1、 ETSI EN 319 132-1 V1.1.1 (2016-04) Electronic Signatures and Infrastructures (ESI); XAdES digital signatures; Part 1: Building blocks and XAdES baseline signatures floppy3EUROPEAN STANDARD ETSI ETSI EN 319 132-1 V1.1.1 (2016-04) 2 Reference DEN/ESI-0019132-1 Keywords electronic signature, security,
2、 XAdES, XML 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 present document can be downloa
3、ded 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. In case of any existing
4、or perceived difference in contents between such versions and/or in print, the only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat. Users of the present document should be aware that the document may be subject
5、to revision or change of status. Information on the current status of this and other ETSI documents is available at https:/portal.etsi.org/TB/ETSIDeliverableStatus.aspx If you find errors in the present document, please send your comment to one of the following services: https:/portal.etsi.org/Peopl
6、e/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 be modified without the wr
7、itten authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2016. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GP
8、PTM and LTE are Trade Marks 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 EN 319 132-1 V1.1.1 (2016-04) 3 Contents Intellectual Property Rights 5g3Foreword . 5g3Mo
9、dal verbs terminology 5g3Introduction 5g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 8g33 Definitions, abbreviations and terminology . 9g33.1 Definitions 9g33.2 Abbreviations . 10g33.3 Terminology . 10g34 General Syntax . 11g34.1 General requirements . 11g34.2
10、 XML Namespaces 11g34.3 The QualifyingProperties container . 12g34.3.1 Semantics and syntax 12g34.3.2 The SignedProperties container . 12g34.3.3 The UnsignedProperties container 13g34.3.4 The SignedSignatureProperties container 14g34.3.5 The SignedDataObjectProperties container . 14g34.3.6 The Unsig
11、nedSignatureProperties container . 15g34.3.7 The UnsignedDataObjectProperties container. 16g34.4 Incorporating qualifying properties into XAdES signatures 16g34.4.1 General requirements 16g34.4.2 Signing properties . 17g34.4.3 The QualifyingPropertiesReference element 17g34.5 Managing canonicalizati
12、on of XML nodesets 18g35 Qualifying properties semantics and syntax . 18g35.1 Auxiliary syntax . 18g35.1.1 The AnyType data type . 18g35.1.2 The ObjectIdentifierType data type 19g35.1.3 The EncapsulatedPKIDataType data type . 20g35.1.4 Types for electronic time-stamps management. 21g35.1.4.1 Semanti
13、cs 21g35.1.4.2 Containers for electronic time-stamps . 21g35.1.4.3 The GenericTimeStampType data type 21g35.1.4.4 The XAdESTimeStampType data type . 22g35.1.4.4.1 Semantics and syntax 22g35.1.4.4.2 Include mechanism 23g35.1.4.5 The OtherTimeStampType data type . 24g35.2 Basic qualifying properties f
14、or XAdES signatures . 25g35.2.1 The SigningTime qualifying property . 25g35.2.2 The SigningCertificateV2 qualifying property 25g35.2.3 The CommitmentTypeIndication qualifying property 26g35.2.4 The DataObjectFormat qualifying property . 28g35.2.5 The SignatureProductionPlaceV2 qualifying property .
15、28g35.2.6 The SignerRoleV2 qualifying property . 29g35.2.7 Countersignatures . 30g35.2.7.1 Countersignature identifier in Type attribute of ds:Reference . 30g35.2.7.2 Enveloped countersignatures: the CounterSignature qualifying property . 31g35.2.8 Time-stamps on signed data objects . 32g3ETSI ETSI
16、EN 319 132-1 V1.1.1 (2016-04) 4 5.2.8.1 The AllDataObjectsTimeStamp qualifying property . 32g35.2.8.2 The IndividualDataObjectsTimeStamp qualifying property 33g35.2.9 The SignaturePolicyIdentifier qualifying property 33g35.2.9.1 Semantics and syntax 33g35.2.9.2 Signature policy qualifiers 35g35.2.10
17、 The SignaturePolicyStore qualifying property 36g35.3 The SignatureTimeStamp qualifying property 37g35.4 Qualifying Properties for validation data values 37g35.4.1 The CertificateValues qualifying property . 37g35.4.2 The RevocationValues qualifying property . 38g35.4.3 The AttrAuthoritiesCertValues
18、 qualifying property 40g35.4.4 The AttributeRevocationValues qualifying property 40g35.5 Qualifying properties for long term availability and integrity of validation material . 41g35.5.1 The TimeStampValidationData qualifying property 41g35.5.1.1 Semantics and syntax 41g35.5.1.2 Use of URI attribute
19、 42g35.5.2 The ArchiveTimeStamp qualifying property defined in namespace with URI “http:/uri.etsi.org/01903/v1.4.1#“ 43g35.5.2.1 Semantics and syntax 43g35.5.2.2 Not distributed case . 44g35.5.2.3 Distributed case . 45g35.5.3 The RenewedDigests qualifying property 45g36 XAdES baseline signatures 47g
20、36.1 Signature levels 47g36.2 General requirements . 47g36.2.1 Algorithm requirements 47g36.2.2 Notation for requirements . 48g36.3 Requirements on XAdES signatures elements, qualifying properties and services . 50g36.4 Legacy XAdES baseline signatures 56g3Annex A (normative): Additional Qualifying
21、Properties Specification 57g3A.1 Qualifying properties for validation data . 57g3A.1.1 The CompleteCertificateRefsV2 qualifying property . 57g3A.1.2 The CompleteRevocationRefs qualifying property 58g3A.1.3 The AttributeCertificateRefsV2 qualifying property . 61g3A.1.4 The AttributeRevocationRefs qua
22、lifying property 62g3A.1.5 Time-stamps on references to validation data 62g3A.1.5.1 The SigAndRefsTimeStampV2 qualifying property . 62g3A.1.5.1.1 Semantics and syntax 62g3A.1.5.1.2 Not distributed case . 63g3A.1.5.1.3 Distributed case . 63g3A.1.5.2 The RefsOnlyTimeStampV2 qualifying property 64g3A.1
23、.5.2.1 Semantics and syntax 64g3A.1.5.2.2 Not distributed case . 64g3A.1.5.2.3 Distributed case . 65g3Annex B (normative): Alternative mechanisms for long term availability and integrity of validation data 66g3Annex C (normative): XML Schema files 67g3C.1 XML Schema file location for namespace http:
24、/uri.etsi.org/01903/v1.3.2# . 67g3C.2 XML Schema file location for namespace http:/uri.etsi.org/01903/v1.4.1# . 67g3Annex D (normative): Deprecated qualifying properties . 68g3History 69g3ETSI ETSI EN 319 132-1 V1.1.1 (2016-04) 5 Intellectual Property Rights IPRs essential or potentially essential t
25、o the present document may have been 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
26、ETSI in respect of ETSI standards“, 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 e
27、xistence 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 become, essential to the present document. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI).
28、 The present document is part 1 of a multi-part deliverable covering XAdES digital signatures, as identified below: Part 1: “Building blocks and XAdES baseline signatures“; Part 2: “Extended XAdES signatures“. Two .xsd files, whose locations are detailed in clauses C.1 and C.2, and which contain XML
29、 Schema definitions, are contained in archive en_31913201v010101p0.zip which accompanies the present document. National transposition dates Date of adoption of this EN: 1 April 2016 Date of latest announcement of this EN (doa): 31 July 2016 Date of latest publication of new National Standard or endo
30、rsement of this EN (dop/e): 31 January 2017 Date of withdrawal of any conflicting National Standard (dow): 31 January 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
31、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 Electronic commerce has emerged as a frequent way of doing business between companies acros
32、s local, wide area and global networks. Trust in this way of doing business is essential for the success and continued development of electronic commerce. It is therefore important that companies using this electronic means of doing business have suitable security controls and mechanisms in place to
33、 protect their transactions and to ensure trust and confidence with their business partners. In this respect digital signatures are an important security component that can be used to protect information and provide trust in electronic business. The present document is intended to cover digital sign
34、atures supported by PKI and public key certificates, and aims to meet the general requirements of the international community to provide trust and confidence in electronic transactions, including, amongst other, applicable requirements from Regulation (EU) No 910/2014 i.1. ETSI ETSI EN 319 132-1 V1.
35、1.1 (2016-04) 6 The present document can be used for any transaction between an individual and a company, between two companies, between an individual and a governmental body, etc. The present document is independent of any environment. It can be applied to any environment e.g. smart cards, SIM card
36、s, special programs for electronic signatures, etc. The present document is part of a rationalized framework of standards (see ETSI TR 119 000 i.10). ETSI TR 119 100 i.11 provides guidance on how to use the present document within the aforementioned framework. ETSI ETSI EN 319 132-1 V1.1.1 (2016-04)
37、 7 1 Scope The present document specifies XAdES digital signatures. XAdES signatures build on XML digital signatures 1, by incorporation of signed and unsigned qualifying properties, which fulfil certain common requirements (such as the long term validity of digital signatures, for instance) in a nu
38、mber of use cases. The present document specifies XML Schema definitions for the aforementioned qualifying properties as well as mechanisms for incorporating them into XAdES signatures. The present document specifies formats for XAdES baseline signatures, which provide the basic features necessary f
39、or a wide range of business and governmental use cases for electronic procedures and communications to be applicable to a wide range of communities when there is a clear need for interoperability of digital signatures used in electronic documents. The present document defines four levels of XAdES ba
40、seline signatures addressing incremental requirements to maintain the validity of the signatures over the long term, in a way that a certain level always addresses all the requirements addressed at levels that are below it. Each level requires the presence of certain XAdES qualifying properties, sui
41、tably profiled for reducing the optionality as much as possible. Procedures for creation, augmentation, and validation of XAdES digital signatures are out of scope and specified in ETSI EN 319 102-1 i.6. Guidance on creation, augmentation and validation of XAdES digital signatures including the usag
42、e of the different properties defined in the present document is provided in ETSI TR 119 100 i.11. The present document aims at supporting electronic signatures in different regulatory frameworks. NOTE: Specifically but not exclusively, XAdES digital signatures specified in the present document aim
43、at supporting electronic signatures, advanced electronic signatures, qualified electronic signatures, electronic seals, advanced electronic seals, and qualified electronic seals as per Regulation (EU) No 910/2014 i.1. 2 References 2.1 Normative references References are either specific (identified b
44、y 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 are not found to be publi
45、cly 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 for the application of
46、the present document. 1 W3C Recommendation (11 April 2013): “XML Signature Syntax and Processing. Version 1.1“. 2 W3C Recommendation Part 1 (28 October 2004): “XML Schema Part 1: Structures Second Edition“. 3 W3C Recommendation Part 2 (28 October 2004): “XML Schema Part 2: Datatypes Second Edition“.
47、 4 Recommendation ITU-T X.509: “Information technology - Open Systems Interconnection - The Directory: Public-key and attribute certificate frameworks“. 5 W3C Recommendation (26 November 2008): “Extensible Markup Language (XML) 1.0“. 6 IETF RFC 6960: “X.509 Internet Public Key Infrastructure Online
48、Certificate Status Protocol - OCSP“. 7 IETF RFC 3161: “Internet X.509 Public Key Infrastructure Time Stamp Protocol (TSP)“. ETSI ETSI EN 319 132-1 V1.1.1 (2016-04) 8 8 IETF RFC 3061: “A URN Namespace of Object Identifiers“. 9 W3C Recommendation (15 March 2001): “Canonical XML Version 1.0“. 10 W3C Re
49、commendation (18 July 2002): “Exclusive XML Canonicalization Version 1.0“. 11 W3C Recommendation (2 May 2008): “Canonical XML Version 1.1“. 12 IETF RFC 3986: “Uniform Resource Identifier (URI): Generic Syntax“. 13 W3C Recommendation (8 November 2002): “XML-Signature XPath Filter 2.0“. 14 ISO/IEC 29500-2:2012: “Information technology - Document description and processing languages - Office Open XML File Formats - Part 2: Open Packaging Conventions“. 15 IETF RFC 5280: “Internet X.509 Public Key Infrastructure Certificate and Ce
