SIST EN 319 411-1 V1.2.2:2018
(Main)Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for Trust Service Providers issuing certificates - Part 1: General requirements
Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for Trust Service Providers issuing certificates - Part 1: General requirements
The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP)
issuing public key certificates, including trusted web site certificates.
The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle
management of certificates. These policy and security requirements support several reference certificate policies,
defined in clauses 4 and 5.
A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where
particular requirements apply is defined in clause 7.
The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as
specified in the present document. It does not include requirements for root CAs and intermediate CAs for other
purposes.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
for electronic signatures and seals;
• the general requirements of certification authorities issuing TLS/SSL certificates;
• the general requirements of the use of cryptography for authentication and encryption.
The present document does not specify how the requirements identified can be assessed by an independent party,
including requirements for information to be made available to such independent assessors, or requirements on such
assessors.
NOTE: See ETSI EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of
TSP's services.
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [5].
Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 1. del: Splošne zahteve
Ta dokument določa splošno veljavne zahteve politike in varnosti za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila javnih ključev, vključno s potrdili zaupanja vrednih spletnih mest.
Zahteve politike in varnosti so določene v smislu zahtev za izdajanje, vzdrževanje in upravljanje življenjskega cikla digitalnih potrdil. Te zahteve politike in varnosti podpirajo več referenčnih politik digitalnih potrdil, določenih v točkah 4 in 5.
Okvir za opredelitev zahtev politike za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila v posebnem kontekstu, v katerem veljajo določene zahteve, je določen v točki 7.
Ta dokument zajema zahteve za hierarhije overiteljev digitalnih potrdil, vendar je to omejeno na podporo politik, opredeljenih v tem dokumentu. Ne vključuje zahtev za overitelje korenskih digitalnih potrdil in overitelje vmesnih digitalnih potrdil za druge namene.
Ta dokument se uporablja za:
• splošne zahteve za izdajanje digitalnih potrdil za podporo kriptografskih mehanizmov, vključno z digitalnimi podpisi za elektronske podpise in pečate;
• splošne zahteve za overitelje digitalnih potrdil, ki izdajajo digitalna potrdila TLS/SSL;
• splošne zahteve za uporabo kriptografije za preverjanje pristnosti in šifriranje.
Ta dokument ne določa, kako lahko opredeljene zahteve oceni neodvisna stran, vključno z zahtevami glede informacij, ki jih je treba razkriti takim neodvisnim ocenjevalcem, ali zahtevami glede takih ocenjevalcev.
OPOMBA: Glej standard ETSI EN 319 403 [i.2] za navodila v zvezi z ocenjevanjem procesov in storitev ponudnikov storitev zaupanja. Ta dokument se sklicuje na standard ETSI EN 319 401 [8] za splošne zahteve politike, ki so skupne vsem razredom storitev ponudnikov storitev zaupanja.
Ta dokument vsebuje določbe, skladne z zahtevami organa CA/Browser Forum v smernicah EVCG [4] in BRG [5].
General Information
Standards Content (Sample)
Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
�
2 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
Reference
REN/ESI-0019411-1v121
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security, trust
services
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3 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
Contents
Intellectual Property Rights . 6
Foreword . 6
Modal verbs terminology . 6
Introduction . 7
1 Scope . 8
2 References . 8
2.1 Normative references . 8
2.2 Informative references . 9
3 Definitions, abbreviations and notation . 10
3.1 Definitions . 10
3.2 Abbreviations . 12
3.3 Notation . 13
4 General concepts . 14
4.1 General policy requirements concepts . 14
4.2 Certificate policy and certification practice statement . 14
4.2.1 Overview . 14
4.2.2 Purpose . 14
4.2.3 Level of specificity . 15
4.2.4 Approach . 15
4.2.5 Certificate Policy . 15
4.3 Other Trust Service Providers statements . 16
4.4 Certification services . 16
5 General provisions on Certification Practice Statement and Certificate Policies. 17
5.1 General requirements . 17
5.2 Certification Practice Statement requirements . 18
5.3 Certificate Policy name and identification . 18
5.4 PKI participants . 19
5.4.1 Certification Authority . 19
5.4.2 Subscriber and subject . 19
5.4.3 Others . 20
5.5 Certificate usage . 20
6 Trust Service Providers practice . 20
6.1 Publication and repository responsibilities . 20
6.2 Identification and authentication . 21
6.2.1 Naming . 21
6.2.2 Initial identity validation . 21
6.2.3 Identification and authentication for Re-key requests . 24
6.2.4 Identification and authentication for revocation requests . 25
6.3 Certificate Life-Cycle operational requirements . 26
6.3.1 Certificate application . 26
6.3.2 Certificate application processing . 26
6.3.3 Certificate issuance . 26
6.3.4 Certificate acceptance . 28
6.3.5 Key pair and certificate usage . 29
6.3.6 Certificate renewal . 30
6.3.7 Certificate Re-key . 31
6.3.8 Certificate modification . 31
6.3.9 Certificate revocation and suspension. 31
6.3.10 Certificate status services . 32
6.3.11 End of subscription . 33
6.3.12 Key escrow and recovery . 33
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4 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
6.4 Facility, management, and operational controls . 33
6.4.1 General . 33
6.4.2 Physical security controls . 34
6.4.3 Procedural controls . 34
6.4.4 Personnel controls . 34
6.4.5 Audit logging procedures . 35
6.4.6 Records archival . 35
6.4.7 Key changeover . 35
6.4.8 Compromise and disaster recovery . 35
6.4.9 Certification Authority or Registration Authority termination . 37
6.5 Technical security controls . 37
6.5.1 Key pair generation and installation . 37
6.5.2 Private key protection and cryptographic module engineering controls . 39
6.5.3 Other aspects of key pair management . 40
6.5.4 Activation data . 40
6.5.5 Computer security controls . 40
6.5.6 Life cycle security controls . 41
6.5.7 Network security controls . 41
6.5.8 Timestamping . 41
6.6 Certificate, CRL, and OCSP profiles. 41
6.6.1 Certificate profile . 41
6.6.2 CRL profile . 42
6.6.3 OCSP profile . 42
6.7 Compliance audit and other assessment . 42
6.8 Other business and legal matters . 42
6.8.1 Fees . 42
6.8.2 Financial responsibility . 43
6.8.3 Confidentiality of business information . 43
6.8.4 Privacy of personal information. 43
6.8.5 Intellectual property rights . 43
6.8.6 Representations and warranties . 43
6.8.7 Disclaimers of warranties . 43
6.8.8 Limitations of liability . 43
6.8.9 Indemnities . 44
6.8.10 Term and termination. 44
6.8.11 Individual notices and communications with participants . 44
6.8.12 Amendments . 44
6.8.13 Dispute resolution procedures. 44
6.8.14 Governing law . 44
6.8.15 Compliance with applicable law . 44
6.8.16 Miscellaneous provisions . 44
6.9 Other provisions . 44
6.9.1 Organizational . 44
6.9.2 Additional testing . 45
6.9.3 Disabilities . 45
6.9.4 Terms and conditions . 45
7 Framework for the definition of other certificate policies . 45
7.1 Certificate policy management . 45
7.2 Additional requirements . 46
Annex A (informative): Model PKI disclosure statement . 47
A.1 Introduction . 47
A.2 The PDS structure . 47
A.3 The PDS format . 48
Annex B (informative): Conformity assessment checklist . 49
Annex C (informative): Change History . 50
Annex D (informative): Bibliography . 51
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5 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
History . 52
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6 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to the present document may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Trademarks
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ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
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not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards EN
Approval Procedure.
The present document is part 1 of a multi-part deliverable covering policy requirements for Trust Service Providers
issuing certificates, as identified below:
Part 1: "General requirements";
Part 2: "Requirements for trust service providers issuing EU qualified certificates".
The present document is derived from the requirements specified in ETSI TS 102 042 [i.6] "Policy requirements for
certification authorities issuing public key certificates" that has been updated as detailed in annex B.
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.
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7 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
Introduction
Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private
networks. An important requirement of electronic commerce is the ability to identify the originator and protect the
confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are
supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA).
For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they
need to have confidence that the TSP has properly established procedures and protective measure in order to minimize
the operational and financial threats and risks associated with public key cryptographic systems.
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.14] and those from CA/Browser Forum, BRG [5].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can base their requirements on those specified in the present document and specify any additional requirements in a
manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from
the use of generally accepted global best practices.
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8 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
1 Scope
The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP)
issuing public key certificates, including trusted web site certificates.
The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle
management of certificates. These policy and security requirements support six reference certificate policies, defined in
clause 5.
A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where
particular requirements apply is defined in clause 7.
The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as
specified in the present document. It does not include requirements for root CAs and intermediate CAs for other
purposes.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
and seals;
• the general requirements of certification authorities issuing TLS/SSL certificates;
• the general requirements of the use of cryptography for authentication and encryption.
The present document does not specify how the requirements identified can be assessed by an independent party,
including requirements for information to be made available to such independent assessors, or requirements on such
assessors.
NOTE: See ETSI EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of
TSP's services.
The present document however provides in annex B, a checklist of the policy requirements specific to TSP issuing
certificates (as expressed in the present document) including the generic requirements which are independent of the type
of service (as expressed in ETSI EN 319 401 [8]).
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [5].
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria
for IT security".
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9 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;
Part 4: Certificate profile for web site certificates".
[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for
cryptographic modules".
[4] CA/Browser Forum (V1.6.1): "Guidelines for The Issuance and Management of Extended
Validation Certificates".
[5] CA/Browser Forum (V1.4.2): "Baseline Requirements Certificate Policy for the Issuance and
Management of Publicly-Trusted Certificates".
[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems
Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks".
[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;
Part 2: Certificate profile for certificates issued to natural persons".
[10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles;
Part 3: Certificate profile for certificates issued to legal persons".
[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -
OCSP".
[12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules".
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures.
[i.2] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.3] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification
Practices Framework".
[i.4] ISO 19005 (parts 1 to 3): "Document management - electronic document file format for long-term
preservation".
[i.5] ETSI EN 319 411-2: "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".
[i.6] ETSI TS 102 042: "Electronic Signatures and Infrastructures (ESI); Policy requirements for
certification authorities issuing public key certificates".
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10 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
[i.7] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
[i.8] ISO/IEC 7498-2/Recommendation ITU-T X.800: "Data communications network - Open systems
interconnection - Security, structure and applications: Security architecture for open systems
interconnection for CCITT applications".
[i.9] CEN TS 419 261: "Security requirements for trustworthy systems managing certificates and time
stamps".
[i.10] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.11] IETF RFC 5246: "The Transport Layer Security Protocol Version 1.2".
[i.12] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists".
[i.13] ETSI TS 101 533-1: "Electronic Signatures and Infrastructures (ESI); Data Preservation Systems
Security; Part 1: Requirements for Implementation and Management".
[i.14] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.15] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing Time-Stamps".
[i.16] CEN TS 419 221-2: "Protection profiles for TSP Cryptographic modules - Part 2: Cryptographic
module for CSP signing operations with backup".
[i.17] CEN TS 419 221-3: "Protection profiles for TSP Cryptographic modules - Part 3: Cryptographic
module for Cryptographic module for CSP key generation services".
[i.18] CEN TS 419 221-4: "Protection profiles for TSP Cryptographic modules - Part 4: Cryptographic
module for CSP signing operations without backup".
[i.19] CEN EN 419 221-5: "Protection profiles for TSP Cryptographic modules - Part 5: Cryptographic
module for trust services".
3 Definitions, abbreviations and notation
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ETSI EN 319 401 [8] and the following
apply:
auditor: person who assesses conformity to requirements as specified in given requirements documents
NOTE: See ETSI EN 319 403 [i.2].
certificate: public key of a user, together with some other information, rendered un-forgeable by encipherment with the
private key of the certification authority which issued it
NOTE 1: The term certificate is used for public key certificate within the present document.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certificate Policy (CP): named set of rules that indicates the applicability of a certificate to a particular community
and/or class of application with common security requirements
NOTE 1: See clause 4.2 for explanation of the relative role of certificate policies and certification practice
statement.
NOTE 2: This is a specific type of trust service policy as specified in ETSI EN 319 401 [8].
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11 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
NOTE 3: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certificate Revocation List (CRL): signed list indicating a set of certificates that have been revoked by the certificate
issuer
NOTE 1: Within the scope of the present document the set of certificates is related to end user certificates.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Authority (CA): authority trusted by one or more users to create and assign certificates
NOTE 1: A CA can be:
1) a trust service provider that creates and assigns public key certificates; or
2) a technical certificate generation service that is used by a certification service provider that creates
and assign public key certificates.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Authority Revocation List (CARL): revocation list containing a list of CA-certificates issued to
certification authorities that have been revoked by the certificate issuer
NOTE: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Practice Statement (CPS): statement of the practices which a Certification Authority employs in issuing
managing, revoking, and renewing or re-keying certificates
NOTE 1: See IETF RFC 3647 [i.3].
NOTE 2: This is a specific type of Trust Service practice statement as specified in ETSI EN 319 401 [8].
Coordinated Universal Time (UTC): As indicated in ETSI EN 319 401 [8].
Cross Certificate: certificate that is used to establish a trust relationship between two certification authorities
digital signature: data appended to, or a cryptographic transformation of a data unit that allows a recipient of the data
unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient
NOTE: See ISO/IEC 7498-2/Recommendation ITU-T X.800 [i.8].
domain name: the label assigned to a node in the Domain Name System
NOTE: See BRG [5].
Domain Validation Certificate (DVC): certificate which has no validated organizational identity information for the
subject, only identifying the subject by its domain name
EV certificate: See Extended Validation certificate.
Extended Validation Certificate (EVC): As indicated in the EVCG [4].
High security zone: specific physical location of the security zone (see ETSI EN 319 401 [8], clause 7.8) where the
Root CA key is held
Individual Validation Certificate (IVC): certificate that includes validated individual identity information for the
subject
Organizational Validation Certificate (OVC): certificate that includes validated organizational identity information
for the subject
Publicly-Trusted Certificate (PTC): certificate that is trusted by virtue of the fact that its corresponding Root
Certificate is distributed as a trust anchor in widely-available application software
Registration Authority (RA): entity that is responsible for identification and authentication of subjects of certificates
mainly
NOTE 1: An RA can assist in the certificate application process or revocation process or both.
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12 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
NOTE 2: See IETF RFC 3647 [i.3].
registration officer: person responsible for verifying information that is necessary for certificate issuance and approval
of certification requests
revocation: permanent termination of the certificate's validity before the expiry date indicated in the certificate
revocation officer: person responsible for operating certificate status changes [i.8]
root CA: certification authority which is at the highest level within TSP's domain and which is used to sign subordinate
CA(s)
NOTE 1: A Root CA certificate is generally self-signed but the Root-CA can also be certified by a (Root)CA from
another domain (e.g. cross-certification, Root-Signed in the context of a root-signing program, etc.).
NOTE 2: A Root CA can be used as the Trust Anchor for many applications (e.g. browsers) but nothing prevents
the TSP to present subordinate CAs for this purpose, according to the business context.
secure cryptographic device: device which holds the user's private key, protects this key against compromise and
performs signing or decryption functions on behalf of the user
secure zone: area (physical or logical) protected by physical and logical controls that appropriately protect the
confidentiality, integrity, and availability of the systems used by the TSP
subject: entity identified in a certificate as the holder of the private key associated with the public key given in the
certificate
NOTE: Relationship between subscriber and subject is described in clauses 5.4.2 and 6.3.5.
subordinate CA: certification authority whose Certificate is signed by the Root CA, or another Subordinate CA
NOTE: A subordinate CA normally either issues end user certificates or other subordinate CA certificates.
trust anchor: entity that is trusted by a relying party and used for validating certificates in certification paths
NOTE 1: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
NOTE 2: A Trust Anchor can also be a Root CA.
NOTE 3: Examples of trust anchors are as in a trusted List [i.12] or a list of trusted CA certificates distributed by an
application software provider.
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
BRG Baseline Requirements Guidelines
CA Certification Authority
CAB CA/Browser
CAB Forum CA/Browser Forum
CARL Certification Authority Revocation List
CP Certificate Policy
CPS Certification Practice Statement
CRL Certificate Revocation List
CSP Certification Service Provider
NOTE: The more general term Trust Service Provider is used in preference to CSP in the present document
except in relation to external references.
DVC Domain Validation Certificate
DVCP Domain Validation Certificate Policy
EAL Evaluation Assurance Level
EV Extended Validation
EVC Extended Validation Certificate
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13 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
EVCG Extended Validation Certificate Guidelines
EVCP Extended Validation Certificate Policy
IVC Individual Validation Certificate
IVCP Individual Validation Certificate Policy
LCP Lightweight Certificate Policy
NCP Normalized Certificate Policy
NCP+ Extended Normalized Certificate Policy
OCSP Online Certificate Status Protocol
OID Object IDentifier
OVC Organizational Validation Certificate
OVCP Organizational Validation Certificate Policy
PDS PKI Disclosure Statement
PIN Personal Identification Number
PKI Public Key Infrastructure
PTC Publicly-Trusted Certificate
NOTE: Within the context of the present document PTC is used synonymously with EVC, DVC, IVC and OVC
as per CAB Forum documents [4] and [5].
RA Registration Authority
SSL Secure Socket Layer
TLS Transport Layer Security
TLS/SSL Transport Layer Security/Secure Socket Layer protocol
NOTE: IETF RFC 5246 [i.11] or earlier equivalent Secure Socket Layer protocol.
TSP Trust Service Provider
UTC Coordinated Universal Time
3.3 Notation
The requirements identified in the present document include:
a) requirements applicable to any CP. Such requirements are indicated by clauses without any additional
marking;
b) requirements applicable under certain conditions. Such requirements are indicated by clauses marked by
"[CONDITIONAL]";
c) requirements that include several choices which ought to be selected according to the applicable situation.
Such requirements are indicated by clauses marked by "[CHOICE]";
d) requirements applicable to the services offered under the applicable CP. Such requirements are indicated by
clauses marked by the applicable CP as follows:
i) "[LCP]", "[NCP]", "[NCP+]", "[EVCP]", "[OVCP]", "[IVCP]" and "[DVCP]";
ii) [PTC] is used to denote requirements applicable to EVCP, OVCP, IVCP and DVCP for CAB Forum
requirements.
Each requirement is identified as follows:
<3 letters service component> - < the clause number> - <2 digit number - incremental>.
The service components are:
• OVR: General requirement (requirement applicable to more than 1 component)
• GEN: Certificate Generation Services
• REG: Registration Services
• REV: Revocation Services
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14 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
• DIS: Dissemination Services
• SDP: Subject Device Provisioning
• CSS: Certificate Status Service
The management of the requirement identifiers for subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish new requirements.
• The requirement identifier for deleted requirements are left and completed with "VOID".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
4 General concepts
4.1 General policy requirements concepts
See ETSI EN 319 401 [8], clause 4 and IETF RFC 3647 [i.3], clauses 3.1 and 3.4 for guidance.
4.2 Certificate policy and certification practice statement
4.2.1 Overview
The present document serves as a basis for the TSP to develop, implement, enforce, and update:
• a CPS that describes the practices and procedures used to address all the requirements identified for the
applicable TSP's policy;
• a CP document that includes all rules valid for a given CP as specified in clause 5 or clause 7.
NOTE 1: The CP document contains additional information which is out of scope of the present document (e.g. the
description of the certificate profile).
NOTE 2: The CP generally refers to the CPS to indicate how the TSP implements the policy requirements for the
selected CP.
This clause explains the relative roles of CP and CPS. It places no restriction on the form of a CP or CPS specification.
CPS is a form of TSP's Statement as specified in ETSI EN 319 401 [8], clause 6.1 applicable to CAs issuing certificates.
NOTE 3: Subscribers and relying parties can consult the CP and CPS of the issuing TSP to obtain details of the
requirements addressed by its CP and how the CP is implemented by the particular TSP.
4.2.2 Purpose
In general, the purpose of the CP, referenced by a policy identifier in a certificate, states "what is to be adhered to",
while a CPS states "how it is adhered to", i.e. the processes it will use in creating and maintaining the certificate.
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15 Draft ETSI EN 319 411-1 V1.2.0 (2017-08)
4.2.3 Level of specificity
A CP is a higher level document than a CPS; it can apply to a communi
...
Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
2 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
Reference
REN/ESI-0019411-1v121
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security, trust
services
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3 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
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 . 8
3 Definitions, abbreviations and notation . 9
3.1 Definitions . 9
3.2 Abbreviations . 11
3.3 Notation . 12
4 General concepts . 13
4.1 General policy requirements concepts . 13
4.2 Certificate policy and certification practice statement . 13
4.2.1 Overview . 13
4.2.2 Purpose . 14
4.2.3 Level of specificity . 14
4.2.4 Approach . 14
4.2.5 Certificate Policy . 14
4.3 Other Trust Service Providers statements . 15
4.4 Certification services . 15
5 General provisions on Certification Practice Statement and Certificate Policies. 16
5.1 General requirements . 16
5.2 Certification Practice Statement requirements . 17
5.3 Certificate Policy name and identification . 17
5.4 PKI participants . 18
5.4.1 Certification Authority . 18
5.4.2 Subscriber and subject . 18
5.4.3 Others . 19
5.5 Certificate usage . 19
6 Trust Service Providers practice . 19
6.1 Publication and repository responsibilities . 19
6.2 Identification and authentication . 20
6.2.1 Naming . 20
6.2.2 Initial identity validation . 20
6.2.3 Identification and authentication for Re-key requests . 23
6.2.4 Identification and authentication for revocation requests . 24
6.3 Certificate Life-Cycle operational requirements . 25
6.3.1 Certificate application . 25
6.3.2 Certificate application processing . 25
6.3.3 Certificate issuance . 25
6.3.4 Certificate acceptance . 27
6.3.5 Key pair and certificate usage . 28
6.3.6 Certificate renewal . 29
6.3.7 Certificate Re-key . 30
6.3.8 Certificate modification . 30
6.3.9 Certificate revocation and suspension. 30
6.3.10 Certificate status services . 31
6.3.11 End of subscription . 32
6.3.12 Key escrow and recovery . 32
6.4 Facility, management, and operational controls . 33
6.4.1 General . 33
6.4.2 Physical security controls . 33
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4 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
6.4.3 Procedural controls . 33
6.4.4 Personnel controls . 34
6.4.5 Audit logging procedures . 34
6.4.6 Records archival . 34
6.4.7 Key changeover . 35
6.4.8 Compromise and disaster recovery . 35
6.4.9 Certification Authority or Registration Authority termination . 36
6.5 Technical security controls . 36
6.5.1 Key pair generation and installation . 36
6.5.2 Private key protection and cryptographic module engineering controls . 38
6.5.3 Other aspects of key pair management . 39
6.5.4 Activation data . 39
6.5.5 Computer security controls . 40
6.5.6 Life cycle security controls . 40
6.5.7 Network security controls . 40
6.5.8 Timestamping . 40
6.6 Certificate, CRL, and OCSP profiles. 41
6.6.1 Certificate profile . 41
6.6.2 CRL profile . 41
6.6.3 OCSP profile . 41
6.7 Compliance audit and other assessment . 41
6.8 Other business and legal matters . 42
6.8.1 Fees . 42
6.8.2 Financial responsibility . 42
6.8.3 Confidentiality of business information . 42
6.8.4 Privacy of personal information. 42
6.8.5 Intellectual property rights . 42
6.8.6 Representations and warranties . 42
6.8.7 Disclaimers of warranties . 42
6.8.8 Limitations of liability . 43
6.8.9 Indemnities . 43
6.8.10 Term and termination. 43
6.8.11 Individual notices and communications with participants . 43
6.8.12 Amendments . 43
6.8.13 Dispute resolution procedures. 43
6.8.14 Governing law . 43
6.8.15 Compliance with applicable law . 43
6.8.16 Miscellaneous provisions . 43
6.9 Other provisions . 43
6.9.1 Organizational . 43
6.9.2 Additional testing . 44
6.9.3 Disabilities . 44
6.9.4 Terms and conditions . 44
7 Framework for the definition of other certificate policies . 45
7.1 Certificate policy management . 45
7.2 Additional requirements . 45
Annex A (informative): Model PKI disclosure statement . 46
A.1 Introduction . 46
A.2 The PDS structure . 46
A.3 The PDS format . 47
Annex B (informative): Conformity assessment checklist . 48
Annex C (informative): Bibliography . 49
Annex D (informative): Change History . 50
History . 52
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5 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This final draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI), and is now submitted for the Vote phase of the ETSI standards EN Approval Procedure.
The present document is part 1 of a multi-part deliverable covering policy requirements for Trust Service Providers
issuing certificates, as identified below:
Part 1: "General requirements";
Part 2: "Requirements for trust service providers issuing EU qualified certificates";
Part 4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2".
NOTE: Part 3 of this multi-part deliverable has been withdrawn.
The present document is derived from the requirements specified in ETSI TS 102 042 [i.6] "Policy requirements for
certification authorities issuing public key certificates" that has been updated as detailed in annex B.
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.
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6 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
Introduction
Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private
networks. An important requirement of electronic commerce is the ability to identify the originator and protect the
confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are
supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA).
For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they
need to have confidence that the TSP has properly established procedures and protective measure in order to minimize
the operational and financial threats and risks associated with public key cryptographic systems.
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.14] and those from CA/Browser Forum, BRG [5].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can base their requirements on those specified in the present document and specify any additional requirements in a
manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from
the use of generally accepted global best practices.
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7 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
1 Scope
The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP)
issuing public key certificates, including trusted web site certificates.
The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle
management of certificates. These policy and security requirements support six reference certificate policies, defined in
clause 5.
A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where
particular requirements apply is defined in clause 7.
The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as
specified in the present document. It does not include requirements for root CAs and intermediate CAs for other
purposes.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
for electronic signatures and seals;
• the general requirements of certification authorities issuing TLS/SSL certificates;
• the general requirements of the use of cryptography for authentication and encryption.
The present document does not specify how the requirements identified can be assessed by an independent party,
including requirements for information to be made available to such independent assessors, or requirements on such
assessors.
NOTE: See ETSI EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of
TSP's services.
The present document however provides in annex B, a checklist of the policy requirements specific to TSP issuing
certificates (as expressed in the present document) including the generic requirements which are independent of the type
of service (as expressed in ETSI EN 319 401 [8]).
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [5].
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria
for IT security".
[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:
Certificate profile for web site certificates".
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8 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for
cryptographic modules".
[4] CA/Browser Forum (V1.6.1): "Guidelines for The Issuance and Management of Extended
Validation Certificates".
[5] CA/Browser Forum (V1.4.2): "Baseline Requirements Certificate Policy for the Issuance and
Management of Publicly-Trusted Certificates".
[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems
Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks".
[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:
Certificate profile for certificates issued to natural persons".
[10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:
Certificate profile for certificates issued to legal persons".
[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -
OCSP".
[12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules".
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures.
[i.2] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.3] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification
Practices Framework".
[i.4] ISO 19005 (parts 1 to 3): "Document management - electronic document file format for long-term
preservation".
[i.5] ETSI EN 319 411-2: "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".
[i.6] ETSI TS 102 042: "Electronic Signatures and Infrastructures (ESI); Policy requirements for
certification authorities issuing public key certificates".
[i.7] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
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9 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
[i.8] ISO/IEC 7498-2/Recommendation ITU-T X.800: "Data communications network - Open systems
interconnection - Security, structure and applications: Security architecture for open systems
interconnection for CCITT applications".
[i.9] CEN TS 419 261: "Security requirements for trustworthy systems managing certificates and time
stamps".
[i.10] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.11] IETF RFC 5246: "The Transport Layer Security Protocol Version 1.2".
[i.12] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists".
[i.13] ETSI TS 101 533-1: "Electronic Signatures and Infrastructures (ESI); Data Preservation Systems
Security; Part 1: Requirements for Implementation and Management".
[i.14] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.15] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing Time-Stamps".
[i.16] CEN TS 419 221-2: "Protection profiles for TSP Cryptographic modules - Part 2: Cryptographic
module for CSP signing operations with backup".
[i.17] CEN TS 419 221-3: "Protection profiles for TSP Cryptographic modules - Part 3: Cryptographic
module for Cryptographic module for CSP key generation services".
[i.18] CEN TS 419 221-4: "Protection profiles for TSP Cryptographic modules - Part 4: Cryptographic
module for CSP signing operations without backup".
[i.19] CEN EN 419 221-5: "Protection profiles for TSP Cryptographic modules - Part 5: Cryptographic
module for trust services".
[i.20] ETSI TR 119 411-4: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 4: Checklist supporting audit of
TSP against EN 319 411-1 or EN 319 411-2".
3 Definitions, abbreviations and notation
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ETSI EN 319 401 [8] and the following
apply:
auditor: person who assesses conformity to requirements as specified in given requirements documents
NOTE: See ETSI EN 319 403 [i.2].
certificate: public key of a user, together with some other information, rendered un-forgeable by encipherment with the
private key of the certification authority which issued it
NOTE 1: The term certificate is used for public key certificate within the present document.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
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10 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
Certificate Policy (CP): named set of rules that indicates the applicability of a certificate to a particular community
and/or class of application with common security requirements
NOTE 1: See clause 4.2 for explanation of the relative role of certificate policies and certification practice
statement.
NOTE 2: This is a specific type of trust service policy as specified in ETSI EN 319 401 [8].
NOTE 3: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certificate Revocation List (CRL): signed list indicating a set of certificates that have been revoked by the certificate
issuer
NOTE 1: Within the scope of the present document the set of certificates is related to end user certificates.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Authority (CA): authority trusted by one or more users to create and assign certificates
NOTE 1: A CA can be:
1) a trust service provider that creates and assigns public key certificates; or
2) a technical certificate generation service that is used by a certification service provider that creates
and assign public key certificates.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Authority Revocation List (CARL): revocation list containing a list of CA-certificates issued to
certification authorities that have been revoked by the certificate issuer
NOTE: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Practice Statement (CPS): statement of the practices which a Certification Authority employs in issuing
managing, revoking, and renewing or re-keying certificates
NOTE 1: See IETF RFC 3647 [i.3].
NOTE 2: This is a specific type of Trust Service practice statement as specified in ETSI EN 319 401 [8].
Coordinated Universal Time (UTC): As indicated in ETSI EN 319 401 [8].
cross certificate: certificate that is used to establish a trust relationship between two certification authorities
digital signature: data appended to, or a cryptographic transformation of a data unit that allows a recipient of the data
unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient
NOTE: See ISO/IEC 7498-2/Recommendation ITU-T X.800 [i.8].
domain name: the label assigned to a node in the Domain Name System
NOTE: See BRG [5].
Domain Validation Certificate (DVC): certificate which has no validated organizational identity information for the
subject, only identifying the subject by its domain name
EV certificate: See Extended Validation certificate.
Extended Validation Certificate (EVC): As indicated in the EVCG [4].
High security zone: specific physical location of the security zone (see ETSI EN 319 401 [8], clause 7.8) where the
Root CA key is held
Individual Validation Certificate (IVC): certificate that includes validated individual identity information for the
subject
Organizational Validation Certificate (OVC): certificate that includes validated organizational identity information
for the subject
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11 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
Publicly-Trusted Certificate (PTC): certificate that is trusted by virtue of the fact that its corresponding Root
Certificate is distributed as a trust anchor in widely-available application software
Registration Authority (RA): entity that is responsible for identification and authentication of subjects of certificates
mainly
NOTE 1: An RA can assist in the certificate application process or revocation process or both.
NOTE 2: See IETF RFC 3647 [i.3].
registration officer: person responsible for verifying information that is necessary for certificate issuance and approval
of certification requests
revocation: permanent termination of the certificate's validity before the expiry date indicated in the certificate
revocation officer: person responsible for operating certificate status changes [i.8]
root CA: certification authority which is at the highest level within TSP's domain and which is used to sign subordinate
CA(s)
NOTE 1: A Root CA certificate is generally self-signed but the Root-CA can also be certified by a (Root)CA from
another domain (e.g. cross-certification, Root-Signed in the context of a root-signing program, etc.).
NOTE 2: A Root CA can be used as the Trust Anchor for many applications (e.g. browsers) but nothing prevents
the TSP to present subordinate CAs for this purpose, according to the business context.
secure cryptographic device: device which holds the user's private key, protects this key against compromise and
performs signing or decryption functions on behalf of the user
secure zone: area (physical or logical) protected by physical and logical controls that appropriately protect the
confidentiality, integrity, and availability of the systems used by the TSP
subject: entity identified in a certificate as the holder of the private key associated with the public key given in the
certificate
NOTE: Relationship between subscriber and subject is described in clauses 5.4.2 and 6.3.5.
subordinate CA: certification authority whose Certificate is signed by the Root CA, or another Subordinate CA
NOTE: A subordinate CA normally either issues end user certificates or other subordinate CA certificates.
trust anchor: entity that is trusted by a relying party and used for validating certificates in certification paths
NOTE 1: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
NOTE 2: A Trust Anchor can also be a Root CA.
NOTE 3: Examples of trust anchors are as in a trusted list (ETSI TS 119 612 [i.12]) or a list of trusted CA
certificates distributed by an application software provider.
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
BRG Baseline Requirements Guidelines
CA Certification Authority
CAB Forum CA/Browser Forum
CAB CA/Browser
CARL Certification Authority Revocation List
CP Certificate Policy
CPS Certification Practice Statement
CRL Certificate Revocation List
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12 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
CSP Certification Service Provider
NOTE: The more general term Trust Service Provider is used in preference to CSP in the present document
except in relation to external references.
DVC Domain Validation Certificate
DVCP Domain Validation Certificate Policy
EAL Evaluation Assurance Level
EV Extended Validation
EVC Extended Validation Certificate
EVCG Extended Validation Certificate Guidelines
EVCP Extended Validation Certificate Policy
IVC Individual Validation Certificate
IVCP Individual Validation Certificate Policy
LCP Lightweight Certificate Policy
NCP Normalized Certificate Policy
NCP+ Extended Normalized Certificate Policy
OCSP Online Certificate Status Protocol
OID Object IDentifier
OVC Organizational Validation Certificate
OVCP Organizational Validation Certificate Policy
PDS PKI Disclosure Statement
PIN Personal Identification Number
PKI Public Key Infrastructure
PTC Publicly-Trusted Certificate
NOTE: Within the context of the present document PTC is used synonymously with EVC, DVC, IVC and OVC
as per CAB Forum documents [4] and [5].
RA Registration Authority
SSL Secure Socket Layer
TLS Transport Layer Security
TLS/SSL Transport Layer Security/Secure Socket Layer protocol
NOTE: IETF RFC 5246 [i.11] or earlier equivalent Secure Socket Layer protocol.
TSP Trust Service Provider
UTC Coordinated Universal Time
3.3 Notation
The requirements identified in the present document include:
a) requirements applicable to any CP. Such requirements are indicated by clauses without any additional
marking;
b) requirements applicable under certain conditions. Such requirements are indicated by clauses marked by
"[CONDITIONAL]";
c) requirements that include several choices which ought to be selected according to the applicable situation.
Such requirements are indicated by clauses marked by "[CHOICE]";
d) requirements applicable to the services offered under the applicable CP. Such requirements are indicated by
clauses marked by the applicable CP as follows:
i) "[LCP]", "[NCP]", "[NCP+]", "[EVCP]", "[OVCP]", "[IVCP]" and "[DVCP]";
ii) [PTC] is used to denote requirements applicable to EVCP, OVCP, IVCP and DVCP for CAB Forum
requirements.
Each requirement is identified as follows:
<3 letters service component> - < the clause number> - <2 digit number - incremental>.
ETSI
13 Final draft ETSI EN 319 411-1 V1.2.1 (2018-02)
The service components are:
• OVR: General requirement (requirement applicable to more than 1 component)
• GEN: Certificate Generation Services
• REG: Registration Services
• REV: Revocation Services
• DIS: Dissemination Services
• SDP: Subject Device Provisioning
• CSS: Certificate Status Service
The management of the requirement identifiers for subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish new requirements.
• The requirement identifier for deleted requirements are left and completed with "VOID".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
4 General concepts
4.1 General policy requirements concepts
See ETSI EN 319 401 [8], clause 4 and IETF RFC 3647 [i.3], clauses 3.1 and 3.4 for guidance.
4.2 Certificate policy and certification practice statement
4.2.1 Overview
The present document serves as a basis for the TSP to develop, implement, enforce, and update:
• a CPS that describes the practices and procedures used to address all the requirements identified for the
applicable TSP's policy;
• a CP document that includes all rules valid for a given CP as specified in clause 5 or clause 7.
NOTE 1: The CP document contains additional information which is out of scope of the present document (e.g. the
description of the certificate profile).
NOTE 2: The CP generally refers to the CPS to indicate how the TSP implements the policy requirements for the
selected CP.
This clause explains the relative roles of CP and CPS. It places no restriction on the form of a CP or CPS specification.
CPS is a form of TSP's Statement as specified in ETSI EN 319 401 [8], clause 6.1 applicable to CAs issuing certificates.
NOTE 3: Subscribers and relying parties can consult the CP and CPS of the issuing TSP to obtain details of the
requirements addressed by its CP and how the CP is implemented by the particular TSP.
ETSI
...
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements
2 ETSI EN 319 411-1 V1.2.2 (2018-04)
Reference
REN/ESI-0019411-1v121
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security, trust
services
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ETSI
3 ETSI EN 319 411-1 V1.2.2 (2018-04)
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 . 8
3 Definitions, abbreviations and notation . 9
3.1 Definitions . 9
3.2 Abbreviations . 11
3.3 Notation . 12
4 General concepts . 13
4.1 General policy requirements concepts . 13
4.2 Certificate policy and certification practice statement . 13
4.2.1 Overview . 13
4.2.2 Purpose . 13
4.2.3 Level of specificity . 14
4.2.4 Approach . 14
4.2.5 Certificate Policy . 14
4.3 Other Trust Service Providers statements . 15
4.4 Certification services . 15
5 General provisions on Certification Practice Statement and Certificate Policies. 16
5.1 General requirements . 16
5.2 Certification Practice Statement requirements . 17
5.3 Certificate Policy name and identification . 17
5.4 PKI participants . 18
5.4.1 Certification Authority . 18
5.4.2 Subscriber and subject . 18
5.4.3 Others . 19
5.5 Certificate usage . 19
6 Trust Service Providers practice . 19
6.1 Publication and repository responsibilities . 19
6.2 Identification and authentication . 20
6.2.1 Naming . 20
6.2.2 Initial identity validation . 20
6.2.3 Identification and authentication for Re-key requests . 23
6.2.4 Identification and authentication for revocation requests . 24
6.3 Certificate Life-Cycle operational requirements . 25
6.3.1 Certificate application . 25
6.3.2 Certificate application processing . 25
6.3.3 Certificate issuance . 25
6.3.4 Certificate acceptance . 27
6.3.5 Key pair and certificate usage . 28
6.3.6 Certificate renewal . 29
6.3.7 Certificate Re-key . 30
6.3.8 Certificate modification . 30
6.3.9 Certificate revocation and suspension. 30
6.3.10 Certificate status services . 31
6.3.11 End of subscription . 32
6.3.12 Key escrow and recovery . 32
6.4 Facility, management, and operational controls . 33
6.4.1 General . 33
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4 ETSI EN 319 411-1 V1.2.2 (2018-04)
6.4.2 Physical security controls . 33
6.4.3 Procedural controls . 33
6.4.4 Personnel controls . 34
6.4.5 Audit logging procedures . 34
6.4.6 Records archival . 34
6.4.7 Key changeover . 35
6.4.8 Compromise and disaster recovery . 35
6.4.9 Certification Authority or Registration Authority termination . 36
6.5 Technical security controls . 36
6.5.1 Key pair generation and installation . 36
6.5.2 Private key protection and cryptographic module engineering controls . 38
6.5.3 Other aspects of key pair management . 39
6.5.4 Activation data . 39
6.5.5 Computer security controls . 40
6.5.6 Life cycle security controls . 40
6.5.7 Network security controls . 40
6.5.8 Timestamping . 40
6.6 Certificate, CRL, and OCSP profiles. 41
6.6.1 Certificate profile . 41
6.6.2 CRL profile . 41
6.6.3 OCSP profile . 41
6.7 Compliance audit and other assessment . 41
6.8 Other business and legal matters . 42
6.8.1 Fees . 42
6.8.2 Financial responsibility . 42
6.8.3 Confidentiality of business information . 42
6.8.4 Privacy of personal information. 42
6.8.5 Intellectual property rights . 42
6.8.6 Representations and warranties . 42
6.8.7 Disclaimers of warranties . 42
6.8.8 Limitations of liability . 43
6.8.9 Indemnities . 43
6.8.10 Term and termination. 43
6.8.11 Individual notices and communications with participants . 43
6.8.12 Amendments . 43
6.8.13 Dispute resolution procedures. 43
6.8.14 Governing law . 43
6.8.15 Compliance with applicable law . 43
6.8.16 Miscellaneous provisions . 43
6.9 Other provisions . 43
6.9.1 Organizational . 43
6.9.2 Additional testing . 44
6.9.3 Disabilities . 44
6.9.4 Terms and conditions . 44
7 Framework for the definition of other certificate policies . 45
7.1 Certificate policy management . 45
7.2 Additional requirements . 45
Annex A (informative): Model PKI disclosure statement . 46
A.1 Introduction . 46
A.2 The PDS structure . 46
A.3 The PDS format . 47
Annex B (informative): Conformity assessment checklist . 48
Annex C (informative): Bibliography . 49
Annex D (informative): Change history . 50
History . 52
ETSI
5 ETSI EN 319 411-1 V1.2.2 (2018-04)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
The present document is part 1 of a multi-part deliverable covering policy requirements for Trust Service Providers
issuing certificates, as identified below:
Part 1: "General requirements";
Part 2: "Requirements for trust service providers issuing EU qualified certificates";
Part 4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2".
NOTE: Part 3 of this multi-part deliverable has been withdrawn.
The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].
National transposition dates
Date of adoption of this EN: 23 April 2018
Date of latest announcement of this EN (doa): 31 July 2018
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 January 2019
Date of withdrawal of any conflicting National Standard (dow): 31 January 2019
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
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6 ETSI EN 319 411-1 V1.2.2 (2018-04)
Introduction
Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private
networks. An important requirement of electronic commerce is the ability to identify the originator and protect the
confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are
supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA).
For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they
need to have confidence that the TSP has properly established procedures and protective measure in order to minimize
the operational and financial threats and risks associated with public key cryptographic systems.
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.14] and those from CA/Browser Forum, BRG [5].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can base their requirements on those specified in the present document and specify any additional requirements in a
manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from
the use of generally accepted global best practices.
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7 ETSI EN 319 411-1 V1.2.2 (2018-04)
1 Scope
The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP)
issuing public key certificates, including trusted web site certificates.
The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle
management of certificates. These policy and security requirements support several reference certificate policies,
defined in clauses 4 and 5.
A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where
particular requirements apply is defined in clause 7.
The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as
specified in the present document. It does not include requirements for root CAs and intermediate CAs for other
purposes.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
for electronic signatures and seals;
• the general requirements of certification authorities issuing TLS/SSL certificates;
• the general requirements of the use of cryptography for authentication and encryption.
The present document does not specify how the requirements identified can be assessed by an independent party,
including requirements for information to be made available to such independent assessors, or requirements on such
assessors.
NOTE: See ETSI EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of
TSP's services.
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [5].
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria
for IT security".
[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:
Certificate profile for web site certificates".
[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for
cryptographic modules".
ETSI
8 ETSI EN 319 411-1 V1.2.2 (2018-04)
[4] CA/Browser Forum (V1.6.1): "Guidelines for The Issuance and Management of Extended
Validation Certificates".
[5] CA/Browser Forum (V1.4.2): "Baseline Requirements Certificate Policy for the Issuance and
Management of Publicly-Trusted Certificates".
[6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems
Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks".
[7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:
Certificate profile for certificates issued to natural persons".
[10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:
Certificate profile for certificates issued to legal persons".
[11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol -
OCSP".
[12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules".
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
Community framework for electronic signatures.
[i.2] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.3] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification
Practices Framework".
[i.4] ISO 19005 (parts 1 to 3): "Document management - electronic document file format for long-term
preservation".
[i.5] ETSI EN 319 411-2: "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".
[i.6] ETSI TS 102 042: "Electronic Signatures and Infrastructures (ESI); Policy requirements for
certification authorities issuing public key certificates".
[i.7] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
[i.8] ISO/IEC 7498-2/Recommendation ITU-T X.800: "Data communications network - Open systems
interconnection - Security, structure and applications: Security architecture for open systems
interconnection for CCITT applications".
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9 ETSI EN 319 411-1 V1.2.2 (2018-04)
[i.9] CEN TS 419 261: "Security requirements for trustworthy systems managing certificates and time
stamps".
[i.10] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.11] IETF RFC 5246: "The Transport Layer Security Protocol Version 1.2".
[i.12] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists".
[i.13] ETSI TS 101 533-1: "Electronic Signatures and Infrastructures (ESI); Data Preservation Systems
Security; Part 1: Requirements for Implementation and Management".
[i.14] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.15] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing Time-Stamps".
[i.16] CEN TS 419 221-2: "Protection profiles for TSP Cryptographic modules - Part 2: Cryptographic
module for CSP signing operations with backup".
[i.17] CEN TS 419 221-3: "Protection profiles for TSP Cryptographic modules - Part 3: Cryptographic
module for Cryptographic module for CSP key generation services".
[i.18] CEN TS 419 221-4: "Protection profiles for TSP Cryptographic modules - Part 4: Cryptographic
module for CSP signing operations without backup".
[i.19] CEN EN 419 221-5: "Protection profiles for TSP Cryptographic modules - Part 5: Cryptographic
module for trust services".
[i.20] ETSI TR 119 411-4: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 4: Checklist supporting audit of
TSP against EN 319 411-1 or EN 319 411-2".
3 Definitions, abbreviations and notation
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ETSI EN 319 401 [8] and the following
apply:
auditor: person who assesses conformity to requirements as specified in given requirements documents
NOTE: See ETSI EN 319 403 [i.2].
certificate: public key of a user, together with some other information, rendered un-forgeable by encipherment with the
private key of the certification authority which issued it
NOTE 1: The term certificate is used for public key certificate within the present document.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certificate Policy (CP): named set of rules that indicates the applicability of a certificate to a particular community
and/or class of application with common security requirements
NOTE 1: See clause 4.2 for explanation of the relative role of certificate policies and certification practice
statement.
NOTE 2: This is a specific type of trust service policy as specified in ETSI EN 319 401 [8].
NOTE 3: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
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10 ETSI EN 319 411-1 V1.2.2 (2018-04)
Certificate Revocation List (CRL): signed list indicating a set of certificates that have been revoked by the certificate
issuer
NOTE 1: Within the scope of the present document the set of certificates is related to end user certificates.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Authority (CA): authority trusted by one or more users to create and assign certificates
NOTE 1: A CA can be:
1) a trust service provider that creates and assigns public key certificates; or
2) a technical certificate generation service that is used by a certification service provider that creates
and assign public key certificates.
NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Authority Revocation List (CARL): revocation list containing a list of CA-certificates issued to
certification authorities that have been revoked by the certificate issuer
NOTE: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
Certification Practice Statement (CPS): statement of the practices which a Certification Authority employs in issuing
managing, revoking, and renewing or re-keying certificates
NOTE 1: See IETF RFC 3647 [i.3].
NOTE 2: This is a specific type of Trust Service practice statement as specified in ETSI EN 319 401 [8].
Coordinated Universal Time (UTC): As indicated in ETSI EN 319 401 [8].
cross certificate: certificate that is used to establish a trust relationship between two certification authorities
digital signature: data appended to, or a cryptographic transformation of a data unit that allows a recipient of the data
unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient
NOTE: See ISO/IEC 7498-2/Recommendation ITU-T X.800 [i.8].
domain name: the label assigned to a node in the Domain Name System
NOTE: See BRG [5].
Domain Validation Certificate (DVC): certificate which has no validated organizational identity information for the
subject, only identifying the subject by its domain name
EV certificate: See Extended Validation certificate.
Extended Validation Certificate (EVC): As indicated in the EVCG [4].
High security zone: specific physical location of the security zone (see ETSI EN 319 401 [8], clause 7.8) where the
Root CA key is held
Individual Validation Certificate (IVC): certificate that includes validated individual identity information for the
subject
Organizational Validation Certificate (OVC): certificate that includes validated organizational identity information
for the subject
Publicly-Trusted Certificate (PTC): certificate that is trusted by virtue of the fact that its corresponding Root
Certificate is distributed as a trust anchor in widely-available application software
Registration Authority (RA): entity that is responsible for identification and authentication of subjects of certificates
mainly
NOTE 1: An RA can assist in the certificate application process or revocation process or both.
NOTE 2: See IETF RFC 3647 [i.3].
ETSI
11 ETSI EN 319 411-1 V1.2.2 (2018-04)
registration officer: person responsible for verifying information that is necessary for certificate issuance and approval
of certification requests
revocation: permanent termination of the certificate's validity before the expiry date indicated in the certificate
revocation officer: person responsible for operating certificate status changes [i.8]
root CA: certification authority which is at the highest level within TSP's domain and which is used to sign subordinate
CA(s)
NOTE 1: A Root CA certificate is generally self-signed but the Root-CA can also be certified by a (Root)CA from
another domain (e.g. cross-certification, Root-Signed in the context of a root-signing program, etc.).
NOTE 2: A Root CA can be used as the Trust Anchor for many applications (e.g. browsers) but nothing prevents
the TSP to present subordinate CAs for this purpose, according to the business context.
secure cryptographic device: device which holds the user's private key, protects this key against compromise and
performs signing or decryption functions on behalf of the user
secure zone: area (physical or logical) protected by physical and logical controls that appropriately protect the
confidentiality, integrity, and availability of the systems used by the TSP
subject: entity identified in a certificate as the holder of the private key associated with the public key given in the
certificate
NOTE: Relationship between subscriber and subject is described in clauses 5.4.2 and 6.3.5.
subordinate CA: certification authority whose Certificate is signed by the Root CA, or another Subordinate CA
NOTE: A subordinate CA normally either issues end user certificates or other subordinate CA certificates.
trust anchor: entity that is trusted by a relying party and used for validating certificates in certification paths
NOTE 1: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6].
NOTE 2: A Trust Anchor can also be a Root CA.
NOTE 3: Examples of trust anchors are as in a trusted list (ETSI TS 119 612 [i.12]) or a list of trusted CA
certificates distributed by an application software provider.
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
BRG Baseline Requirements Guidelines
CA Certification Authority
CAB CA/Browser
CAB Forum CA/Browser Forum
CARL Certification Authority Revocation List
CP Certificate Policy
CPS Certification Practice Statement
CRL Certificate Revocation List
CSP Certification Service Provider
NOTE: The more general term Trust Service Provider is used in preference to CSP in the present document
except in relation to external references.
DVC Domain Validation Certificate
DVCP Domain Validation Certificate Policy
EAL Evaluation Assurance Level
EV Extended Validation
EVC Extended Validation Certificate
EVCG Extended Validation Certificate Guidelines
EVCP Extended Validation Certificate Policy
IVC Individual Validation Certificate
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12 ETSI EN 319 411-1 V1.2.2 (2018-04)
IVCP Individual Validation Certificate Policy
LCP Lightweight Certificate Policy
NCP Normalized Certificate Policy
NCP+ Extended Normalized Certificate Policy
OCSP Online Certificate Status Protocol
OID Object IDentifier
OVC Organizational Validation Certificate
OVCP Organizational Validation Certificate Policy
PDS PKI Disclosure Statement
PIN Personal Identification Number
PKI Public Key Infrastructure
PTC Publicly-Trusted Certificate
NOTE: Within the context of the present document PTC is used synonymously with EVC, DVC, IVC and OVC
as per CAB Forum documents [4] and [5].
RA Registration Authority
SSL Secure Socket Layer
TLS Transport Layer Security
TLS/SSL Transport Layer Security/Secure Socket Layer protocol
NOTE: IETF RFC 5246 [i.11] or earlier equivalent Secure Socket Layer protocol.
TSP Trust Service Provider
UTC Coordinated Universal Time
3.3 Notation
The requirements identified in the present document include:
a) requirements applicable to any CP. Such requirements are indicated by clauses without any additional
marking;
b) requirements applicable under certain conditions. Such requirements are indicated by clauses marked by
"[CONDITIONAL]";
c) requirements that include several choices which ought to be selected according to the applicable situation.
Such requirements are indicated by clauses marked by "[CHOICE]";
d) requirements applicable to the services offered under the applicable CP. Such requirements are indicated by
clauses marked by the applicable CP as follows:
i) "[LCP]", "[NCP]", "[NCP+]", "[EVCP]", "[OVCP]", "[IVCP]" and "[DVCP]";
ii) [PTC] is used to denote requirements applicable to EVCP, OVCP, IVCP and DVCP for CAB Forum
requirements.
Each requirement is identified as follows:
<3 letters service component> - < the clause number> - <2 digit number - incremental>.
The service components are:
• OVR: General requirement (requirement applicable to more than 1 component)
• GEN: Certificate Generation Services
• REG: Registration Services
• REV: Revocation Services
• DIS: Dissemination Services
• SDP: Subject Device Provisioning
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13 ETSI EN 319 411-1 V1.2.2 (2018-04)
• CSS: Certificate Status Service
The management of the requirement identifiers for subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish new requirements.
• The requirement identifier for deleted requirements are left and completed with "VOID".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
4 General concepts
4.1 General policy requirements concepts
See ETSI EN 319 401 [8], clause 4 and IETF RFC 3647 [i.3], clauses 3.1 and 3.4 for guidance.
4.2 Certificate policy and certification practice statement
4.2.1 Overview
The present document serves as a basis for the TSP to develop, implement, enforce, and update:
• a CPS that describes the practices and procedures used to address all the requirements identified for the
applicable TSP's policy;
• a CP document that includes all rules valid for a given CP as specified in clause 5 or clause 7.
NOTE 1: The CP document contains additional information which is out of scope of the present document (e.g. the
description of the certificate profile).
NOTE 2: The CP generally refers to the CPS to indicate how the TSP implements the policy requirements for the
selected CP.
This clause explains the relative roles of CP and CPS. It places no restriction on the form of a CP or CPS specification.
CPS is a form of TSP's Statement as specified in ETSI EN 319 401 [8], clause 6.1 applicable to CAs issuing certificates.
NOTE 3: Subscribers and relying parties can consult the CP and CPS of the issuing TSP to obtain details of the
requirements addressed by its CP and how the CP is implemented by the particular TSP.
4.2.2 Purpose
In general, the purpose of the CP, referenced by a policy identifier in a certificate, states "what is to be adhered to",
while a CPS states "how it is adhered to", i.e. the processes it will use in creating and maintaining the certificate.
ETSI
14 ETSI EN 319 411-1 V1.2.2 (2018-04)
4.2.3 Level of specificity
A CP is a higher level document than a CPS; it can apply to a community to which several CAs belong that abide by the
common set of rules specified in that CP. A CPS defines how one specific TSP meets the technical, organizational and
procedural requirements identified in a CP.
NOTE: Even lower-level documents can be app
...
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 1. del: Splošne zahteveElectronic Signatures and Infrastructures (ESI) - Policy and security requirements for Trust Service Providers issuing certificates - Part 1: General requirements35.040.01Kodiranje informacij na splošnoInformation coding in general35.030Informacijska varnostIT Security03.080.99Druge storitveOther servicesICS:Ta slovenski standard je istoveten z:ETSI EN 319 411-1 V1.2.2 (2018-04)SIST EN 319 411-1 V1.2.2:2018en01-junij-2018SIST EN 319 411-1 V1.2.2:2018SLOVENSKI
STANDARD
EUROPEAN STANDARD SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 2
Reference REN/ESI-0019411-1v121 Keywords e-commerce, electronic signature, extended validation certificate, public key, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE
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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 only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat. 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 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 2018. All rights reserved.
DECTTM, PLUGTESTSTM, UMTSTM and the ETSI logo are trademarks of ETSI registered for the benefit of its Members. 3GPPTM and LTETM are trademarks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. oneM2M logo is protected for the benefit of its Members. GSM® and the GSM logo are trademarks registered and owned by the GSM Association. SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 3 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 . 8 3 Definitions, abbreviations and notation . 9 3.1 Definitions . 9 3.2 Abbreviations . 11 3.3 Notation . 12 4 General concepts . 13 4.1 General policy requirements concepts . 13 4.2 Certificate policy and certification practice statement . 13 4.2.1 Overview . 13 4.2.2 Purpose . 13 4.2.3 Level of specificity . 14 4.2.4 Approach . 14 4.2.5 Certificate Policy . 14 4.3 Other Trust Service Providers statements . 15 4.4 Certification services . 15 5 General provisions on Certification Practice Statement and Certificate Policies. 16 5.1 General requirements . 16 5.2 Certification Practice Statement requirements . 17 5.3 Certificate Policy name and identification . 17 5.4 PKI participants . 18 5.4.1 Certification Authority . 18 5.4.2 Subscriber and subject . 18 5.4.3 Others . 19 5.5 Certificate usage . 19 6 Trust Service Providers practice . 19 6.1 Publication and repository responsibilities . 19 6.2 Identification and authentication . 20 6.2.1 Naming . 20 6.2.2 Initial identity validation . 20 6.2.3 Identification and authentication for Re-key requests . 23 6.2.4 Identification and authentication for revocation requests . 24 6.3 Certificate Life-Cycle operational requirements . 25 6.3.1 Certificate application . 25 6.3.2 Certificate application processing . 25 6.3.3 Certificate issuance . 25 6.3.4 Certificate acceptance . 27 6.3.5 Key pair and certificate usage . 28 6.3.6 Certificate renewal . 29 6.3.7 Certificate Re-key . 30 6.3.8 Certificate modification . 30 6.3.9 Certificate revocation and suspension. 30 6.3.10 Certificate status services . 31 6.3.11 End of subscription . 32 6.3.12 Key escrow and recovery . 32 6.4 Facility, management, and operational controls . 33 6.4.1 General . 33 SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 4 6.4.2 Physical security controls . 33 6.4.3 Procedural controls . 33 6.4.4 Personnel controls . 34 6.4.5 Audit logging procedures . 34 6.4.6 Records archival . 34 6.4.7 Key changeover . 35 6.4.8 Compromise and disaster recovery . 35 6.4.9 Certification Authority or Registration Authority termination . 36 6.5 Technical security controls . 36 6.5.1 Key pair generation and installation . 36 6.5.2 Private key protection and cryptographic module engineering controls . 38 6.5.3 Other aspects of key pair management . 39 6.5.4 Activation data . 39 6.5.5 Computer security controls . 40 6.5.6 Life cycle security controls . 40 6.5.7 Network security controls . 40 6.5.8 Timestamping . 40 6.6 Certificate, CRL, and OCSP profiles. 41 6.6.1 Certificate profile . 41 6.6.2 CRL profile . 41 6.6.3 OCSP profile . 41 6.7 Compliance audit and other assessment . 41 6.8 Other business and legal matters . 42 6.8.1 Fees . 42 6.8.2 Financial responsibility . 42 6.8.3 Confidentiality of business information . 42 6.8.4 Privacy of personal information. 42 6.8.5 Intellectual property rights . 42 6.8.6 Representations and warranties . 42 6.8.7 Disclaimers of warranties . 42 6.8.8 Limitations of liability . 43 6.8.9 Indemnities . 43 6.8.10 Term and termination. 43 6.8.11 Individual notices and communications with participants . 43 6.8.12 Amendments . 43 6.8.13 Dispute resolution procedures. 43 6.8.14 Governing law . 43 6.8.15 Compliance with applicable law . 43 6.8.16 Miscellaneous provisions . 43 6.9 Other provisions . 43 6.9.1 Organizational . 43 6.9.2 Additional testing . 44 6.9.3 Disabilities . 44 6.9.4 Terms and conditions . 44 7 Framework for the definition of other certificate policies . 45 7.1 Certificate policy management . 45 7.2 Additional requirements . 45 Annex A (informative): Model PKI disclosure statement . 46 A.1 Introduction . 46 A.2 The PDS structure . 46 A.3 The PDS format . 47 Annex B (informative): Conformity assessment checklist . 48 Annex C (informative): Bibliography . 49 Annex D (informative): Change history . 50 History . 52
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 5 Intellectual Property Rights Essential patents IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web server (https://ipr.etsi.org/). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Trademarks The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners. ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). The present document is part 1 of a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates, as identified below: Part 1: "General requirements"; Part 2: "Requirements for trust service providers issuing EU qualified certificates"; Part 4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2". NOTE: Part 3 of this multi-part deliverable has been withdrawn. The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].
National transposition dates Date of adoption of this EN: 23 April 2018 Date of latest announcement of this EN (doa): 31 July 2018 Date of latest publication of new National Standard or endorsement of this EN (dop/e):
31 January 2019 Date of withdrawal of any conflicting National Standard (dow): 31 January 2019
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. SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 6 Introduction Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private networks. An important requirement of electronic commerce is the ability to identify the originator and protect the confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA). For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they need to have confidence that the TSP has properly established procedures and protective measure in order to minimize the operational and financial threats and risks associated with public key cryptographic systems. The present document is aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 [i.14] and those from CA/Browser Forum, BRG [5]. Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU can base their requirements on those specified in the present document and specify any additional requirements in a manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from the use of generally accepted global best practices. SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 7 1 Scope The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP) issuing public key certificates, including trusted web site certificates. The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle management of certificates. These policy and security requirements support several reference certificate policies, defined in clauses 4 and 5. A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where particular requirements apply is defined in clause 7. The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as specified in the present document. It does not include requirements for root CAs and intermediate CAs for other purposes. The present document is applicable to: • the general requirements of certification in support of cryptographic mechanisms, including digital signatures for electronic signatures and seals; • the general requirements of certification authorities issuing TLS/SSL certificates; • the general requirements of the use of cryptography for authentication and encryption. The present document does not specify how the requirements identified can be assessed by an independent party, including requirements for information to be made available to such independent assessors, or requirements on such assessors. NOTE: See ETSI EN 319 403 [i.2] for guidance on assessment of TSP's processes and services. The present document references ETSI EN 319 401 [8] for general policy requirements common to all classes of TSP's services. The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4] and BRG [5]. 2 References 2.1 Normative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are necessary for the application of the present document. [1] ISO/IEC 15408 (parts 1 to 3): "Information technology - Security techniques - Evaluation criteria for IT security". [2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4: Certificate profile for web site certificates". [3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for cryptographic modules". SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 8 [4] CA/Browser Forum (V1.6.1): "Guidelines for The Issuance and Management of Extended Validation Certificates". [5] CA/Browser Forum (V1.4.2): "Baseline Requirements Certificate Policy for the Issuance and Management of Publicly-Trusted Certificates". [6] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks". [7] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile". [8] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers". [9] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2: Certificate profile for certificates issued to natural persons". [10] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3: Certificate profile for certificates issued to legal persons". [11] IETF RFC 6960: "X.509 Internet Public Key - Infrastructure Online Certificate Status Protocol - OCSP". [12] FIPS PUB 140-2 (2001): "Security Requirements for Cryptographic Modules". 2.2 Informative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are not necessary for the application of the present document but they assist the user with regard to a particular subject area. [i.1] Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures. [i.2] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers". [i.3] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification Practices Framework". [i.4] ISO 19005 (parts 1 to 3): "Document management - electronic document file format for long-term preservation". [i.5] ETSI EN 319 411-2: "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". [i.6] ETSI TS 102 042: "Electronic Signatures and Infrastructures (ESI); Policy requirements for certification authorities issuing public key certificates". [i.7] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for information security management". [i.8] ISO/IEC 7498-2/Recommendation ITU-T X.800: "Data communications network - Open systems interconnection - Security, structure and applications: Security architecture for open systems interconnection for CCITT applications". SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 9 [i.9] CEN TS 419 261: "Security requirements for trustworthy systems managing certificates and time stamps". [i.10] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites". [i.11] IETF RFC 5246: "The Transport Layer Security Protocol Version 1.2". [i.12] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists". [i.13] ETSI TS 101 533-1: "Electronic Signatures and Infrastructures (ESI); Data Preservation Systems Security; Part 1: Requirements for Implementation and Management". [i.14] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. [i.15] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing Time-Stamps". [i.16] CEN TS 419 221-2: "Protection profiles for TSP Cryptographic modules - Part 2: Cryptographic module for CSP signing operations with backup". [i.17] CEN TS 419 221-3: "Protection profiles for TSP Cryptographic modules - Part 3: Cryptographic module for Cryptographic module for CSP key generation services". [i.18] CEN TS 419 221-4: "Protection profiles for TSP Cryptographic modules - Part 4: Cryptographic module for CSP signing operations without backup". [i.19] CEN EN 419 221-5: "Protection profiles for TSP Cryptographic modules - Part 5: Cryptographic module for trust services". [i.20] ETSI TR 119 411-4: "Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 4: Checklist supporting audit of TSP against EN 319 411-1 or EN 319 411-2". 3 Definitions, abbreviations and notation 3.1 Definitions For the purposes of the present document, the terms and definitions given in ETSI EN 319 401 [8] and the following apply: auditor: person who assesses conformity to requirements as specified in given requirements documents NOTE: See ETSI EN 319 403 [i.2]. certificate: public key of a user, together with some other information, rendered un-forgeable by encipherment with the private key of the certification authority which issued it NOTE 1: The term certificate is used for public key certificate within the present document. NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6]. Certificate Policy (CP): named set of rules that indicates the applicability of a certificate to a particular community and/or class of application with common security requirements NOTE 1: See clause 4.2 for explanation of the relative role of certificate policies and certification practice statement. NOTE 2: This is a specific type of trust service policy as specified in ETSI EN 319 401 [8]. NOTE 3: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6]. SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 10 Certificate Revocation List (CRL): signed list indicating a set of certificates that have been revoked by the certificate issuer NOTE 1: Within the scope of the present document the set of certificates is related to end user certificates. NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6]. Certification Authority (CA): authority trusted by one or more users to create and assign certificates NOTE 1: A CA can be: 1) a trust service provider that creates and assigns public key certificates; or 2) a technical certificate generation service that is used by a certification service provider that creates and assign public key certificates. NOTE 2: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6]. Certification Authority Revocation List (CARL): revocation list containing a list of CA-certificates issued to certification authorities that have been revoked by the certificate issuer NOTE: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6]. Certification Practice Statement (CPS): statement of the practices which a Certification Authority employs in issuing managing, revoking, and renewing or re-keying certificates NOTE 1: See IETF RFC 3647 [i.3]. NOTE 2: This is a specific type of Trust Service practice statement as specified in ETSI EN 319 401 [8]. Coordinated Universal Time (UTC): As indicated in ETSI EN 319 401 [8]. cross certificate: certificate that is used to establish a trust relationship between two certification authorities digital signature: data appended to, or a cryptographic transformation of a data unit that allows a recipient of the data unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient NOTE: See ISO/IEC 7498-2/Recommendation ITU-T X.800 [i.8]. domain name: the label assigned to a node in the Domain Name System NOTE: See BRG [5]. Domain Validation Certificate (DVC): certificate which has no validated organizational identity information for the subject, only identifying the subject by its domain name EV certificate: See Extended Validation certificate. Extended Validation Certificate (EVC): As indicated in the EVCG [4]. High security zone: specific physical location of the security zone (see ETSI EN 319 401 [8], clause 7.8) where the Root CA key is held Individual Validation Certificate (IVC): certificate that includes validated individual identity information for the subject Organizational Validation Certificate (OVC): certificate that includes validated organizational identity information for the subject Publicly-Trusted Certificate (PTC): certificate that is trusted by virtue of the fact that its corresponding Root Certificate is distributed as a trust anchor in widely-available application software Registration Authority (RA): entity that is responsible for identification and authentication of subjects of certificates mainly NOTE 1: An RA can assist in the certificate application process or revocation process or both. NOTE 2: See IETF RFC 3647 [i.3]. SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 11 registration officer: person responsible for verifying information that is necessary for certificate issuance and approval of certification requests revocation: permanent termination of the certificate's validity before the expiry date indicated in the certificate revocation officer: person responsible for operating certificate status changes [i.8] root CA: certification authority which is at the highest level within TSP's domain and which is used to sign subordinate CA(s) NOTE 1: A Root CA certificate is generally self-signed but the Root-CA can also be certified by a (Root)CA from another domain (e.g. cross-certification, Root-Signed in the context of a root-signing program, etc.). NOTE 2: A Root CA can be used as the Trust Anchor for many applications (e.g. browsers) but nothing prevents the TSP to present subordinate CAs for this purpose, according to the business context. secure cryptographic device: device which holds the user's private key, protects this key against compromise and performs signing or decryption functions on behalf of the user secure zone: area (physical or logical) protected by physical and logical controls that appropriately protect the confidentiality, integrity, and availability of the systems used by the TSP subject: entity identified in a certificate as the holder of the private key associated with the public key given in the certificate NOTE: Relationship between subscriber and subject is described in clauses 5.4.2 and 6.3.5. subordinate CA: certification authority whose Certificate is signed by the Root CA, or another Subordinate CA NOTE: A subordinate CA normally either issues end user certificates or other subordinate CA certificates. trust anchor: entity that is trusted by a relying party and used for validating certificates in certification paths NOTE 1: See ISO/IEC 9594-8/Recommendation ITU-T X.509 [6]. NOTE 2: A Trust Anchor can also be a Root CA. NOTE 3: Examples of trust anchors are as in a trusted list (ETSI TS 119 612 [i.12]) or a list of trusted CA certificates distributed by an application software provider. 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: BRG Baseline Requirements Guidelines CA Certification Authority CAB CA/Browser CAB Forum CA/Browser Forum CARL Certification Authority Revocation List CP Certificate Policy CPS Certification Practice Statement CRL Certificate Revocation List CSP Certification Service Provider NOTE: The more general term Trust Service Provider is used in preference to CSP in the present document except in relation to external references. DVC Domain Validation Certificate DVCP Domain Validation Certificate Policy EAL Evaluation Assurance Level EV Extended Validation EVC Extended Validation Certificate EVCG Extended Validation Certificate Guidelines EVCP Extended Validation Certificate Policy IVC Individual Validation Certificate SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 12 IVCP Individual Validation Certificate Policy LCP Lightweight Certificate Policy NCP Normalized Certificate Policy NCP+ Extended Normalized Certificate Policy OCSP Online Certificate Status Protocol OID Object IDentifier OVC Organizational Validation Certificate OVCP Organizational Validation Certificate Policy PDS PKI Disclosure Statement PIN Personal Identification Number PKI Public Key Infrastructure PTC Publicly-Trusted Certificate NOTE: Within the context of the present document PTC is used synonymously with EVC, DVC, IVC and OVC as per CAB Forum documents [4] and [5]. RA Registration Authority SSL Secure Socket Layer TLS Transport Layer Security TLS/SSL Transport Layer Security/Secure Socket Layer protocol NOTE: IETF RFC 5246 [i.11] or earlier equivalent Secure Socket Layer protocol. TSP Trust Service Provider UTC Coordinated Universal Time 3.3 Notation The requirements identified in the present document include: a) requirements applicable to any CP. Such requirements are indicated by clauses without any additional marking; b) requirements applicable under certain conditions. Such requirements are indicated by clauses marked by "[CONDITIONAL]"; c) requirements that include several choices which ought to be selected according to the applicable situation. Such requirements are indicated by clauses marked by "[CHOICE]"; d) requirements applicable to the services offered under the applicable CP. Such requirements are indicated by clauses marked by the applicable CP as follows: i) "[LCP]", "[NCP]", "[NCP+]", "[EVCP]", "[OVCP]", "[IVCP]" and "[DVCP]"; ii) [PTC] is used to denote requirements applicable to EVCP, OVCP, IVCP and DVCP for CAB Forum requirements. Each requirement is identified as follows: <3 letters service component> - < the clause number> - <2 digit number - incremental>. The service components are: • OVR: General requirement (requirement applicable to more than 1 component) • GEN: Certificate Generation Services
• REG: Registration Services • REV: Revocation Services • DIS: Dissemination Services • SDP: Subject Device Provisioning SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 13 • CSS: Certificate Status Service The management of the requirement identifiers for subsequent editions of the present document is as follows: • When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next available digit. • When a requirement is inserted between two existing requirements, capital letters appended to the previous requirement identifier are used to distinguish new requirements. • The requirement identifier for deleted requirements are left and completed with "VOID". • The requirement identifier for modified requirement are left void and the modified requirement is identified by capital letter(s) appended to the initial requirement number. 4 General concepts 4.1 General policy requirements concepts See ETSI EN 319 401 [8], clause 4 and IETF RFC 3647 [i.3], clauses 3.1 and 3.4 for guidance. 4.2 Certificate policy and certification practice statement 4.2.1 Overview The present document serves as a basis for the TSP to develop, implement, enforce, and update: • a CPS that describes the practices and procedures used to address all the requirements identified for the applicable TSP's policy; • a CP document that includes all rules valid for a given CP as specified in clause 5 or clause 7. NOTE 1: The CP document contains additional information which is out of scope of the present document (e.g. the description of the certificate profile). NOTE 2: The CP generally refers to the CPS to indicate how the TSP implements the policy requirements for the selected CP. This clause explains the relative roles of CP and CPS. It places no restriction on the form of a CP or CPS specification. CPS is a form of TSP's Statement as specified in ETSI EN 319 401 [8], clause 6.1 applicable to CAs issuing certificates. NOTE 3: Subscribers and relying parties can consult the CP and CPS of the issuing TSP to obtain details of the requirements addressed by its CP and how the CP is implemented by the particular TSP. 4.2.2 Purpose In general, the purpose of the CP, referenced by a policy identifier in a certificate, states "what is to be adhered to", while a CPS states "how it is adhered to", i.e. the processes it will use in creating and maintaining the certificate. SIST EN 319 411-1 V1.2.2:2018
ETSI ETSI EN 319 411-1 V1.2.2 (2018-04) 14 4.2.3 Level of specificity A CP is a higher level document than a CPS; it can apply to a community to which several CAs belong that abide by the common set of rules specified in that CP. A CPS defines how one specific TSP meets the technical, organizational and procedural requirements identified in a CP. NOTE: Even lower-level documents can be appropriate for a TSP detailing the specific procedures necessary to complete the practices iden
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