Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for Trust Service Providers issuing certificates - Part 2: Requirements for trust service providers issuing EU qualified certificates

REN/ESI-0019411-2v241

Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 2. del: Zahteve za ponudnike storitev zaupanja, ki izdajajo kvalificirana digitalna potrdila v EU

General Information

Status
Published
Public Enquiry End Date
31-Oct-2021
Publication Date
21-Nov-2021
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
15-Nov-2021
Due Date
20-Jan-2022
Completion Date
22-Nov-2021

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SLOVENSKI STANDARD
SIST EN 319 411-2 V2.4.1:2022
01-januar-2022
Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za
ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 2. del: Zahteve za
ponudnike storitev zaupanja, ki izdajajo kvalificirana digitalna potrdila v EU

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

Trust Service Providers issuing certificates - Part 2: Requirements for trust service

providers issuing EU qualified certificates
Ta slovenski standard je istoveten z: ETSI EN 319 411-2 V2.4.1 (2021-11)
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 319 411-2 V2.4.1:2022 en

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

---------------------- Page: 1 ----------------------
SIST EN 319 411-2 V2.4.1:2022
---------------------- Page: 2 ----------------------
SIST EN 319 411-2 V2.4.1:2022
ETSI EN 319 411-2 V2.4.1 (2021-11)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 2: Requirements for trust service providers issuing
EU qualified certificates
---------------------- Page: 3 ----------------------
SIST EN 319 411-2 V2.4.1:2022
2 ETSI EN 319 411-2 V2.4.1 (2021-11)
Reference
REN/ESI-0019411-2v241
Keywords
e-commerce, electronic signature, 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 319 411-2 V2.4.1:2022
3 ETSI EN 319 411-2 V2.4.1 (2021-11)
Contents

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

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

Modal verbs terminology .................................................................................................................................... 5

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

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

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

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

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 8

3.3 Abbreviations ..................................................................................................................................................... 9

3.4 Notation .............................................................................................................................................................. 9

4 General concepts .................................................................................................................................... 10

4.1 General policy requirements concepts .............................................................................................................. 10

4.2 Certificate policy and certification practice statement ..................................................................................... 10

4.2.1 Overview .................................................................................................................................................... 10

4.2.2 Purpose ....................................................................................................................................................... 10

4.2.3 Level of specificity ..................................................................................................................................... 10

4.2.4 Approach .................................................................................................................................................... 10

4.2.5 Certificate policy ........................................................................................................................................ 10

4.3 Other TSP statements ....................................................................................................................................... 11

4.4 Certification services ........................................................................................................................................ 11

5 General provisions on Certification Practice Statement and Certificate Policies................................... 12

5.1 General requirements ....................................................................................................................................... 12

5.2 Certification Practice Statement Requirements ................................................................................................ 12

5.3 Certificate Policy name and identification ....................................................................................................... 12

5.4 PKI Participants ................................................................................................................................................ 13

5.4.1 Certification authority ................................................................................................................................. 13

5.4.2 Subscriber and subject ................................................................................................................................ 13

5.4.3 Others .......................................................................................................................................................... 13

5.5 Certificate Usage .............................................................................................................................................. 13

5.5.1 QCP-n ......................................................................................................................................................... 13

5.5.2 QCP-l .......................................................................................................................................................... 13

5.5.3 QCP-n-qscd................................................................................................................................................. 13

5.5.4 QCP-l-qscd ................................................................................................................................................. 14

5.5.5 QEVCP-w ................................................................................................................................................... 14

5.5.6 QNCP-w ..................................................................................................................................................... 14

6 Trust Service Providers practice ............................................................................................................. 14

6.1 Publication and Repository Responsibilities .................................................................................................... 14

6.2 Identification and Authentication ..................................................................................................................... 14

6.2.1 Naming ....................................................................................................................................................... 14

6.2.2 Initial Identity Valid atio n ............................................................................................................................ 14

6.2.3 Identification and authentication for Re-key requests ................................................................................ 15

6.2.4 Identification and authentication for revocation requests ........................................................................... 15

6.3 Certificate Life-Cycle Operational Requirements ............................................................................................ 15

6.3.1 Certificate Application ................................................................................................................................ 15

6.3.2 Certificate application processing ............................................................................................................... 15

6.3.3 Certificate issuance ..................................................................................................................................... 15

6.3.4 Certificate acceptance ................................................................................................................................. 15

6.3.5 Key Pair and Certificate Usage ................................................................................................................... 16

6.3.6 Certificate Renewal..................................................................................................................................... 17

6.3.7 Certificate Re-key ....................................................................................................................................... 17

ETSI
---------------------- Page: 5 ----------------------
SIST EN 319 411-2 V2.4.1:2022
4 ETSI EN 319 411-2 V2.4.1 (2021-11)

6.3.8 Certificate Modification .............................................................................................................................. 17

6.3.9 Certificate Revocation and Suspension....................................................................................................... 17

6.3.10 Certificate Status Services .......................................................................................................................... 17

6.3.11 End of Subscription .................................................................................................................................... 18

6.3.12 Key Escrow and Recovery .......................................................................................................................... 18

6.4 Facility, Management and Operational Controls .............................................................................................. 18

6.4.1 General ........................................................................................................................................................ 18

6.4.2 Physical Security Controls .......................................................................................................................... 18

6.4.3 Procedural Controls .................................................................................................................................... 18

6.4.4 Personnel Controls ...................................................................................................................................... 18

6.4.5 Audit Logging Procedures .......................................................................................................................... 19

6.4.6 Records Archival ........................................................................................................................................ 19

6.4.7 Key Changeover ......................................................................................................................................... 19

6.4.8 Compromise and Disaster Recovery ........................................................................................................... 19

6.4.9 CA or RA Termination ............................................................................................................................... 19

6.5 Technical Security Controls ............................................................................................................................. 19

6.5.1 Key Pair Generation and Installation .......................................................................................................... 19

6.5.2 Private Key Protection and Cryptographic Module Engineering Controls ................................................. 20

6.5.3 Other Aspects of Key Pair Management ..................................................................................................... 20

6.5.4 Activation Data ........................................................................................................................................... 20

6.5.5 Computer Security Controls ....................................................................................................................... 20

6.5.6 Life Cycle Security Controls ...................................................................................................................... 20

6.5.7 Network Security Controls ......................................................................................................................... 20

6.5.8 Time-stamping ............................................................................................................................................ 20

6.6 Certificate, CRL, and OCSP Profiles ............................................................................................................... 21

6.6.1 Certificate Profile ........................................................................................................................................ 21

6.6.2 CRL Profile ................................................................................................................................................. 22

6.6.3 OCSP Profile .............................................................................................................................................. 22

6.7 Compliance Audit and Other Assessment ........................................................................................................ 22

6.8 Other Business and Legal Matters .................................................................................................................... 22

6.8.1 Fees ............................................................................................................................................................. 22

6.8.2 Financial Responsibility ............................................................................................................................. 22

6.8.3 Confidentiality of Business Information ..................................................................................................... 22

6.8.4 Privacy of Personal Information ................................................................................................................. 22

6.8.5 Intellectual Property Rights ........................................................................................................................ 22

6.8.6 Representations and Warranties .................................................................................................................. 22

6.8.7 Disclaimers of Warranties .......................................................................................................................... 23

6.8.8 Limitations of Liability ............................................................................................................................... 23

6.8.9 Indemnities ................................................................................................................................................. 23

6.8.10 Term and Termination ................................................................................................................................ 23

6.8.11 Individual notices and communications with participants .......................................................................... 23

6.8.12 Amendments ............................................................................................................................................... 23

6.8.13 Dispute Resolution Procedures ................................................................................................................... 23

6.8.14 Governing Law ........................................................................................................................................... 23

6.8.15 Compliance with Applicable Law .............................................................................................................. 23

6.8.16 Miscellaneous Provisions ........................................................................................................................... 23

6.9 Other Provisions ............................................................................................................................................... 23

6.9.1 Organizational ............................................................................................................................................. 23

6.9.2 Additional testing ........................................................................................................................................ 23

6.9.3 Disabilities .................................................................................................................................................. 24

6.9.4 Terms and conditions .................................................................................................................................. 24

7 Framework for the definition of other certificate policies built on the present document ..................... 24

7.1 Certificate policy management ......................................................................................................................... 24

7.2 Additional requirements ................................................................................................................................... 24

Annex A (informative): Regulation and EU qualified certificate policy mapping ........................... 25

Annex B (informative): Conformity Assessment Checklist ................................................................ 29

Annex C (informative): Change history ............................................................................................... 30

History .............................................................................................................................................................. 31

ETSI
---------------------- Page: 6 ----------------------
SIST EN 319 411-2 V2.4.1:2022
5 ETSI EN 319 411-2 V2.4.1 (2021-11)
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 2 of a multi-part deliverable covering policy requirements for Trust Service Providers

issuing certificates. Full details of the entire series can be found in part 1 [2].

The present document is derived from the requirements specified in ETSI TS 101 456 [i.2].

National transposition dates
Date of adoption of this EN: 4 November 2021
Date of latest announcement of this EN (doa): 28 February 2022
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 August 2022
Date of withdrawal of any conflicting National Standard (dow): 31 August 2022
ETSI
---------------------- Page: 7 ----------------------
SIST EN 319 411-2 V2.4.1:2022
6 ETSI EN 319 411-2 V2.4.1 (2021-11)
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

The Regulation (EU) No 910/2014 [i.1] establishes a legal framework for electronic signature and electronic seal and

for website authentication services. These concepts can be commonly achieved by using cryptographic mechanisms.

Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms are generally

supported by a Trust Service Provider (TSP) issuing public key certificates, commonly called a Certification Authority

(CA).

By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the

series ETSI EN 319 411-1 [2], is aiming to meet the general requirements of the international community to provide

trust and confidence in electronic transactions including, amongst others, requirements from Regulation (EU)

No 910/2014 [i.1] and from CA/Browser Forum [i.3].

The present document incorporates the general policy and security requirements as specified in ETSI EN 319 411-1 [2]

and adds further requirements in order to meet the specific requirements of Regulation (EU) N° 910/2014 for TSPs

issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU

qualified certificates for website authentication in accordance with but not limited to Articles 19, 24, 28, 38 and 45 of

Regulation (EU) No 910/2014 [i.1].

Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU

can build their specifications on the general policy requirements specified in ETSI EN 319 411-1 [2] to benefit from

global best practices, and specify any additional requirements in a manner similar to the present document.

Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are

qualified in accordance with Regulation (EU) No 910/2014 [i.1].
ETSI
---------------------- Page: 8 ----------------------
SIST EN 319 411-2 V2.4.1:2022
7 ETSI EN 319 411-2 V2.4.1 (2021-11)
1 Scope

The present document specifies policy and security requirements for the issuance, maintenance and life-cycle

management of EU qualified certificates as defined in Regulation (EU) No 910/2014 [i.1]. These policy and security

requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU

qualified certificates issued to natural persons (including natural persons associated with a legal person or a website)

and to legal persons (including legal persons associated with a website), respectively.

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.6] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 411-1 [2] for general requirements on TSP issuing certificates.

2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are necessary for the application of the present document.

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

for Trust Service Providers".

[2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for trust service providers issuing certificates; Part 1: General requirements".

[3] ETSI EN 319 412-5: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;

Part 5: QCStatements".

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

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

2.2 Informative re
...

ETSI EN 319 411-2 V2.4.1 (2021-11)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 2: Requirements for trust service providers issuing
EU qualified certificates
---------------------- Page: 1 ----------------------
2 ETSI EN 319 411-2 V2.4.1 (2021-11)
Reference
REN/ESI-0019411-2v241
Keywords
e-commerce, electronic signature, 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 319 411-2 V2.4.1 (2021-11)
Contents

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

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

Modal verbs terminology .................................................................................................................................... 5

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

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

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

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

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 8

3.3 Abbreviations ..................................................................................................................................................... 9

3.4 Notation .............................................................................................................................................................. 9

4 General concepts .................................................................................................................................... 10

4.1 General policy requirements concepts .............................................................................................................. 10

4.2 Certificate policy and certification practice statement ..................................................................................... 10

4.2.1 Overview .................................................................................................................................................... 10

4.2.2 Purpose ....................................................................................................................................................... 10

4.2.3 Level of specificity ..................................................................................................................................... 10

4.2.4 Approach .................................................................................................................................................... 10

4.2.5 Certificate policy ........................................................................................................................................ 10

4.3 Other TSP statements ....................................................................................................................................... 11

4.4 Certification services ........................................................................................................................................ 11

5 General provisions on Certification Practice Statement and Certificate Policies................................... 12

5.1 General requirements ....................................................................................................................................... 12

5.2 Certification Practice Statement Requirements ................................................................................................ 12

5.3 Certificate Policy name and identification ....................................................................................................... 12

5.4 PKI Participants ................................................................................................................................................ 13

5.4.1 Certification authority ................................................................................................................................. 13

5.4.2 Subscriber and subject ................................................................................................................................ 13

5.4.3 Others .......................................................................................................................................................... 13

5.5 Certificate Usage .............................................................................................................................................. 13

5.5.1 QCP-n ......................................................................................................................................................... 13

5.5.2 QCP-l .......................................................................................................................................................... 13

5.5.3 QCP-n-qscd................................................................................................................................................. 13

5.5.4 QCP-l-qscd ................................................................................................................................................. 14

5.5.5 QEVCP-w ................................................................................................................................................... 14

5.5.6 QNCP-w ..................................................................................................................................................... 14

6 Trust Service Providers practice ............................................................................................................. 14

6.1 Publication and Repository Responsibilities .................................................................................................... 14

6.2 Identification and Authentication ..................................................................................................................... 14

6.2.1 Naming ....................................................................................................................................................... 14

6.2.2 Initial Identity Valid atio n ............................................................................................................................ 14

6.2.3 Identification and authentication for Re-key requests ................................................................................ 15

6.2.4 Identification and authentication for revocation requests ........................................................................... 15

6.3 Certificate Life-Cycle Operational Requirements ............................................................................................ 15

6.3.1 Certificate Application ................................................................................................................................ 15

6.3.2 Certificate application processing ............................................................................................................... 15

6.3.3 Certificate issuance ..................................................................................................................................... 15

6.3.4 Certificate acceptance ................................................................................................................................. 15

6.3.5 Key Pair and Certificate Usage ................................................................................................................... 16

6.3.6 Certificate Renewal..................................................................................................................................... 17

6.3.7 Certificate Re-key ....................................................................................................................................... 17

ETSI
---------------------- Page: 3 ----------------------
4 ETSI EN 319 411-2 V2.4.1 (2021-11)

6.3.8 Certificate Modification .............................................................................................................................. 17

6.3.9 Certificate Revocation and Suspension....................................................................................................... 17

6.3.10 Certificate Status Services .......................................................................................................................... 17

6.3.11 End of Subscription .................................................................................................................................... 18

6.3.12 Key Escrow and Recovery .......................................................................................................................... 18

6.4 Facility, Management and Operational Controls .............................................................................................. 18

6.4.1 General ........................................................................................................................................................ 18

6.4.2 Physical Security Controls .......................................................................................................................... 18

6.4.3 Procedural Controls .................................................................................................................................... 18

6.4.4 Personnel Controls ...................................................................................................................................... 18

6.4.5 Audit Logging Procedures .......................................................................................................................... 19

6.4.6 Records Archival ........................................................................................................................................ 19

6.4.7 Key Changeover ......................................................................................................................................... 19

6.4.8 Compromise and Disaster Recovery ........................................................................................................... 19

6.4.9 CA or RA Termination ............................................................................................................................... 19

6.5 Technical Security Controls ............................................................................................................................. 19

6.5.1 Key Pair Generation and Installation .......................................................................................................... 19

6.5.2 Private Key Protection and Cryptographic Module Engineering Controls ................................................. 20

6.5.3 Other Aspects of Key Pair Management ..................................................................................................... 20

6.5.4 Activation Data ........................................................................................................................................... 20

6.5.5 Computer Security Controls ....................................................................................................................... 20

6.5.6 Life Cycle Security Controls ...................................................................................................................... 20

6.5.7 Network Security Controls ......................................................................................................................... 20

6.5.8 Time-stamping ............................................................................................................................................ 20

6.6 Certificate, CRL, and OCSP Profiles ............................................................................................................... 21

6.6.1 Certificate Profile ........................................................................................................................................ 21

6.6.2 CRL Profile ................................................................................................................................................. 22

6.6.3 OCSP Profile .............................................................................................................................................. 22

6.7 Compliance Audit and Other Assessment ........................................................................................................ 22

6.8 Other Business and Legal Matters .................................................................................................................... 22

6.8.1 Fees ............................................................................................................................................................. 22

6.8.2 Financial Responsibility ............................................................................................................................. 22

6.8.3 Confidentiality of Business Information ..................................................................................................... 22

6.8.4 Privacy of Personal Information ................................................................................................................. 22

6.8.5 Intellectual Property Rights ........................................................................................................................ 22

6.8.6 Representations and Warranties .................................................................................................................. 22

6.8.7 Disclaimers of Warranties .......................................................................................................................... 23

6.8.8 Limitations of Liability ............................................................................................................................... 23

6.8.9 Indemnities ................................................................................................................................................. 23

6.8.10 Term and Termination ................................................................................................................................ 23

6.8.11 Individual notices and communications with participants .......................................................................... 23

6.8.12 Amendments ............................................................................................................................................... 23

6.8.13 Dispute Resolution Procedures ................................................................................................................... 23

6.8.14 Governing Law ........................................................................................................................................... 23

6.8.15 Compliance with Applicable Law .............................................................................................................. 23

6.8.16 Miscellaneous Provisions ........................................................................................................................... 23

6.9 Other Provisions ............................................................................................................................................... 23

6.9.1 Organizational ............................................................................................................................................. 23

6.9.2 Additional testing ........................................................................................................................................ 23

6.9.3 Disabilities .................................................................................................................................................. 24

6.9.4 Terms and conditions .................................................................................................................................. 24

7 Framework for the definition of other certificate policies built on the present document ..................... 24

7.1 Certificate policy management ......................................................................................................................... 24

7.2 Additional requirements ................................................................................................................................... 24

Annex A (informative): Regulation and EU qualified certificate policy mapping ........................... 25

Annex B (informative): Conformity Assessment Checklist ................................................................ 29

Annex C (informative): Change history ............................................................................................... 30

History .............................................................................................................................................................. 31

ETSI
---------------------- Page: 4 ----------------------
5 ETSI EN 319 411-2 V2.4.1 (2021-11)
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 2 of a multi-part deliverable covering policy requirements for Trust Service Providers

issuing certificates. Full details of the entire series can be found in part 1 [2].

The present document is derived from the requirements specified in ETSI TS 101 456 [i.2].

National transposition dates
Date of adoption of this EN: 4 November 2021
Date of latest announcement of this EN (doa): 28 February 2022
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 August 2022
Date of withdrawal of any conflicting National Standard (dow): 31 August 2022
ETSI
---------------------- Page: 5 ----------------------
6 ETSI EN 319 411-2 V2.4.1 (2021-11)
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

The Regulation (EU) No 910/2014 [i.1] establishes a legal framework for electronic signature and electronic seal and

for website authentication services. These concepts can be commonly achieved by using cryptographic mechanisms.

Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms are generally

supported by a Trust Service Provider (TSP) issuing public key certificates, commonly called a Certification Authority

(CA).

By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the

series ETSI EN 319 411-1 [2], is aiming to meet the general requirements of the international community to provide

trust and confidence in electronic transactions including, amongst others, requirements from Regulation (EU)

No 910/2014 [i.1] and from CA/Browser Forum [i.3].

The present document incorporates the general policy and security requirements as specified in ETSI EN 319 411-1 [2]

and adds further requirements in order to meet the specific requirements of Regulation (EU) N° 910/2014 for TSPs

issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU

qualified certificates for website authentication in accordance with but not limited to Articles 19, 24, 28, 38 and 45 of

Regulation (EU) No 910/2014 [i.1].

Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU

can build their specifications on the general policy requirements specified in ETSI EN 319 411-1 [2] to benefit from

global best practices, and specify any additional requirements in a manner similar to the present document.

Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are

qualified in accordance with Regulation (EU) No 910/2014 [i.1].
ETSI
---------------------- Page: 6 ----------------------
7 ETSI EN 319 411-2 V2.4.1 (2021-11)
1 Scope

The present document specifies policy and security requirements for the issuance, maintenance and life-cycle

management of EU qualified certificates as defined in Regulation (EU) No 910/2014 [i.1]. These policy and security

requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU

qualified certificates issued to natural persons (including natural persons associated with a legal person or a website)

and to legal persons (including legal persons associated with a website), respectively.

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.6] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 411-1 [2] for general requirements on TSP issuing certificates.

2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are necessary for the application of the present document.

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

for Trust Service Providers".

[2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for trust service providers issuing certificates; Part 1: General requirements".

[3] ETSI EN 319 412-5: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;

Part 5: QCStatements".

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

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

2.2 Informative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are not necessary for the application of the present document but they assist the

user with regard to a particular subject area.

[i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic

identification and trust services for electronic transactions in the internal market and repealing

Directive 1999/93/EC.
ETSI
---------------------- Page: 7 ----------------------
8 ETSI EN 319 411-2 V2.4.1 (2021-11)

[i.2] ETSI TS 101 456: "Electronic Signatures and Infrastructures (ESI); Policy requirements for

certification authorities issuing qualified certificates".

[i.3] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-

Trusted Certificates".
NOTE: The version is as referenced in ETSI EN 319 411-1 [2]
...

Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 2: Requirements for trust service providers issuing
EU qualified certificates
---------------------- Page: 1 ----------------------
2 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Reference
REN/ESI-0019411-2v241
Keywords
e-commerce, electronic signature, 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 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Contents

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

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

Modal verbs terminology .................................................................................................................................... 5

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

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

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

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

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 8

3.3 Abbreviations ..................................................................................................................................................... 9

3.4 Notation .............................................................................................................................................................. 9

4 General concepts .................................................................................................................................... 10

4.1 General policy requirements concepts .............................................................................................................. 10

4.2 Certificate policy and certification practice statement ..................................................................................... 10

4.2.1 Overview .................................................................................................................................................... 10

4.2.2 Purpose ....................................................................................................................................................... 10

4.2.3 Level of specificity ..................................................................................................................................... 10

4.2.4 Approach .................................................................................................................................................... 10

4.2.5 Certificate policy ........................................................................................................................................ 10

4.3 Other TSP statements ....................................................................................................................................... 11

4.4 Certification services ........................................................................................................................................ 11

5 General provisions on Certification Practice Statement and Certificate Policies................................... 12

5.1 General requirements ....................................................................................................................................... 12

5.2 Certification Practice Statement Requirements ................................................................................................ 12

5.3 Certificate Policy name and identification ....................................................................................................... 12

5.4 PKI Participants ................................................................................................................................................ 13

5.4.1 Certification authority ................................................................................................................................. 13

5.4.2 Subscriber and subject ................................................................................................................................ 13

5.4.3 Others .......................................................................................................................................................... 13

5.5 Certificate Usage .............................................................................................................................................. 13

5.5.1 QCP-n ......................................................................................................................................................... 13

5.5.2 QCP-l .......................................................................................................................................................... 13

5.5.3 QCP-n-qscd................................................................................................................................................. 14

5.5.4 QCP-l-qscd ................................................................................................................................................. 14

5.5.5 QEVCP-w ................................................................................................................................................... 14

5.5.6 QNCP-w ..................................................................................................................................................... 14

6 Trust Service Providers practice ............................................................................................................. 14

6.1 Publication and Repository Responsibilities .................................................................................................... 14

6.2 Identification and Authentication ..................................................................................................................... 14

6.2.1 Naming ....................................................................................................................................................... 14

6.2.2 Initial Identity Valid atio n ............................................................................................................................ 14

6.2.3 Identification and authentication for Re-key requests ................................................................................ 15

6.2.4 Identification and authentication for revocation requests ........................................................................... 15

6.3 Certificate Life-Cycle Operational Requirements ............................................................................................ 15

6.3.1 Certificate Application ................................................................................................................................ 15

6.3.2 Certificate application processing ............................................................................................................... 15

6.3.3 Certificate issuance ..................................................................................................................................... 15

6.3.4 Certificate acceptance ................................................................................................................................. 15

6.3.5 Key Pair and Certificate Usage ................................................................................................................... 16

6.3.6 Certificate Renewal..................................................................................................................................... 17

6.3.7 Certificate Re-key ....................................................................................................................................... 17

ETSI
---------------------- Page: 3 ----------------------
4 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)

6.3.8 Certificate Modification .............................................................................................................................. 17

6.3.9 Certificate Revocation and Suspension....................................................................................................... 17

6.3.10 Certificate Status Services .......................................................................................................................... 17

6.3.11 End of Subscription .................................................................................................................................... 18

6.3.12 Key Escrow and Recovery .......................................................................................................................... 18

6.4 Facility, Management and Operational Controls .............................................................................................. 18

6.4.1 General ........................................................................................................................................................ 18

6.4.2 Physical Security Controls .......................................................................................................................... 18

6.4.3 Procedural Controls .................................................................................................................................... 18

6.4.4 Personnel Controls ...................................................................................................................................... 18

6.4.5 Audit Logging Procedures .......................................................................................................................... 19

6.4.6 Records Archival ........................................................................................................................................ 19

6.4.7 Key Changeover ......................................................................................................................................... 19

6.4.8 Compromise and Disaster Recovery ........................................................................................................... 19

6.4.9 CA or RA Termination ............................................................................................................................... 19

6.5 Technical Security Controls ............................................................................................................................. 19

6.5.1 Key Pair Generation and Installation .......................................................................................................... 19

6.5.2 Private Key Protection and Cryptographic Module Engineering Controls ................................................. 20

6.5.3 Other Aspects of Key Pair Management ..................................................................................................... 20

6.5.4 Activation Data ........................................................................................................................................... 20

6.5.5 Computer Security Controls ....................................................................................................................... 20

6.5.6 Life Cycle Security Controls ...................................................................................................................... 20

6.5.7 Network Security Controls ......................................................................................................................... 20

6.5.8 Time-stamping ............................................................................................................................................ 20

6.6 Certificate, CRL, and OCSP Profiles ............................................................................................................... 21

6.6.1 Certificate Profile ........................................................................................................................................ 21

6.6.2 CRL Profile ................................................................................................................................................. 22

6.6.3 OCSP Profile .............................................................................................................................................. 22

6.7 Compliance Audit and Other Assessment ........................................................................................................ 22

6.8 Other Business and Legal Matters .................................................................................................................... 22

6.8.1 Fees ............................................................................................................................................................. 22

6.8.2 Financial Responsibility ............................................................................................................................. 22

6.8.3 Confidentiality of Business Information ..................................................................................................... 22

6.8.4 Privacy of Personal Information ................................................................................................................. 22

6.8.5 Intellectual Property Rights ........................................................................................................................ 22

6.8.6 Representations and Warranties .................................................................................................................. 22

6.8.7 Disclaimers of Warranties .......................................................................................................................... 23

6.8.8 Limitations of Liability ............................................................................................................................... 23

6.8.9 Indemnities ................................................................................................................................................. 23

6.8.10 Term and Termination ................................................................................................................................ 23

6.8.11 Individual notices and communications with participants .......................................................................... 23

6.8.12 Amendments ............................................................................................................................................... 23

6.8.13 Dispute Resolution Procedures ................................................................................................................... 23

6.8.14 Governing Law ........................................................................................................................................... 23

6.8.15 Compliance with Applicable Law .............................................................................................................. 23

6.8.16 Miscellaneous Provisions ........................................................................................................................... 23

6.9 Other Provisions ............................................................................................................................................... 23

6.9.1 Organizational ............................................................................................................................................. 23

6.9.2 Additional testing ........................................................................................................................................ 23

6.9.3 Disabilities .................................................................................................................................................. 24

6.9.4 Terms and conditions .................................................................................................................................. 24

7 Framework for the definition of other certificate policies built on the present document ..................... 24

7.1 Certificate policy management ......................................................................................................................... 24

7.2 Additional requirements ................................................................................................................................... 24

Annex A (informative): Regulation and EU qualified certificate policy mapping ........................... 25

Annex B (informative): Conformity Assessment Checklist ................................................................ 29

Annex C (informative): Change history ............................................................................................... 30

History .............................................................................................................................................................. 31

ETSI
---------------------- Page: 4 ----------------------
5 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
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 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 2 of a multi-part deliverable covering policy requirements for Trust Service Providers

issuing certificates. Full details of the entire series can be found in part 1 [2].

The present document is derived from the requirements specified in ETSI TS 101 456 [i.2].

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

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.

ETSI
---------------------- Page: 5 ----------------------
6 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Introduction

The Regulation (EU) No 910/2014 [i.1] establishes a legal framework for electronic signature and electronic seal and

for website authentication services. These concepts can be commonly achieved by using cryptographic mechanisms.

Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms are generally

supported by a Trust Service Provider (TSP) issuing public key certificates, commonly called a Certification Authority

(CA).

By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the

series ETSI EN 319 411-1 [2], is aiming to meet the general requirements of the international community to provide

trust and confidence in electronic transactions including, amongst others, requirements from Regulation (EU)

No 910/2014 [i.1] and from CA/Browser Forum [i.3].

The present document incorporates the general policy and security requirements as specified in ETSI EN 319 411-1 [2]

and adds further requirements in order to meet the specific requirements of Regulation (EU) N° 910/2014 for TSPs

issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU

qualified certificates for website authentication in accordance with but not limited to Articles 19, 24, 28, 38 and 45 of

Regulation (EU) No 910/2014 [i.1].

Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU

can build their specifications on the general policy requirements specified in ETSI EN 319 411-1 [2] to benefit from

global best practices, and specify any additional requirements in a manner similar to the present document.

Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are

qualified in accordance with Regulation (EU) No 910/2014 [i.1].
ETSI
---------------------- Page: 6 ----------------------
7 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
1 Scope

The present document specifies policy and security requirements for the issuance, maintenance and life-cycle

management of EU qualified certificates as defined in Regulation (EU) No 910/2014 [i.1]. These policy and security

requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU

qualified certificates issued to natural persons (including natural persons associated with a legal person or a website)

and to legal persons (including legal persons associated with a website), respectively.

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.6] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 411-1 [2] for general requirements on TSP issuing certificates.

2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are necessary for the application of the present document.

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

for Trust Service Providers".

[2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for trust service providers issuing certificates; Part 1: General requirements".

[3] ETSI EN 319 412-5: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;

Part 5: QCStatements".

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

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

2.2 Informative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are not necessary for the application of the present document but they assist the

user with regard to a particular subject area.

[i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic

identification and trust services for electronic transactions in the internal market and repealing

Directive 1999/93/EC.
ETSI
---------------------- Page: 7 ----------------------
8 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)

[i.2] ETSI TS 101 456: "Electronic Signatures and Infrastructures (ESI); Policy requirements for

certification authorities issuing qualified certificates".
[i.3] CA/Browser Forum: "Baselin
...

SLOVENSKI STANDARD
oSIST prEN 319 411-2 V2.3.3:2021
01-oktober-2021
Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za
ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 2. del: Zahteve za
ponudnike storitev zaupanja, ki izdajajo kvalificirana digitalna potrdila v EU

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

Trust Service Providers issuing certificates - Part 2: Requirements for trust service

providers issuing EU qualified certificates
Ta slovenski standard je istoveten z: ETSI EN 319 411-2 V2.3.3 (2021-08)
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 319 411-2 V2.3.3:2021 en

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

---------------------- Page: 1 ----------------------
oSIST prEN 319 411-2 V2.3.3:2021
---------------------- Page: 2 ----------------------
oSIST prEN 319 411-2 V2.3.3:2021
Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 2: Requirements for trust service providers issuing
EU qualified certificates
---------------------- Page: 3 ----------------------
oSIST prEN 319 411-2 V2.3.3:2021
2 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Reference
REN/ESI-0019411-2v241
Keywords
e-commerce, electronic signature, 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.

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ETSI
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oSIST prEN 319 411-2 V2.3.3:2021
3 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Contents

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

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

Modal verbs terminology .................................................................................................................................... 5

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

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

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

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

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols, abbreviations and notation ........................................................................ 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 8

3.3 Abbreviations ..................................................................................................................................................... 9

3.4 Notation .............................................................................................................................................................. 9

4 General concepts .................................................................................................................................... 10

4.1 General policy requirements concepts .............................................................................................................. 10

4.2 Certificate policy and certification practice statement ..................................................................................... 10

4.2.1 Overview .................................................................................................................................................... 10

4.2.2 Purpose ....................................................................................................................................................... 10

4.2.3 Level of specificity ..................................................................................................................................... 10

4.2.4 Approach .................................................................................................................................................... 10

4.2.5 Certificate policy ........................................................................................................................................ 10

4.3 Other TSP statements ....................................................................................................................................... 11

4.4 Certification services ........................................................................................................................................ 11

5 General provisions on Certification Practice Statement and Certificate Policies................................... 12

5.1 General requirements ....................................................................................................................................... 12

5.2 Certification Practice Statement Requirements ................................................................................................ 12

5.3 Certificate Policy name and identification ....................................................................................................... 12

5.4 PKI Participants ................................................................................................................................................ 13

5.4.1 Certification authority ................................................................................................................................. 13

5.4.2 Subscriber and subject ................................................................................................................................ 13

5.4.3 Others .......................................................................................................................................................... 13

5.5 Certificate Usage .............................................................................................................................................. 13

5.5.1 QCP-n ......................................................................................................................................................... 13

5.5.2 QCP-l .......................................................................................................................................................... 13

5.5.3 QCP-n-qscd................................................................................................................................................. 14

5.5.4 QCP-l-qscd ................................................................................................................................................. 14

5.5.5 QEVCP-w ................................................................................................................................................... 14

5.5.6 QNCP-w ..................................................................................................................................................... 14

6 Trust Service Providers practice ............................................................................................................. 14

6.1 Publication and Repository Responsibilities .................................................................................................... 14

6.2 Identification and Authentication ..................................................................................................................... 14

6.2.1 Naming ....................................................................................................................................................... 14

6.2.2 Initial Identity Valid atio n ............................................................................................................................ 14

6.2.3 Identification and authentication for Re-key requests ................................................................................ 15

6.2.4 Identification and authentication for revocation requests ........................................................................... 15

6.3 Certificate Life-Cycle Operational Requirements ............................................................................................ 15

6.3.1 Certificate Application ................................................................................................................................ 15

6.3.2 Certificate application processing ............................................................................................................... 15

6.3.3 Certificate issuance ..................................................................................................................................... 15

6.3.4 Certificate acceptance ................................................................................................................................. 15

6.3.5 Key Pair and Certificate Usage ................................................................................................................... 16

6.3.6 Certificate Renewal..................................................................................................................................... 17

6.3.7 Certificate Re-key ....................................................................................................................................... 17

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oSIST prEN 319 411-2 V2.3.3:2021
4 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)

6.3.8 Certificate Modification .............................................................................................................................. 17

6.3.9 Certificate Revocation and Suspension....................................................................................................... 17

6.3.10 Certificate Status Services .......................................................................................................................... 17

6.3.11 End of Subscription .................................................................................................................................... 18

6.3.12 Key Escrow and Recovery .......................................................................................................................... 18

6.4 Facility, Management and Operational Controls .............................................................................................. 18

6.4.1 General ........................................................................................................................................................ 18

6.4.2 Physical Security Controls .......................................................................................................................... 18

6.4.3 Procedural Controls .................................................................................................................................... 18

6.4.4 Personnel Controls ...................................................................................................................................... 18

6.4.5 Audit Logging Procedures .......................................................................................................................... 19

6.4.6 Records Archival ........................................................................................................................................ 19

6.4.7 Key Changeover ......................................................................................................................................... 19

6.4.8 Compromise and Disaster Recovery ........................................................................................................... 19

6.4.9 CA or RA Termination ............................................................................................................................... 19

6.5 Technical Security Controls ............................................................................................................................. 19

6.5.1 Key Pair Generation and Installation .......................................................................................................... 19

6.5.2 Private Key Protection and Cryptographic Module Engineering Controls ................................................. 20

6.5.3 Other Aspects of Key Pair Management ..................................................................................................... 20

6.5.4 Activation Data ........................................................................................................................................... 20

6.5.5 Computer Security Controls ....................................................................................................................... 20

6.5.6 Life Cycle Security Controls ...................................................................................................................... 20

6.5.7 Network Security Controls ......................................................................................................................... 20

6.5.8 Time-stamping ............................................................................................................................................ 20

6.6 Certificate, CRL, and OCSP Profiles ............................................................................................................... 21

6.6.1 Certificate Profile ........................................................................................................................................ 21

6.6.2 CRL Profile ................................................................................................................................................. 22

6.6.3 OCSP Profile .............................................................................................................................................. 22

6.7 Compliance Audit and Other Assessment ........................................................................................................ 22

6.8 Other Business and Legal Matters .................................................................................................................... 22

6.8.1 Fees ............................................................................................................................................................. 22

6.8.2 Financial Responsibility ............................................................................................................................. 22

6.8.3 Confidentiality of Business Information ..................................................................................................... 22

6.8.4 Privacy of Personal Information ................................................................................................................. 22

6.8.5 Intellectual Property Rights ........................................................................................................................ 22

6.8.6 Representations and Warranties .................................................................................................................. 22

6.8.7 Disclaimers of Warranties .......................................................................................................................... 23

6.8.8 Limitations of Liability ............................................................................................................................... 23

6.8.9 Indemnities ................................................................................................................................................. 23

6.8.10 Term and Termination ................................................................................................................................ 23

6.8.11 Individual notices and communications with participants .......................................................................... 23

6.8.12 Amendments ............................................................................................................................................... 23

6.8.13 Dispute Resolution Procedures ................................................................................................................... 23

6.8.14 Governing Law ........................................................................................................................................... 23

6.8.15 Compliance with Applicable Law .............................................................................................................. 23

6.8.16 Miscellaneous Provisions ........................................................................................................................... 23

6.9 Other Provisions ............................................................................................................................................... 23

6.9.1 Organizational ............................................................................................................................................. 23

6.9.2 Additional testing ........................................................................................................................................ 23

6.9.3 Disabilities .................................................................................................................................................. 24

6.9.4 Terms and conditions .................................................................................................................................. 24

7 Framework for the definition of other certificate policies built on the present document ..................... 24

7.1 Certificate policy management ......................................................................................................................... 24

7.2 Additional requirements ................................................................................................................................... 24

Annex A (informative): Regulation and EU qualified certificate policy mapping ........................... 25

Annex B (informative): Conformity Assessment Checklist ................................................................ 29

Annex C (informative): Change history ............................................................................................... 30

History .............................................................................................................................................................. 31

ETSI
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oSIST prEN 319 411-2 V2.3.3:2021
5 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Intellectual Property Rights
Essential patents

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pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be

found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to

ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the

ETSI Web server (https://ipr.etsi.org/).

Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,

including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not

referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,

essential to the present document.
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Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP

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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 2 of a multi-part deliverable covering policy requirements for Trust Service Providers

issuing certificates. Full details of the entire series can be found in part 1 [2].

The present document is derived from the requirements specified in ETSI TS 101 456 [i.2].

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

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.

ETSI
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oSIST prEN 319 411-2 V2.3.3:2021
6 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
Introduction

The Regulation (EU) No 910/2014 [i.1] establishes a legal framework for electronic signature and electronic seal and

for website authentication services. These concepts can be commonly achieved by using cryptographic mechanisms.

Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms are generally

supported by a Trust Service Provider (TSP) issuing public key certificates, commonly called a Certification Authority

(CA).

By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the

series ETSI EN 319 411-1 [2], is aiming to meet the general requirements of the international community to provide

trust and confidence in electronic transactions including, amongst others, requirements from Regulation (EU)

No 910/2014 [i.1] and from CA/Browser Forum [i.3].

The present document incorporates the general policy and security requirements as specified in ETSI EN 319 411-1 [2]

and adds further requirements in order to meet the specific requirements of Regulation (EU) N° 910/2014 for TSPs

issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU

qualified certificates for website authentication in accordance with but not limited to Articles 19, 24, 28, 38 and 45 of

Regulation (EU) No 910/2014 [i.1].

Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU

can build their specifications on the general policy requirements specified in ETSI EN 319 411-1 [2] to benefit from

global best practices, and specify any additional requirements in a manner similar to the present document.

Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are

qualified in accordance with Regulation (EU) No 910/2014 [i.1].
ETSI
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oSIST prEN 319 411-2 V2.3.3:2021
7 Draft ETSI EN 319 411-2 V2.3.3 (2021-08)
1 Scope

The present document specifies policy and security requirements for the issuance, maintenance and life-cycle

management of EU qualified certificates as defined in Regulation (EU) No 910/2014 [i.1]. These policy and security

requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU

qualified certificates issued to natural persons (including natural persons associated with a legal person or a website)

and to legal persons (including legal persons associated with a website), respectively.

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.6] for guidance on assessment of TSP's processes and services. The present

document references ETSI EN 319 411-1 [2] for general requirements on TSP issuing certificates.

2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

Referenced documents which are not found to be publicly available in the expected location might be found at

https://docbox.etsi.org/Reference.

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

their long term validity.

The following referenced documents are necessary for the application of the present document.

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

for Trust Service Providers".

[2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for trust service providers issuing certificates; Part 1: General requirements".

[3] ETSI EN 319 412-5: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;

Part 5: QCStatements".
[4] ISO/IEC 9594-8/Recommend
...

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