Information technology — Public key infrastructure — Practices and policy framework

This document sets out a framework of requirements to manage information security for Public key infrastructure (PKI) trust service providers through certificate policies, certificate practice statements, and, where applicable, their internal underpinning by an information security management system (ISMS). The framework of requirements includes the assessment and treatment of information security risks, tailored to meet the agreed service requirements of its users as specified through the certificate policy. This document is also intended to help trust service providers to support multiple certificate policies. This document addresses the life cycle of public key certificates that are used for digital signatures, authentication, or key establishment for data encryption. It does not address authentication methods, non-repudiation requirements, or key management protocols based on the use of public key certificates. For the purposes of this document, the term “certificate” refers to public key certificates. This document is not applicable to attribute certificates. This document uses concepts and requirements of an ISMS as defined in the ISO/IEC 27000 family of standards. It uses the code of practice for information security controls as defined in ISO/IEC 27002. Specific PKI requirements (e.g. certificate content, identity proofing, certificate revocation handling) are not addressed directly by an ISMS such as defined by ISO/IEC 27001 [26]. The use of an ISMS or equivalent is adapted to the application of PKI service requirements specified in the certificate policy as described in this document. A PKI trust service provider is a special class of trust service for the use of public key certificates. This document draws a distinction between PKI systems used in closed, open and contractual environments. This document is intended to facilitate the implementation of operational, baseline controls and practices in a contractual environment. While the focus of this document is on the contractual environment, application of this document to open or closed environments is not specifically precluded.

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Status
Published
Publication Date
07-Jul-2022
Current Stage
6060 - International Standard published
Start Date
08-Jul-2022
Due Date
12-Dec-2022
Completion Date
08-Jul-2022
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INTERNATIONAL ISO/IEC
STANDARD 27099
First edition
2022-07
Information technology — Public key
infrastructure — Practices and policy
framework
Reference number
ISO/IEC 27099:2022(E)
© ISO/IEC 2022

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ISO/IEC 27099:2022(E)
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© ISO/IEC 2022
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
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ISO/IEC 27099:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Abbreviated terms . 8
5 Public key infrastructure (PKI) general concepts . 8
5.1 General . 8
5.2 What is PKI? . 9
5.2.1 General . 9
5.2.2 Public key infrastructure process flow . 10
5.3 Use of PKI Service components within example business flows . 10
5.3.1 General . 10
5.3.2 Illustration of certificate application in a contractual PKI environment . 10
5.4 Certification authority (CA) . 13
5.5 Business perspectives . 14
5.5.1 General . 14
5.5.2 Business risks . 14
5.5.3 Applicability . 14
5.5.4 Legal issues . 14
5.5.5 Regulatory issues. 14
5.5.6 Business usage issues . 15
5.5.7 Interoperability issues .15
5.6 Certificate policy (CP) . 16
5.6.1 General . 16
5.6.2 Policy Authority and certificate policy usage . 16
5.6.3 Certificate policies within a hierarchy of trust . 17
5.6.4 Certificate status . 18
5.7 Certification practice statement (CPS) . 19
5.7.1 General . 19
5.7.2 CPS creation . 19
5.7.3 Purpose . 19
5.7.4 Level of specificity . 19
5.7.5 Approach . 19
5.7.6 Audience and access . 20
5.8 Agreements . 20
5.9 Time-stamping . 20
5.10 Trust models . 21
5.10.1 Trust model considerations . 21
5.10.2 Wildcard certificate considerations . 24
5.10.3 Relying party considerations . 24
5.11 Component services . 25
5.12 PKI hierarchies and independently managed CAs . 27
5.13 Root CA . 27
5.13.1 General . 27
5.13.2 CA relationships and PKI hierarchies . 27
6 Certificate policy (CP), certification practice statement (CPS) and their relationship
to information security management system (ISMS) .28
6.1 General .28
6.2 Certificate policy (CP) guidance .28
6.3 Certification practice statement (CPS) guidance .30
7 Certification authority objectives and controls .30
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ISO/IEC 27099:2022(E)
7.1 General .30
7.2 Certification practice statement and certificate policy management . . 31
7.2.1 Certificate policy management. 31
7.2.2 CPS and CA management . 32
7.2.3 Subscriber and relying party agreements . 33
7.3 Information security .34
7.4 Asset classification and management . 35
7.5 Human resources security .36
7.6 Physical and environmental security . 37
7.7 Operations security . .39
7.8 Access control .40
7.9 System acquisition development and maintenance . 42
7.10 Business continuity management . 42
7.11 Monitoring, conformance and compliance .44
7.12 Audit journal security assurance .44
7.13 CA key life cycle management controls .49
7.13.1 CA key generation .49
7.13.2 CA key storage, back-up, and recovery .50
7.13.3 CA public key distribution . 52
7.13.4 CA key usage . 52
7.13.5 CA key archival and destruction . 53
7.13.6 CA key compromise . 53
7.14 Subject key life cycle management controls .54
7.14.1 CA-provided subject key generation services (if supported) .54
7.14.2 CA-provided subject key storage and recovery services (if supported) .55
7.14.3 Hardware token life cycle management if outsourced to an external service
(if supported) .56
7.14.4 Subject key management, if supported .58
7.15 Certificate life cycle management controls . 59
7.15.1 Subject registration . 59
7.15.2 Certificate renewal (if supported) .60
7.15.3 Certificate rekey . 61
7.15.4 Certificate issuance. 62
7.15.5 Certificate distribution . 62
7.15.6 Certificate revocation .63
7.15.7 Certificate suspension (if supported) .63
7.15.8 Revocation status information service .65
7.15.9 Controlled CA termination .66
7.16 Root CA controls. 67
7.16.1 Physical and environmental security . 67
7.16.2 Operations security . 67
7.16.3 Access control .68
7.16.4 Root CA key generation .68
7.16.5 Generation of root CA keys script requirements .69
7.16.6 Root CA public key distribution . 69
7.16.7 Root CA key compromise . 69
7.17 CA certificate life cycle management controls – subordinate CA certificate. 70
Annex A (informative) Management by certificate policy .71
Annex B (informative) CA key generation ceremony .78
Annex C (informative) Certification authority audit journal contents and use .82
Annex D (informative) Certificate and PKI roles .85
Annex E (informative) Changes to ISO 21188:2018 to produce ISO/IEC 27099 .91
Bibliography .93
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ISO/IEC 27099:2022(E)
Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
members of ISO or IEC participate in the development of International Standards through technical
committees established by the respective organization to deal with particular fields of technical
activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international
organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the
work.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for
the different types of document should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives or www.iec.ch/members_
experts/refdocs).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents) or the IEC
list of patent declarations received (see https://patents.iec.ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www.iso.org/
iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 27, Information security, cybersecurity and privacy protection.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html and www.iec.ch/national-
committees.
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ISO/IEC 27099:2022(E)
Introduction
The business objective of a public key infrastructure (PKI) is to establish and manage trust
relationships. The services provided by the PKI should maintain that trust and organizational and
technical security measures for an appropriate security level have to be defined and implemented for
all entities participating in a PKI.
Institutions and intermediaries are building infrastructures to provide new electronic transaction
capabilities for consumers, corporations, and government entities. As the volume of electronic
transactions continues to grow, advanced security technology using digital signatures and trust
services can become part of the transaction process. Transaction systems incorporating advanced
security technology have requirements to ensure the confidentiality, integrity and availability of
transactions conducted over communications networks.
Industry relies on several time-honoured methods of electronically identifying, authorizing, and
authenticating entities and protecting transactions. These methods include, but are not limited to,
personal identification numbers (PINs) and message authentication codes (MACs) for retail and
wholesale transactions, user IDs and passwords for network and computer access, and key management
for network connectivity. Over the past 30 years, industry has developed risk management processes
and policies to support the use of these technologies.
The ubiquitous use of online services in public networks and the needs of the industry in general to
provide safe, private, and reliable transaction and computing systems have given rise to advanced
security technology incorporating public key cryptography. Public key cryptography requires a
business-optimized infrastructure of technology, management, and policy (a public key infrastructure
or PKI, as defined in this document) to satisfy requirements of electronic identification, authentication,
message integrity protection and authorization in application systems. The use of standard practices
for electronic identification, authentication and authorization in a PKI ensures more consistent and
predictable security in these systems and confidence in electronic communications. Confidence (e.g.
trust) can be achieved when adherence to standard practices can be ascertained.
Applications serving industry can be developed with digital signature and PKI capabilities. The safety
and the soundness of these applications are based, in part, on implementations and practices designed to
ensure the overall integrity of the infrastructure. Users of authority-based systems that electronically
bind the identity of individuals and other entities to cryptographic materials (e.g. cryptographic keys)
benefit from standard risk management systems and the base of auditable practices defined in this
document.
This document provides a framework for managing a PKI through certificate policies, certification
practice statements, control objectives and supporting procedures. The degree to which any entity in
a transaction can rely on the implementation of public key infrastructure standards and the extent
of interoperability between PKI-based systems will depend partly on factors relative to policy and
practices defined in this document.
In some regions or countries there is a legislative framework which defines requirements for operation
of PKI and other related trust services to achieve a recognized level of trust for a specific purpose
commonly called “qualified”.
This document is derived from ISO 21188:2018, which content has been generalized in this document
to be applicable to any application domain and to take into account general standards for information
security. See Annex E for a description of major changes to ISO 21188:2018 clauses that have been made
in order to produce this document.
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INTERNATIONAL STANDARD ISO/IEC 27099:2022(E)
Information technology — Public key infrastructure —
Practices and policy framework
1 Scope
This document sets out a framework of requirements to manage information security for Public key
infrastructure (PKI) trust service providers through certificate policies, certificate practice statements,
and, where applicable, their internal underpinning by an information security management system
(ISMS). The framework of requirements includes the assessment and treatment of information security
risks, tailored to meet the agreed service requirements of its users as specified through the certificate
policy. This document is also intended to help trust service providers to support multiple certificate
policies.
This document addresses the life cycle of public key certificates that are used for digital signatures,
authentication, or key establishment for data encryption. It does not address authentication methods,
non-repudiation requirements, or key management protocols based on the use of public key certificates.
For the purposes of this document, the term “certificate” refers to public key certificates. This document
is not applicable to attribute certificates.
This document uses concepts and requirements of an ISMS as defined in the ISO/IEC 27000 family of
standards. It uses the code of practice for information security controls as defined in ISO/IEC 27002.
Specific PKI requirements (e.g. certificate content, identity proofing, certificate revocation handling)
[26]
are not addressed directly by an ISMS such as defined by ISO/IEC 27001 .
The use of an ISMS or equivalent is adapted to the application of PKI service requirements specified in
the certificate policy as described in this document.
A PKI trust service provider is a special class of trust service for the use of public key certificates.
This document draws a distinction between PKI systems used in closed, open and contractual
environments. This document is intended to facilitate the implementation of operational, baseline
controls and practices in a contractual environment. While the focus of this document is on the
contractual environment, application of this document to open or closed environments is not specifically
precluded.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 9594-8, Information technology — Open systems interconnection — Part 8: The Directory: Public-
key and attribute certificate frameworks
ISO/IEC 19790, Information technology — Security techniques — Security requirements for cryptographic
modules
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
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ISO/IEC 27099:2022(E)
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
access point
point at which the user may connect to the network or facility
3.2
activation data
data values, other than keys, which are required to operate cryptographic modules
Note 1 to entry: These data values should be protected.
EXAMPLE A PIN, a pass phrase, a biometric or a manually held key share.
3.3
audit journal
audit log
chronological record of system activities which is sufficient to enable the reconstruction, review, and
examination of the sequence of environments and activities
...

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