1、 ETSI TS 119 411-1 V1.0.1 (2015-07) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements floppy3TECHNICAL SPECIFICATION ETSI ETSI TS 119 411-1 V1.0.1 (2015-07)2Reference RTS/ESI-0019411-1-TS K
2、eywords e-commerce, electronic signature, extended validation certificat, 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 00017 - NAF 742 C Association but non lucratif enregis
3、tre la Sous-Prfecture de Grasse (06) N 7803/88 Important notice The present document can be downloaded from: http:/www.etsi.org/standards-search The present document may be made available in electronic versions and/or in print. The content of any electronic and/or print versions of the present docum
4、ent shall not be modified without the prior written authorization of ETSI. In case of any existing or perceived difference in contents between such versions and/or in print, the only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive withi
5、n 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 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
6、, please send your comment to one of the following services: https:/portal.etsi.org/People/CommiteeSupportStaff.aspx Copyright Notification No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm except as authorized by writte
7、n permission of ETSI. The content of the PDF version shall not be modified without the written authorization of ETSI. The copyright and the foregoing restriction extend to reproduction in all media. European Telecommunications Standards Institute 2015. All rights reserved. DECTTM, PLUGTESTSTM, UMTST
8、Mand the ETSI logo are Trade Marks of ETSI registered 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
9、TS 119 411-1 V1.0.1 (2015-07)3Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 7g33 Definitions, abbreviations and notation 8g33.1 Definitions 8g33.2 Abbreviations . 1
10、0g33.3 Notation 11g34 General concepts 11g34.1 General policy requirements concepts 11g34.2 Certificate policy and certification practice statement . 11g34.2.1 Overview 11g34.2.2 Purpose . 11g34.2.3 Level of specificity . 12g34.2.4 Approach 12g34.2.5 Certificate Policy 12g34.3 Other Trust Service Pr
11、oviders statements 13g34.4 Certification services 13g35 General provisions on Certification Practice Statement and Certificate Policies. 14g35.1 General requirements . 14g35.2 Certification Practice Statement requirements . 15g35.3 Certificate Policy name and identification . 15g35.4 PKI participant
12、s 16g35.4.1 Certification Authority 16g35.4.2 Subscriber and subject 16g35.4.3 Others 17g35.5 Certificate usage . 17g36 Trust Service Providers practice . 17g36.1 Publication and repository responsibilities . 17g36.2 Identification and authentication 18g36.2.1 Naming . 18g36.2.2 Initial identity val
13、idation . 18g36.2.3 Identification and authentication for Re-key requests 20g36.2.4 Identification and authentication for revocation requests . 20g36.3 Certificate Life-Cycle operational requirements 21g36.3.1 Certificate application . 21g36.3.2 Certificate application processing . 22g36.3.3 Certifi
14、cate issuance . 22g36.3.4 Certificate acceptance . 23g36.3.5 Key pair and certificate usage . 24g36.3.6 Certificate renewal 25g36.3.7 Certificate Re-key . 26g36.3.8 Certificate modification 26g36.3.9 Certificate revocation and suspension. 26g36.3.10 Certificate status services 27g36.3.11 End of subs
15、cription . 27g36.3.12 Key escrow and recovery 27g36.4 Facility, management, and operational controls . 27g36.4.1 General 27g3ETSI ETSI TS 119 411-1 V1.0.1 (2015-07)46.4.2 Physical security controls . 28g36.4.3 Procedural controls . 28g36.4.4 Personnel controls . 28g36.4.5 Audit logging procedures 29
16、g36.4.6 Records archival . 29g36.4.7 Key changeover 29g36.4.8 Compromise and disaster recovery . 30g36.4.9 Certification Authority or Registration Authority termination . 30g36.5 Technical security controls . 31g36.5.1 Key pair generation and installation . 31g36.5.2 Private key protection and crypt
17、ographic module engineering controls . 32g36.5.3 Other aspects of key pair management . 33g36.5.4 Activation data 34g36.5.5 Computer security controls . 34g36.5.6 Life cycle security controls . 34g36.5.7 Network security controls . 35g36.5.8 Timestamping . 35g36.6 Certificate, CRL, and OCSP profiles
18、 35g36.6.1 Certificate profile 35g36.6.2 CRL profile . 35g36.6.3 OCSP profile . 35g36.7 Compliance audit and other assessment . 35g36.8 Other business and legal matters 35g36.8.1 Fees . 35g36.8.2 Financial responsibility . 36g36.8.3 Confidentiality of business information 36g36.8.4 Privacy of person
19、al information 36g36.8.5 Intellectual property rights 36g36.8.6 Representations and warranties . 36g36.8.7 Disclaimers of warranties . 36g36.8.8 Limitations of liability 36g36.8.9 Indemnities . 36g36.8.10 Term and termination 37g36.8.11 Individual notices and communications with participants 37g36.8
20、.12 Amendments . 37g36.8.13 Dispute resolution procedures. 37g36.8.14 Governing law 37g36.8.15 Compliance with applicable law . 37g36.8.16 Miscellaneous provisions 37g36.9 Other provisions . 37g36.9.1 Organizational . 37g36.9.2 Additional testing 37g36.9.3 Disabilities 38g36.9.4 Terms and conditions
21、 38g37 Framework for the definition of other certificate policies 38g37.1 Certificate policy management . 38g37.2 Additional requirements . 38g3Annex A (informative): Model PKI disclosure statement . 39g3A.1 Introduction 39g3A.2 The PDS structure 40g3A.3 The PDS format 40g3Annex B (informative): Rev
22、isions made compared to TS 102 042 . 41g3Annex C (informative): Conformity assessment check list . 42g3Annex D (informative): Bibliography . 43g3History 44 ETSI ETSI TS 119 411-1 V1.0.1 (2015-07)5Intellectual Property Rights IPRs essential or potentially essential to the present document may have be
23、en 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 respect of ETSI standards“
24、, which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (http:/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 reference
25、d 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 Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part
26、1 of a multi-part deliverable on policy requirements for Trust Service Providers issuing certificate as identified below: Part 1: “General requirements“; Part 2: “Requirements for trust service providers issuing EU qualified certificates“. The present document is derived from the requirements specif
27、ied in ETSI TS 102 042 “Policy requirements for certification authorities issuing public key certificates“ i.6 that has been updated as detailed in annex B. Modal verbs terminology In the present document “shall“, “shall not“, “should“, “should not“, “may“, “need not“, “will“, “will not“, “can“ and
28、“cannot“ are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of 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 d
29、oing business and communicating across public and private networks. An important requirement of electronic commerce is the 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
30、Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA). For participants of electronic 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
31、 measure in order to minimize the operational and financial threats and risks associated with public key cryptographic systems. The present document is aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst
32、 others, applicable requirements from Regulation (EU) No 910/2014 i.15 and those from CA/Browser Forum, BRG 5. Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU can base their requirements specified in the present document and spe
33、cifying any additional requirements in a manner similar to ETSI TS 119 411-2 i.5, which builds on the present document requirements so as to benefit from the use of generally accepted global best practices. ETSI ETSI TS 119 411-1 V1.0.1 (2015-07)61 Scope The present document specifies generally appl
34、icable policy and security requirements for Trust Service Providers (TSP) issuing public key certificates, including trusted web site certificates. The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle management of certificates. These
35、 policy and security requirements support six reference certificate policies, defined in clause 5. A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where particular requirements apply is defined in clause 7. The present document is applicable
36、to: the general requirements of certification in support of cryptographic mechanisms, including digital signatures and seals; the general requirements of certification authorities issuing TLS/SSL certificates; the general requirements of the use of cryptography for authentication and encryption. The
37、 present document does not specify how the requirements identified can be assessed by an independent party, including requirements for information to be made available to such independent assessors, or requirements on such assessors. NOTE: See ETSI TS 119 403 i.2 for guidance on assessment of TSP pr
38、ocesses and services. The present document references ETSI TS 119 401 8 for general policy requirements common to all classes of TSP services. The present document however provides in annex C, a check list of the policy requirements specific to TSP issuing certificates (as expressed in the present d
39、ocument) including the generic requirements which are independent of the type of service (as expressed in ETSI TS 119 401 8). The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG 4 and BRG 5. 2 References 2.1 Normative references References are
40、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. Referenced documents wh
41、ich 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 valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are nece
42、ssary for the application of the present document. 1 ISO/IEC 15408 (parts 1 to 3): “Information technology - Security techniques - Evaluation criteria for IT security“. 2 ETSI TS 119 412-4: “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4: Certificate profile for web si
43、te certificates issued to organizations“. . 3 ISO/IEC 19790:2006: “Information technology - Security techniques - Security requirements for cryptographic modules“. 4 CA/Browser Forum (V1.5.5): “Guidelines for The Issuance and Management of Extended Validation Certificates“. ETSI ETSI TS 119 411-1 V1
44、.0.1 (2015-07)75 CA/Browser Forum (V1.3.0): “Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates“. 6 ISO/IEC 9594-8/ITU-T Recommendation X.509: “Information technology - Open Systems Interconnection - The Directory: Public-key and attribute certificate frameworks“.
45、 7 IETF RFC 5280: “Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile“. 8 ETSI TS 119 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers“. 9 ETSI TS 119 412-2: “Electronic Signatures and Infra
46、structures (ESI); Certificate Profiles; Part 2: Certificate profile for certificates issued to natural persons“. 10 ETSI TS 119 412-3: “Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3: Certificate profile for certificates issued to legal persons“. 11 IETF RFC 6960: “X.5
47、09 Internet Public Key - Infrastructure Online Certificate Status Protocol - OCSP“. 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 applies. For non-
48、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. The following referenced documents are not necessary for th
49、e application of the present document but they assist the user with regard to a particular subject area. i.1 Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures. i.2 ETSI TS 119 403: “Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers“. i.3 IETF RFC 3647: “Internet X.509 Public Key Infrastructure - Certificate Pol
