ETSI EN 319 522-1-2018 Electronic Signatures and Infrastructures (ESI) Electronic Registered Delivery Services Part 1 Framework and Architecture (V1 1 1).pdf

1、 ETSI EN 319 522-1 V1.1.1 (2018-09) Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 1: Framework and Architecture EUROPEAN STANDARD ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 2 Reference DEN/ESI-0019522-1 Keywords e-delivery services, registered e-delivery

2、 services, registered electronic mail 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 The prese

3、nt 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 of ETSI

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6、tps:/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

7、be modified without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. ETSI 2018. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are trademarks of ETSI registered for the benefit of its Members. 3GPPTM and LTETMare t

8、rademarks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. oneM2M logo is protected for the benefit of its Members. GSMand the GSM logo are trademarks registered and owned by the GSM Association. ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 3 Contents Intellectua

9、l Property Rights 4g3Foreword . 4g3Modal verbs terminology 5g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 6g33 Definitions and abbreviations . 7g33.1 Definitions 7g33.2 Abbreviations . 8g34 ERDS logical model . 8g34.1 Introduction 8g34.2 Black-box model 9g34.2

10、.1 Functional viewpoint 9g34.2.2 Sequence viewpoint 10g34.3 4-corner model . 11g34.3.1 Functional viewpoint 11g34.3.2 Sequence viewpoint 12g34.4 Extended model 14g34.4.1 Functional viewpoint 14g34.4.2 Sequence viewpoint 14g35 ERDS interfaces . 16g36 ERDS events and evidence set . 17g36.1 Overview 17

11、g36.2 Events and their Proof 19g36.2.1 A. Events related to the submission 19g36.2.2 B. Events related to the relay between ERDSs . 19g36.2.3 C. Events related to the acceptance/rejection by recipient 20g36.2.4 D. Events related to the consignment to Recipient . 21g36.2.5 E. Events related to the ha

12、ndover to the recipient . 22g36.2.6 F. Events related to connections with non ERD systems 22g3History 23g3ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 4 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The inf

13、ormation 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“, which is available from th

14、e 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 referenced in ETSI SR 000 314 (or t

15、he updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Trademarks The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners. ETSI claims no ownership of these except for any which are indicat

16、ed as being the property of ETSI, and conveys no right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks. Foreword This European St

17、andard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 1 of a multi-part deliverable covering the Electronic Registered Delivery Services, as identified below: Part 1: “Framework and Architecture“; Part 2: “Semantic con

18、tents“; Part 3: “Formats“; Part 4: “Bindings“: Sub-part 1: “Message delivery bindings“; Sub-part 2: “Evidence and identification bindings“; Sub-part 3: “Capability/requirements bindings“. National transposition dates Date of adoption of this EN: 23 August 2018 Date of latest announcement of this EN

19、(doa): 30 November 2018 Date of latest publication of new National Standard or endorsement of this EN (dop/e): 31 May 2019 Date of withdrawal of any conflicting National Standard (dow): 31 May 2019 ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 5 Modal verbs terminology In the present document “shall“, “sh

20、all 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 deliverables except when used in dire

21、ct citation. ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 6 1 Scope The present document provides a reference framework and architecture for Electronic Registered Delivery Services. 2 References 2.1 Normative references References are either specific (identified by date of publication and/or edition numb

22、er 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 are not found to be publicly available in the expected location mi

23、ght be found at https:/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 for the application of the present document. Not applicable. 2

24、.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 (including any ame

25、ndments) 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 present document but they assist the user with regard to a parti

26、cular subject area. i.1 Regulation (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.2 ISO/IEC 13888-1:2009: “Information technology -

27、 Security techniques - Non-repudiation - Part 1: General“. i.3 ISO/IEC 13888-2:2010: “Information technology - Security techniques - Non-repudiation - Part 2: Mechanisms using symmetric techniques“. i.4 ISO/IEC 13888-3:2010: “Information technology - Security techniques - Non-repudiation - Part 3: M

28、echanisms using asymmetric techniques“. i.5 ETSI EN 319 522-2: “Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 2: Semantic Contents“. i.6 ETSI EN 319 522-3: “Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part

29、 3: Formats“. i.7 ETSI EN 319 522-4-1: “Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 4: Bindings; Sub-part 1: Message delivery bindings“. i.8 ETSI EN 319 522-4-2: “Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Servic

30、es; Part 4: Bindings; Sub-part 2: Evidence and identification bindings“. ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 7 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: Common Service Interface (CSI): interface of a suppo

31、rting system that can provide message routing, trust management, capability management, governance functions consignment: act of making the user content available to the recipient, within the boundaries of the electronic registered delivery service Electronic Registered Delivery Service (ERDS): elec

32、tronic service that transmits data between a sender and recipients by electronic means, provides evidence relating to the handling of the transmitted data, including proof of sending and receiving the data, and that protects transmitted data against the risk of loss, theft, damage or any unauthorize

33、d alterations NOTE: An electronic registered delivery service is provided by one ERDSP. ERDSPs can cooperate in transferring data from a sender to a recipient when they are subscribed to different ERDSPs (as detailed in 4-corner and extended models in clauses 4.3 and 4.4). Electronic Registered Deli

34、very Service Provider (ERDSP): entity which provides electronic registered delivery service NOTE: It can be a Trust Service Provider as defined in Regulation (EU) No 910/2014 i.1. ERD event: relevant event in the electronic delivery process, which can be attested by an ERDS evidence ERD message: dat

35、a composed of an optional user content, ERDS relay metadata and zero or more ERDS evidence ERD User Agent/Application (ERD-UA): system consisting of software and/or hardware components by which senders and recipients participate in the exchange of data with electronic registered delivery service pro

36、viders ERDS evidence: data generated by the electronic registered delivery service, which aims to prove that a certain event has occurred at a certain time ERDS handover metadata: data related to the user content which is generated by the electronic registered delivery service and handed over to the

37、 ERD user agent/application ERDS Message and Evidence Retrieval Interface (ERDS MERI): interface of electronic registered delivery service used by ERD user agent/application to retrieve user content and associated metadata ERDS Message Submission Interface (ERDS MSI): interface used by the senders E

38、RD user agent/application to submit original messages to the senders electronic registered delivery service ERDS Relay Interface (ERDS RI): interface that supports ERD message relay between different electronic registered delivery services ERDS relay metadata: data related to the user content which

39、is generated by the electronic registered delivery service for the purpose of relaying to another electronic registered delivery service ERD-UA Message and Evidence Push Interface (ERD-UA MEPI): interface of ERD-UA used by ERDS to push data handover: act of having the user content successfully cross

40、 the border of the recipients electronic registered delivery service towards the recipients ERD user agent/application original message: data including user content and submission metadata recipient: natural or legal person to which the user content is addressed sender: natural or legal person that

41、has submitted the user content submission metadata: data submitted to the electronic registered delivery service together with the user content ETSI ETSI EN 319 522-1 V1.1.1 (2018-09) 8 user content: original data produced by the sender which has to be delivered to the recipient 3.2 Abbreviations Fo

42、r the purposes of the present document, the following abbreviations apply: CSI Common Service Interface DNS Domain Name System ERD Electronic Registered Delivery ERDS Electronic Registered Delivery Service ERDS MERI ERDS Message and Evidence Retrieval Interface ERDS MSI ERDS Message Submission Inter

43、face ERDS RI ERDS Relay Interface ERDSP Electronic Registered Delivery Service Provider ERD-UA MEPI ERD-UA Message and Evidence Push Interface ERD-UA Electronic Registered Delivery User Agent/Application ERP Enterprise Resource Planning I-ERDS Intermediate ERDS R-ERDS Recipients ERDSSAML Security As

44、sertion Markup Language S-ERDS Senders ERDS WSDL Web Services Description Language 4 ERDS logical model 4.1 Introduction An ERDS provides evidence about events that happen during the transfer of data between parties (e.g. evidence that the data has been delivered to the recipient), similar to well-k

45、nown physical postal services for paper-based documents, such as “registered mail“ and/or “return receipt“. This evidence can be used to prove to third parties, if needed also in legal proceedings, that the transaction took place at the time and between the parties as indicated in the evidence. The

46、legal requirements to an ERDS and the evidence it needs to support can vary across different domains. An ERDS evidence is an attestation provided by an ERDS that a specific event related to the process of transferring some specific data between the sender and recipient (for instance, the submission

47、of a message, the delivery of a message, the refusal of a message) happened at a certain time. An ERDS evidence can be immediately delivered to the sender/recipient or can be kept in a repository for later access by interested parties. It is common practice to implement ERDS evidence as digitally si

48、gned data. The concept of ERDS evidence can be assimilated to non-repudiation tokens defined in ISO/IEC 13888 i.2, i.3 and i.4, with many specificities as illustrated in clause 6. Secure and reliable delivery to a recipient requires that the recipient is uniquely identified. The present document als

49、o covers the unique identification of the sender (which is a requirement, for instance, for enforcing legal accountability), even if in some cases his identity is not disclosed to the recipient. Unique identification can be achieved by one unique identifier or by a collection of attributes that together uniquely identify the actor. An important purpose of the present document is to support ERDS delivery between senders and recipients that are natural or legal persons; however, in principle any uniquely identified entity (system, service, function,