ETSI TS 119 461 V1.1.1 (2021-07)

Electronic Signatures and Infrastructures (ESI); Policy and security requirements for trust service components providing identity proofing of trust service subjects

DTS/ESI-0019461

General Information

• Status: Not Published
• Technical Committee: ESI - Electronic Signatures and Infrastructures
• Current Stage: 12 - Completion
• Due Date: 20-Aug-2021
• Completion Date: 23-Jul-2021

Standards Content (Sample)

ETSI TS 119 461 V1.1.1 (2021-07)






TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for trust service components
providing identity proofing of trust service subjects

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2 ETSI TS 119 461 V1.1.1 (2021-07)

Reference
DTS/ESI-0019461
Keywords
electronic signature, security, trust services
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© ETSI 2021.
All rights reserved.

ETSI

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3 ETSI TS 119 461 V1.1.1 (2021-07)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 5
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 8
3 Definition of terms, symbols, abbreviations and notations . 9
3.1 Terms . 9
3.2 Symbols . 11
3.3 Abbreviations . 11
3.4 Notations . 12
4 General concepts . 13
4.1 Identity proofing actors . 13
4.2 Identity proofing process . 13
4.3 Identity proofing context . 15
4.4 Authoritative evidence and supplementary evidence . 16
4.5 Consideration of threats . 17
4.6 Identity proofing service policy . 18
5 Operational risk assessment . 18
6 Policies and practices . 18
6.1 Identity proofing service practice statement . 18
6.2 Terms and Conditions . 18
6.3 Information security policy . 18
7 Identity proofing service management and operation . 18
7.1 Internal organization. 18
7.2 Human resources . 18
7.3 Asset management . 18
7.4 Access control . 19
7.5 Cryptographic controls . 19
7.6 Physical and environmental security . 19
7.7 Operation security . 19
7.8 Network security . 19
7.9 Incident management . 19
7.10 Collection of evidence . 19
7.11 Business continuity management . 19
7.12 Termination and termination plans . 19
7.13 Compliance. 19
8 Identity proofing service requirements . 19
8.1 Initiation . 19
8.2 Attribute and evidence collection . 20
8.2.1 General requirements . 20
8.2.2 Attribute collection . 21
8.2.2.1 Attribute collection for natural person . 21
8.2.2.2 Attribute collection for legal person . 22
8.2.2.3 Attribute collection for natural person representing legal person . 22
8.2.3 Use of physical and digital identity document as evidence . 22
8.2.4 Use of existing eID means as evidence . 23
8.2.5 Use of existing digital signature means as evidence . 24
8.2.6 Use of trusted register as supplementary evidence . 25
ETSI

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4 ETSI TS 119 461 V1.1.1 (2021-07)
8.2.7 Use of proof of access as supplementary evidence . 25
8.2.8 Use of documents and attestations as supplementary evidence . 26
8.2.9 Evidence collection for natural person representing legal person . 26
8.3 Attribute and evidence validation . 27
8.3.1 General requirements . 27
8.3.2 Validation of digital identity document . 28
8.3.3 Validation of physical identity document . 29
8.3.4 Validation of eID . 31
8.3.5 Validation of digital signature with certificate. 31
8.3.6 Validation of information obtained from trusted registers . 32
8.3.7 Validation of proof of access . 32
8.3.8 Validation of documents and attestations . 33
8.4 Binding to applicant . 33
8.4.1 General requirements . 33
8.4.2 Capture of face image of the applicant . 33
8.4.3 Binding to applicant by automated face biometrics . 34
8.4.4 Binding to applicant by manual face verification . 35
8.4.5 Binding to applicant for legal person and natural person representing legal person . 36
8.5 Issuing of proof . 36
8.5.1 Result of the identity proofing . 36
8.5.2 Evidence of the identity proofing process . 37
9 Use cases for identity proofing to Baseline LoIP . 37
9.1 Introduction . 37
9.2 Use cases for identity proofing of natural person . 38
9.2.1 Use cases with physical presence of the applicant . 38
9.2.1.1 General requirements . 38
9.2.1.2 Use case for manual operation . 39
9.2.1.3 Use case for hybrid manual and automated operation . 39
9.2.1.4 Use case for automated operation . 39
9.2.2 Use cases for attended remote identity proofing . 40
9.2.2.1 General requirements . 40
9.2.2.2 Use case for manual operation . 41
9.2.2.3 Use case for hybrid manual and automated operation . 41
9.2.3 Use cases for unattended remote identity proofing . 42
9.2.3.1 General requirements . 42
9.2.3.2 Use case for manual operation . 43
9.2.3.3 Use case for hybrid manual and automated operation . 43
9.2.3.4 Use case for automated operation . 44
9.2.4 Use case for identity proofing by authentication using eID means . 44
9.2.5 Use case for identity proofing using digital signature with certificate . 45
9.3 Use case for identity proofing of legal person . 45
9.4 Use case for identity proofing of natural person representing legal person . 46
Annex A (informative): Application of the present document for current versions of ETSI
TSP policy requirements standards . 47
A.1 Introduction . 47
A.2 Application for issuance of NCP certificates as specified in ETSI EN 319 411-1. 47
A.3 Application for issuance of QCP certificates as specified in ETSI EN 319 411-2. 49
A.4 Application of the present document to ETSI EN 319 521 . 50
A.5 Application of the present document to ETSI TS 119 431-1 and EN 419 241-1 . 51
Annex B (informative): Threats to identity proofing . 53
History . 61


ETSI

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5 ETSI TS 119 461 V1.1.1 (2021-07)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are 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 the ETSI Secretariat. Latest updates are available on the
ETSI Web server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
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 the present document.
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ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
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Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
Modal verbs terminology
In the present document "shall", "shall not", "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
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
Introduction
Identity proofing is the process of verifying with the required degree of reliability that the purported identity of an
applicant is correct. The scope of the present document is identity proofing of applicants to be enrolled as subjects or
subscribers of a Trust Service Provider (TSP).
Identity proofing can be carried out by the TSP as an integral part of the trust service provisioning. It can also be the
task of a specialized Identity Proofing Service Provider (IPSP) acting as a subcontractor to the TSP; such a separate
IPSP can provide services to several TSPs. The present document applies to both of these scenarios.
The present document aims 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.1].
ETSI

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6 ETSI TS 119 461 V1.1.1 (2021-07)
The present document poses policy and security requirements specific to identity proofing covering applicable
technologies and use cases, resulting in identity proofing to a Baseline Level of Identity Proofing (LoIP) that is
considered applicable to all relevant ETSI trust services standards.

ETSI

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7 ETSI TS 119 461 V1.1.1 (2021-07)
1 Scope
The scope of the present document is policy and security requirements for trust service components providing identity
proofing of trust service subjects. Such a trust service component can be provided by the Trust Service Provider (TSP)
itself as an integral part of the trust service or by a specialized Identity Proofing Service Provider (IPSP) acting as a
subcontractor to the TSP.
The present document provides requirements for a Baseline Level of Identity Proofing (LoIP) aimed to support issuing
of certificates at the NCP policy level as specified in ETSI EN 319 411-1 [i.7] as well as the QCP policy level as
specified in ETSI EN 319 411-2 [i.8]. The Baseline LoIP also aims to support identity proofing for other ETSI trust
services standards such as ETSI TS 119 431-1 [i.10] and ETSI EN 319 521 [i.12]. Annex A indicates how to use the
present document in conjunction with these standards.
NOTE 1: The present document has the potential to have wider applicability than the defined scope, but any
application for other purposes than enrolment to trust services is out of scope.
The present document aims at supporting identity proofing in European and other regulatory frameworks. Specifically,
but not exclusively, the present document aims to support issuing of qualified certificates as defined in Regulation (EU)
No 910/2014 [i.1] (the eIDAS Regulation) Article 24.1. The present document aims to meet the requirements of
Article 24.1 as follows: 24.1 (a) by clause 9.2.1, 24.1 (b) by clause 9.2.4, 24.1 (c) by clause 9.2.5, 24.1 (d) by
clauses 9.2.2 and/or 9.2.3 depending on the decision of the competent national authority.
The present document can be used by Conformity Assessment Bodies (CABs) as the basis for confirming that an
organization is trustworthy and reliable in its identity proofing process.
NOTE 2: See ETSI EN 319 403-1 [i.6] for guidance on the assessment of TSP processes and services.
2 References
2.1 Normative 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-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://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 necessary for the application of the present document.
[1] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[2] ICAO Doc 9303 part 10: "Machine Readable Travel Document - Part 10: Logical Data Structure
(LDS) for Storage of Biometrics and Other Data in the Contactless Integrated Circuit (IC)".
[3] ISO/IEC 30107-3:2017: "Information technology -- Biometric presentation attack detection --
Part 3: Testing and reporting".
ETSI

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8 ETSI TS 119 461 V1.1.1 (2021-07)
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-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 the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Regulation (EU) 910/2014 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.2] Commission Delegated Regulation (EU) 2018/389 of 27 November 2017 supplementing Directive
(EU) 2015/2366 of the European Parliament and of the Council with regard to regulatory technical
standards for strong customer authentication and common and secure open standards of
communication.
[i.3] Commission Implementing Regulation (EU) 2015/1502 of 8 September 2015 on setting out
minimum technical specifications and procedures for assurance levels for electronic identification
means pursuant to Article 8(3) of Regulation (EU) No 910/2014 of the European Parliament and of
the Council on electronic identification and trust services for electronic transactions in the internal
market.
[i.4] ETSI TR 119 001: "Electronic Signatures and Infrastructures (ESI); The framework for
standardization of signatures; Definitions and abbreviations".
[i.5] ETSI EN 319 102-1: "Electronic Signatures and Infrastructures (ESI); Procedures for Creation and
Validation of AdES Digital Signatures; Part 1: Creation and Validation".
[i.6] ETSI EN 319 403-1: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 1: Requirements for conformity assessment bodies assessing Trust
Service Providers".
[i.7] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[i.8] ETSI EN 319 411-2: "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.9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:
Certificate profile for certificates issued to natural persons".
[i.10] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.11] EN 419 241-1: "Trustworthy systems supporting server signing - Part 1: General system security
requirements" (produced by CEN).
[i.12] ETSI EN 319 521: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Electronic Registered Delivery Service Providers".
[i.13] ETSI TS 119 172-1: "Electronic Signatures and Infrastructures (ESI); Signature Policies; Part 1:
Building blocks and table of contents for human readable signature policy documents".
[i.14] ETSI TS 119 172-4: "Electronic Signatures and Infrastructures (ESI); Signature Policies; Part 4:
Signature applicability rules (validation policy) for European qualified electronic sign
...