1、BSI Standards Publication Security requirements for trustworthy systems managing certificates and time-stamps PD CEN/TS 419261:2015National foreword This Published Document is the UK implementation of CEN/TS 419261:2015. The UK participation in its preparation was entrusted to Technical Committee IS
2、T/17, Cards and personal identification. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standard
3、s Institution 2015. Published by BSI Standards Limited 2015 ISBN 978 0 580 86425 4 ICS 03.120.20; 35.040; 35.240.30 Compliance with a British Standard cannot confer immunity from legal obligations. This Published Document was published under the authority of the Standards Policy and Strategy Committ
4、ee on 30 April 2015. Amendments/corrigenda issued since publication Date Text affected PUBLISHED DOCUMENT PD CEN/TS 419261:2015 TECHNICAL SPECIFICATION SPCIFICATION TECHNIQUE TECHNISCHE SPEZIFIKATION CEN/TS 419261 March 2015 ICS 03.120.20; 35.040; 35.240.30 English Version Security requirements for
5、trustworthy systems managing certificates and time-stamps Exigences de scurit pour systmes de confiance grant des certificats et des horodatages Sicherheitsanforderungen fr vertrauenswrdige Systeme zur Verwaltung von Zertifikaten fr elektronische Signaturen und Zeitstempel This Technical Specificati
6、on (CEN/TS) was approved by CEN on 18 November 2014 for provisional application. The period of validity of this CEN/TS is limited initially to three years. After two years the members of CEN will be requested to submit their comments, particularly on the question whether the CEN/TS can be converted
7、into a European Standard. CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make the CEN/TS available promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in parallel to the CEN/TS) u
8、ntil the final decision about the possible conversion of the CEN/TS into an EN is reached. CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary,
9、 Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. EUROPEAN COMMITTEE FOR STANDARDIZATION COMIT EUROPEN DE NORMALISATION EUROPISCHES KOMITEE FR NORMUNG CEN-CENELEC
10、Management Centre: Avenue Marnix 17, B-1000 Brussels 2015 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members. Ref. No. CEN/TS 419261:2015 E PD CEN/TS 419261:2015CEN/TS 419261:2015 (E) 2 Contents Page Foreword 4 Introduction .7 1 Scope 8 1.1 Genera
11、l 8 1.2 European Regulation-specific 8 2 Normative references 9 3 Terms, definitions, symbols and abbreviations .9 3.1 Terms and definitions .9 3.2 Symbols and abbreviations . 14 4 Description of a Trust Service Provider System . 15 4.1 General . 15 4.2 TSP Core Services for certificate management .
12、 15 4.3 TSP Supplementary Services for certificate management . 16 4.4 TSP Core Services for electronic time-stamp management 17 4.5 Overall Architecture . 17 5 Security Requirements . 18 5.1 Relationship between Security Requirements and Recommendations 18 5.2 General Security Requirements 19 5.2.1
13、 Management 19 5.2.2 Systems and Operations 20 5.2.3 Identification and Authentication 22 5.2.4 System Access Control 23 5.2.5 Key Management 24 5.2.6 Accounting and Auditing . 29 5.2.7 Archiving . 31 5.2.8 Backup and Recovery 31 5.2.9 Network Security Requirements for the Operational Environment .
14、32 5.2.10 Physical Security Requirements for the Operational Environment 32 5.3 Core Services Security Requirements for TWS managing certificates 33 5.3.1 General . 33 5.3.2 Registration Service . 33 5.3.3 Certificate Generation Service 35 5.3.4 Dissemination Service . 37 5.3.5 Certificate Revocatio
15、n Management Service . 38 5.3.6 Certificate Revocation Status Service 40 5.4 Supplementary Services Security Requirements 42 5.4.1 Subject Device Provision Service . 42 5.5 Core Services Security Requirements for TWS managing electronic time-stamps 44 5.5.1 Time-Stamping Service 44 Annex A (informat
16、ive) Physical security requirements for the operational environment 47 A.1 General . 47 A.2 P1 Intrusion Resistant Security Perimeter . 47 A.3 P2 Access Control System 48 A.4 P3 Intrusion Alarm System 49 A.5 P4 Fire Protection and Prevention 49 A.6 P5 Power Supply . 50 A.7 P6 Air Conditioning and Ve
17、ntilation . 50 PD CEN/TS 419261:2015CEN/TS 419261:2015 (E) 3 Annex B (informative) Network Security Requirements for the Operational Environment . 52 B.1 General . 52 B.2 NET1 Protected TWS Architecture 52 B.3 NET2 Logging 53 B.4 NET3 Monitoring and Alerting 53 Bibliography 55 PD CEN/TS 419261:2015C
18、EN/TS 419261:2015 (E) 4 Foreword This document (CEN/TS 419261:2015) has been prepared by Technical Committee CEN/TC 224 “Personal identification, electronic signature and cards and their related systems and operations”, the secretariat of which is held by AFNOR. This document has been prepared under
19、 a mandate given to CEN by the European Commission and the European Free Trade Association. Successful implementation of European Directive 1999/93/EC on a Community framework for electronic signatures Dir.1999/93/EC and of REGULATION (EU) No 910/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of
20、 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC Reg.910/2014/EU requires standards for services, processes, systems and products related to electronic signatures as well as guidance for conformity ass
21、essment of such services, processes, systems and products. NOTE According to Article 50 of Reg.910/2014/EU Directive 1999/93/EC is repealed with effect from 1 July 2016 and references to the repealed Directive shall be construed as references to the Regulation. In 1999 the European Information and C
22、ommunications Technologies Standards Board, with the support of the European Commission, undertook an initiative bringing together industry and public authorities, experts and other market players, to create the European Electronic Signature Standardization Initiative (EESSI). Within this framework
23、the Comit Europen de Normalization / Information Society Standardization System (CEN/ISSS) and the European Telecommunications Standards Institute / Electronic Signatures and Infrastructures (ETSI/ESI) were entrusted with the execution of a work programme to develop generally recognized standards to
24、 support the implementation of Dir.1999/93/EC and development of a European electronic signature infrastructure. The CEN/ISSS Workshop on electronic signatures (WS/E-SIGN) resulted in a set of deliverables, CEN Workshop Agreements (CWA), which contributed towards those generally recognized standards
25、. In 2011 the European Commission (EC) with the support of the European Free Trade Association has signed a specific grant agreement with the European Committee for Standardization (CEN) regarding the update of the existing European e-Signature CEN Workshop Agreements (CWAs) in the framework of Phas
26、e 1 of the mandate M/460. The present document is such a CEN Workshop Agreement that was first created as a CWA and then updated into a Technical Specification (TS). The purpose of this TS is to describe the security requirements for trustworthy systems managing certificates for electronic signature
27、s and to define overall system security requirements, whereas EN 419221 specifies security requirements for cryptographic devices. The requirements were partly inspired by Common Criteria CC Part 2, but the TS is not compliant to CC, as e.g. EN 419221. In consequence, this TS cannot be used to perfo
28、rm Common Criteria certifications of products. The TS is intended for use by designers and developers of systems managing certificates and time-stamps, as well as customers of such systems. Executive Summary This Technical Specification specifies security requirements on products and technology comp
29、onents, used by Trust Service Providers (TSPs) for issuing and managing certificates as well as electronic time-stamps in the sense of the 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 transact
30、ions in the internal market and repealing Directive 1999/93/EC Reg.910/2014/EU. PD CEN/TS 419261:2015CEN/TS 419261:2015 (E) 5 The term TSP includes certification service providers (CSPs) issuing qualified certificates as defined in the Directive “Directive 1999/93/EC of the European Parliament and o
31、f the Council of 13 December 1999 on a community framework for electronic signatures” Dir.1999/93/EC. These certificates are used in conjunction with electronic signatures and advanced electronic signatures in accordance with Directive 1999/93/EC Dir.1999/93/EC. Additionally, electronic time-stamps
32、issued by a TSP provide evidence that the stamped data existed at a given time. This Technical Specification contains the same requirements for TWS used by CSPs according to Dir.1999/93/EC and for TWS used by TSPs according to Reg.910/2014/EU. However, Reg.910/2014/EU allows TSPs to manage electroni
33、c time-stamps without managing certificates. This is not allowed for CSPs according to Dir.1999/93/EC. Therefore, this Technical Specification distinguishes between CSPs and TSPs with respect to the provided services where necessary. TSPs need to use Trustworthy Systems (TWSs) for securely providing
34、 the following services, which are defined in this TS: a) Registration Service - to verify the identity and, if applicable, any specific attributes of a subject; b) Certificate Generation Service - to create certificates; c) Dissemination Service - to provide certificates and policy information to s
35、ubjects and relying parties; d) Revocation Management Service - to allow the processing of revocation requests; e) Revocation Status Service - to provide certificate revocation status information to relying parties; f) Subject Device Provision Service to prepare and provide a Signature Creation Devi
36、ce (SCDev) to subjects. This includes Qualifed electronic Signature and Seal Creation Device (QSCD) provision; g) Time-stamping Service provides a Time-stamping Service which may be needed for signature verification purposes. TSP shall follow: h) “General Security Requirements” specified in 5.2 that
37、 are applicable to all previously mentioned services; i) Security requirements specified in 5.3, 5.4 and 5.5 that are specific to some of the previously mentioned services. In accordance with Directive1999/93/EC, CSPs need to establish and maintain the first five core services relevant for the issua
38、nce and management of qualified certificates (Registration Service, Certificate Generation Service, Dissemination Service, Revocation Management Service, and Revocation Status Service). The other two services (Subject Device Provision Service and Time-stamping Service) are optional ones and are not
39、required to be established and maintained by CSPs, because of having not being specifically addressed in Directive1999/93/EC. TSPs managing certificates and operating in accordance with Regulation (EU) No 910/2014 Reg.910/2014/EU will need to establish and maintain the first five core services relev
40、ant for the issuance and management of qualified certificates (Registration Service, Certificate Generation Service, Dissemination Service, Revocation Management Service, and Revocation Status Service). The Subject Device Provision Service is an optional service for such a TSP. TSP managing electron
41、ic time-stamps need to establish and maintain the Time-stamping Service relevant for the issuance and management of electronic time-stamps. TSPs issuing: j) Certificates according to ETSI/TS 119 411-1 or TS 119 411-2 (or equivalent ENs to be subsequently published) and/or PD CEN/TS 419261:2015CEN/TS
42、 419261:2015 (E) 6 k) Time-stamps according to ETSI/TS 119 421 (or equivalent EN to be subsequently published) may use TWSs that have been independently assessed against the relevant security requirements defined in this Technical Specification and declared as being compliant to these requirements.
43、In this case, TSP may reduce their burden to establish conformance of their policy to the relevant standards and in meeting the requirements of Dir.1999/93/EC and/or Reg.910/2014/EU. Guidance for conformity assessment to the security requirements defined in this TS can be found in CWA 14172-3. Accor
44、ding to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Ge
45、rmany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. PD CEN/TS 419261:2015CEN/TS 419261:2015 (E) 7 Introduction The European Directive 1999
46、/93/EC and the Regulation (EU) No 910/2014 Reg.910/2014/EU establish a framework of requirements for the use of electronic signatures which are legally equivalent to hand-written signatures. This is the case for “advanced electronic signatures” which are based on a “qualified certificate” and which
47、are created by a “secure-signature-creation device” according to Article 5.1 of 1999/93/EC and qualified signatures according to Article 25.2 of Reg.910/2014/EU. In particular, Annex II of Dir. 1999/93/EC and Article 24.2 (e) of Reg.910/2014/EU provide the requirements to be followed by TSP when iss
48、uing qualified certificates (QCs) and qualified TSP providing qualified trust services. More specifically, they shall use trustworthy systems and products which are protected against modification and ensure the technical security of the processes supported by them. This Technical Specification defin
49、es security requirements for TWSs within the scope of the services a TSP needs to provide. It is assumed that TWSs being compliant to relevant security requirements of this TS may be adopted by TSPs to reduce their effort in deploying systems meeting Dir.1999/93/EC and/or Reg.910/2014/EU. This approach should support industry in developing systems which meet the requirements laid down in Annex II (f) of Dir.1999/93/EC and in Article 24.2 (e) of Reg.910/2014/EU. ETSI TS 119 411-1, 119 411-2, and 119 421 have been taken into acco
