1、 ETSI TR 119 411-4 V1.1.1 (2018-05) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 4: Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2 floppy3TECHNICAL REPORT ETSI ETSI TR 119 41
2、1-4 V1.1.1 (2018-05)2 Reference DTR/ESI-0019411-4 Keywords e-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 00
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9、go are trademarks registered and owned by the GSM Association. ETSI ETSI TR 119 411-4 V1.1.1 (2018-05)3 Contents Intellectual Property Rights 4g3Foreword . 4g3Modal verbs terminology 4g3Introduction 4g31 Scope 5g32 References 5g32.1 Normative references . 5g32.2 Informative references 5g33 Definitio
10、ns and abbreviations . 6g33.1 Definitions 6g33.2 Abbreviations . 6g34 Checklist of the policy requirements applicable to TSP issuing certificates 6g3History 7g3ETSI ETSI TR 119 411-4 V1.1.1 (2018-05)4 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative
11、 deliverables 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 r
12、espect 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
13、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. Trademarks The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners. ETSI claims n
14、o ownership 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 associ
15、ated with those trademarks. Foreword This Technical Report (TR) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 4 of a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates. Ful
16、l details of the entire series can be found in part 1 i.2. 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
17、 provisions). “must“ and “must not“ are NOT allowed in ETSI deliverables except when used in direct citation. Introduction Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private networks. An important requirement of electronic commerce is t
18、he 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) issuing certificates, commonly called a Certification Authority (CA). For participants of e
19、lectronic 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 measures in order to minimize the operational and financial threats and risks associated with public key cryptographic
20、systems. ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3 are aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 i.4 and those from CA/Bro
21、wser Forum, BRG i.6 and EV i.5. The present document provides a check-list for self-assessment or independent conformity assessment of TSPs issuing certificates according to ETSI EN 319 411-1 i.2 and/or issuing EU qualified certificates according to ETSI EN 319 411-2 i.3. It also aims to facilitate
22、the preparatory activities the trust service provider undertakes. ETSI ETSI TR 119 411-4 V1.1.1 (2018-05)5 1 Scope The present document is a checklist of the policy requirements specific to TSP issuing certificates (as expressed in ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3) including the gener
23、ic requirements which are independent of the type of service (as expressed in ETSI EN 319 401 i.1). The checklist identifies each requirement associated with each certificate policy, as specified in ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3, and also relates where relevant the requirement to a
24、 particular TSP component service. Additional fields are provided to allow TSPs to indicate claimed compliance to a particular requirement and for assessors to indicate the results of an assessment for each requirement. This checklist can be used by the TSP itself to prepare for an assessment of its
25、 practices against the referenced documents (i.e. serve as a basis for a self-declaration) and/or by the assessor when conducting the assessment. The present document does not specify how the requirements identified can be assessed by an independent party, including requirements for information to b
26、e made available to such independent assessors, or requirements on such assessors. NOTE: See ETSI EN 319 403 i.7 for guidance on assessment of TSPs processes and services. 2 References 2.1 Normative references Normative references are not applicable in the present document. 2.2 Informative reference
27、s 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 referenced document (including any amendments) applies. NOTE:
28、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 assist the user with regard to a particular subject area. i.1 E
29、TSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. i.2 ETSI EN 319 411-1 (V1.2.2): “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: Gen
30、eral requirements“. i.3 ETSI EN 319 411-2 (V2.2.2): “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“. i.4 Regulation (EU) No 910/201
31、4 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 and repealing Directive 1999/93/EC. i.5 CA/Browser Forum (V1.6.1): “Guidelines for The Issuance and Management of Extended Validation Cer
32、tificates“. i.6 CA/Browser Forum (V1.4.2): “Baseline Requirements Certificate Policy for the Issuance and Management of Publicly-Trusted Certificates“. ETSI ETSI TR 119 411-4 V1.1.1 (2018-05)6 i.7 ETSI EN 319 403: “Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity As
33、sessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given in ETSI EN 319 401 i.1, ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3 apply. 3.2 Ab
34、breviations For the purposes of the present document, the abbreviations given in ETSI EN 319 401 i.1, ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3 apply. 4 Checklist of the policy requirements applicable to TSP issuing certificates The present document includes a checklist of the policy requireme
35、nts specific to TSP issuing certificates as expressed in ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3. The checklist is contained in the spreadsheets file tr_11941104v010101p0.zip which accompanies the present document. In the case of conflict between the requirements listed in these sheets and those specified in the referenced documents ETSI EN 319 401 i.1, ETSI EN 319 411-1 i.2 and ETSI EN 319 411-2 i.3, the referenced documents take precedence. ETSI ETSI TR 119 411-4 V1.1.1 (2018-05)7 History Document history V1.1.1 May 2018 Publication
