1、 ETSI TS 101 456 V1.4.2 (2006-12)Technical Specification Electronic Signatures and Infrastructures (ESI);Policy requirements for certification authoritiesissuing qualified certificatesETSI ETSI TS 101 456 V1.4.2 (2006-12) 2 Reference RTS/ESI-000056 Keywords e-commerce, electronic signature, security
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5、nts is available at http:/portal.etsi.org/tb/status/status.asp If you find errors in the present document, please send your comment to one of the following services: http:/portal.etsi.org/chaircor/ETSI_support.asp Copyright Notification No part may be reproduced except as authorized by written permi
6、ssion. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2006. All rights reserved. DECTTM, PLUGTESTSTM and UMTSTM are Trade Marks of ETSI registered for the benefit of its Members. TIPHONTMand the TIPHON logo are Trade M
7、arks currently being registered by ETSI for the benefit of its Members. 3GPPTM is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. ETSI ETSI TS 101 456 V1.4.2 (2006-12) 3 Contents Intellectual Property Rights5 Foreword.5 Introduction 5 1 Scope 6
8、 2 References 7 3 Definitions and abbreviations.8 3.1 Definitions8 3.2 Abbreviations .9 4 General concepts 10 4.1 Certification authority 10 4.2 Certification services10 4.3 Certificate policy and certification practice statement .11 4.3.1 Purpose .11 4.3.2 Level of specificity .12 4.3.3 Approach 12
9、 4.3.4 Other CA statements.12 4.4 Subscriber and subject12 5 Introduction to qualified certificate policies.13 5.1 Overview 13 5.2 Identification 13 5.3 User Community and applicability.14 5.3.1 QCP public + SSCD .14 5.3.2 QCP public14 5.4 Conformance 14 5.4.1 General14 5.4.2 QCP public + SSCD .15 5
10、.4.3 QCP public15 6 Obligations and liability .15 6.1 Certification authority obligations15 6.2 Subscriber obligations 15 6.3 Information for relying parties .16 6.4 Liability 16 7 Requirements on CA practice.17 7.1 Certification Practice Statement (CPS) 17 7.2 Public key infrastructure - Key manage
11、ment life cycle18 7.2.1 Certification authority key generation 18 7.2.2 Certification authority key storage, backup and recovery.19 7.2.3 Certification authority public key distribution19 7.2.4 Key escrow .19 7.2.5 Certification authority key usage 20 7.2.6 End of CA key life cycle.20 7.2.7 Life cyc
12、le management of cryptographic hardware used to sign certificates .20 7.2.8 CA provided subject key management services20 7.2.9 Secure-signature-creation device preparation.21 7.3 Public key infrastructure - Certificate Management life cycle .21 7.3.1 Subject registration .21 7.3.2 Certificate renew
13、al, rekey and update.23 7.3.3 Certificate generation24 7.3.4 Dissemination of Terms and Conditions.25 7.3.5 Certificate dissemination 25 7.3.6 Certificate revocation and suspension.26 ETSI ETSI TS 101 456 V1.4.2 (2006-12) 4 7.4 CA management and operation 27 7.4.1 Security management27 7.4.2 Asset c
14、lassification and management .28 7.4.3 Personnel security.28 7.4.4 Physical and environmental security.29 7.4.5 Operations management .30 7.4.6 System Access Management.31 7.4.7 Trustworthy Systems Deployment and Maintenance .32 7.4.8 Business continuity management and incident handling 32 7.4.9 CA
15、termination .33 7.4.10 Compliance with Legal Requirements34 7.4.11 Recording of Information Concerning Qualified Certificates.34 7.5 Organizational 36 8 Framework for the definition of other qualified certificate policies 37 8.1 Qualified certificate policy management37 8.2 Exclusions for non public
16、 QCPs.37 8.3 Additional requirements .38 8.4 Conformance 38 Annex A (informative): Potential liability in the use of electronic signatures 39 Annex B (informative): Model PKI disclosure statement.42 B.1 Introduction 42 B.2 The PDS structure 42 Annex C (informative): Electronic signature Directive an
17、d qualified certificate policy cross-reference .44 Annex D (informative): IETF RFC 3647/RFC 2527 and qualified certificate policy cross-reference .45 Annex E (informative): Revisions made since previous edition 1.2.1 48 E.1 Additional Requirements48 E.2 Update Requirements .48 E.3 Clarifications 48
18、E.4 Editorial48 E.5 Revisions made since 1.3.1 48 Annex F (informative): Bibliography.49 History 50 ETSI ETSI TS 101 456 V1.4.2 (2006-12) 5 Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining to these
19、 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 the ETSI Secretariat. Latest u
20、pdates are available on the ETSI Web server (http:/webapp.etsi.org/IPR/home.asp). 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
21、the ETSI Web server) which are, or may be, or may become, essential to the present document. Foreword This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). Introduction Electronic commerce is emerging as a way of doing busine
22、ss and communicating across public and private networks. An important requirement of electronic commerce is the ability to identify the originator of electronic information in the same way that documents are signed using a hand-written signature. This is commonly achieved by using electronic signatu
23、res which are supported by a certification-service-provider issuing certificates, commonly called a certification authority. For users of electronic signatures to have confidence in the authenticity of the electronic signatures they need to have confidence that the CA has properly established proced
24、ures and protective measures in order to minimize the operational and financial threats and risks associated with public key crypto systems. The Directive 1999/93/EC of the European Parliament and of the Council on a Community framework for electronic signatures 1 (hereinafter referred to as “the Di
25、rective“) identifies a special form of electronic signature which is based on a “qualified certificate“. Annex I of this Directive specifies requirements for qualified certificates. Annex II of the Directive specifies requirements on certification-service-providers issuing qualified certificates (i.
26、e. certification authorities issuing qualified certificates). The present document specifies baseline policy requirements on the operation and management practices of certification authorities issuing qualified certificates in accordance with the Directive. The use of a secure-signature-creation dev
27、ice, as required through annex III of the Directive, is an optional element of the policy requirements specified in the present document. The present document applies also to certification authorities that include attributes in qualified certificates. Policy requirements for Attribute Authorities, i
28、.e. for authorities that issue Attribute Certificates, are specified in TS 102 158 14. ETSI ETSI TS 101 456 V1.4.2 (2006-12) 6 1 Scope The present document specifies policy requirements relating to certification authorities (CAs) issuing qualified certificates (termed certification-service-providers
29、 issuing qualified certificates in the Directive 1). It defines policy requirements on the operation and management practices of certification authorities issuing qualified certificates such that subscribers, subjects certified by the CA and relying parties may have confidence in the applicability o
30、f the certificate in support of electronic signatures. The policy requirements are defined in terms of: a) the specification of two closely related qualified certificate policies for qualified certificates issued to the public, one requiring the use of a secure-signature-creation device; b) a framew
31、ork for the definition of other qualified certificate policies enhancing the above policies or for qualified certificates issued to non-public user groups. The policy requirements relating to the CA include requirements on the provision of services for registration, certificate generation, certifica
32、te dissemination, revocation management, revocation status and, if required, signature-creation device provision. Other certification-service-provider functions such as time-stamping, attribute certificates and confidentiality support are outside the scope of the present document. In addition, the p
33、resent document does not address requirements for certification authority certificates, including certificate hierarchies and cross-certification. The policy requirements are limited to requirements for the certification of keys used for electronic signatures. These policy requirements are specifica
34、lly aimed at qualified certificates issued to the public, and used in support of qualified electronic signatures (i.e. electronic signatures that are legally equivalent to hand-written signatures in line with article 5.1 of the European Directive on a community framework for electronic signatures 1)
35、. It specifically addresses the requirements for CAs issuing qualified certificates in accordance with annexes I and II of this Directive 1. Requirements for the use of secure-signature-creation devices as specified in annex III, which is also a requirement for electronic signatures in line with art
36、icle 5.1, is an optional element of the policy requirements specified in the present document. Certificates issued under these policy requirements may be used to authenticate a person who acts on his own behalf or on behalf of the natural person, legal person or entity he represents. These policy re
37、quirements are based around the use of public key cryptography to support electronic signatures. The present document may be used by competent independent bodies as the basis for confirming that a CA meets the requirements for issuing qualified certificates. It is recommended that subscribers and re
38、lying parties consult the certification practice statement of the issuing CA to obtain further details of precisely how a given certificate policy is implemented by the particular CA. The present document does not specify how the requirements identified may be assessed by an independent party, inclu
39、ding requirements for information to be made available to such independent assessors, or requirements on such assessors. NOTE: See CEN Workshop Agreement 14172 “EESSI Conformity Assessment Guidance“. ETSI ETSI TS 101 456 V1.4.2 (2006-12) 7 2 References The following documents contain provisions whic
40、h, through reference in this text, constitute provisions of the present document. References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For a specific reference, subsequent revisions do not apply. For a non-specific reference, the
41、 latest version 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 publication ETSI cannot guarantee their long term validi
42、ty. 1 Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures. NOTE: The above is referred to as “the Directive“ in the present document. 2 IETF RFC 3647 (2003): “Internet X.509 Public Key Infrastructure Certificate Po
43、licy and Certification Practices Framework“. NOTE: Obsolete IETF RFC 2527. 3 ITU-T Recommendation X.509 (2000)/ISO/IEC 9594-8 (2001): “Information technology - Open Systems Interconnection - The Directory: Public-key and attribute certificate frameworks“. 4 Directive 95/46/EC of the European Parliam
44、ent 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. 5 FIPS PUB 140-2 (2001): “Security Requirements For Cryptographic Modules“. 6 ETSI TS 101 862: “Qualified certificate profile“. 7 ISO/IEC 1
45、5408 (2005) (parts 1 to 3): “Information technology - Security techniques - Evaluation criteria for IT security“. 8 CEN Workshop Agreement 14167-1: “Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 1: System Security Requirements“. 9 CEN Workshop A
46、greement 14167-2: “Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 2: Cryptographic Module for CSP signing operations with backup - Protection profile (CMCSOB-PP)“. 10 CEN Workshop Agreement 14167-3: “Security Requirements for Trustworthy Systems
47、Managing Certificates for Electronic Signatures - Part 3: Cryptographic module for CSP key generation services - Protection profile (CMCKG-PP)“. 11 CEN Workshop Agreement 14167-4: “Security Requirements for Trustworthy Systems Managing Certificates for Electronic Signatures - Part 4: Cryptographic m
48、odule for CSP signing operations - Protection profile - CMCSO PP“. 12 Council Directive 93/13/EEC of 5 April 1993 on unfair terms in consumer contracts. 13 ISO/IEC 17799 (2005): “Information technology - Security techniques - Code of practice for information security management“. 14 ETSI TS 102 158:
49、 “Electronic Signatures and Infrastructures (ESI); Policy requirements for Certification Service Providers issuing attribute certificates usable with Qualified certificates“. ETSI ETSI TS 101 456 V1.4.2 (2006-12) 8 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: advanced electronic signature: electronic signature which meets the following requirements: a) it is uniquely linked to the signatory; b) it is capable of identifying the signatory; c) it is c
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