuing certificates Part 2 Requirements for tru.pdf

1、 ETSI EN 319 411-2 V2.1.1 (2016-02) 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 floppy3EUROPEAN STANDARD ETSI ETSI EN 319 411-2 V

2、2.1.1 (2016-02) 2 Reference REN/ESI-0019411-2 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 lucratif enre

3、gistre 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 present do

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7、zed 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 2016. All rights reserved. DECTTM, PLUGT

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9、n. ETSI ETSI EN 319 411-2 V2.1.1 (2016-02) 3 Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 7g33 Definitions, abbreviations and notation 8g33.1 Definitions 8g33.2 Ab

10、breviations . 8g33.3 Notation 8g34 General concepts 9g34.1 General policy requirements concepts 9g34.2 Certificate policy and certification practice statement . 9g34.2.1 Overview 9g34.2.2 Purpose . 9g34.2.3 Level of specificity . 9g34.2.4 Approach 9g34.2.5 Certificate policy 9g34.3 Other TSP stateme

11、nts . 10g34.4 Certification services 10g35 General provisions on Certification Practice Statement and Certificate Policies. 10g35.1 General requirements . 10g35.2 Certification Practice Statement Requirements 11g35.3 Certificate Policy name and identification . 11g35.4 PKI Participants 12g35.4.1 Cer

12、tification authority . 12g35.4.2 Subscriber and subject 12g35.4.3 Others 12g35.5 Certificate Usage 12g35.5.1 QCP-n . 12g35.5.2 QCP-l 12g35.5.3 QCP-n-qscd. 12g35.5.4 QCP-l-qscd . 12g35.5.5 QCP-w 12g36 Trust Service Providers practice . 13g36.1 Publication and Repository Responsibilities 13g36.2 Ident

13、ification and Authentication . 13g36.2.1 Naming . 13g36.2.2 Initial Identity Validation 13g36.2.3 Identification and authentication for Re-key requests 13g36.2.4 Identification and authentication for revocation requests . 13g36.3 Certificate Life-Cycle Operational Requirements 14g36.3.1 Certificate

14、Application 14g36.3.2 Certificate application processing . 14g36.3.3 Certificate issuance . 14g36.3.4 Certificate acceptance . 14g36.3.5 Key Pair and Certificate Usage . 14g36.3.6 Certificate Renewal. 14g36.3.7 Certificate Re-key . 14g36.3.8 Certificate Modification 15g36.3.9 Certificate Revocation

15、and Suspension. 15g3ETSI ETSI EN 319 411-2 V2.1.1 (2016-02) 4 6.3.10 Certificate Status Services 15g36.3.11 End of Subscription 15g36.3.12 Key Escrow and Recovery 15g36.4 Facility, Management, and Operational Controls . 15g36.4.1 General 15g36.4.2 Physical Security Controls 15g36.4.3 Procedural Cont

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

17、ate Key Protection and Cryptographic Module Engineering Controls . 17g36.5.3 Other Aspects of Key Pair Management . 17g36.5.4 Activation Data . 17g36.5.5 Computer Security Controls . 17g36.5.6 Life Cycle Security Controls 17g36.5.7 Network Security Controls . 17g36.5.8 Time-stamping 17g36.6 Certific

18、ate, CRL, and OCSP Profiles . 17g36.6.1 Certificate Profile 17g36.6.2 CRL Profile . 18g36.6.3 OCSP Profile 18g36.7 Compliance Audit and Other Assessment 18g36.8 Other Business and Legal Matters 19g36.8.1 Fees . 19g36.8.2 Financial Responsibility . 19g36.8.3 Confidentiality of Business Information .

19、19g36.8.4 Privacy of Personal Information . 19g36.8.5 Intellectual Property Rights 19g36.8.6 Representations and Warranties 19g36.8.7 Disclaimers of Warranties 19g36.8.8 Limitations of Liability . 19g36.8.9 Indemnities . 19g36.8.10 Term and Termination 19g36.8.11 Individual notices and communication

20、s with participants 19g36.8.12 Amendments . 19g36.8.13 Dispute Resolution Procedures . 20g36.8.14 Governing Law . 20g36.8.15 Compliance with Applicable Law 20g36.8.16 Miscellaneous Provisions . 20g36.9 Other Provisions . 20g36.9.1 Organizational. 20g36.9.2 Additional testing 20g36.9.3 Disabilities 2

21、0g36.9.4 Terms and conditions 20g37 Framework for the definition of other certificate policies built on the present document . 20g37.1 Certificate policy management . 20g37.2 Additional requirements . 21g3Annex A (informative): Regulation and EU qualified certificate policy mapping . 22g3Annex B (in

22、formative): Conformity Assessment Check list . 26g3Annex C (informative): Revisions made since ETSI EN 319 411-2 version 1.1.1 (2013-01) 27g3History 28g3ETSI ETSI EN 319 411-2 V2.1.1 (2016-02) 5 Intellectual Property Rights IPRs essential or potentially essential to the present document may have bee

23、n 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 standards“,

24、 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 referenc

25、ed 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 part 2 of

26、a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates. 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 authoritie

27、s issuing qualified certificates“. National transposition dates Date of adoption 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 co

28、nflicting National Standard (dow): 30 June 2017 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 ex

29、pression of provisions). “must“ and “must not“ 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. These concepts

30、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 (TSP) issuing public key certificates, commonly called a certification authority (C

31、A). By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the series ETSI EN 319 411-1 2, is aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, am

32、ongst others, requirements from Regulation (EU) No 910/2014 i.1 and from CA Browser Forum i.3. ETSI ETSI EN 319 411-2 V2.1.1 (2016-02) 6 The present document incorporates the general policy and security requirements as specified in ETSI EN 319 411-1 2 and adds further requirements in order to meet t

33、he 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 website authentication in accordance with but not limited to Articles 19, 24, 28, 38

34、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 EN 319 411-1 2 to benefit from global best practices,

35、and specify any additional requirements in a manner similar to the present document. Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are qualified in accordance with Regulation (EU) N 910/2014 i.1. ETSI ETSI EN 319 411-2 V2.1.1 (201

36、6-02) 7 1 Scope The present document specifies policy and security requirements for the issuance, maintenance and life-cycle management of EU qualified certificates as defined in Regulation (EU) N 910/2014 i.1. These policy and security requirements support reference certificate policies for the iss

37、uance, maintenance and life-cycle management of EU qualified certificates issued to natural persons (including natural persons associated with a legal person or a website) and to legal persons (including legal persons associated with a website), respectively. The present document does not specify ho

38、w 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. The present document however provides in annex B a check list of the policy requirements specific to TS

39、P issuing EU qualified certificates (as expressed in the present document) as well as all the requirements incorporated by reference to ETSI EN 319 411-1 2 and ETSI EN 319 401 1, that can be used by the TSP to prepare an assessment of its practices against the present document and/or by the assessor

40、 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 EN 319 403 i.6 for guidance on assessment of TSP processes and services. 2 References 2.1 Normative references References are eithe

41、r 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 (including any amendments) applies. Referenced documents which a

42、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

43、 for the application of the present document. 1 ETSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. 2 ETSI EN 319 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for trust service provi

44、ders issuing certificates; Part 1: General requirements“. 3 ETSI EN 319 412-5: “Electronic 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

45、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 guara

46、ntee 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 Regulation (EU) N 910/2014 of the European Parliament and of the Council on electronic identification

47、 and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. i.2 ETSI TS 101 456: “Electronic Signatures and Infrastructures (ESI); Policy requirements for certification authorities issuing qualified certificates“. ETSI ETSI EN 319 411-2 V2.1.1 (2016-02)

48、 8 i.3 Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates, CA/Browser Forum. i.4 IETF RFC 3647: “Internet X.509 Public Key Infrastructure Certificate Policy and Certification Practices Framework“. i.5 Directive 95/46/EC of the European Parliament and of the Counci

49、l 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.6 ETSI EN 319 403: “Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.7 Guidelines for The Issuance and Management of Extended Validation Certificates v1.5.5, CA/Browser Forum. 3 Definitions, abbreviations and notation 3.1 Definitions For the purposes of