1、 ETSI TS 119 401 V2.0.1 (2015-07) Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers TECHNICAL SPECIFICATION ETSI ETSI TS 119 401 V2.0.1 (2015-07)2Reference RTS/ESI-0019401-TS Keywords electronic signature, provider, security, trust services ETSI
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6、x 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 of ETS
7、I. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2015. 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 Trade Mark
8、s 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 TS 119 401 V2.0.1 (2015-07)3Contents Intellectual Property Rights 4g3Foreword . 4g3Modal verbs terminology 4g3Intro
9、duction 4g31 Scope 5g32 References 5g32.1 Normative references . 5g32.2 Informative references 5g33 Definitions and abbreviations . 6g33.1 Definitions 6g33.2 Abbreviations . 6g34 Overview 7g35 Risk Assesment 7g36 Policies and practices . 7g36.1 Trust Service Practice (TSP) statement 7g36.2 Terms and
10、 Conditions 8g36.3 Information security policy 8g37 TSP management and operation . 9g37.1 Internal organization. 9g37.1.1 Organization reliability . 9g37.1.2 Segregation of duties 9g37.2 Human resources 9g37.3 Asset management 11g37.3.1 General requirements 11g37.3.2 Media handling . 11g37.4 Access
11、control 11g37.5 Cryptographic controls . 11g37.6 Physical and environmental security 11g37.7 Operation security 12g37.8 Network security 13g37.9 Incident management . 13g37.10 Collection of evidence 14g37.11 Business continuity management . 15g37.12 TSP termination and termination plans 15g37.13 Com
12、pliance. 15g3Annex A (informative): Bibliography . 17g3History 18g3ETSI ETSI TS 119 401 V2.0.1 (2015-07)4Intellectual 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, is publicl
13、y 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 the ETSI We
14、b server (http:/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 be, or may b
15、ecome, essential to the present document. Foreword This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). Modal verbs terminology In the present document “shall“, “shall not“, “should“, “should not“, “may“, “need not“, “will“,
16、 “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 in the online envir
17、onment 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 essential element
18、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 are issuers of pub
19、lic 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 providers (TSPs) h
20、ave 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 they provide. Othe
21、r standards, addressing particular type of trust service, can build on this standard to identify supplement requirements for particular type of trust service. The present document is aiming to meet the general requirements of the international community to provide trust and confidence in electronic
22、transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 i.2 and those from CA Browser Forum i.4. ETSI ETSI TS 119 401 V2.0.1 (2015-07)51 Scope The present document specifies general policy requirements relating to trust service providers (TSPs) that are indep
23、endent of the type of TSP whether certificate issuer (qualified or otherwise), timestamp issuer, signature verifier, e-delivery provider or other form of trust service provider. It defines policy requirements on the operation and management practices of TSPs. Other specifications refine and extend t
24、hese 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 made available to such independent assessors, or requirements on such assessors. NOT
25、E: See ETSI TS 119 403 i.6: “Electronic Signatures and Infrastructures (ESI); Requirements for conformity assessment bodies assessing Trust Service Providers“. 2 References 2.1 Normative references References are either specific (identified by date of publication and/or edition number or version num
26、ber) 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 are not found to be publicly available in the expected location might be found at ht
27、tp:/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. 2.2 Informative refer
28、ences 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 reference document (including any amendments) applies. NOT
29、E: 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 particular subject area. i
30、.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 Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014
31、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 practice for information security management“. i.4 CA/Browser Forum: “Guidelines for
32、the issuance and management of extended validation certificates“. i.5 ISO/IEC 27005:2011: “Information technology - Security techniques - Information security risk management“. ETSI ETSI TS 119 401 V2.0.1 (2015-07)6i.6 ETSI TS 119 403: “Electronic Signatures and Infrastructures (ESI); Trust Service
33、Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.7 Void. i.8 CA/Browser Forum: “Network and certificate system security requirements“. i.9 Void. i.10 ETSI TS 119 312: “Electronic Signatures and Infrastructures (ESI); Cryptographic S
34、uites“. i.11 Recommendation ITU-R TF.460-6 (2002): “Standard-frequency and time-signal emissions“. i.12 ETSI TS 119 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements“. i.13 ETSI EN
35、301 549: “Accessibility requirements suitable for public procurement of ICT products and services in Europe“. 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
36、 second as defined in Recommendation ITU-R TF.460-6 i.11 relying party: natural or legal person 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 bou
37、nd by agreement with a trust service provider to any subscriber obligations trust service: electronic service which enhances trust and confidence in electronic transactions NOTE: Such trust services are typically but not necessarily using cryptographic techniques or involving confidential material.
38、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 further information on TSP policy. trust service practice statement: statement of the practices that a
39、 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. 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: CA Certification Auth
40、ority IP Internet protocolIT Information Technology TSP Trust Service Provider UTC Coordinated Universal Time ETSI ETSI TS 119 401 V2.0.1 (2015-07)74 Overview Trust services may encompass but should not be limited to the issuance of public key certificates, provision of registration services, time-s
41、tamping 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 by more specific re
42、quirements for controls to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be met. NOTE: The details of controls required to meet an objective is a balance between achieving the necessary confidence whilst minimizing the restrictions on
43、 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 business and technical issues. The TSP shall select the appropriate risk treatment measures, taking accoun
44、t 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 security risk management as part of an information security management system. The TSP shall determine
45、all security requirements and operational procedures that are necessary to implement the risk treatment options measures chosen as documented in the information security policy and the trust service practice statement (see clause 6). The risk assessment shall be regularly reviewed and revised. 6 Pol
46、icies and practices 6.1 Trust Service Practice (TSP) 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 ha
47、ve a statement of the practices and procedures for the trust service provided. NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement. In particular: a) The TSP shall have a statement of the practices and procedures used to address all the requi
48、rements identified for the applicable TSP policy. b) The TSPs trust service practice statement shall identify the obligations of all external organizations supporting the TSP services including the applicable policies and practices. c) The TSP shall make available to subscribers and relying parties
49、its practice statement, and other relevant documentation, as necessary to assess conformance to the service policy. d) The TSP shall have a management body with overall responsibility for the TSP with final authority for approving the TSP practice statement. e) The TSP management shall implement the practices. f) The TSP shall define a review process for the practices including responsibilities for maintaining the TSP practice statement. ETSI ETSI TS 119 401 V2.0.1 (2015-07)8g) The TSP shall notify notice of changes it intends to make in i
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