1、 ETSI EN 319 411-1 V1.2.2 (2018-04) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements EUROPEAN STANDARD ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 2 Reference REN/ESI-0019411-1v121 Keywords e-
2、commerce, electronic signature, extended validation certificate, public key, security, trust services 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 So
3、us-Prfecture de Grasse (06) N 7803/88 Important notice The present document can be downloaded 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
4、 not be modified without the prior written authorization of ETSI. In case of any existing 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 Se
5、cretariat. Users of the present document should be aware that the document may be subject 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 documen
6、t, please send your comment to one of the following services: https:/portal.etsi.org/People/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 writt
7、en permission of ETSI. The content of the PDF version shall not be modified without the written authorization 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
8、registered for the benefit of its Members. 3GPPTM and LTETMare trademarks of ETSI registered for the benefit 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
9、. ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 3 Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 6g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 8g33 Definitions, abbreviations and notation 9g33.1 Definitions 9g33.2 Abb
10、reviations . 11g33.3 Notation 12g34 General concepts 13g34.1 General policy requirements concepts 13g34.2 Certificate policy and certification practice statement . 13g34.2.1 Overview 13g34.2.2 Purpose . 13g34.2.3 Level of specificity . 14g34.2.4 Approach 14g34.2.5 Certificate Policy 14g34.3 Other Tr
11、ust Service Providers statements 15g34.4 Certification services 15g35 General provisions on Certification Practice Statement and Certificate Policies. 16g35.1 General requirements . 16g35.2 Certification Practice Statement requirements . 17g35.3 Certificate Policy name and identification . 17g35.4 P
12、KI participants 18g35.4.1 Certification Authority 18g35.4.2 Subscriber and subject 18g35.4.3 Others 19g35.5 Certificate usage . 19g36 Trust Service Providers practice . 19g36.1 Publication and repository responsibilities . 19g36.2 Identification and authentication 20g36.2.1 Naming . 20g36.2.2 Initia
13、l identity validation . 20g36.2.3 Identification and authentication for Re-key requests 23g36.2.4 Identification and authentication for revocation requests . 24g36.3 Certificate Life-Cycle operational requirements 25g36.3.1 Certificate application . 25g36.3.2 Certificate application processing . 25g
14、36.3.3 Certificate issuance . 25g36.3.4 Certificate acceptance . 27g36.3.5 Key pair and certificate usage . 28g36.3.6 Certificate renewal 29g36.3.7 Certificate Re-key. 30g36.3.8 Certificate modification 30g36.3.9 Certificate revocation and suspension. 30g36.3.10 Certificate status services 31g36.3.1
15、1 End of subscription . 32g36.3.12 Key escrow and recovery 32g36.4 Facility, management, and operational controls . 33g36.4.1 General 33g3ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 4 6.4.2 Physical security controls . 33g36.4.3 Procedural controls . 33g36.4.4 Personnel controls . 34g36.4.5 Audit loggin
16、g procedures 34g36.4.6 Records archival . 34g36.4.7 Key changeover 35g36.4.8 Compromise and disaster recovery . 35g36.4.9 Certification Authority or Registration Authority termination . 36g36.5 Technical security controls . 36g36.5.1 Key pair generation and installation . 36g36.5.2 Private key prote
17、ction and cryptographic module engineering controls . 38g36.5.3 Other aspects of key pair management . 39g36.5.4 Activation data 39g36.5.5 Computer security controls . 40g36.5.6 Life cycle security controls . 40g36.5.7 Network security controls . 40g36.5.8 Timestamping . 40g36.6 Certificate, CRL, an
18、d OCSP profiles 41g36.6.1 Certificate profile 41g36.6.2 CRL profile . 41g36.6.3 OCSP profile . 41g36.7 Compliance audit and other assessment . 41g36.8 Other business and legal matters 42g36.8.1 Fees . 42g36.8.2 Financial responsibility . 42g36.8.3 Confidentiality of business information 42g36.8.4 Pr
19、ivacy of personal information 42g36.8.5 Intellectual property rights 42g36.8.6 Representations and warranties . 42g36.8.7 Disclaimers of warranties . 42g36.8.8 Limitations of liability 43g36.8.9 Indemnities . 43g36.8.10 Term and termination 43g36.8.11 Individual notices and communications with parti
20、cipants 43g36.8.12 Amendments . 43g36.8.13 Dispute resolution procedures. 43g36.8.14 Governing law 43g36.8.15 Compliance with applicable law . 43g36.8.16 Miscellaneous provisions 43g36.9 Other provisions . 43g36.9.1 Organizational. 43g36.9.2 Additional testing 44g36.9.3 Disabilities 44g36.9.4 Terms
21、and conditions 44g37 Framework for the definition of other certificate policies 45g37.1 Certificate policy management . 45g37.2 Additional requirements . 45g3Annex A (informative): Model PKI disclosure statement . 46g3A.1 Introduction 46g3A.2 The PDS structure 46g3A.3 The PDS format 47g3Annex B (inf
22、ormative): Conformity assessment checklist 48g3Annex C (informative): Bibliography . 49g3Annex D (informative): Change history . 50g3History 52g3ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 5 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative deliverables
23、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 respect of ETSI
24、 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 other IPRs
25、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 ownership of
26、 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 associated with thos
27、e trademarks. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 1 of a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates, as identified be
28、low: Part 1: “General requirements“; Part 2: “Requirements for trust service providers issuing EU qualified certificates“; Part 4: “Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2“. NOTE: Part 3 of this multi-part deliverable has been withdrawn. The present document
29、is derived from the requirements specified in ETSI TS 102 042 i.6. 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 latest publication of new National Standard or endorsement of this EN (dop/e): 31 January 2019
30、 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“, “can“ and “cannot“ are to be interpreted as described in clause 3.2 of the ETSI Draftin
31、g Rules (Verbal forms for the expression of provisions). “must“ and “must not“ are NOT allowed in ETSI deliverables except when used in direct citation. ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 6 Introduction Electronic commerce, in its broadest sense, is a way of doing business and communicating acr
32、oss public and private networks. An important requirement of electronic commerce is the ability to identify the originator and protect the confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are supported by a Trust Service Provider (TSP) issuin
33、g certificates, commonly called a Certification Authority (CA). For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they need to have confidence that the TSP has properly established procedures and protective measure in order to minimize the o
34、perational and financial threats and risks associated with public key cryptographic systems. The present document is aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst others, applicable requirements fr
35、om Regulation (EU) No 910/2014 i.14 and those from CA/Browser Forum, BRG 5. Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU can base their requirements on those specified in the present document and specify any additional requir
36、ements in a manner similar to ETSI EN 319 411-2 i.5, which builds on the present document requirements so as to benefit from the use of generally accepted global best practices. ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 7 1 Scope The present document specifies generally applicable policy and security
37、requirements for Trust Service Providers (TSP) issuing public key certificates, including trusted web site certificates. The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle management of certificates. These policy and security requir
38、ements support several reference certificate policies, defined in clauses 4 and 5. A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where particular requirements apply is defined in clause 7. The present document covers requirements for CA hie
39、rarchies, however this is limited to supporting the policies as specified in the present document. It does not include requirements for root CAs and intermediate CAs for other purposes. The present document is applicable to: the general requirements of certification in support of cryptographic mecha
40、nisms, including digital signatures for electronic signatures and seals; the general requirements of certification authorities issuing TLS/SSL certificates; the general requirements of the use of cryptography for authentication and encryption. The present document does not specify how the requiremen
41、ts 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. NOTE: See ETSI EN 319 403 i.2 for guidance on assessment of TSPs processes and services. The present document reference
42、s ETSI EN 319 401 8 for general policy requirements common to all classes of TSPs services. The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG 4 and BRG 5. 2 References 2.1 Normative references References are either specific (identified by dat
43、e 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 a
44、vailable 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
45、present document. 1 ISO/IEC 15408 (parts 1 to 3): “Information technology - Security techniques - Evaluation criteria for IT security“. 2 ETSI EN 319 412-4: “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4: Certificate profile for web site certificates“. 3 ISO/IEC 19790
46、:2012: “Information technology - Security techniques - Security requirements for cryptographic modules“. ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 8 4 CA/Browser Forum (V1.6.1): “Guidelines for The Issuance and Management of Extended Validation Certificates“. 5 CA/Browser Forum (V1.4.2): “Baseline Req
47、uirements Certificate Policy for the Issuance and Management of Publicly-Trusted Certificates“. 6 ISO/IEC 9594-8/Recommendation ITU-T X.509: “Information technology - Open Systems Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks“. 7 IETF RFC 5280: “Internet X
48、.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile“. 8 ETSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. 9 ETSI EN 319 412-2: “Electronic Signatures and Infrastructures (ESI); Certificate
49、 Profiles; Part 2: Certificate profile for certificates issued to natural persons“. 10 ETSI EN 319 412-3: “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3: Certificate profile for certificates issued to legal persons“. 11 IETF RFC 6960: “X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol - OCSP“. 12 FIPS PUB 140-2 (2001): “Security Requirements for Cryptographic Modules“. 2.2 Informative references References are either specific (identified by date of publication and/or edi
