ETSI TS 119 172-4 V1.1.1 (2021-05)

Electronic Signatures and Infrastructures (ESI); Signature Policies; Part 4: Signature applicability rules (validation policy) for European qualified electronic signatures/seals using trusted lists

DTS/ESI-0019172-4

General Information

• Status: Not Published
• Technical Committee: ESI - Electronic Signatures and Trust Infrastructures
• Current Stage: 12 - Completion
• Due Date: 05-May-2021
• Completion Date: 27-May-2021
• Mandate: M/460

Standards Content (Sample)

TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Signature Policies;
Part 4: Signature applicability rules (validation policy)
for European qualified electronic signatures/seals
using trusted lists
2 ETSI TS 119 172-4 V1.1.1 (2021-05)

Reference
DTS/ESI-0019172-4
Keywords
e-commerce, electronic signature, trust services

ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: [phone]  Fax: [phone]

Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871

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 document 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 prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
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
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
No representation or warranty is made that this deliverable is technically accurate or sufficient or conforms to any law
and/or governmental rule and/or regulation and further, no representation or warranty is made of merchantability or fitness
for any particular purpose or against infringement of intellectual property rights.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.

Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
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 written 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.

© ETSI 2021.
All rights reserved.
ETSI
3 ETSI TS 119 172-4 V1.1.1 (2021-05)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Introduction . 4
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 7
3 Definition of terms, symbols, abbreviations and notations . 7
3.1 Terms . 7
3.2 Symbols . 7
3.3 Abbreviations . 8
3.4 Notations . 8
4 Signature applicability rules for the validation of EU qualified electronic signatures/seals . 8
4.1 Introduction . 8
4.2 Validation constraints and validation procedures . 8
4.3 Requirements on signature validation and applicability rules checking practices . 10
4.4 Technical applicability (rules) checking process . 10
4.4.1 Overview . 10
4.4.2 Processing . 10
4.5 Requirements on applicability rules checking report . 12
Annex A (normative): OIDs . . 14
History . 15

ETSI
4 ETSI TS 119 172-4 V1.1.1 (2021-05)
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.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the ®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
The present document is part 4 of a multi-part deliverable. Full details of the entire series can be found in part 1 [3].
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
A digital signature is always used in a context, either implicit or explicit, e.g. as part of a business process.
Regulation (EU) No 910/2014 [i.1] defines the terms electronic signature, advanced electronic signature, qualified
electronic signature, electronic seal, advanced electronic seal and qualified electronic seal. These electronic signatures
and seals can be created using digital signature technology.
NOTE 1: When not stated otherwise in the present document, "signature" denotes "digital signature".
The purpose of signature applicability rules is to describe the requirements imposed on or committing the involved
actors (signers, verifiers, relying parties and/or potentially one or more trust service providers) with respect to the
applicability of signatures to documents and data that are signed in a particular context, transaction, process, business or
application domain, in order to determine whether these signatures are fit for a particular business or legal purpose.
ETSI
5 ETSI TS 119 172-4 V1.1.1 (2021-05)
NOTE 2: The terms "signature applicability rules" are known as "signature validation policy" in ETSI
TS 119 172-1 [3] while they are being used in other standards like ETSI TS 119 102-1 [1], ETSI
TS 119 441 [i.9] to identify the "set of rules, applicable to one or more digital signatures, that defines the
requirements for their determination of whether a signature is fit for a particular business or legal
purpose". The terms "signature validation policy" is used in these latter documents to refer to a very
specific set of technical constraints to technically validate a digital signature. Signature applicability rules
can include more rules than those applying to those technical signature validation constraints. ETSI
TS 119 172-1 [3] can be used to define such signature applicability rules.
EXAMPLE: An example of such applicability is the determination whether a digital signature can be determined as
an EU qualified electronic signature or seal in accordance with (EU) No 910/2014 [i.1], in particular
with its Article 32 on "Requirements for the validation of qualified electronic signatures" where the
term validation is understood in the common sense. In this context the "applicability rules" adds, to
the technical validation of the signature, verification that the signer certificate has been issued as an
EU qualified certificate for electronic signature/seal, that it was a valid qualified certificate at the time
of signing, that the signature creation data resides in a qualified electronic signature/seal creation
device, etc.
There needs to be some way of expressing the rules for the technical validation of digital signatures and the
determination of their applicability to the specific context of Article 32 of the eIDAS Regulation, i.e. to determine
whether they can be (technically) considered as European qualified electronic signatures/seals using trusted lists (TLs)
in the sense of the applicable European legislation at the time of signing, i.e. either Directive 1999/93/EC [i.2] or
Regulation (EU) No 910/2014 [i.1].
The present document specifies such rules.

ETSI
6 ETSI TS 119 172-4 V1.1.1 (2021-05)
1 Scope
The present document specifies a set of rules that aims at defining the technical requirements for determining, taking
into account the EU Member States trusted lists [i.4], whether a digital signature is fit for meeting the requirements of
EU qualified electronic signatures/seals in the sense of the applicable European legislation, i.e. either Directive
1999/93/EC [i.2] or Regulation (EU) No 910/2014 [i.1].
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 TS 119 102-1: "Electronic Signatures and Infrastructures (ESI); Procedures for Creation and
Validation of AdES Digital Signatures; Part 1: Creation and Validation".
[2] ETSI TS 119 612 (V2.1.1): "Electronic Signatures and Infrastructures (ESI); Trusted Lists".
[3] 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".
[4] ETSI EN 319 122-1: "Electronic Signatures and Infrastructures (ESI); CAdES digital signatures;
Part 1: Building blocks and CAdES baseline signatures".
[5] ETSI EN 319 132-1: "Electronic Signatures and Infrastructures (ESI); XAdES digital signatures;
Part 1: Building blocks and XAdES baseline signatures".
[6] ETSI EN 319 142-1: "Electronic Signatures and Infrastructures (ESI); PAdES digital signatures;
Part 1: Building blocks and PAdES baseline signatures".
[7] ETSI TS 103 171: "Electronic Signatures and Infrastructures (ESI); XAdES Baseline Profile".
[8] ETSI TS 103 172: "Electronic Signatures and Infrastructures (ESI); PAdES Baseline Profile".
[9] ETSI TS 103 173: "Electronic Signatures and Infrastructures (ESI); CAdES Baseline Profile".
[10] ETSI TS 103 174: "Electronic Signatures and Infrastructures (ESI); ASiC Baseline Profile".
[11] IETF RFC 3161: "Internet X.509 Public Key Infrastructure Time-Stamp Protocol (TSP)".
[12] ETSI TS 119 615: "Electronic Signatures and Infrastructures (ESI); Trusted lists; Procedures for
using and interpreting European Union Member States national trusted lists".
ETSI
7 ETSI TS 119 172-4 V1.1.1 (2021-05)
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
reference 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) No 910/2014 of the European Parliament and of the Council on electronic
identification and trust services for electronic transactions in the internal market and repealing
Directive 1999/93/EC.
[i.2] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures.
[i.3] ETSI TR 119 001: "Electronic Signatures and Infrastructures (ESI); The framework for
standardization of signatures; Definitions and abbreviations".
[i.4] Commission Implementing Decision (EU) 2015/1505 of 8 September 2015 laying down technical
specifications and formats relating to trusted lists pursuant to Article 22(5) 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.5] Commission Implementing Decision (EU) 2015/1506 of 8 September 2015 laying down
specifications relating to formats of advanced electronic signatures and advanced seals to be
recognised by public sector bodies pursuant to Articles 27(5) and 37(5) 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.6] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.7] ETSI TS 119 101: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for applications for signature creation and signature validation".
[i.8] ETSI TS 119 102-2: "Electronic Signatures and Infrastructures (ESI); Procedures for Creation and
Validation of AdES Digital Signatures; Part 2: Signature Validation Report".
[i.9] ETSI TS 119 441: "Electronic Signatures and Infrastructures (ESI); Policy requirements for TSP
providing signature validation services".
[i.10] ETSI TS 119 511: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers providing long-term preservation of digital signatures or
general data using digital signature techniques".
3 Definition of terms, symbols, abbreviations and
notations
3.1 Terms
For the purposes of the present document, the terms given in ETSI TS 119 441 [i.9] apply.
3.2 Symbols
Void.
ETSI
8 ETSI TS 119 172-4 V1.1.1 (2021-05)
3.3 Abbreviations
For the purposes of the present document, the abbreviations given in ETSI TR 119 001 [i.3] and the following apply:
CRL Certificate Revocation List
EU European Union
EUMS EU Member State
OCSP Online Certificate Status Protocol
OID Object IDentifier
QES Qualified Electronic Signatures/seals
QSCD Qualified Signature/seal Creation Device
TARC Technical Applicability (Rules) Checking
TL Trusted List
3.4 Notations
The requirements in the present document are identified as follows:
- - <2-digit number - incremental>
The management of the requirement identifiers for subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2-digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements,
...