Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for Trust Service Providers issuing certificates - Part 1: General requirements

The present document specifies generally applicable policy and security requirements for Trust Service Providers
(TSPs) 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 policy and security requirements support several reference certificate policies,
defined in clauses 4 and 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 covers requirements for CA hierarchies, however this is limited to supporting the policies as
specified in the present document. It does not include requirements for root CAs and intermediate CAs for other
purposes.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
for electronic 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 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 EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of
TSP's services.
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [5].

Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 1. del: Splošne zahteve

General Information

Status
Published
Public Enquiry End Date
30-Apr-2021
Publication Date
03-Jun-2021
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
31-May-2021
Due Date
05-Aug-2021
Completion Date
04-Jun-2021
Mandate

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ETSI EN 319 411-1 V1.3.1 (2021-05)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
---------------------- Page: 1 ----------------------
2 ETSI EN 319 411-1 V1.3.1 (2021-05)
Reference
REN/ESI-0019411-1v131
Keywords
e-commerce, electronic signature, extended
validation certificate, 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 - 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.

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
---------------------- Page: 2 ----------------------
3 ETSI EN 319 411-1 V1.3.1 (2021-05)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 6

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 8

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 9

3.1 Terms .................................................................................................................................................................. 9

3.2 Symbols ............................................................................................................................................................ 11

3.3 Abbreviations ................................................................................................................................................... 12

3.4 Notation ............................................................................................................................................................ 12

4 General concepts .................................................................................................................................... 13

4.1 General policy requirements concepts .............................................................................................................. 13

4.2 Certification Services applicable documentation ............................................................................................. 14

4.2.1 Certification Practice Statement ................................................................................................................. 14

4.2.2 Certificate Policy ........................................................................................................................................ 14

4.2.3 Terms and conditions and PKI disclosure statement .................................................................................. 15

4.3 Certification services ........................................................................................................................................ 16

5 General provisions on Certification Practice Statement and Certificate Policies................................... 17

5.1 General requirements ....................................................................................................................................... 17

5.2 Certification Practice Statement requirements ................................................................................................. 18

5.3 Certificate Policy name and identification ....................................................................................................... 18

5.4 PKI participants ................................................................................................................................................ 19

5.4.1 Certification Authority ................................................................................................................................ 19

5.4.2 Subscriber and subject ................................................................................................................................ 19

5.4.3 Others .......................................................................................................................................................... 20

5.5 Certificate usage ............................................................................................................................................... 20

6 Trust Service Providers practice ............................................................................................................. 21

6.1 Publication and repository responsibilities ....................................................................................................... 21

6.2 Identification and authentication ...................................................................................................................... 21

6.2.1 Naming ....................................................................................................................................................... 21

6.2.2 Initial identity validation ............................................................................................................................. 21

6.2.3 Identification and authentication for Re-key requests ................................................................................ 25

6.2.4 Identification and authentication for revocation requests ........................................................................... 26

6.3 Certificate Life-Cycle operational requirements .............................................................................................. 27

6.3.1 Certificate application ................................................................................................................................. 27

6.3.2 Certificate application processing ............................................................................................................... 27

6.3.3 Certificate issuance ..................................................................................................................................... 27

6.3.4 Certificate acceptance ................................................................................................................................. 29

6.3.5 Key pair and certificate usage ..................................................................................................................... 31

6.3.6 Certificate renewal ...................................................................................................................................... 32

6.3.7 Certificate Re-key ....................................................................................................................................... 33

6.3.8 Certificate modification .............................................................................................................................. 33

6.3.9 Certificate revocation and suspension......................................................................................................... 33

6.3.10 Certificate status services ............................................................................................................................ 34

6.3.11 End of subscription ..................................................................................................................................... 35

6.3.12 Key escrow and recovery ............................................................................................................................ 35

6.4 Facility, management, and operational controls ............................................................................................... 36

6.4.1 General ........................................................................................................................................................ 36

6.4.2 Physical security controls ........................................................................................................................... 36

ETSI
---------------------- Page: 3 ----------------------
4 ETSI EN 319 411-1 V1.3.1 (2021-05)

6.4.3 Procedural controls ..................................................................................................................................... 36

6.4.4 Personnel controls ....................................................................................................................................... 37

6.4.5 Audit logging procedures ............................................................................................................................ 37

6.4.6 Records archival ......................................................................................................................................... 38

6.4.7 Key changeover .......................................................................................................................................... 38

6.4.8 Compromise and disaster recovery ............................................................................................................. 38

6.4.9 Certification Authority or Registration Authority termination ................................................................... 39

6.5 Technical security controls ............................................................................................................................... 39

6.5.1 Key pair generation and installation ........................................................................................................... 39

6.5.2 Private key protection and cryptographic module engineering controls ..................................................... 41

6.5.3 Other aspects of key pair management ....................................................................................................... 42

6.5.4 Activation data ............................................................................................................................................ 42

6.5.5 Computer security controls ......................................................................................................................... 43

6.5.6 Life cycle security controls ......................................................................................................................... 43

6.5.7 Network security controls ........................................................................................................................... 43

6.5.8 Timestamping ............................................................................................................................................. 44

6.6 Certificate, CRL and OCSP profiles................................................................................................................. 44

6.6.1 Certificate profile ........................................................................................................................................ 44

6.6.2 CRL profile ................................................................................................................................................. 44

6.6.3 OCSP profile ............................................................................................................................................... 44

6.7 Compliance audit and other assessment ........................................................................................................... 45

6.8 Other business and legal matters ...................................................................................................................... 45

6.8.1 Fees ............................................................................................................................................................. 45

6.8.2 Financial responsibility ............................................................................................................................... 45

6.8.3 Confidentiality of business information ...................................................................................................... 45

6.8.4 Privacy of personal information.................................................................................................................. 45

6.8.5 Intellectual property rights .......................................................................................................................... 46

6.8.6 Representations and warranties ................................................................................................................... 46

6.8.7 Disclaimers of warranties ........................................................................................................................... 46

6.8.8 Limitations of liability ................................................................................................................................ 46

6.8.9 Indemnities ................................................................................................................................................. 46

6.8.10 Term and termination.................................................................................................................................. 46

6.8.11 Individual notices and communications with participants .......................................................................... 46

6.8.12 Amendments ............................................................................................................................................... 46

6.8.13 Dispute resolution procedures..................................................................................................................... 46

6.8.14 Governing law ............................................................................................................................................ 47

6.8.15 Compliance with applicable law ................................................................................................................. 47

6.8.16 Miscellaneous provisions ............................................................................................................................ 47

6.9 Other provisions ............................................................................................................................................... 47

6.9.1 Organizational ............................................................................................................................................. 47

6.9.2 Additional testing ........................................................................................................................................ 47

6.9.3 Disabilities .................................................................................................................................................. 47

6.9.4 Terms and conditions .................................................................................................................................. 47

7 Framework for the definition of other certificate policies ...................................................................... 48

7.1 Certificate policy management ......................................................................................................................... 48

7.2 Additional requirements ................................................................................................................................... 49

Annex A (informative): Model PKI disclosure statement ................................................................... 50

A.1 Introduction ............................................................................................................................................ 50

A.2 The PDS structure .................................................................................................................................. 50

A.3 The PDS format ...................................................................................................................................... 51

Annex B (informative): Conformity assessment checklist .................................................................. 52

Annex C (informative): Bibliography ................................................................................................... 53

Annex D (informative): Change history ............................................................................................... 54

History .............................................................................................................................................................. 56

ETSI
---------------------- Page: 4 ----------------------
5 ETSI EN 319 411-1 V1.3.1 (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 European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

Infrastructures (ESI).

The present document is part 1 of a multi-part deliverable covering the Policy and security requirements for Trust

Service Providers issuing certificates, as identified below:
ETSI EN 319 411-1: "General requirements";

ETSI EN 319 411-2: "Requirements for trust service providers issuing EU qualified certificates";

ETSI TR 119 411-4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2 [i.5]".

NOTE: Part 3 of this multi-part deliverable has been withdrawn.

The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].

National transposition dates
Date of adoption of this EN: 12 May 2021
Date of latest announcement of this EN (doa): 31 August 2021
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2022
Date of withdrawal of any conflicting National Standard (dow): 28 February 2022
ETSI
---------------------- Page: 5 ----------------------
6 ETSI EN 319 411-1 V1.3.1 (2021-05)
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

Electronic commerce, in its broadest sense, is a way of doing 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 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 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 others, applicable requirements from Regulation (EU)

No 910/2014 [i.14] 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 on those specified in the present document and specify any additional requirements in a

manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from

the use of generally accepted global best practices.
ETSI
---------------------- Page: 6 ----------------------
7 ETSI EN 319 411-1 V1.3.1 (2021-05)
1 Scope

The present document specifies generally applicable policy and security requirements for Trust Service Providers

(TSPs) 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 policy and security requirements support several reference certificate policies,

defined in clauses 4 and 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 covers requirements for CA hierarchies, however this is limited to supporting the policies as

specified in the present document. It does not include requirements for root CAs and intermediate CAs for other

purposes.
The present document is applicable to:

• the general requirements of certification in support of cryptographic mechanisms, including digital signatures

for electronic 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 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 EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 401 [8] for general policy requirements common to all classes of

TSP's services.

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 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] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria

for IT security".

[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:

Certificate profile for web site certificates".

[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for

cryptographic modules".
ETSI
---------------------- Page: 7 ----------------------
8 ETSI EN 319 411-1 V1.3.1 (2021-05)

[4] CA/Browser Forum (V1.6.7): "Guidelines for The Issuance and Management of Extended

Validation Certificates".

[5] CA/Browser Forum (V1.7.1): "Baseline Requirements Certificate Policy for the Issuance and

Management of Publicly-Trusted Certificates".

[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems

Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks".

[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation

List (CRL) Profile".

[8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

[9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:

Certificate profile for certificates issued to natural persons".

[10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:

Certificate profile for certificates issued to legal persons".

[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -

OCSP".
[12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules".

[13] ETSI TS 119 412-1: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 1:

Overview and common data structures".
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. F
...

SLOVENSKI STANDARD
SIST EN 319 411-1 V1.3.1:2021
01-julij-2021
Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za

ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 1. del: Splošne zahteve

Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for

Trust Service Providers issuing certificates - Part 1: General requirements
Ta slovenski standard je istoveten z: ETSI EN 319 411-1 V1.3.1 (2021-05)
ICS:
03.080.99 Druge storitve Other services
35.030 Informacijska varnost IT Security
35.040.01 Kodiranje informacij na Information coding in general
splošno
SIST EN 319 411-1 V1.3.1:2021 en

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST EN 319 411-1 V1.3.1:2021
---------------------- Page: 2 ----------------------
SIST EN 319 411-1 V1.3.1:2021
ETSI EN 319 411-1 V1.3.1 (2021-05)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
---------------------- Page: 3 ----------------------
SIST EN 319 411-1 V1.3.1:2021
2 ETSI EN 319 411-1 V1.3.1 (2021-05)
Reference
REN/ESI-0019411-1v131
Keywords
e-commerce, electronic signature, extended
validation certificate, 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 - 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.

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
---------------------- Page: 4 ----------------------
SIST EN 319 411-1 V1.3.1:2021
3 ETSI EN 319 411-1 V1.3.1 (2021-05)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 6

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 8

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 9

3.1 Terms .................................................................................................................................................................. 9

3.2 Symbols ............................................................................................................................................................ 11

3.3 Abbreviations ................................................................................................................................................... 12

3.4 Notation ............................................................................................................................................................ 12

4 General concepts .................................................................................................................................... 13

4.1 General policy requirements concepts .............................................................................................................. 13

4.2 Certification Services applicable documentation ............................................................................................. 14

4.2.1 Certification Practice Statement ................................................................................................................. 14

4.2.2 Certificate Policy ........................................................................................................................................ 14

4.2.3 Terms and conditions and PKI disclosure statement .................................................................................. 15

4.3 Certification services ........................................................................................................................................ 16

5 General provisions on Certification Practice Statement and Certificate Policies................................... 17

5.1 General requirements ....................................................................................................................................... 17

5.2 Certification Practice Statement requirements ................................................................................................. 18

5.3 Certificate Policy name and identification ....................................................................................................... 18

5.4 PKI participants ................................................................................................................................................ 19

5.4.1 Certification Authority ................................................................................................................................ 19

5.4.2 Subscriber and subject ................................................................................................................................ 19

5.4.3 Others .......................................................................................................................................................... 20

5.5 Certificate usage ............................................................................................................................................... 20

6 Trust Service Providers practice ............................................................................................................. 21

6.1 Publication and repository responsibilities ....................................................................................................... 21

6.2 Identification and authentication ...................................................................................................................... 21

6.2.1 Naming ....................................................................................................................................................... 21

6.2.2 Initial identity validation ............................................................................................................................. 21

6.2.3 Identification and authentication for Re-key requests ................................................................................ 25

6.2.4 Identification and authentication for revocation requests ........................................................................... 26

6.3 Certificate Life-Cycle operational requirements .............................................................................................. 27

6.3.1 Certificate application ................................................................................................................................. 27

6.3.2 Certificate application processing ............................................................................................................... 27

6.3.3 Certificate issuance ..................................................................................................................................... 27

6.3.4 Certificate acceptance ................................................................................................................................. 29

6.3.5 Key pair and certificate usage ..................................................................................................................... 31

6.3.6 Certificate renewal ...................................................................................................................................... 32

6.3.7 Certificate Re-key ....................................................................................................................................... 33

6.3.8 Certificate modification .............................................................................................................................. 33

6.3.9 Certificate revocation and suspension......................................................................................................... 33

6.3.10 Certificate status services ............................................................................................................................ 34

6.3.11 End of subscription ..................................................................................................................................... 35

6.3.12 Key escrow and recovery ............................................................................................................................ 35

6.4 Facility, management, and operational controls ............................................................................................... 36

6.4.1 General ........................................................................................................................................................ 36

6.4.2 Physical security controls ........................................................................................................................... 36

ETSI
---------------------- Page: 5 ----------------------
SIST EN 319 411-1 V1.3.1:2021
4 ETSI EN 319 411-1 V1.3.1 (2021-05)

6.4.3 Procedural controls ..................................................................................................................................... 36

6.4.4 Personnel controls ....................................................................................................................................... 37

6.4.5 Audit logging procedures ............................................................................................................................ 37

6.4.6 Records archival ......................................................................................................................................... 38

6.4.7 Key changeover .......................................................................................................................................... 38

6.4.8 Compromise and disaster recovery ............................................................................................................. 38

6.4.9 Certification Authority or Registration Authority termination ................................................................... 39

6.5 Technical security controls ............................................................................................................................... 39

6.5.1 Key pair generation and installation ........................................................................................................... 39

6.5.2 Private key protection and cryptographic module engineering controls ..................................................... 41

6.5.3 Other aspects of key pair management ....................................................................................................... 42

6.5.4 Activation data ............................................................................................................................................ 42

6.5.5 Computer security controls ......................................................................................................................... 43

6.5.6 Life cycle security controls ......................................................................................................................... 43

6.5.7 Network security controls ........................................................................................................................... 43

6.5.8 Timestamping ............................................................................................................................................. 44

6.6 Certificate, CRL and OCSP profiles................................................................................................................. 44

6.6.1 Certificate profile ........................................................................................................................................ 44

6.6.2 CRL profile ................................................................................................................................................. 44

6.6.3 OCSP profile ............................................................................................................................................... 44

6.7 Compliance audit and other assessment ........................................................................................................... 45

6.8 Other business and legal matters ...................................................................................................................... 45

6.8.1 Fees ............................................................................................................................................................. 45

6.8.2 Financial responsibility ............................................................................................................................... 45

6.8.3 Confidentiality of business information ...................................................................................................... 45

6.8.4 Privacy of personal information.................................................................................................................. 45

6.8.5 Intellectual property rights .......................................................................................................................... 46

6.8.6 Representations and warranties ................................................................................................................... 46

6.8.7 Disclaimers of warranties ........................................................................................................................... 46

6.8.8 Limitations of liability ................................................................................................................................ 46

6.8.9 Indemnities ................................................................................................................................................. 46

6.8.10 Term and termination.................................................................................................................................. 46

6.8.11 Individual notices and communications with participants .......................................................................... 46

6.8.12 Amendments ............................................................................................................................................... 46

6.8.13 Dispute resolution procedures..................................................................................................................... 46

6.8.14 Governing law ............................................................................................................................................ 47

6.8.15 Compliance with applicable law ................................................................................................................. 47

6.8.16 Miscellaneous provisions ............................................................................................................................ 47

6.9 Other provisions ............................................................................................................................................... 47

6.9.1 Organizational ............................................................................................................................................. 47

6.9.2 Additional testing ........................................................................................................................................ 47

6.9.3 Disabilities .................................................................................................................................................. 47

6.9.4 Terms and conditions .................................................................................................................................. 47

7 Framework for the definition of other certificate policies ...................................................................... 48

7.1 Certificate policy management ......................................................................................................................... 48

7.2 Additional requirements ................................................................................................................................... 49

Annex A (informative): Model PKI disclosure statement ................................................................... 50

A.1 Introduction ............................................................................................................................................ 50

A.2 The PDS structure .................................................................................................................................. 50

A.3 The PDS format ...................................................................................................................................... 51

Annex B (informative): Conformity assessment checklist .................................................................. 52

Annex C (informative): Bibliography ................................................................................................... 53

Annex D (informative): Change history ............................................................................................... 54

History .............................................................................................................................................................. 56

ETSI
---------------------- Page: 6 ----------------------
SIST EN 319 411-1 V1.3.1:2021
5 ETSI EN 319 411-1 V1.3.1 (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 European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

Infrastructures (ESI).

The present document is part 1 of a multi-part deliverable covering the Policy and security requirements for Trust

Service Providers issuing certificates, as identified below:
ETSI EN 319 411-1: "General requirements";

ETSI EN 319 411-2: "Requirements for trust service providers issuing EU qualified certificates";

ETSI TR 119 411-4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2 [i.5]".

NOTE: Part 3 of this multi-part deliverable has been withdrawn.

The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].

National transposition dates
Date of adoption of this EN: 12 May 2021
Date of latest announcement of this EN (doa): 31 August 2021
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2022
Date of withdrawal of any conflicting National Standard (dow): 28 February 2022
ETSI
---------------------- Page: 7 ----------------------
SIST EN 319 411-1 V1.3.1:2021
6 ETSI EN 319 411-1 V1.3.1 (2021-05)
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

Electronic commerce, in its broadest sense, is a way of doing 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 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 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 others, applicable requirements from Regulation (EU)

No 910/2014 [i.14] 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 on those specified in the present document and specify any additional requirements in a

manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from

the use of generally accepted global best practices.
ETSI
---------------------- Page: 8 ----------------------
SIST EN 319 411-1 V1.3.1:2021
7 ETSI EN 319 411-1 V1.3.1 (2021-05)
1 Scope

The present document specifies generally applicable policy and security requirements for Trust Service Providers

(TSPs) 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 policy and security requirements support several reference certificate policies,

defined in clauses 4 and 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 covers requirements for CA hierarchies, however this is limited to supporting the policies as

specified in the present document. It does not include requirements for root CAs and intermediate CAs for other

purposes.
The present document is applicable to:

• the general requirements of certification in support of cryptographic mechanisms, including digital signatures

for electronic 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 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 EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 401 [8] for general policy requirements common to all classes of

TSP's services.

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 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] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria

for IT security".

[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:

Certificate profile for web site certificates".

[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for

cryptographic modules".
ETSI
---------------------- Page: 9 ----------------------
SIST EN 319 411-1 V1.3.1:2021
8 ETSI EN 319 411-1 V1.3.1 (2021-05)

[4] CA/Browser Forum (V1.6.7): "Guidelines for The Issuance and Management of Extended

Validation Certificates".

[5] CA/Browser Forum (V1.7.1): "Baseline Requirements Certificate Policy for the Issuance and

Management of Publicly-Trusted Certificates".

[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems

Interconnection - The Directory - Part 8: Public-key and at
...

Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
---------------------- Page: 1 ----------------------
2 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
Reference
REN/ESI-0019411-1v131
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security, trust
services
ETSI
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and microfilm except as authorized by written permission of ETSI.

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The copyright and the foregoing restriction extend to reproduction in all media.
© ETSI 2021.
All rights reserved.

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.
ETSI
---------------------- Page: 2 ----------------------
3 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 6

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 8

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 9

3.1 Terms .................................................................................................................................................................. 9

3.2 Symbols ............................................................................................................................................................ 11

3.3 Abbreviations ................................................................................................................................................... 12

3.4 Notation ............................................................................................................................................................ 12

4 General concepts .................................................................................................................................... 13

4.1 General policy requirements concepts .............................................................................................................. 13

4.2 Certification Services applicable documentation ............................................................................................. 14

4.2.1 Certification Practice Statement ................................................................................................................. 14

4.2.2 Certificate Policy ........................................................................................................................................ 14

4.2.3 Terms and conditions and PKI disclosure statement .................................................................................. 15

4.3 Certification services ........................................................................................................................................ 16

5 General provisions on Certification Practice Statement and Certificate Policies................................... 17

5.1 General requirements ....................................................................................................................................... 17

5.2 Certification Practice Statement requirements ................................................................................................. 18

5.3 Certificate Policy name and identification ....................................................................................................... 18

5.4 PKI participants ................................................................................................................................................ 19

5.4.1 Certification Authority ................................................................................................................................ 19

5.4.2 Subscriber and subject ................................................................................................................................ 19

5.4.3 Others .......................................................................................................................................................... 20

5.5 Certificate usage ............................................................................................................................................... 20

6 Trust Service Providers practice ............................................................................................................. 21

6.1 Publication and repository responsibilities ....................................................................................................... 21

6.2 Identification and authentication ...................................................................................................................... 21

6.2.1 Naming ....................................................................................................................................................... 21

6.2.2 Initial identity validation ............................................................................................................................. 21

6.2.3 Identification and authentication for Re-key requests ................................................................................ 25

6.2.4 Identification and authentication for revocation requests ........................................................................... 26

6.3 Certificate Life-Cycle operational requirements .............................................................................................. 27

6.3.1 Certificate application ................................................................................................................................. 27

6.3.2 Certificate application processing ............................................................................................................... 27

6.3.3 Certificate issuance ..................................................................................................................................... 27

6.3.4 Certificate acceptance ................................................................................................................................. 29

6.3.5 Key pair and certificate usage ..................................................................................................................... 31

6.3.6 Certificate renewal ...................................................................................................................................... 32

6.3.7 Certificate Re-key ....................................................................................................................................... 33

6.3.8 Certificate modification .............................................................................................................................. 33

6.3.9 Certificate revocation and suspension......................................................................................................... 33

6.3.10 Certificate status services ............................................................................................................................ 34

6.3.11 End of subscription ..................................................................................................................................... 35

6.3.12 Key escrow and recovery ............................................................................................................................ 35

6.4 Facility, management, and operational controls ............................................................................................... 36

6.4.1 General ........................................................................................................................................................ 36

ETSI
---------------------- Page: 3 ----------------------
4 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)

6.4.2 Physical security controls ........................................................................................................................... 36

6.4.3 Procedural controls ..................................................................................................................................... 36

6.4.4 Personnel controls ....................................................................................................................................... 37

6.4.5 Audit logging procedures ............................................................................................................................ 37

6.4.6 Records archival ......................................................................................................................................... 38

6.4.7 Key changeover .......................................................................................................................................... 38

6.4.8 Compromise and disaster recovery ............................................................................................................. 38

6.4.9 Certification Authority or Registration Authority termination ................................................................... 39

6.5 Technical security controls ............................................................................................................................... 39

6.5.1 Key pair generation and installation ........................................................................................................... 39

6.5.2 Private key protection and cryptographic module engineering controls ..................................................... 41

6.5.3 Other aspects of key pair management ....................................................................................................... 42

6.5.4 Activation data ............................................................................................................................................ 42

6.5.5 Computer security controls ......................................................................................................................... 43

6.5.6 Life cycle security controls ......................................................................................................................... 43

6.5.7 Network security controls ........................................................................................................................... 43

6.5.8 Timestamping ............................................................................................................................................. 44

6.6 Certificate, CRL and OCSP profiles................................................................................................................. 44

6.6.1 Certificate profile ........................................................................................................................................ 44

6.6.2 CRL profile ................................................................................................................................................. 44

6.6.3 OCSP profile ............................................................................................................................................... 44

6.7 Compliance audit and other assessment ........................................................................................................... 45

6.8 Other business and legal matters ...................................................................................................................... 45

6.8.1 Fees ............................................................................................................................................................. 45

6.8.2 Financial responsibility ............................................................................................................................... 45

6.8.3 Confidentiality of business information ...................................................................................................... 45

6.8.4 Privacy of personal information.................................................................................................................. 45

6.8.5 Intellectual property rights .......................................................................................................................... 46

6.8.6 Representations and warranties ................................................................................................................... 46

6.8.7 Disclaimers of warranties ........................................................................................................................... 46

6.8.8 Limitations of liability ................................................................................................................................ 46

6.8.9 Indemnities ................................................................................................................................................. 46

6.8.10 Term and termination.................................................................................................................................. 46

6.8.11 Individual notices and communications with participants .......................................................................... 46

6.8.12 Amendments ............................................................................................................................................... 46

6.8.13 Dispute resolution procedures..................................................................................................................... 46

6.8.14 Governing law ............................................................................................................................................ 47

6.8.15 Compliance with applicable law ................................................................................................................. 47

6.8.16 Miscellaneous provisions ............................................................................................................................ 47

6.9 Other provisions ............................................................................................................................................... 47

6.9.1 Organizational ............................................................................................................................................. 47

6.9.2 Additional testing ........................................................................................................................................ 47

6.9.3 Disabilities .................................................................................................................................................. 47

6.9.4 Terms and conditions .................................................................................................................................. 47

7 Framework for the definition of other certificate policies ...................................................................... 48

7.1 Certificate policy management ......................................................................................................................... 48

7.2 Additional requirements ................................................................................................................................... 49

Annex A (informative): Model PKI disclosure statement ................................................................... 50

A.1 Introduction ............................................................................................................................................ 50

A.2 The PDS structure .................................................................................................................................. 50

A.3 The PDS format ...................................................................................................................................... 51

Annex B (informative): Conformity assessment checklist .................................................................. 52

Annex C (informative): Bibliography ................................................................................................... 53

Annex D (informative): Change history ............................................................................................... 54

History .............................................................................................................................................................. 56

ETSI
---------------------- Page: 4 ----------------------
5 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
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 draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards

EN Approval Procedure.

The present document is part 1 of a multi-part deliverable covering the Policy and security requirements for Trust

Service Providers issuing certificates, as identified below:
ETSI EN 319 411-1: "General requirements";

ETSI EN 319 411-2: "Requirements for trust service providers issuing EU qualified certificates";

ETSI TR 119 411-4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2 [i.5]".

NOTE: Part 3 of this multi-part deliverable has been withdrawn.

The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].

Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa

Date of withdrawal of any conflicting National Standard (dow): 6 months after doa

ETSI
---------------------- Page: 5 ----------------------
6 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
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

Electronic commerce, in its broadest sense, is a way of doing 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 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 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 others, applicable requirements from Regulation (EU)

No 910/2014 [i.14] 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 on those specified in the present document and specify any additional requirements in a

manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from

the use of generally accepted global best practices.
ETSI
---------------------- Page: 6 ----------------------
7 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
1 Scope

The present document specifies generally applicable policy and security requirements for Trust Service Providers

(TSPs) 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 policy and security requirements support several reference certificate policies,

defined in clauses 4 and 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 covers requirements for CA hierarchies, however this is limited to supporting the policies as

specified in the present document. It does not include requirements for root CAs and intermediate CAs for other

purposes.
The present document is applicable to:

• the general requirements of certification in support of cryptographic mechanisms, including digital signatures

for electronic 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 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 EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 401 [8] for general policy requirements common to all classes of

TSP's services.

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 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] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria

for IT security".

[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:

Certificate profile for web site certificates".

[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for

cryptographic modules".
ETSI
---------------------- Page: 7 ----------------------
8 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)

[4] CA/Browser Forum (V1.6.7): "Guidelines for The Issuance and Management of Extended

Validation Certificates".

[5] CA/Browser Forum (V1.7.1): "Baseline Requirements Certificate Policy for the Issuance and

Management of Publicly-Trusted Certificates".

[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems

Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks".

[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation

List (CRL) Profile".

[8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

[9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:

Certificate profile for certificates issued to natural persons".

[10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:

Certificate profile for certificates issued to legal persons".

[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -

OCSP".
[12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules".

[13] ETSI TS 119 412-1: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 1:

Overview and common data structures".
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] 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 EN 319 403: "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 Policy and Certification

Practices Framework".

[i.4] ISO 19005 (parts 1 to 3): "Document management - electronic document file format for long-te

...

SLOVENSKI STANDARD
oSIST prEN 319 411-1 V1.3.0:2021
01-april-2021
Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za

ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 1. del: Splošne zahteve

Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for

Trust Service Providers issuing certificates - Part 1: General requirements
Ta slovenski standard je istoveten z: ETSI EN 319 411-1 V1.3.0 (2021-02)
ICS:
03.080.99 Druge storitve Other services
35.030 Informacijska varnost IT Security
35.040.01 Kodiranje informacij na Information coding in general
splošno
oSIST prEN 319 411-1 V1.3.0:2021 en

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
oSIST prEN 319 411-1 V1.3.0:2021
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oSIST prEN 319 411-1 V1.3.0:2021
Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
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oSIST prEN 319 411-1 V1.3.0:2021
2 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
Reference
REN/ESI-0019411-1v131
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security, trust
services
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oSIST prEN 319 411-1 V1.3.0:2021
3 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 6

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 8

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 9

3.1 Terms .................................................................................................................................................................. 9

3.2 Symbols ............................................................................................................................................................ 11

3.3 Abbreviations ................................................................................................................................................... 12

3.4 Notation ............................................................................................................................................................ 12

4 General concepts .................................................................................................................................... 13

4.1 General policy requirements concepts .............................................................................................................. 13

4.2 Certification Services applicable documentation ............................................................................................. 14

4.2.1 Certification Practice Statement ................................................................................................................. 14

4.2.2 Certificate Policy ........................................................................................................................................ 14

4.2.3 Terms and conditions and PKI disclosure statement .................................................................................. 15

4.3 Certification services ........................................................................................................................................ 16

5 General provisions on Certification Practice Statement and Certificate Policies................................... 17

5.1 General requirements ....................................................................................................................................... 17

5.2 Certification Practice Statement requirements ................................................................................................. 18

5.3 Certificate Policy name and identification ....................................................................................................... 18

5.4 PKI participants ................................................................................................................................................ 19

5.4.1 Certification Authority ................................................................................................................................ 19

5.4.2 Subscriber and subject ................................................................................................................................ 19

5.4.3 Others .......................................................................................................................................................... 20

5.5 Certificate usage ............................................................................................................................................... 20

6 Trust Service Providers practice ............................................................................................................. 21

6.1 Publication and repository responsibilities ....................................................................................................... 21

6.2 Identification and authentication ...................................................................................................................... 21

6.2.1 Naming ....................................................................................................................................................... 21

6.2.2 Initial identity validation ............................................................................................................................. 21

6.2.3 Identification and authentication for Re-key requests ................................................................................ 25

6.2.4 Identification and authentication for revocation requests ........................................................................... 26

6.3 Certificate Life-Cycle operational requirements .............................................................................................. 27

6.3.1 Certificate application ................................................................................................................................. 27

6.3.2 Certificate application processing ............................................................................................................... 27

6.3.3 Certificate issuance ..................................................................................................................................... 27

6.3.4 Certificate acceptance ................................................................................................................................. 29

6.3.5 Key pair and certificate usage ..................................................................................................................... 31

6.3.6 Certificate renewal ...................................................................................................................................... 32

6.3.7 Certificate Re-key ....................................................................................................................................... 33

6.3.8 Certificate modification .............................................................................................................................. 33

6.3.9 Certificate revocation and suspension......................................................................................................... 33

6.3.10 Certificate status services ............................................................................................................................ 34

6.3.11 End of subscription ..................................................................................................................................... 35

6.3.12 Key escrow and recovery ............................................................................................................................ 35

6.4 Facility, management, and operational controls ............................................................................................... 36

6.4.1 General ........................................................................................................................................................ 36

ETSI
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oSIST prEN 319 411-1 V1.3.0:2021
4 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)

6.4.2 Physical security controls ........................................................................................................................... 36

6.4.3 Procedural controls ..................................................................................................................................... 36

6.4.4 Personnel controls ....................................................................................................................................... 37

6.4.5 Audit logging procedures ............................................................................................................................ 37

6.4.6 Records archival ......................................................................................................................................... 38

6.4.7 Key changeover .......................................................................................................................................... 38

6.4.8 Compromise and disaster recovery ............................................................................................................. 38

6.4.9 Certification Authority or Registration Authority termination ................................................................... 39

6.5 Technical security controls ............................................................................................................................... 39

6.5.1 Key pair generation and installation ........................................................................................................... 39

6.5.2 Private key protection and cryptographic module engineering controls ..................................................... 41

6.5.3 Other aspects of key pair management ....................................................................................................... 42

6.5.4 Activation data ............................................................................................................................................ 42

6.5.5 Computer security controls ......................................................................................................................... 43

6.5.6 Life cycle security controls ......................................................................................................................... 43

6.5.7 Network security controls ........................................................................................................................... 43

6.5.8 Timestamping ............................................................................................................................................. 44

6.6 Certificate, CRL and OCSP profiles................................................................................................................. 44

6.6.1 Certificate profile ........................................................................................................................................ 44

6.6.2 CRL profile ................................................................................................................................................. 44

6.6.3 OCSP profile ............................................................................................................................................... 44

6.7 Compliance audit and other assessment ........................................................................................................... 45

6.8 Other business and legal matters ...................................................................................................................... 45

6.8.1 Fees ............................................................................................................................................................. 45

6.8.2 Financial responsibility ............................................................................................................................... 45

6.8.3 Confidentiality of business information ...................................................................................................... 45

6.8.4 Privacy of personal information.................................................................................................................. 45

6.8.5 Intellectual property rights .......................................................................................................................... 46

6.8.6 Representations and warranties ................................................................................................................... 46

6.8.7 Disclaimers of warranties ........................................................................................................................... 46

6.8.8 Limitations of liability ................................................................................................................................ 46

6.8.9 Indemnities ................................................................................................................................................. 46

6.8.10 Term and termination.................................................................................................................................. 46

6.8.11 Individual notices and communications with participants .......................................................................... 46

6.8.12 Amendments ............................................................................................................................................... 46

6.8.13 Dispute resolution procedures..................................................................................................................... 46

6.8.14 Governing law ............................................................................................................................................ 47

6.8.15 Compliance with applicable law ................................................................................................................. 47

6.8.16 Miscellaneous provisions ............................................................................................................................ 47

6.9 Other provisions ............................................................................................................................................... 47

6.9.1 Organizational ............................................................................................................................................. 47

6.9.2 Additional testing ........................................................................................................................................ 47

6.9.3 Disabilities .................................................................................................................................................. 47

6.9.4 Terms and conditions .................................................................................................................................. 47

7 Framework for the definition of other certificate policies ...................................................................... 48

7.1 Certificate policy management ......................................................................................................................... 48

7.2 Additional requirements ................................................................................................................................... 49

Annex A (informative): Model PKI disclosure statement ................................................................... 50

A.1 Introduction ............................................................................................................................................ 50

A.2 The PDS structure .................................................................................................................................. 50

A.3 The PDS format ...................................................................................................................................... 51

Annex B (informative): Conformity assessment checklist .................................................................. 52

Annex C (informative): Bibliography ................................................................................................... 53

Annex D (informative): Change history ............................................................................................... 54

History .............................................................................................................................................................. 56

ETSI
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oSIST prEN 319 411-1 V1.3.0:2021
5 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
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 draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards

EN Approval Procedure.

The present document is part 1 of a multi-part deliverable covering the Policy and security requirements for Trust

Service Providers issuing certificates, as identified below:
ETSI EN 319 411-1: "General requirements";

ETSI EN 319 411-2: "Requirements for trust service providers issuing EU qualified certificates";

ETSI TR 119 411-4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2 [i.5]".

NOTE: Part 3 of this multi-part deliverable has been withdrawn.

The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].

Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa

Date of withdrawal of any conflicting National Standard (dow): 6 months after doa

ETSI
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oSIST prEN 319 411-1 V1.3.0:2021
6 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
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

Electronic commerce, in its broadest sense, is a way of doing 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 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 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 others, applicable requirements from Regulation (EU)

No 910/2014 [i.14] 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 on those specified in the present document and specify any additional requirements in a

manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from

the use of generally accepted global best practices.
ETSI
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oSIST prEN 319 411-1 V1.3.0:2021
7 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)
1 Scope

The present document specifies generally applicable policy and security requirements for Trust Service Providers

(TSPs) 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 policy and security requirements support several reference certificate policies,

defined in clauses 4 and 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 covers requirements for CA hierarchies, however this is limited to supporting the policies as

specified in the present document. It does not include requirements for root CAs and intermediate CAs for other

purposes.
The present document is applicable to:

• the general requirements of certification in support of cryptographic mechanisms, including digital signatures

for electronic 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 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 EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 401 [8] for general policy requirements common to all classes of

TSP's services.

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 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] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria

for IT security".

[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:

Certificate profile for web site certificates".

[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for

cryptographic modules".
ETSI
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oSIST prEN 319 411-1 V1.3.0:2021
8 Draft ETSI EN 319 411-1 V1.3.0 (2021-02)

[4] CA/Browser Forum (V1.6.7): "Guidelines for The Issuance and Management of Extended

Validation Certificates".

[5] CA/Browser Forum (V1.7.1): "Baseline Requirements Certificate Policy for the Issuance and

Management of Publicly-Trusted Certificates".

[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems

Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks".

[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation

List (CRL) Profile".

[8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

[9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:

Certificate profile for certificates issued to natural persons".

[10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:

Certificate profile for certificates issued to legal persons".

[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -

OCSP".
[12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules".

[13] ETSI TS 119 412-1: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 1:

Overview and common data structures".
...

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