1、 ETSI EN 319 411-2 V2.2.2 (2018-04) 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 EUROPEAN STANDARD ETSI ETSI EN 319 411-2 V2.2.2 (
2、2018-04) 2 Reference REN/ESI-0019411-2v221 Keywords e-commerce, electronic signature, 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 enregis
3、tre la Sous-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 docum
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9、sociation. ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 3 Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 6g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 7g33 Definitions, abbreviations and notation 8g33.1 Definitions 8
10、g33.2 Abbreviations . 8g33.3 Notation 9g34 General concepts 9g34.1 General policy requirements concepts 9g34.2 Certificate policy and certification practice statement . 10g34.2.1 Overview 10g34.2.2 Purpose . 10g34.2.3 Level of specificity . 10g34.2.4 Approach 10g34.2.5 Certificate policy 10g34.3 Oth
11、er TSP statements . 11g34.4 Certification services 11g35 General provisions on Certification Practice Statement and Certificate Policies. 11g35.1 General requirements . 11g35.2 Certification Practice Statement Requirements 12g35.3 Certificate Policy name and identification . 12g35.4 PKI Participants
12、 13g35.4.1 Certification authority . 13g35.4.2 Subscriber and subject 13g35.4.3 Others 13g35.5 Certificate Usage 13g35.5.1 QCP-n . 13g35.5.2 QCP-l 13g35.5.3 QCP-n-qscd. 13g35.5.4 QCP-l-qscd . 13g35.5.5 QCP-w 13g36 Trust Service Providers practice . 14g36.1 Publication and Repository Responsibilities
13、 14g36.2 Identification and Authentication . 14g36.2.1 Naming . 14g36.2.2 Initial Identity Validation 14g36.2.3 Identification and authentication for Re-key requests 15g36.2.4 Identification and authentication for revocation requests . 15g36.3 Certificate Life-Cycle Operational Requirements 15g36.3.
14、1 Certificate Application 15g36.3.2 Certificate application processing . 15g36.3.3 Certificate issuance . 15g36.3.4 Certificate acceptance . 15g36.3.5 Key Pair and Certificate Usage . 15g36.3.6 Certificate Renewal. 16g36.3.7 Certificate Re-key . 16g36.3.8 Certificate Modification 16g36.3.9 Certifica
15、te Revocation and Suspension. 16g3ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 4 6.3.10 Certificate Status Services 16g36.3.11 End of Subscription 17g36.3.12 Key Escrow and Recovery 17g36.4 Facility, Management and Operational Controls 18g36.4.1 General 18g36.4.2 Physical Security Controls 18g36.4.3 Proc
16、edural Controls 18g36.4.4 Personnel Controls 18g36.4.5 Audit Logging Procedures 18g36.4.6 Records Archival 18g36.4.7 Key Changeover . 18g36.4.8 Compromise and Disaster Recovery . 18g36.4.9 CA or RA Termination . 19g36.5 Technical Security Controls . 19g36.5.1 Key Pair Generation and Installation 19g
17、36.5.2 Private Key Protection and Cryptographic Module Engineering Controls . 19g36.5.3 Other Aspects of Key Pair Management . 19g36.5.4 Activation Data . 19g36.5.5 Computer Security Controls . 19g36.5.6 Life Cycle Security Controls 20g36.5.7 Network Security Controls . 20g36.5.8 Time-stamping 20g36
18、.6 Certificate, CRL, and OCSP Profiles . 20g36.6.1 Certificate Profile 20g36.6.2 CRL Profile . 21g36.6.3 OCSP Profile 21g36.7 Compliance Audit and Other Assessment 21g36.8 Other Business and Legal Matters 21g36.8.1 Fees . 21g36.8.2 Financial Responsibility . 21g36.8.3 Confidentiality of Business Inf
19、ormation . 21g36.8.4 Privacy of Personal Information . 21g36.8.5 Intellectual Property Rights 21g36.8.6 Representations and Warranties 21g36.8.7 Disclaimers of Warranties 22g36.8.8 Limitations of Liability . 22g36.8.9 Indemnities . 22g36.8.10 Term and Termination 22g36.8.11 Individual notices and co
20、mmunications with participants 22g36.8.12 Amendments . 22g36.8.13 Dispute Resolution Procedures . 22g36.8.14 Governing Law . 22g36.8.15 Compliance with Applicable Law 23g36.8.16 Miscellaneous Provisions . 23g36.9 Other Provisions . 23g36.9.1 Organizational. 23g36.9.2 Additional testing 23g36.9.3 Dis
21、abilities 23g36.9.4 Terms and conditions 23g37 Framework for the definition of other certificate policies built on the present document . 23g37.1 Certificate policy management . 23g37.2 Additional requirements . 24g3Annex A (informative): Regulation and EU qualified certificate policy mapping . 25g3
22、Annex B (informative): Conformity Assessment Checklist 29g3Annex C (informative): Change history . 30g3History 31g3ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 5 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative deliverables may have been declared to ETSI
23、. 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 standards“, which is availabl
24、e 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 not referenced in ETSI SR 000
25、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 these except for any which ar
26、e 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 those trademarks. Foreword This Eu
27、ropean Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 2 of a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates. Full details of the entire series can be found
28、 in part 1 2. The present document is derived from the requirements specified in ETSI TS 101 456 i.2. 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
29、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“, “can“ and “cannot“ are to be interpreted as describe
30、d 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. ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 6 Introduction The Regulation (EU) No 910/2014 i.1 establishes a legal f
31、ramework for electronic signature and electronic seal and for website authentication services. These concepts can be commonly achieved by using cryptographic mechanisms. Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms are generally supported b
32、y a trust service provider (TSP) issuing public key certificates, commonly called a certification authority (CA). By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the series ETSI EN 319 411-1 2, is aiming to meet the general requir
33、ements of the international community to provide trust and confidence in electronic transactions including, amongst others, requirements from Regulation (EU) No 910/2014 i.1 and from CA/Browser Forum i.3. The present document incorporates the general policy and security requirements as specified in
34、ETSI EN 319 411-1 2 and adds further requirements in order to meet the specific requirements of Regulation (EU) N 910/2014 for TSPs issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU qualified certificates for website authentic
35、ation in accordance with but not limited to articles 19, 24, 28, 38 and 45 of Regulation (EU) No 910/2014 i.1. Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU can build their specifications on the general policy requirements spe
36、cified in ETSI EN 319 411-1 2 to benefit from global best practices, and specify any additional requirements in a manner similar to the present document. Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are qualified in accordance wi
37、th Regulation (EU) No 910/2014 i.1. ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 7 1 Scope The present document specifies policy and security requirements for the issuance, maintenance and life-cycle management of EU qualified certificates as defined in Regulation (EU) No 910/2014 i.1. These policy and s
38、ecurity requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU qualified certificates issued to natural persons (including natural persons associated with a legal person or a website) and to legal persons (including legal persons associated
39、with a website), respectively. 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. NOTE: See ETSI EN 319 403 i.6 fo
40、r guidance on assessment of TSPs processes and services. The present document references ETSI EN 319 411-1 2 for general requirements on TSP issuing certificates. 2 References 2.1 Normative references References are either specific (identified by date of publication and/or edition number or version
41、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 available in the expected location might be found a
42、t 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 present document. 1 ETSI EN 319 401: “Electronic S
43、ignatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. 2 ETSI EN 319 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for trust service providers issuing certificates; Part 1: General requirements“. 3 ETSI EN 319 412-5:
44、 “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 5: QCStatements“. 4 ISO/IEC 9594-8/Recommendation ITU-T X.509: “Information technology - Open Systems Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks“. 2.2 Informative references R
45、eferences 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 referenced document (including any amendments) applies. NOTE: Whi
46、le 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.1 Reg
47、ulation (EU) No 910/2014 of the European Parliament and of the Council on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 8 i.2 ETSI TS 101 456: “Electronic Signatures and Infr
48、astructures (ESI); Policy requirements for certification authorities issuing qualified certificates“. i.3 CA/Browser Forum: “Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates“. i.4 IETF RFC 3647: “Internet X.509 Public Key Infrastructure Certificate Policy and Ce
49、rtification Practices Framework“. i.5 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.6 ETSI EN 319 403: “Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.7 CA/Browser Forum: “Guidelines for The Issuance and Management of Extended Validation Cer
