1、 ETSI TS 102 778-3 V1.2.1 (2010-07)Technical Specification Electronic Signatures and Infrastructures (ESI);PDF Advanced Electronic Signature Profiles;Part 3: PAdES Enhanced - PAdES-BESand PAdES-EPES ProfilesETSI ETSI TS 102 778-3 V1.2.1 (2010-07)2Reference RTS/ESI-000101-3 Keywords e-commerce, elect
2、ronic signature, PAdES, security 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 Important notice Individual cop
3、ies 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 the Portable Document Format
4、(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. Information on the current stat
5、us 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 part may be reproduced excep
6、t as authorized by written permission. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2010. All rights reserved. DECTTM, PLUGTESTSTM, UMTSTM, TIPHONTM, the TIPHON logo and the ETSI logo are Trade Marks of ETSI register
7、ed for the benefit of its Members. 3GPPTM is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. LTE is a Trade Mark of ETSI currently being registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM and the GSM logo are
8、 Trade Marks registered and owned by the GSM Association. ETSI ETSI TS 102 778-3 V1.2.1 (2010-07)3Intellectual Property Rights 4g3Foreword . 4g3Introduction 4g31 Scope 5g32 References 5g32.1 Normative references . 5g32.2 Informative references 6g33 Definitions and abbreviations . 6g33.1 Definitions
9、6g33.2 Abbreviations . 7g34 PAdES-BES and PAdES-EPES Profiles 7g34.1 Introduction 7g34.2 General Requirements 7g34.3 SignerInfo . 8g34.4 Mandatory Attributes . 8g34.4.1 content-type Attribute . 8g34.4.2 message-digest Attribute. 8g34.4.3 Signing Certificate Reference Attribute 8g34.5 Attributes Opti
10、onal in CAdES 8g34.5.1 signature-policy-identifier Attribute . 8g34.5.2 signature-time-stamp Attribute . 9g34.5.3 signing-time Attribute . 9g34.5.4 counter-signature Attribute . 9g34.5.5 content-reference Attribute . 10g34.5.6 content-identifier Attribute . 10g34.5.7 content-hints Attribute 10g34.5.
11、8 commitment-type-indication Attribute . 10g34.5.9 signer-location Attribute . 10g34.5.10 signer-attributes Attribute . 10g34.5.11 content-time-stamp Attribute 10g34.6 Signature Validation . 11g34.6.1 Signing Certificate Reference Validation . 11g34.6.2 Document Digest 11g34.6.3 Certificate Path Val
12、idation 11g34.6.4 Revocation Checking 11g34.7 Extensions Dictionary 12g3Annex A (informative): Change history . 13g3History 14g3ETSI ETSI TS 102 778-3 V1.2.1 (2010-07)4Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The inf
13、ormation 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 available from th
14、e 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 carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR
15、 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 Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 3 of a multi
16、-part deliverable. Full details of the entire series can be found in part 1 3. Introduction Electronic documents are a major part of a modern companies business. Trust in this way of doing business is essential for the success and continued development of electronic business. It is, therefore, impor
17、tant that companies using electronic documents have suitable security controls and mechanisms in place to protect their documents and to ensure trust and confidence with their business practices. In this respect the electronic signature is an important security component that can be used to protect
18、information and provide trust in electronic business. The present document is intended to cover electronic signatures for electronic documents, this includes evidence as to its validity even if the signer or verifying party later attempts to deny (i.e. repudiates; see ISO/IEC 10181-4 i.1) the validi
19、ty of the signature. Thus, the present document can be used for any document encoded in a Portable Document Format (PDF) produced by an individual and a company, and exchanged between companies, between an individual and a governmental body, etc. The present document is independent of any environmen
20、t; it can be applied to any environment, e.g. smart cards, GSM SIM cards, special programs for electronic signatures, etc. The European Directive on a community framework for Electronic Signatures defines an electronic signature as: “Data in electronic form which is attached to or logically associat
21、ed with other electronic data and which serves as a method of authentication“. The formats defined in the present document, are able to support advanced electronic signatures as defined in the Directive. ISO 32000-1 1 specifies a digital form for representing documents called the Portable Document F
22、ormat (PDF) that enables users to exchange and view electronic documents easily and reliably, independent of the environment in which they were created or the environment in which they are viewed or printed. ISO 32000-1 1 identifies the ways in which an electronic signature, in the form of a digital
23、 signature, may be incorporated into a PDF document to authenticate the identity of the user and validate integrity of the documents content. These signatures are based on the same CMS (RFC 3852 4) technology and techniques as TS 101 733 2 (CADES), but with some restrictions as specified in the pres
24、ent document (e.g. parallel signatures not supported). The present document specifies digital signatures in PDF to provide Advanced Electronic Signature equivalent to the CAdES-BES, CAdES-EPES and CAdES-T forms. ETSI ETSI TS 102 778-3 V1.2.1 (2010-07)51 Scope The present document profiles the use of
25、 PDF Signatures specified in ISO 32000-1 1 with an alternative signature encoding to support signature formats equivalent to the signature forms CAdES-BES, CAdES-EPES and CAdES-T as specified in TS 101 733 2. The PAdES-BES profile supports basic CMS (RFC 3852 4) signature features as specified TS 10
26、2 778-2 8 with the additional protection against signing certificate substitution. The PAdES-EPES profile extends the PAdES-BES profile to include signature policies. Both profiles, PAdES-BES and PAdES-EPES allow the inclusion of a signature time stamp creating a signature similar to the CAdES-T for
27、m. The present document does not repeat the base requirements of the referenced standards, but instead aims to disambiguate between the techniques used in the different referenced standards. These profiles are intended to be used by a signer. The present document is part of a series of profiles for
28、advanced electronic signature formats applied to PDF documents. General information the series of profiles is specified in TS 102 778-1 3. The requirements specified in the present document take precedence over those specified in ISO 32000-1 1 and TS 101 733 2. 2 References References are either spe
29、cific (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 reference document (including any amendments) applies. Referenced documents which are not
30、 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 valid at the time of publication ETSI cannot guarantee their long term validity. 2.1 Normative references The following referenced docum
31、ents are necessary for the application of the present document. 1 ISO 32000-1: “Document management - Portable document format - Part 1: PDF 1.7“. NOTE: Available at http:/ 2 ETSI TS 101 733: “Electronic Signatures and Infrastructures (ESI); CMS Advanced Electronic Signatures (CAdES)“. 3 ETSI TS 102
32、 778-1: “Electronic Signatures and Infrastructures (ESI); PDF Advanced Electronic Signature Profiles; Part 1: PAdES Overview - a framework document for PAdES“. 4 IETF RFC 3852 (2004): “Cryptographic Message Syntax (CMS)“. 5 IETF RFC 5280: “Internet X.509 Public Key Infrastructure Certificate and Cer
33、tificate Revocation List (CRL) Profile“. 6 IETF RFC 2560 (1999): “X.509 Internet Public Key Infrastructure Online Certificate Status Protocol - OCSP“. 7 IETF RFC 5035 (2007): “Enhanced Security Services (ESS) Update: Adding CertID Algorithm Agility“. ETSI ETSI TS 102 778-3 V1.2.1 (2010-07)68 ETSI TS
34、 102 778-2: “Electronic Signatures and Infrastructures (ESI); PDF Advanced Electronic Signature Profiles; Part 2: PAdES Basic - Profile based on ISO 32000-1“. 9 ETSI TS 102 778-4: “Electronic Signatures and Infrastructures (ESI); PDF Advanced Electronic Signature Profiles; Part 4: PAdES Long Term -
35、PAdES LTV Profile“. 10 IETF RFC 3280: “Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile“. 2.2 Informative references The following referenced documents are not necessary for the application of the present document but they assist the user with regard
36、 to a particular subject area. i.1 ISO/IEC 10181-4: “Information technology - Open Systems Interconnection - Security frameworks for open systems: Non-repudiation framework“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the terms and definitions given in
37、1, 2 and the following apply: conforming signature handler: software application, or part of a software application, that knows how to perform digital signature operations (e.g. signing and/or verifying) in conformance with ISO 32000-1 1 and the requirements of the appropriate profile PDF signature:
38、 binary data object based on the CMS (RFC 3852 4) or related syntax containing a digital signature placed within a PDF document structure as specified in ISO 32000-1 1, clause 12.8 with other information about the signature applied when it was first created signature dictionary: PDF data structure,
39、of type dictionary, as described in ISO 32000-1 1, clause 12.8.1, table 252 that contains all the information about the Digital Signature signer: entity that creates an electronic signature verifier: entity that validates an electronic signature The present document makes use of certain keywords to
40、signify requirements. Below follows their definitions: may: means that a course of action is permissible within a profile shall: means that the definition is an absolute requirement of a profile NOTE: It has to strictly be followed in order to conform to the present document. should: means that amon
41、g several possibilities one is recommended, in a profile, as particularly suitable, without 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
42、, but the full implications must be understood and carefully weighed before choosing a different course. ETSI ETSI TS 102 778-3 V1.2.1 (2010-07)73.2 Abbreviations For the purposes of the present document, the abbreviations given in ISO 32000-1 1, TS 101 733 2 and the following apply: CAdES CMS Advan
43、ced Electronic Signature CMS Cryptographic Message Syntax NOTE: As specified in RFC 3852 4. CRL Certificate Revocation List EPES Explicit Policy-based Electronic Signature GSM Global System for Mobile Communications LTV Long Term Validation OCSP Online Certificate Status Protocol PAdES PDF Advanced
44、Electronic Signature PAdES-BES PAdES Basic Electronic Signature PAdES-EPES PAdES Explicit Policy Electronic Signature PDF Portable Document Format PKCS Public Key Cryptography Standard SHA Secure Hash Algorithm SIM Subscriber Identity Module 4 PAdES-BES and PAdES-EPES Profiles 4.1 Introduction This
45、set of profiles describe the creation and verification of signatures in PDF documents that have similar features as described in CAdES (TS 101 733 2) by the signature forms CAdES-BES, CAdES-EPES and CAdES-T. Rather than having a separate “-T“ form, as in CAdES, this set of profiles incorporates the
46、signature time-stamp attribute as optional for both PAdES-BES and PAdES-EPES profiles making the signature effectively a CAdES-T form. Some signature attributes found in CAdES have the same or similar meaning as keys in the signature dictionary described in ISO 32000-1 1. The signature dictionary it
47、ems should be used in preference to CAdES attributes unless specified otherwise in the present document. 4.2 General Requirements For all profiles covered in the present document: a) Requirements for handling PDF Signatures specified in ISO 32000-1 1, clause 12.8 apply except where overridden by the
48、 present document. b) A DER-encoded SignedData object as specified in CMS (RFC 3852 4) shall be included as the PDF signature in the entry with the key Content of the signature dictionary as described in ISO 32000-1 1, clause 12.8.1. This CMS object forms a CAdES signature described in TS 101 733 2
49、as it may contain several attributes required by the rules given in the following clauses. c) The ByteRange shall cover the entire file, including the signature dictionary but excluding the PDF Signature itself. d) Requirements specified in ISO 32000-1 1, clauses 12.8.3.2 (PKCS#1) and 12.8.3.3 (PKCS#7) signatures as used in ISO 32000-1 1 do not apply. e) The signature dictionary shall contain a value of ETSI.CAdES.detached for the key SubFilt
