1、 ETSI SR 019 510 V1.1.1 (2017-05) Electronic Signatures and Infrastructures (ESI); Scoping study and framework for standardization of long-term data preservation services, including preservation of/with digital signatures SPECIAL REPORT ETSI ETSI SR 019 510 V1.1.1 (2017-05) 2 Reference DSR/ESI-00195
2、10 Keywords electronic preservation, electronic signature, security, trusted 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 Sous-Prfecture de
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9、 owned by the GSM Association. ETSI ETSI SR 019 510 V1.1.1 (2017-05) 3 Contents Intellectual Property Rights 6g3Foreword . 6g3Modal verbs terminology 6g3Introduction 6g31 Scope 8g32 References 8g32.1 Normative references . 8g32.2 Informative references 8g33 Definitions and abbreviations . 13g33.1 De
10、finitions 13g33.2 Abbreviations . 15g34 Basic models for long-term data preservation services 15g34.1 General terms . 15g34.2 Preservation with storage . 17g34.3 Preservation without storage 18g34.4 Validation . 18g34.5 Elements to be considered in preservation, monitoring 19g34.5.1 Monitoring the s
11、trength of hash functions and cryptographic algorithms 19g34.5.2 Monitoring the revocation status of certificates 20g34.6 Consideration of different policies . 20g34.6.1 Signature creation policy 20g34.6.2 Signature augmentation policy . 21g34.6.3 Signature validation policy . 21g34.7 Basic preserva
12、tion techniques 21g34.7.1 Time-stamps . 21g34.7.2 AdES digital signatures 21g34.7.3 ERS . 22g34.7.4 Other techniques . 22g34.7.5 Advantages and disadvantages of the different methods 22g34.8 (Long-term) Preservation Policy (LTPP) . 23g35 Examples of different preservation schemes 24g35.1 Long-term p
13、reservation of POC via Evidence Records without storage 24g35.2 Long-term preservation of POC via Evidence Records with storage . 24g35.3 Long-term preservation of AdES digital signatures using augmentation of the signature without storage 25g35.4 Long-term preservation of AdES digital signatures us
14、ing augmentation of the signature with storage . 25g35.4.1 General approach 25g35.4.2 Special case using time-stamps with a long lifespan 26g35.5 Long-term AdES preservation with storage based on a validation report 26g35.6 Qualified electronic signature/seal relying on long-term availability of val
15、idation data 26g36 Proposal of framework of standards for data preservation . 27g36.1 General . 27g36.2 Policy Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI standards“, which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (
16、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 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become, e
17、ssential to the present document. The standard (or standards) extracts (ISO 14721:2012: “Space data and information transfer systems - Open archival information system (OAIS) - Reference model“, ISO 14533-1:2014: “Processes, data elements and documents in commerce, industry and administration - Long
18、 term signature profiles - Part 1: Long term signature profiles for CMS Advanced Electronic Signatures (CAdES)“, ISO 14533-2:2012: “Processes, data elements and documents in commerce, industry and administration - Long term signature profiles - Part 2: Long term signature profiles for XML Advanced E
19、lectronic Signatures (XAdES)“) are replicated with AFNORs consent. Only the complete and original text as released by AFNOR Editions - accessible on the website www.boutique.afnor.org - has normative value. Foreword This Special Report (SR) has been produced by ETSI Technical Committee Electronic Si
20、gnatures and Infrastructures (ESI). Modal verbs terminology In the present document “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 Drafting Rules (Verbal forms for the expression of provisions). “must“ an
21、d “must not“ are NOT allowed in ETSI deliverables except when used in direct citation. Introduction On the one hand, digital signatures as well as time-stamps based on cryptographic mechanisms are increasingly used in our everyday life. On the other hand it is well known, that the strength and suita
22、bility of cryptographic mechanisms is a function of time and one needs to apply suitable preservation mechanisms, which are able to maintain the validity status of a signed object over long periods of time, which may involve the application of different storage technologies and cryptographic algorit
23、hms. The need for long-term preservation is acknowledged amongst others in 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 transactions in the internal market i.1, as can be seen in recital (
24、61): “This Regulation should ensure the long-term preservation of information, in order to ensure the legal validity of electronic signatures and electronic seals over extended periods of time and guarantee that they can be validated irrespective of future technological changes.“ Furthermore Article
25、 34 of the Regulation (EU) No 910/2014 i.1 states that “a qualified preservation service for qualified electronic signatures may only be provided by a qualified trust service provider that uses procedures and technologies capable of extending the trustworthiness of the qualified electronic signature
26、 beyond the technological validity period“ and that “the Commission may, by means of implementing acts, establish reference numbers of standards for the qualified preservation service for qualified electronic signatures.“ ETSI ETSI SR 019 510 V1.1.1 (2017-05) 7 The present document provides an overv
27、iew of preservation mechanisms which can be used to preserve the validity status of digital signatures or to preserve objects using digital signature techniques. It may be used to support all kinds of preservation services including for example qualified preservation service for qualified electronic
28、 signatures according to Article 34 of the Regulation (EU) No 910/2014 i.1, and mutatis mutandis for qualified preservation service for qualified electronic seals according to Article 40 of this regulation. ETSI ETSI SR 019 510 V1.1.1 (2017-05) 8 1 Scope The present document provides a scoping study
29、 for long-term data preservation (including preservation of/with digital signatures). The present document aims at supporting preservation services in different regulatory frameworks. NOTE 1: Specifically, but not exclusively, the preservation service addressed in the present document aims at suppor
30、ting qualified preservation service for qualified electronic signatures or seals as per Regulation (EU) No 910/2014 i.1. NOTE 2: Specifically, but not exclusively, digital signatures in the present document cover electronic signatures, advanced electronic signatures, qualified electronic signatures,
31、 electronic seals, advanced electronic seals, and qualified electronic seals as per Regulation (EU) No 910/2014 i.1. The present document covers two main cases: 1) The preservation of the validity status of the digital signatures (using time-stamps, Evidence Records, etc.) and of the associated sign
32、ed data NOTE 3: A qualified preservation service for qualified electronic signatures or seals as per Regulation (EU) No 910/2014 i.1 for which the status of the technical validity needs to be preserved, is covered in this case. This special report cannot say anything about the legal validity of a si
33、gnature. NOTE 4: The validity of a signature means the status of the signature that will not change over time, e.g. if a signature was valid (TOTAL_PASSED according to ETSI EN 319 102-1 i.9) or invalid (TOTAL_FAILED and in certain cases for INDETERMINATE according to ETSI EN 319 102-1 i.9). The long
34、-term preservation of the validity status includes the preservation of the bits of: square4 the documents being signed; and/or square4 other digital objects like certificates, OCSPs, Time-Stamp Tokens, etc. 2) Preservation of the integrity of bits of digital objects, whether they are signed or not,
35、using digital signature techniques (digital signatures, time-stamp tokens, Evidence Records, etc.) NOTE 5: In this case, if the main object to be preserved is a signature, it is treated in the same way as any other file. NOTE 6: The preservation of the integrity of bits of digital object not using d
36、igital signature techniques is not in the scope of the present document. In addition, the present document provides an inventory of existing standards and selected legal frameworks on the topic of preservation services. The present document provides as well a proposal for a framework of standards. 2
37、 References 2.1 Normative references Normative references are not applicable in the present document. 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
38、 applies. For non-specific references, the latest version of the referenced 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. ETSI ETSI SR 019 510 V1.1.1 (2017-05) 9 T
39、he 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 Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust serv
40、ices for electronic transactions in the internal market and repealing Directive 1999/93/EC. OJ L 257, 28.8.2014, p. 73-114. i.2 ETSI TS 101 533-1: “Electronic Signatures and Infrastructures (ESI); Data Preservation Systems Security; Part 1: Requirements for Implementation and Management“. i.3 ETSI T
41、R 101 533-2: “Electronic Signatures and Infrastructures (ESI); Data Preservation Systems Security; Part 2: Guidelines for Assessors“. i.4 ETSI TS 101 733 (V2.2.1): “Electronic Signatures and Infrastructures (ESI); CMS Advanced Electronic Signatures (CAdES)“. i.5 ETSI TS 101 903: “Electronic Signatur
42、es and Infrastructures (ESI); XML Advanced Electronic Signatures (XAdES)“. i.6 ETSI TS 102 573: “Electronic Signatures and Infrastructures (ESI); Policy requirements for trust service providers signing and/or storing data objects“. i.7 ETSI TR 119 001: “Electronic Signatures and Infrastructures (ESI
43、); The framework for standardization of signatures; Definitions and abbreviations“. i.8 ETSI TS 119 312: “Electronic Signatures and Infrastructures (ESI); Cryptographic Suites“. i.9 ETSI EN 319 102-1: “Electronic Signatures and Infrastructures (ESI); Procedures for Creation and Validation of AdES Di
44、gital Signatures; Part 1: Creation and Validation“. i.10 ETSI EN 319 122-1: “Electronic Signatures and Infrastructures (ESI); CAdES digital signatures; Part 1: Building blocks and CAdES baseline signatures“. i.11 ETSI EN 319 122-2: “Electronic Signatures and Infrastructures (ESI); CAdES digital sign
45、atures; Part 2: Extended CAdES signatures“. i.12 ETSI TS 119 122-3: “Electronic Signatures and Infrastructures (ESI); CAdES digital signatures; Part 3: Incorporation of Evidence Record Syntax (ERS) mechanisms in CAdES“. i.13 ETSI EN 319 132-1: “Electronic Signatures and Infrastructures (ESI); XAdES
46、digital signatures; Part 1: Building blocks and XAdES baseline signatures“. i.14 ETSI EN 319 132-2: “Electronic Signatures and Infrastructures (ESI); XAdES digital signatures; Part 2: Extended XAdES signatures“. i.15 ETSI EN 319 142-1: “Electronic Signatures and Infrastructures (ESI); PAdES digital
47、signatures; Part 1: Building blocks and PAdES baseline signatures“. i.16 ETSI EN 319 142-2: “Electronic Signatures and Infrastructures (ESI); PAdES digital signatures; Part 2: Additional PAdES signatures profiles“. i.17 ETSI EN 319 162-1: “Electronic Signatures and Infrastructures (ESI); Associated
48、Signature Containers (ASiC); Part 1: Building blocks and ASiC Baseline containers“. i.18 ETSI EN 319 162-2: “Electronic Signatures and Infrastructures (ESI); Associated Signature Containers (ASiC); Part 2: Additional ASiC containers“. i.19 ETSI TS 119 172-1: “Electronic Signatures and Infrastructure
49、s (ESI); Signature policies; Part 1: Building blocks and table of contents for human readable signature policy documents“. i.20 ETSI TS 119 172-4: “Electronic Signatures and Infrastructures (ESI); Signature policies; Part 4: Signature validation policy for European qualified electronic signatures/seals using trusted lists“. i.21 ETSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. ETSI ETSI SR 019 510 V1.1.1 (2017-05) 10 i.22 ETSI EN 319 40
