1、 ETSI TS 102 778 V1.1.1 (2009-04)Technical Specification Electronic Signatures and Infrastructures (ESI);PDF Advanced Electronic Signature Profiles;CMS Profile based on ISO 32000-1ETSI ETSI TS 102 778 V1.1.1 (2009-04)2Reference DTS/ESI-000063 Keywords e-commerce, electronic signature, security ETSI
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3、nloaded 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 the Portable Document Format (PDF). In case of dispute, the referen
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8、he GSM Association. ETSI ETSI TS 102 778 V1.1.1 (2009-04)3Contents Intellectual 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 Des
9、cription of Profile for CMS signatures in PDF 7g34.1 Introduction 7g34.2 Features 7g34.3 PDF signatures . 7g34.4 Signature types . 9g34.5 Handlers . 9g34.6 PDF serial signatures 9g34.7 Signature validation 10g34.8 Time stamping 10g34.9 Revocation checking 11g34.10 Seed values and signature policies
10、. 11g34.11 ISO 19005-1: 2005 (PDF/A-1) . 11g35 Requirements of profile for CMS signatures in PDF . 12g35.1 Requirements from clause 4.3 (PDF signatures) 12g35.2 Requirements from clause 4.5 (handlers) . 12g35.3 Requirements from clause 4.6 (PDF serial signatures). 12g35.4 Requirements from clause 4.
11、7 (signature validation) . 12g35.5 Requirements from clause 4.8 (time stamping) 12g35.6 Requirements from clause 4.9 (revocation checking) 12g35.7 Requirements from clause 4.10 (seed values and signature policies) . 12g3History 13g3ETSI ETSI TS 102 778 V1.1.1 (2009-04)4Intellectual Property Rights I
12、PRs 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 ETSI members and non-members, and can be found in ETSI SR 000 314: “Intellectual Property Rights (IPRs); Essential, or
13、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:/webapp.etsi.org/IPR/home.asp). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carr
14、ied 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 the present document. Foreword This Technical Specification (TS) has been produced by ETSI Technica
15、l Committee Electronic Signatures and Infrastructures (ESI). Introduction ISO 32000-1 1 specifies a digital form for representing documents called the Portable Document Format (PDF) that enables users to exchange and view electronic documents easily and reliably, independent of the environment in wh
16、ich they were created or the environment in which they are viewed or printed. Clause 12.8 of ISO 32000-1 identifies the ways in which a digital signature may be used to authenticate the identity of a user and the accuracy of the documents content. These digital signatures are based on the same CMS i
17、.2 technology and techniques as TS 101 733 i.1 (CAdES), but without the extensions defined in CAdES for the purposes of long term validation. The present document defines the first of a series of profiles that describe how digital signatures in PDF can be used in a way that provide an Advanced Elect
18、ronic Signature framework for the signing of electronic documents in PDF format. Therefore the following provisions represent a general consensus of the use of these standards and hence provide a reliable basis for maximizing interoperability. Nevertheless, in particular business areas and niches th
19、ere may be specific needs and/or regulations that may require variations to these profiles. ETSI ETSI TS 102 778 V1.1.1 (2009-04)51 Scope The present document profiles the use of PDF signatures, as described in ISO 32000-1 1 and based on CMS i.2, for its use in any application areas where PDF is the
20、 appropriate technology for exchange of digital documents including interactive forms. Further profiles in this series will specify additional features which add to the non-repudiation and long-term validation properties of PDF Signatures. This profile does not repeat the base requirements of the re
21、ferenced standards, but instead aims to maximize interoperability of CMS-based electronic signatures in various business areas. Clause 4 provides a general informative description of the profile, while clause 5 specifies the normative conformance requirements of this profile. 2 References References
22、 are either specific (identified by date of publication and/or edition number or version number) or non-specific. For a specific reference, subsequent revisions do not apply. Non-specific reference may be made only to a complete document or a part thereof and only in the following cases: - if it is
23、accepted that it will be possible to use all future changes of the referenced document for the purposes of the referring document; - for informative references. Referenced documents which are not found to be publicly available in the expected location might be found at http:/docbox.etsi.org/Referenc
24、e. NOTE: While any hyperlinks included in this clause were valid at the time of publication ETSI cannot guarantee their long term validity. 2.1 Normative references The following referenced documents are indispensable for the application of the present document. For dated references, only the editio
25、n cited applies. For non-specific references, the latest edition of the referenced document (including any amendments) applies. 1 ISO 32000-1 (2008): “Document Management - Portable Document Format - PDF 1.7“. 2 IETF RFC 2315: “PKCS #7: Cryptographic Message Syntax, Version 1.5“. 3 ITU-T Recommendat
26、ion X.509 / ISO/IEC 9594-8: “Information technology - Open Systems Interconnection - The Directory: Public-key and attribute certificate frameworks“. 4 IETF RFC 3280: “Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile“. 5 IETF RFC 2560: “X.509 Interne
27、t Public Key Infrastructure Online Certificate Status Protocol - OCSP“. 6 IETF RFC 3161: “Internet X.509 Public Key Infrastructure Time-Stamp Protocol (TSP)“. 7 ETSI TS 102 176-1: “Electronic Signatures and Infrastructures (ESI); Algorithms and Parameters for Secure Electronic Signatures; Part 1: Ha
28、sh functions and asymmetric algorithms“. 8 ISO 19005-1 (2005): Document management - Electronic document file format for long-term preservation - Part 1: Use of PDF 1.4 (PDF/A-1). ETSI ETSI TS 102 778 V1.1.1 (2009-04)62.2 Informative references The following referenced documents are not essential to
29、 the use of the present document but they assist the user with regard to a particular subject area. For non-specific references, the latest version of the referenced document (including any amendments) applies. i.1 ETSI TS 101 733 (V1.7.4): “Electronic Signatures and Infrastructures (ESI); CMS Advan
30、ced Electronic Signatures (CAdES)“. i.2 IETF RFC 3852: “Cryptographic Message Syntax (CMS)“. i.3 IETF RFC 3281: “An Internet Attribute Certificate Profile for Authorization“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given in
31、ISO 32000-1 1 and the following apply: NOTE: The words “may“, “shall“ and “should“ are used in the present document as keywords to signify requirements. certification signature: signature that is used in conjunction with modification detection permissions (MDP) as defined by ISO 32000-1 1, clause 12
32、.8.2.2 conforming reader: software application that is able to read and process PDF files that have been made in conformance with ISO 32000-1 1 may: means that a course of action is permissible within this profile. PDF serial signature: specific signature workflow where the second (and subsequent) s
33、igners of a PDF not only sign the document but also the signature of the previous signer and any modification that may also have taken place (e.g. form fill-in) PDF signature: DER-encoded PKCS#7 binary data object containing a digital signature and other information necessary to verify the digital s
34、ignature such as the signers certificate along with any supplied revocation information seed value dictionary: PDF data structure, of type dictionary, as described in ISO 32000-1 1, clause 12.7.4.5, table 234, that contains information that constrains the properties of a signature that is applied to
35、 a specific signature field shall: means that the definition is an absolute requirement of this profile and it has to strictly be followed in order to conform to the present document should: means that among several possibilities one is recommended, in this profile, as particularly suitable, without
36、 mentioning or excluding others, or that a certain course of action is preferred but not necessarily required NOTE: Implementers may know valid reasons in particular circumstances to ignore this recommendation, but the full implications must be understood and carefully weighed before choosing a diff
37、erent course. signature dictionary: PDF data structure, of type dictionary, as described in ISO 32000-1 1, clause 12.8.1, table 252 that contains all of the information about the Digital Signature. ETSI ETSI TS 102 778 V1.1.1 (2009-04)73.2 Abbreviations For the purposes of the present document, the
38、following abbreviations apply: CAdES CMS Advanced Electronic Signatures NOTE: As per TS 101 733 i.1. CMS Cryptographic Message Syntax CRL Certificate Revocation List MDP Modification Detection Permissions OCSP Online Certificate Status Protocol PDF Portable Document Format 4 Description of Profile f
39、or CMS signatures in PDF 4.1 Introduction This profile specifies a PDF signature as specified in ISO 32000-1:2008 1 that enables greater interoperability for PDF signatures by providing additional restrictions beyond those of ISO 32000-1 1. 4.2 Features Signature encoded in CMS as defined by PKCS #7
40、 1.5 (RFC 2315 2). Supports serial signatures. Optionally includes signature time-stamp. Optionally includes revocation information. Signature protects integrity of the document and authenticates the signatory. Signature can optionally include the “reasons“ for the signature. Signature can optionall
41、y include a description of the location of signing. Signature can optionally include contact info of the signatory. A “legal content attestation“ can be used to indicate to the relying party the PDF capabilities which may affect the signed document (e.g. JavaScript). 4.3 PDF signatures Digital signa
42、tures in ISO 32000-1 1 currently support three activities: adding a digital signature immediately to a document, providing a placeholder field where signatures will go in the future, and checking signatures for validity. The signature itself along with various optional information is contained in a
43、data structure of the PDF called the signature dictionary (ISO 32000-1 1, clause 12.8.1, table 252). As with other CMS-based signature implementations, a digest is computed over a range of bytes of the file. However with PDF, as the signature information is to be embedded into the document itself, t
44、his range shall be the entire file, including the signature dictionary but excluding the PDF Signature itself. The range is then indicated by the ByteRange entry of the signature dictionary. NOTE 1: This makes normative a recommendation in ISO 32000-1 1, clause 12.8.1. NOTE 2: By restricting the Byt
45、eRange entry this way, it ensures that there are no bytes in the PDF that are not covered by the digest, other than the PDF signature itself. ETSI ETSI TS 102 778 V1.1.1 (2009-04)8Figure 1 The PDF Signature (a DER-encoded PKCS#7 binary data object) shall be placed into the Contents entry of the sign
46、ature dictionary. The PKCS#7 object shall conform to the PKCS#7 specification in RFC 2315 2. At minimum, it shall include the signers X.509 3 signing certificate. NOTE 3: Although ISO 32000-1 1 also allows the value of the Contents entry of signature dictionary to be a DER-encoded PKCS#1 binary data
47、 object, that format does not conform with this profile. NOTE 4: The size of the Contents entry is computed based on a best guess of the maximum size needed to contain the PDF signature and any addition revocation and timestamping information. The contents of the string is first written to disk as a
48、 series of 0x00 hex values and later filled in with the actual contents. Figure 2 As recommended by ISO 32000-1 1, clause 12.8.3.3.1, timestamping and revocation information should be included in order to improve the long-term non-repudiation properties of the signature. This revocation information
49、and as much of the complete chain of certificates, as is available, shall be captured and validated before completing the creation of the PDF Signature. In addition, the revocation information shall be a signed attribute of the PDF Signature. NOTE 5: The above requirements for PDF signatures differ from the behaviour of other CMS-based electronic signature solutions. ISO 32000-1 1 allows the inclusion of one or more RFC 3281 i.3 attribute certificates to be associated with the signer certificate. Howe
