ETSI TS 119 172-2 V1.1.1 (2019-12)

Electronic Signatures and Infrastructures (ESI); Signature Policies; Part 2: XML format for signature policies

DTS/ESI-0019172-2

General Information

• Status: Published
• Publication Date: 04-Dec-2019
• Technical Committee: ESI - Electronic Signatures and Trust Infrastructures
• Current Stage: 12 - Completion
• Due Date: 01-Jan-2020
• Completion Date: 05-Dec-2019

Standards Content (Sample)

TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Signature Policies;
Part 2: XML format for signature policies

2 ETSI TS 119 172-2 V1.1.1 (2019-12)

Reference
DTS/ESI-0019172-2
Keywords
e-commerce, electronic signature, policies, trust
services, XML
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ETSI
3 ETSI TS 119 172-2 V1.1.1 (2019-12)
Contents
Intellectual Property Rights . 6
Foreword . 6
Modal verbs terminology . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 8
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 XML syntax for machine processable signature policy document. 9
4.1 Introduction . 9
4.1.1 Technical approach . 9
4.1.2 XML namespaces . 10
4.1.3 XML type to allow extensions: the AnyType type . 10
4.2 The SignaturePolicy element . 11
4.2.1 Semantics . 11
4.2.2 Syntax . 11
4.3 The Digest element . 11
4.3.1 Semantics . 11
4.3.2 Syntax . 11
4.4 The PolicyComponents element . 12
4.4.1 Semantics . 12
4.4.2 Syntax . 12
4.5 The GeneralDetails element . 12
4.5.1 Semantics . 12
4.5.2 Syntax . 12
4.6 The SigPolicyDetails element . 13
4.6.1 Semantics . 13
4.6.2 Syntax . 13
4.7 The AuthorityDetails element . 13
4.7.1 Semantics . 13
4.7.2 Syntax . 14
4.8 The Name element . 14
4.8.1 Semantics . 14
4.8.2 Syntax . 14
4.9 The TradeName element . 14
4.9.1 Semantics . 14
4.9.2 Syntax . 14
4.10 The PostalAddresses element . 14
4.10.1 Semantics . 14
4.10.2 Syntax . 15
4.11 The ElectronicAddresses element . 15
4.11.1 Semantics . 15
4.11.2 Syntax . 15
4.12 The ContactPersons element . 15
4.12.1 Semantics . 15
4.12.2 Syntax . 15
4.13 The OtherDetails element . 16
4.13.1 Semantics . 16
4.13.2 Syntax . 16
4.14 The PolicyRules element . 16
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4 ETSI TS 119 172-2 V1.1.1 (2019-12)
4.14.1 Semantics . 16
4.14.2 Syntax . 17
4.15 The CommitmentRules element . 18
4.15.1 Semantics . 18
4.15.2 Syntax . 19
4.16 The DataToBeSignedRules element . 19
4.16.1 Semantics . 19
4.16.2 Syntax . 20
4.17 The SigToDTBSRelationRules element . 20
4.17.1 Semantics . 20
4.17.2 Syntax . 20
4.18 The DTBSCardinality element . 21
4.18.1 Semantics . 21
4.18.2 Syntax . 21
4.19 The SigDTBSRelativePosition element . 22
4.19.1 Semantics . 22
4.19.2 Syntax . 22
4.20 The SigFormatsAndLevels element . 23
4.20.1 Semantics . 23
4.20.2 Syntax . 23
4.21 The AugmentationRules element. 23
4.21.1 Semantics . 23
4.21.2 Syntax . 24
4.22 Types for defining constraints on certificates' trust . 24
4.22.1 Introduction. 24
4.22.2 TrustAnchorsListType type . 24
4.22.2.1 Semantics . 24
4.22.2.2 Syntax . 25
4.22.3 NameConstraintsType type . 26
4.22.3.1 Semantics . 26
4.22.3.2 Syntax . 26
4.22.4 PolicyConstraintsType type . 27
4.22.4.1 Semantics . 27
4.22.4.2 Syntax . 27
4.22.5 CertificateTrustTreesType type . 27
4.22.5.1 Semantics . 27
4.22.5.2 Syntax . 28
4.23 Types for defining constraints on certificates' revocation status . 28
4.23.1 Introduction. 28
4.23.2 CertificateRevReqType type . 28
4.23.2.1 Semantics . 28
4.23.2.2 Syntax . 29
4.23.3 CertificateRevTrustType type . 29
4.23.3.1 Semantics . 29
4.23.3.2 Syntax . 30
4.24 The SigningCertRules element . 30
4.24.1 Semantics . 30
4.24.2 Syntax . 31
4.24.3 The MandatedSigningCertInfo element . 31
4.24.3.1 Semantics . 31
4.24.3.2 Syntax . 31
4.24.4 The SigningCertTrustConditions element . 31
4.24.4.1 Semantics . 31
4.24.4.2 Syntax . 31
4.25 The TimeEvidencesRules element . 32
4.25.1 Semantics . 32
4.25.2 Syntax . 32
4.26 The SignerAttributesConstraints element . 33
4.26.1 Semantics . 33
4.26.2 Syntax . 34
4.27 The QualifyingPropertiesRules element . 34
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5 ETSI TS 119 172-2 V1.1.1 (2019-12)
4.27.1 Semantics . 34
4.27.2 Syntax . 35
4.28 The SCDLoARules element . 36
4.28.1 Semantics . 36
4.28.2 Syntax . 36
4.29 The CryptoSuitesRules element. 36
4.29.1 Semantics . 36
4.29.2 Syntax . 36
Annex A (normative): URIs for identifying signature formats . 38
A.1 URIs to signature formats mapping . 38
Annex B (normative): XML Schema file . 39
B.1 XML Schema file location for namespace http://uri.etsi.org/19172/v1.1.1# . 39
History . 40

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6 ETSI TS 119 172-2 V1.1.1 (2019-12)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables 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 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 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 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.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
The present document is part 2 of a multi-part deliverable. Full details of the entire series can be found in part 1 [i.2].
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.

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7 ETSI TS 119 172-2 V1.1.1 (2019-12)
1 Scope
The present document defines an XML format of machine readable signature policies based on the building blocks that
define technical constraints on digital signatures and are specified in ETSI TS 119 172-1 [i.2].
Pure signature applicability rules, directly related to procedural constraints imposed by business processes, are out of
the scope of the present document which does not define XML elements for the building blocks specified in ETSI
TS 119 172-1 [i.2] that define only applicability rules.
For each element of the machine readable signature policy, the present document specifies the semantics and the how to
implement it in XML syntax.
The present document defines elements which can be used to describe technical constraints on signature creation,
signature validation, and signature augmentation. These elements are designed in a way that it is possible to generate
XML documents that include components of a signature generation policy, or/and signature validation policy, and/or
signature augmentation policy.
An XML document conformant to the present specification, defines constraints (on generation, augmentation,
validation, any combination of two of them, or the three of them) that one signature has to meet.
NOTE : Complex business processes, where several digital signatures need to be managed, having to meet
different set of technical constraints, will require several XML documents conformant to the present
document, each one defining one of these sets of technical constraints.
It is out of the scope to specify mechanisms for protecting the integrity of the machine-readable signature policy
documents specified in the present document.
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 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists".
[2] IETF RFC 3061: "A URN Namespace of Object Identifiers".
[3] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[4] IETF RFC 6960: "X.509 Internet Public Key Infrastructure. Online Certificate Status Protocol -
OCSP".
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8 ETSI TS 119 172-2 V1.1.1 (2019-12)
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] ETSI TS 119 102-1: "Electronic Signatures and Infrastructures (ESI); Procedures for Creation and
Validation of AdES Digital Signatures; Part 1: Creation and Validation".
[i.2] 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.3] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists".
[i.4] ETSI TS 119 192: "Electronic Signatures and Infrastructures (ESI); AdES related Uniform
Resource Identifier".
[i.5] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures. OJ L 13, 19.1.2000, p. 12-20.
[i.6] Regulation (EU) No 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. OJ L 257, 28.8.2014, p. 73-114.
3 Definition of terms, symbols and abbreviations
3.1 Terms
For the purposes of the present document, the terms given in ETSI TS 119 172-1 [i.2] and the following apply:
EU qualified certificate: qualified certificate as specified in Directive 1999/93/EC [i.5] or in Regulation (EU)
No 910/2014 [i.6] whichever is in force at the time of issuance
EU qualified trust service provider: trust service provider that meets the requirements for qualified trust service
providers laid down in Regulation (EU) 910/2014 [i.6]
signature applicability rules: set of rules, applicable to one or more digital signatures, that defines the requirements
for determination of whether a signature is fit for a particular business or legal purpose
signature augmentation constraint: criteria used when augmenting a digital signature
signature augmentation policy: set of signature augmentation constraints
signature creation application: application within the signature creation system that creates the AdES digital signature
and relies on the signature creation device to create a digital signature value
signature creation constraint: criteria used when creating a digital signature
signature creation policy: set of signature creation constraints processed or to be processed by the signature creation
application
signature validation application: application that validates a signature against a signature validation policy, and that
outputs a status indication (i.e. the signature validation status) and a signature validation report
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9 ETSI TS 119 172-2 V1.1.1 (2019-12)
signature validation constraint: technical criteria against which a digital signature can be validated
EXAMPLE: As specified in ETSI TS 119 102-1 [i.1].
signature validation policy: set of signature validation constraints processed or to be processed by the signature
validation application
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
BSP Business Scoping Parameter
CA Certification Authority
CRL Certificate Revocation List
EUMS European Union Member State
IETF Internet Engineering Task Force
LOTL List Of Trusted Lists
OCSP Online Certificate Status Protocol
OID Object IDentifier
RFC Request For Comments
TL Trusted List
TSP Trusted Service Provider
URI Universal Resource Identifier
URN Universal Resource Name
XML eXtensible Markup Language
4 XML syntax for machine processable signature policy
document
4.1 Introduction
4.1.1 Technical approach
The present document takes as starting point the contents of ETSI TS 119 172-1 [i.2], which defines the building blocks
of a human readable signature policy document. These building blocks are of two types:
• Building blocks defining applicability rules, which are the procedural constraints enforced by the business
processes where the digital signatures are used. These procedural constraints, if not satisfied, could prevent
further processing (in other words, accepting for the purpose of the business) a certain signed document even if
the digital signature is technically valid.
• Building blocks defining technical constraints, related with technical aspects of the digital signature and its
technical validation (signature format, signature attributes, constraints on certificates, time-stamp tokens,
revocation material data, etc.).
The present document specifies a XML format for the building blocks specified in ETSI TS 119 172-1 [i.2], which
define technical constraints, and allows building documents which define technical constraints in a machine-readable
format.
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10 ETSI TS 119 172-2 V1.1.1 (2019-12)
The XML elements defined within the present contain information that clearly signal whether the constraints that they
define apply to the generation of a signature, the validation of a signature, the augmentation of a signature, any
combination of two of the former, or to the three of them. Therefore, the XML documents built using the present
document may contain components of signature generation policy, or/and signature validation policy, and/or signature
augmentation policy.
4.1.2 XML namespaces
The present document uses the URI namespaces listed below:
• http://uri.etsi.org/19172/v1.1.1
• http://www.w3.org/2000/09/xmldsig#
• http://uri.etsi.org/02231/v2#
• http://www.w3.org/2001/XMLSchema
The present document defines one XML Schema file, namely: "19172xmlSchema.xsd". See Annex B for details on
their locations.
Table 1 shows the URIs of the namespaces used in the XML Schema definitions, mapped to their corresponding
prefixes.
Table 1: Namespaces with constant prefixes
XML Namespace URI Prefix
ds
http://www.w3.org/2000/09/xmldsig#
http://www.w3.org/2001/XMLSchema xs
http://uri.etsi.org/02231/v2#" tsl

Below follows a copy of the xs:schema element of the XML Schema file "19172xmlSchema.xsd", whose location is
detailed in clause B.1, and that defines the namespace whose URI is http://uri.etsi.org/19172/v1.1.1.
xmlns:tsl="http://uri.etsi.org/02231/v2#" xmlns:ds="http://www.w3.org/2000/09/xmldsig#"
xmlns:xs="http://www.w3.org/2001/XMLSchema" xmlns="http://uri.etsi.org/19172/v1.1.1#"
elementFormDefault="qualified" attributeFormDefault="unqualified">

schemaLocation="https://uri.etsi.org/02231/v3.1.2/ts_102231v030102_xsd.xsd"/>
schemaLocation="http://www.w3.org/TR/2008/REC-xmldsig-core-20080610/xmldsig-core-schema.xsd"/>

4.1.3 XML type to allow extensions: the AnyType type
Semantics
The AnyType type shall have a content model allowing a sequence of arbitrary XML elements that (mixed with text) is
of unrestricted length.
The AnyType type shall have a content model allowing for text content only.
The AnyType type shall have a content model allowing an element of this data type to bear an unrestricted number of
arbitrary attributes.
NOTE: The AnyType data type is used throughout the remaining parts of the present document wherever the
content of an XML element has been left open.
Syntax
The AnyType element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location is detailed in
clause B.1, and is copied below for information.
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11 ETSI TS 119 172-2 V1.1.1 (2019-12)






4.2 The SignaturePolicy element
4.2.1 Semantics
This element shall contain:
1) A digest for securing the contents of the signature policy document, and an identifier of the digest algorithm
used for computing it, as specified in clause 4.3.
2) An element that contains all the machine-processable components of the signature policy, as specified in
clause 4.4.
4.2.2 Syntax
The SignaturePolicy element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location is
detailed in clause B.1, and is copied below for information.








The element Digest shall be as specified in clause 4.3.2.
The element PolicyComponents shall be as specified in clause 4.4.2.
4.3 The Digest element
4.3.1 Semantics
This element shall contain:
1) One identifier of a digest algorithm.
2) One digest value.
In the case that the structured document is an XML document, this element shall also contain:
1) A canonicalization algorithm.
4.3.2 Syntax
The Digest element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location is detailed in
clause B.1, and is copied below for information.








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12 ETSI TS 119 172-2 V1.1.1 (2019-12)

The digest value shall be computed on the output of applying the canonicalization algorithm identified in this
component, to the PolicyComponents element specified in clause 4.4.
4.4 The PolicyComponents element
4.4.1 Semantics
This element shall contain an element containing all the rules defined by the signature policy itself, as specified in
clause 4.14.
This element should also contain an element including general details, as specified in clause 4.5.
4.4.2 Syntax
The PolicyComponents element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location
is detailed in clause B.1, and is copied below for information.







The element GeneralDetails shall be as specified in clause 4.5.2.
The element PolicyRules shall be as specified in clause 4.14.2.
4.5 The GeneralDetails element
4.5.1 Semantics
This element shall contain an element containing details on the signature policy itself, as specified in clause 4.6.
This element may also contain:
1) An element containing details of the responsible authority of the signature policy, as specified in clause 4.7.
2) An element containing other details not defined within the present document, as specified in clause 4.13.
4.5.2 Syntax
The GeneralDetails element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location is
detailed in clause B.1, and is copied below for information.








The element SigPolicyDetails shall be as specified in clause 4.6.2.
The element AuthorityDetails shall be as specified in clause 4.7.2.
The element OtherDetails shall be as specified in clause 4.13.2.
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13 ETSI TS 119 172-2 V1.1.1 (2019-12)
4.6 The SigPolicyDetails element
4.6.1 Semantics
This element shall contain:
1) An element identifying the signature policy itself.
2) An element whose value shall be the name of the signature policy itself.
This element may also contain an element containing one or more distribution points of the signature policy itself.
4.6.2 Syntax
The SigPolicyDetails element and the SigPolicyDetailsType type shall be as defined in XML Schema
file "19172xmlSchema.xsd", whose location is detailed in clause B.1, and is copied below for information.









The PolicyIdentifier child element shall contain an URI identifying the signature policy. If the signature policy
is identified by an OID, the value of PolicyIdentifier child element shall be the OID value encoded as an URN
as specified by the IETF RFC 3061 [2].
The PolicyName child element shall contain one or more names of the signature policy. Its contents shall be as
specified in ETSI TS 119 612 [1].
NOTE: Instances of tsl:InternationalNamesType specified in ETSI TS 119 612 [1] are qualified with
an indication of a language.
If present, the tsl:DistributionPoints child element shall contain one or more URIs where the signature
policy can be reached. Its contents shall be as specified in ETSI TS 119 612 [1].
4.7 The AuthorityDetails element
4.7.1 Semantics
This element shall contain details of the authority responsible for the signature policy.
This element shall contain at least, one of the two following components:
1) An element including the name of the authority as specified in clause 4.8.
2) An element as specified in clause 4.9, including an official registration identifier, unambiguously identifying
the authority, as registered in official records, where such a registered identifier does exist.
This element shall also contain the following components:
1) An element including a sequence of one or more postal addresses of the authority as specified in clause 4.10.
2) An element including one or more electronic addresses of the authority as specified in clause 4.11.
This element may also contain:
1) An element for providing details of one or more natural persons acting as contact as specified in clause 4.12.
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14 ETSI TS 119 172-2 V1.1.1 (2019-12)
4.7.2 Syntax
The Authority element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location is detailed
in clause B.1, and is copied below for information.










The element Name shall be as specified in clause 4.8.2.
The element TradeName shall be as specified in clause 4.9.2.
The element PostalAddresses shall be as specified in clause 4.10.2.
The element ElectronicAddresses shall be as specified in clause 4.11.2.
The element ContactPersons shall be as specified in clause 4.12.2.
4.8 The Name element
4.8.1 Semantics
This element shall meet the requirements specified in clause 5.3.4 ("Scheme operator name") of ETSI TS 119 612 [1].
4.8.2 Syntax
The Name element shall be as defined in XML Schema file "19172xmlSchema.xsd", whose location is detailed in
clause B.1, and is copied below for information.

4.9 The TradeName element
4.9.1 Semantics
This element shall meet the requirement
...