1、 ETSI TS 102 640-3 V2.1.2 (2011-09) Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 3: Information Security Policy Requirements for REM Management Domains Technical Specification ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)2Reference RTS/ESI-000071-3 Keywords e-com
2、merce, electronic signature, email, 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 Sous-Prfecture de Grasse (06) N 7803/88 Imp
3、ortant notice Individual copies of the present document can be downloaded from: http:/www.etsi.org The present document may be made available in more than one electronic version or in print. In any case of existing or perceived difference in contents between such versions, the reference version is t
4、he Portable Document Format (PDF). In case of dispute, the reference shall be the printing on ETSI printers of the 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 change of status. Inf
5、ormation on the current status of this and other ETSI documents is available at http:/portal.etsi.org/tb/status/status.asp If you find errors in the present document, please send your comment to one of the following services: http:/portal.etsi.org/chaircor/ETSI_support.asp Copyright Notification No
6、part may be reproduced except as authorized by written permission. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2011. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTMand the ETSI logo are Trade Marks of ETSI register
7、ed for the benefit of its Members. 3GPPTM and LTE are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)3Contents Intellectual
8、 Property Rights 4g3Foreword . 4g3Introduction 4g31 Scope 5g32 References 5g32.1 Normative references . 5g32.2 Informative references 6g33 Definitions and abbreviations . 6g33.1 Definitions 6g33.2 Abbreviations . 7g34 Information security management systems in REM-MDs . 7g34.1 Goal/ISMS introduction
9、 . 7g34.1.1 Information Security Policy vs. REM Policy 7g34.2 Information asset to be protected . 8g34.3 Establishment of information security management 8g34.3.1 How to establish security requirements 8g34.3.2 Assessing security risks 8g34.3.3 Selecting controls 8g34.3.4 Critical success factors 8g
10、35 Application of ISO/IEC 27002 Controls and Objectives . 9g35.1 Security Policy . 9g35.2 Organization of information security . 9g35.3 Asset management 9g35.4 Human resources security 9g35.5 Physical and environmental security 9g35.6 Communications and operations management . 9g35.7 Access control
11、9g35.8 Security requirements of information systems . 10g35.9 Information security incident management 10g35.10 Business continuity management . 10g35.11 Compliance. 10g36 Further Requirements . 10g36.1 REM Practice Statement 10g36.2 REM Interconnection Statement 11g36.3 REM Sender/REM Recipient Aut
12、hentication . 11g36.4 Electronic Signatures 12g36.4.1 Class of Electronic Signature 12g36.4.2 Public Key Certificates . 12g36.4.3 Protection of Private Signing Key 12g36.5 Maintenance of REM-MD Evidence and REM-MD Envelopes over storage period . 13g36.6 Records Retention and Destruction 13g3Annex A
13、(informative): Bibliography . 14g3History 15g3ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)4Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETS
14、I 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 available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (http:/ipr
15、.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, essential to
16、 the present document. Foreword This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 3 of a multi-part deliverable. Full details of the entire series can be found in part 1 i.1. Introduction Busi
17、ness and administrative relationships among companies, public administrations and private citizens, are the more and more implemented electronically. Trust is becoming essential for their success and continued development of electronic services. It is therefore important that any entity using electr
18、onic services have suitable security controls and mechanisms in place to protect their transactions and to ensure trust and confidence with their partners. Electronic mail is a major tool for electronic business and administration. Additional security services are necessary for e-mail to be trusted.
19、 At the time of writing the present document, in some European Union Member States (Italy, Belgium, etc.) regulation(s) and application(s) are being developed, if not already in place on mails transmitted by electronic means providing origin authentication and proof of delivery. A range of Registere
20、d E-Mail (“REM“) services is already established and their number is set to grow significantly over the next few years. Without the definition of common standards there will be no consistency in the services provided, making it difficult for users to compare them. Under these circumstances, users mi
21、ght be prevented from easily changing to alternative providers, damaging free competition. Lack of standardization might also affect interoperability between REM based systems implemented based on different models. The present document is to ensure a consistent form of service across Europe, especia
22、lly with regard to the form of evidence provided, in order to maximize interoperability even between e-mail domains governed by different policy rules. In order to move towards the general recognition and readability of evidence provided by registered e-mail services, it is necessary to specify tech
23、nical formats, as well as procedures and practices for handling REM, and the ways the electronic signatures are applied to it. In this respect, the electronic signature is an important security component to protect the information and to provide trust in electronic business. It is to be noted that a
24、 simple “electronic signature“ would be insufficient to provide the required trust to an information exchange. Therefore the present document assumes the usage of at least an Advanced Electronic Signature, with the meaning of article 2(2) of EU Directive 1999/93/EC 4 issued with a Secure Signature C
25、reation Device, with the meaning of article 2(6) of the same Directive. The summarised scope of each part and sub-part can be found in part 1 i.1 of this multi-part deliverable. ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)51 Scope The present document specifies requirements on the security of a Registere
26、d E-Mail Management Domain (REM-MD). These requirements are based on the REM-MD operating an Information Security Management System as specified in ISO/IEC 27001 1. Requirements relating to the handling of messages (e.g. message transfer or storage) which do not impact on the REM related evidence ar
27、e outside the scope of the present document. The present document uses the concepts and models defined in TS 102 640-1 i.1. The present document considers the policy requirements applicable to the REM-MD as a whole. It is the responsibility of the management authority for that domain to ensure the r
28、equirements of that domain are met including any requirements which impact on external services. 2 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-s
29、pecific references, the latest version of the reference document (including any amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at http:/docbox.etsi.org/Reference. NOTE: While any hyperlinks included in this clause were v
30、alid at the time of publication, ETSI cannot guarantee their long term validity. 2.1 Normative references The following referenced documents are necessary for the application of the present document. 1 ISO/IEC 27001:2005: “Information technology - Security techniques - Information security managemen
31、t systems - Requirements“. 2 ISO/IEC 27002:2005: “Information technology - Security techniques - Code of practice for information security management“. 3 ISO/IEC 27005:2011: “Information technology - Security techniques - Information security risk management“. 4 Directive 1999/93/EC of the European
32、Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures. 5 ETSI TS 102 042: “Electronic Signatures and Infrastructures (ESI); Policy requirements for certification authorities issuing public key certificates“. 6 ETSI TS 101 456: “Electronic Signatures and
33、 Infrastructures (ESI); Policy requirements for certification authorities issuing qualified certificates“. 7 CEN Workshop Agreement (CWA) 14169: “Secure signature-creation devices “EAL 4+“. NOTE: CWA 14169 was drafted based on Common Criteria 2.1 which has since been superseded. It is specified in t
34、he Common criteria site (http:/moncriteriaportal.org/thecc.html): “omissis the 2.* series, is to be used until March 2008, and maintenance based in this version during further 18 months, i.e. until September 2009“. 8 ISO/IEC 15408 (Parts 1 to 3): “Information technology - Security techniques - Evalu
35、ation criteria for IT security“. ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)69 CEN CWA 14167 (Parts 2 and 4): “Cryptographic module for CSP signing operations with/without backup - Protection profile - CMCSOB PP/CMCSO PP“. 10 FIPS PUB 140-2 (2001): “Security Requirements for Cryptographic Modules“. 2.2
36、Informative references 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 ETSI TS 102 640-1: “Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 1
37、: Architecture“. i.2 ETSI TS 102 640-2: “Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 2: Data requirements, Formats and Signatures for REM“. i.3 ETSI TS 102 640-4: “Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 4: R
38、EM-MD Conformance Profiles“. i.4 ETSI TS 102 640-5: “Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 5: REM-MD Interoperability Profiles“. i.5 ETSI TS 102 640-6-3: “Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 6: Inte
39、roperability Profiles; Sub-part 3: REM-MD SOAP Binding Profile“. i.6 ETSI TS 102 640-6-2: “Electronic Signatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 6: Interoperability Profiles; Sub-part 2: REM-MD BUSDOX Interoperability Profile“. i.7 ETSI TS 102 640-6-1: “Electronic S
40、ignatures and Infrastructures (ESI); Registered Electronic Mail (REM); Part 6: Interoperability Profiles; Sub-part 1: REM-MD UPU PReM Interoperability Profile“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given in TS 102 640-1 i
41、.1 and the following apply: information security management system: part of the overall management system, based on a business risk approach, to establish, implement, operate, monitor, review, maintain and improve information security NOTE: See ISO/IEC 27001 1, clause 3.7. may, need not: indicate a
42、course of action permissible within the limits of the present document shall, shall not: indicate requirements strictly to be followed in order to conform to the present document and from which no deviation is permitted should, should not: indicate that among several possibilities one is recommended
43、 as particularly suitable, without mentioning or excluding others, or that a certain course of action is preferred but not necessarily required, or that (in the negative form) a certain possibility or course of action is deprecated but not prohibited ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)73.2 Abbre
44、viations For the purposes of the present document, the following abbreviations apply: AdES Advanced Electronic Signature CA Certification Authority ISMS Information Security Management System QES Qualified Electronic Signature REM Registered E-Mail REM-MD REM Management Domain S b) in the context of
45、 clause 15.1.3 records shall be destroyed as specified in clause 6.6; c) in the context of clause 15.2 any REM Policy applicable to the REM-MD shall be applied. 6 Further Requirements The following controls shall be applied within the context of the ISO/IEC 27002 2 requirements as specified above. 6
46、.1 REM Practice Statement The REM Practice Statement is a statement of the practices employed in providing REM services meeting the policy requirements specified in the present document. The REM Practice statement shall include as applicable, at least: a) Specification of the country/ies under whose
47、 legal system the REM-MD operates and other applicable legal requirements (where applicable). b) Reference to REM Policy or other legal or policy requirements to which the REM-MD conforms. c) Details of any certification of conformance, government accreditation or other form of external audit agains
48、t the requirements specified in the present document. d) The Style(s) of Operation the REM-MD implements. e) Specification on the hashing algorithm (e.g. “SHA-1“, “SHA256“) currently used in the M00 REM-MD Component consistently with TS 102 640-2 i.2, clause 5.2.2.4.1 “M00 - REM-MD Message/REM Dispa
49、tch details“. It may specify also the previously adopted hashing algorithms, also indicating the time period they have been in force. f) Information on how the requirements specified in the present document are implemented, including at least: i) a statement of applicability of the ISO/IEC 27002 2 controls taking into account the particular requirements specified in the present document; ETSI ETSI TS 102 640-3 V2.1.2 (2011-09)11ii) whether Advanced signatures are supported by Qualified Certificates in accordan
