1、 ETSI EN 319 401 V2.2.1 (2018-04) Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers EUROPEAN STANDARD ETSI ETSI EN 319 401 V2.2.1 (2018-04) 2 Reference REN/ESI-0019401v221 Keywords electronic signature, provider, security, trust services ETSI 65
2、0 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 downloaded from: http:/www
3、.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 or perceived differ
4、ence 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 to revision or chan
5、ge 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/People/CommiteeSupportSt
6、aff.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 written authorization
7、 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 trademarks of ETSI registered for the benefit
8、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 319 401 V2.2.1 (2018-04) 3 Contents Intellectual Property Rights 4g3Foreword . 4g3Modal verbs
9、terminology 4g3Introduction 4g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 6g33 Definitions, abbreviations and notation 7g33.1 Definitions 7g33.2 Abbreviations . 8g33.3 Notation 8g34 Overview 8g35 Risk Assessment . 8g36 Policies and practices . 9g36.1 Trust Se
10、rvice Practice statement 9g36.2 Terms and Conditions 9g36.3 Information security policy 10g37 TSP management and operation . 11g37.1 Internal organization. 11g37.1.1 Organization reliability . 11g37.1.2 Segregation of duties 11g37.2 Human resources 11g37.3 Asset management 13g37.3.1 General requirem
11、ents 13g37.3.2 Media handling . 13g37.4 Access control 13g37.5 Cryptographic controls . 14g37.6 Physical and environmental security 14g37.7 Operation security 14g37.8 Network security 15g37.9 Incident management . 16g37.10 Collection of evidence 17g37.11 Business continuity management . 17g37.12 TSP
12、 termination and termination plans 18g37.13 Compliance. 18g3Annex A (informative): Bibliography . 20g3Annex B (informative): Change history . 21g3History 22g3ETSI ETSI EN 319 401 V2.2.1 (2018-04) 4 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative de
13、liverables 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 ETSI in resp
14、ect 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 existence of
15、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. Trademarks The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners. ETSI claims no o
16、wnership of these except for any which are indicated 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 associate
17、d with those trademarks. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). National transposition dates Date of adoption of this EN: 23 April 2018 Date of latest announcement of this EN (doa): 31 July 2018 Date of late
18、st publication of new National Standard or endorsement of this EN (dop/e): 31 January 2019 Date of withdrawal of any conflicting National Standard (dow): 31 January 2019 Modal verbs terminology In the present document “shall“, “shall not“, “should“, “should not“, “may“, “need not“, “will“, “will not
19、“, “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 environment is
20、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 to establi
21、sh 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 public key ce
22、rtificates, time-stamping service providers, providers of remote electronic signature generation or validation services. ETSI ETSI EN 319 401 V2.2.1 (2018-04) 5 For participants of electronic commerce to have confidence in the security of these trust services they need to have confidence that the tr
23、ust service providers (TSPs) have 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
24、the service they provide. Other standards, addressing particular type of trust service, can build on the present document to identify supplement requirements for particular type of trust service. The present document is aiming to meet the general requirements to provide trust and confidence in elect
25、ronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 i.2 and those from CA/Browser Forum i.4. EXAMPLE: ETSI EN 319 411-2 i.11 annex A describes the application of the present document to the requirements of Regulation No 910/2014 i.2 requirements for
26、 TSPs issuing EU qualified certificates. ETSI ETSI EN 319 401 V2.2.1 (2018-04) 6 1 Scope The present document specifies general policy requirements relating to trust service providers (TSPs) that are independent of the type of TSP. It defines policy requirements on the operation and management pract
27、ices of TSPs. Other specifications refine and extend these 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 indepen
28、dent assessors, or requirements on such assessors. NOTE: See ETSI EN 319 403 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 da
29、te 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 publicly
30、available in the expected location might 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
31、 present document. Not applicable. 2.2 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 re
32、ferenced document (including any amendments) 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 as
33、sist the user with regard to a particular subject area. i.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 th
34、e 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.3 ISO/IEC 27002:2013: “Information technology - Security techniques - Code of practice for information sec
35、urity management“. i.4 CA/Browser Forum: “Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates“. i.5 ISO/IEC 27005:2011: “Information technology - Security techniques - Information security risk management“. ETSI ETSI EN 319 401 V2.2.1 (2018-04) 7 i.6 ETSI EN 319 40
36、3: “Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.7 CA/Browser Forum: “Network and certificate system security requirements“. i.8 Recommendation ITU-R TF.460-6 (2002)
37、: “Standard-frequency and time-signal emissions“. i.9 ETSI EN 319 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing certificates; Part 1: General requirements“. i.10 ETSI EN 301 549: “Accessibility requirements suitable for
38、public procurement of ICT products and services in Europe“. i.11 ETSI EN 319 411-2: “Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service providers issuing EU qualified certificates“
39、. i.12 Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC. 3 Definitions, abbreviations and notation 3.1 De
40、finitions For the purposes of the present document, the following terms and definitions apply: Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R TF.460-6 i.8 relying party: natural or legal person that relies upon an electronic identification or a tr
41、ust service NOTE: Relying parties include parties verifying a digital signature using a public key certificate. subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations trust service: electronic service for: creation, verification, and valida
42、tion of digital signatures and related certificates; creation, verification, and validation of time-stamps and related certificates; registered delivery and related certificates; creation, verification and validation of certificates for website authentication; or preservation of digital signatures o
43、r certificates related to those services. 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 TSPs policy. trust service practice s
44、tatement: statement of the practices that a 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 trust service token: physical or binary (logical) object generated or issu
45、ed as a result of the use of a trust service NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses. ETSI ETSI EN 319 401 V2.2.1 (2018-04) 8 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: CA Certification Auth
46、ority IP Internet ProtocolIT Information Technology TSP Trust Service Provider UTC Coordinated Universal Time 3.3 Notation The requirements in the present document are identified as follows: - - The management of the requirement identifiers throughout subsequent editions of the present document is a
47、s follows: When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next available digit. When a requirement is inserted between two existing requirements, capital letters appended to the previous requirement identifier are used to distinguish a new requi
48、rement. The requirement identifier for deleted requirements are left and completed with “VOID“. The requirement identifier for modified requirement are left void and the modified requirement is identified by capital letter(s) appended to the initial requirement number. 4 Overview Trust services can
49、encompass but is not limited to the issuance of public key certificates, provision of registration services, time-stamping 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 TSPs services. The requirements are indicated in terms of the security objectives followed by more specific requirements for controls to meet those objectives where considered necessary to provide the necessary confidenc
