SIST EN 319 411-1 V1.1.1:2016

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,  aintenance 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 processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of TSP
services.
The present document however provides in annex C, 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].

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 šest referenčnih politik digitalnih potrdil, določenih v točki 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 in pečati;
• 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.
Vendar pa ta dokument v dodatku C določa kontrolni seznam zahtev politike, ki se nanašajo na ponudnike storitev zaupanja, ki izdajajo digitalna potrdila (kot je izraženo v tem dokumentu), vključno z splošnimi zahtevami, ki niso odvisne od vrste storitve (kot je izraženo v standardu ETSI EN 319 401 [8]).
Ta dokument vsebuje določbe, skladne z zahtevami organa CA/Browser Forum v smernicah EVCG [4] in BRG [5].

General Information

• Status: Published
• Publication Date: 13-Mar-2016
• ICS: 03.080.99 - Other services
• ICS: 35.030 - IT Security
• ICS: 35.040.01 - Information coding in general
• Technical Committee: SPN - Services and Protocols for Networks
• Current Stage: 6060 - National Implementation/Publication (Adopted Project)
• Start Date: 09-Mar-2016
• Due Date: 14-May-2016
• Completion Date: 14-Mar-2016
• Mandate: M/460
• Ref Project: ETSI EN 319 411-1 V1.1.1 (2016-02) - Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements

Standards Content (Sample)

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 V1.1.1 (2016-02)SIST EN 319 411-1 V1.1.1:2016en01-maj-2016SIST EN 319 411-1 V1.1.1:2016SLOVENSKI
STANDARD



SIST EN 319 411-1 V1.1.1:2016



ETSI EN 319 411-1 V1.1.1 (2016-02) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements
EUROPEAN STANDARD SIST EN 319 411-1 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 2
Reference DEN/ESI-0019411-1 Keywords e-commerce, electronic signature, extended validation certificate, public key, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: [phone]
Fax: [phone]
Siret N° 348 623 562 00017 - NAF 742 C Association à but non lucratif enregistrée à la Sous-Préfecture de Grasse (06) N° 7803/88
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.
© European Telecommunications Standards Institute 2016. All rights reserved.
DECTTM, PLUGTESTSTM, UMTSTM and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GPPTM and LTE™ are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM® and the GSM logo are Trade Marks registered and owned by the GSM Association. SIST EN 319 411-1 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 3 Contents Intellectual Property Rights . 5 Foreword . 5 Modal verbs terminology . 5 Introduction . 5 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 . 12 4.1 General policy requirements concepts . 12 4.2 Certificate policy and certification practice statement . 12 4.2.1 Overview . 12 4.2.2 Purpose . 13 4.2.3 Level of specificity . 13 4.2.4 Approach . 13 4.2.5 Certificate Policy . 13 4.3 Other Trust Service Providers statements . 14 4.4 Certification services . 14 5 General provisions on Certification Practice Statement and Certificate Policies. 15 5.1 General requirements . 15 5.2 Certification Practice Statement requirements . 16 5.3 Certificate Policy name and identification . 16 5.4 PKI participants . 17 5.4.1 Certification Authority . 17 5.4.2 Subscriber and subject . 17 5.4.3 Others . 18 5.5 Certificate usage . 18 6 Trust Service Providers practice . 18 6.1 Publication and repository responsibilities . 18 6.2 Identification and authentication . 19 6.2.1 Naming . 19 6.2.2 Initial identity validation . 19 6.2.3 Identification and authentication for Re-key requests . 21 6.2.4 Identification and authentication for revocation requests . 22 6.3 Certificate Life-Cycle operational requirements . 23 6.3.1 Certificate application . 23 6.3.2 Certificate application processing . 23 6.3.3 Certificate issuance . 23 6.3.4 Certificate acceptance . 25 6.3.5 Key pair and certificate usage . 26 6.3.6 Certificate renewal . 27 6.3.7 Certificate Re-key . 27 6.3.8 Certificate modification . 27 6.3.9 Certificate revocation and suspension. 28 6.3.10 Certificate status services . 28 6.3.11 End of subscription . 29 6.3.12 Key escrow and recovery . 29 6.4 Facility, management, and operational controls . 29 6.4.1 General . 29 SIST EN 319 411-1 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 4 6.4.2 Physical security controls . 29 6.4.3 Procedural controls . 30 6.4.4 Personnel controls . 30 6.4.5 Audit logging procedures . 30 6.4.6 Records archival . 31 6.4.7 Key changeover . 31 6.4.8 Compromise and disaster recovery . 31 6.4.9 Certification Authority or Registration Authority termination . 32 6.5 Technical security controls . 33 6.5.1 Key pair generation and installation . 33 6.5.2 Private key protection and cryptographic module engineering controls . 34 6.5.3 Other aspects of key pair management . 35 6.5.4 Activation data . 35 6.5.5 Computer security controls . 36 6.5.6 Life cycle security controls . 36 6.5.7 Network security controls . 37 6.5.8 Timestamping . 37 6.6 Certificate, CRL, and OCSP profiles. 37 6.6.1 Certificate profile . 37 6.6.2 CRL profile . 37 6.6.3 OCSP profile . 37 6.7 Compliance audit and other assessment . 37 6.8 Other business and legal matters . 37 6.8.1 Fees . 37 6.8.2 Financial responsibility . 37 6.8.3 Confidentiality of business information . 38 6.8.4 Privacy of personal information. 38 6.8.5 Intellectual property rights . 38 6.8.6 Representations and warranties . 38 6.8.7 Disclaimers of warranties . 38 6.8.8 Limitations of liability . 38 6.8.9 Indemnities . 38 6.8.10 Term and termination. 38 6.8.11 Individual notices and communications with participants . 39 6.8.12 Amendments . 39 6.8.13 Dispute resolution procedures. 39 6.8.14 Governing law . 39 6.8.15 Compliance with applicable law . 39 6.8.16 Miscellaneous provisions . 39 6.9 Other provisions . 39 6.9.1 Organizational . 39 6.9.2 Additional testing . 39 6.9.3 Disabilities . 39 6.9.4 Terms and conditions . 40 7 Framework for the definition of other certificate policies . 40 7.1 Certificate policy management . 40 7.2 Additional requirements . 40 Annex A (informative): Model PKI disclosure statement . 41 A.1 Introduction . 41 A.2 The PDS structure . 41 A.3 The PDS format . 42 Annex B (informative): Revisions made since previous versions . 43 Annex C (informative): Conformity assessment checklist . 44 Annex D (informative): Bibliography . 45 History . 46
SIST EN 319 411-1 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 5 Intellectual Property Rights 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. 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 3: "Policy requirements for Certification Authorities issuing public key 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.
National transposition dates Date of adoption of this EN: 22 February 2016 Date of latest announcement of this EN (doa): 31 May 2016 Date of latest publication of new National Standard or endorsement of this EN (dop/e):
30 November 2016 Date of withdrawal of any conflicting National Standard (dow): 30 June 2017
Modal verbs terminology In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of provisions). "must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation. Introduction Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private networks. An important requirement of electronic commerce is the ability to identify the originator and protect the confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA).
For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they need to have confidence that the TSP has properly established procedures and protective measure in order to minimize the operational and financial threats and risks associated with public key cryptographic systems.
SIST EN 319 411-1 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 6 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 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 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 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 processes and services. The present document references ETSI EN 319 401 [8] for general policy requirements common to all classes of TSP services. The present document however provides in annex C, 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 http://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". SIST EN 319 411-1 V1.1.1:2016



ETSI ETSI EN 319 411-1 V1.1.1 (2016-02) 8 [3] ISO/IEC 19790:2012: "Information technology -- Security techniques -- Security requirements for cryptographic modules". [4] CA/Browser Forum (V1.5.5): "Guidelines for The Issuance and Management of Extended Validation Certificates". [5] CA/Browser Forum (V1.3.0): "Baseline Requirements 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: 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 - electro
...

ETSI EN 319 411-1 V1.1.1 (2016-02)






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

�

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2 ETSI EN 319 411-1 V1.1.1 (2016-02)



Reference
DEN/ESI-0019411-1
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security,
trust services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: [phone]  Fax: [phone]

Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

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.

© European Telecommunications Standards Institute 2016.
All rights reserved.

TM TM TM
DECT , PLUGTESTS , UMTS and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members.
TM
3GPP and LTE™ are Trade Marks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
GSM® and the GSM logo are Trade Marks registered and owned by the GSM Association.
ETSI

---------------------- Page: 2 ----------------------
3 ETSI EN 319 411-1 V1.1.1 (2016-02)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 5
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 . 12
4.1 General policy requirements concepts . 12
4.2 Certificate policy and certification practice statement . 12
4.2.1 Overview . 12
4.2.2 Purpose . 13
4.2.3 Level of specificity . 13
4.2.4 Approach . 13
4.2.5 Certificate Policy . 13
4.3 Other Trust Service Providers statements . 14
4.4 Certification services . 14
5 General provisions on Certification Practice Statement and Certificate Policies. 15
5.1 General requirements . 15
5.2 Certification Practice Statement requirements . 16
5.3 Certificate Policy name and identification . 16
5.4 PKI participants . 17
5.4.1 Certification Authority . 17
5.4.2 Subscriber and subject . 17
5.4.3 Others . 18
5.5 Certificate usage . 18
6 Trust Service Providers practice . 18
6.1 Publication and repository responsibilities . 18
6.2 Identification and authentication . 19
6.2.1 Naming . 19
6.2.2 Initial identity validation . 19
6.2.3 Identification and authentication for Re-key requests . 21
6.2.4 Identification and authentication for revocation requests . 22
6.3 Certificate Life-Cycle operational requirements . 23
6.3.1 Certificate application . 23
6.3.2 Certificate application processing . 23
6.3.3 Certificate issuance . 23
6.3.4 Certificate acceptance . 25
6.3.5 Key pair and certificate usage . 26
6.3.6 Certificate renewal . 27
6.3.7 Certificate Re-key . 27
6.3.8 Certificate modification . 27
6.3.9 Certificate revocation and suspension. 28
6.3.10 Certificate status services . 28
6.3.11 End of subscription . 29
6.3.12 Key escrow and recovery . 29
6.4 Facility, management, and operational controls . 29
6.4.1 General . 29
ETSI

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4 ETSI EN 319 411-1 V1.1.1 (2016-02)
6.4.2 Physical security controls . 29
6.4.3 Procedural controls . 30
6.4.4 Personnel controls . 30
6.4.5 Audit logging procedures . 30
6.4.6 Records archival . 31
6.4.7 Key changeover . 31
6.4.8 Compromise and disaster recovery . 31
6.4.9 Certification Authority or Registration Authority termination . 32
6.5 Technical security controls . 33
6.5.1 Key pair generation and installation . 33
6.5.2 Private key protection and cryptographic module engineering controls . 34
6.5.3 Other aspects of key pair management . 35
6.5.4 Activation data . 35
6.5.5 Computer security controls . 36
6.5.6 Life cycle security controls . 36
6.5.7 Network security controls . 37
6.5.8 Timestamping . 37
6.6 Certificate, CRL, and OCSP profiles. 37
6.6.1 Certificate profile . 37
6.6.2 CRL profile . 37
6.6.3 OCSP profile . 37
6.7 Compliance audit and other assessment . 37
6.8 Other business and legal matters . 37
6.8.1 Fees . 37
6.8.2 Financial responsibility . 37
6.8.3 Confidentiality of business information . 38
6.8.4 Privacy of personal information. 38
6.8.5 Intellectual property rights . 38
6.8.6 Representations and warranties . 38
6.8.7 Disclaimers of warranties . 38
6.8.8 Limitations of liability . 38
6.8.9 Indemnities . 38
6.8.10 Term and termination. 38
6.8.11 Individual notices and communications with participants . 39
6.8.12 Amendments . 39
6.8.13 Dispute resolution procedures. 39
6.8.14 Governing law . 39
6.8.15 Compliance with applicable law . 39
6.8.16 Miscellaneous provisions . 39
6.9 Other provisions . 39
6.9.1 Organizational . 39
6.9.2 Additional testing . 39
6.9.3 Disabilities . 39
6.9.4 Terms and conditions . 40
7 Framework for the definition of other certificate policies . 40
7.1 Certificate policy management . 40
7.2 Additional requirements . 40
Annex A (informative): Model PKI disclosure statement . 41
A.1 Introduction . 41
A.2 The PDS structure . 41
A.3 The PDS format . 42
Annex B (informative): Revisions made since previous versions . 43
Annex C (informative): Conformity assessment checklist . 44
Annex D (informative): Bibliography . 45
History . 46

ETSI

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5 ETSI EN 319 411-1 V1.1.1 (2016-02)
Intellectual Property Rights
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.
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 3: "Policy requirements for Certification Authorities issuing public key 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.

National transposition dates
Date of adoption of this EN: 22 February 2016
Date of latest announcement of this EN (doa): 31 May 2016
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 30 November 2016
Date of withdrawal of any conflicting National Standard (dow): 30 June 2017

Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
Introduction
Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private
networks. An important requirement of electronic commerce is the ability to identify the originator and protect the
confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are
supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA).
For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they
need to have confidence that the TSP has properly established procedures and protective measure in order to minimize
the operational and financial threats and risks associated with public key cryptographic systems.
ETSI

---------------------- Page: 5 ----------------------
6 ETSI EN 319 411-1 V1.1.1 (2016-02)
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.14] and those from CA/Browser Forum, BRG [5].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can base their requirements on those specified in the present document and specify any additional requirements in a
manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from
the use of generally accepted global best practices.
ETSI

---------------------- Page: 6 ----------------------
7 ETSI EN 319 411-1 V1.1.1 (2016-02)
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
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 processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of TSP
services.
The present document however provides in annex C, 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
http://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".
ETSI

---------------------- Page: 7 ----------------------
8 ETSI EN 319 411-1 V1.1.1 (2016-02)
[3] ISO/IEC 19790:2012: "Information technology -- Security techniques -- Security requirements for
cryptographic modules".
[4] CA/Browser Forum (V1.5.5): "Guidelines for The Issuance and Management of Extended
Validation Certificates".
[5] CA/Browser Forum (V1.3.0): "Baseline Requirements 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: 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
...

Draft ETSI EN 319 411-1 V1.0.0 (2015-06)






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

�

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2 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)



Reference
DEN/ESI-0019411-1
Keywords
e-commerce, electronic signature, extended
validation certificat, public key, security, trust
services
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ETSI

---------------------- Page: 2 ----------------------
3 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 5
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 . 12
4.1 General policy requirements concepts . 12
4.2 Certificate policy and certification practice statement . 12
4.2.1 Overview . 12
4.2.2 Purpose . 12
4.2.3 Level of specificity . 13
4.2.4 Approach . 13
4.2.5 Certificate Policy . 13
4.3 Other Trust Service Providers statements . 14
4.4 Certification services . 14
5 General provisions on Certification Practice Statement and Certificate Policies. 15
5.1 General requirements . 15
5.2 Certification Practice Statement requirements . 16
5.3 Certificate Policy name and identification . 16
5.4 PKI participants . 17
5.4.1 Certification Authority . 17
5.4.2 Subscriber and subject . 17
5.4.3 Others . 18
5.5 Certificate usage . 18
6 Trust Service Providers practice . 18
6.1 Publication and repository responsibilities . 18
6.2 Identification and authentication . 19
6.2.1 Naming . 19
6.2.2 Initial identity validation . 19
6.2.3 Identification and authentication for Re-key requests . 21
6.2.4 Identification and authentication for revocation requests . 21
6.3 Certificate Life-Cycle operational requirements . 22
6.3.1 Certificate application . 22
6.3.2 Certificate application processing . 23
6.3.3 Certificate issuance . 23
6.3.4 Certificate acceptance . 24
6.3.5 Key pair and certificate usage . 25
6.3.6 Certificate renewal . 26
6.3.7 Certificate Re-key . 27
6.3.8 Certificate modification . 27
6.3.9 Certificate revocation and suspension. 27
6.3.10 Certificate status services . 28
6.3.11 End of subscription . 28
6.3.12 Key escrow and recovery . 28
6.4 Facility, management, and operational controls . 28
6.4.1 General . 28
ETSI

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4 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)
6.4.2 Physical security controls . 29
6.4.3 Procedural controls . 29
6.4.4 Personnel controls . 29
6.4.5 Audit logging procedures . 30
6.4.6 Records archival . 30
6.4.7 Key changeover . 30
6.4.8 Compromise and disaster recovery . 31
6.4.9 Certification Authority or Registration Authority termination . 31
6.5 Technical security controls . 32
6.5.1 Key pair generation and installation . 32
6.5.2 Private key protection and cryptographic module engineering controls . 33
6.5.3 Other aspects of key pair management . 34
6.5.4 Activation data . 35
6.5.5 Computer security controls . 35
6.5.6 Life cycle security controls . 35
6.5.7 Network security controls . 36
6.5.8 Timestamping . 36
6.6 Certificate, CRL, and OCSP profiles. 36
6.6.1 Certificate profile . 36
6.6.2 CRL profile . 36
6.6.3 OCSP profile . 36
6.7 Compliance audit and other assessment . 36
6.8 Other business and legal matters . 36
6.8.1 Fees . 36
6.8.2 Financial responsibility . 37
6.8.3 Confidentiality of business information . 37
6.8.4 Privacy of personal information. 37
6.8.5 Intellectual property rights . 37
6.8.6 Representations and warranties . 37
6.8.7 Disclaimers of warranties . 37
6.8.8 Limitations of liability . 37
6.8.9 Indemnities . 37
6.8.10 Term and termination. 38
6.8.11 Individual notices and communications with participants . 38
6.8.12 Amendments . 38
6.8.13 Dispute resolution procedures. 38
6.8.14 Governing law . 38
6.8.15 Compliance with applicable law . 38
6.8.16 Miscellaneous provisions . 38
6.9 Other provisions . 38
6.9.1 Organizational . 38
6.9.2 Additional testing . 38
6.9.3 Disabilities . 39
6.9.4 Terms and conditions . 39
7 Framework for the definition of other certificate policies . 39
7.1 Certificate policy management . 39
7.2 Additional requirements . 39
Annex A (informative): Model PKI disclosure statement . 40
A.1 Introduction . 40
A.2 The PDS structure . 41
A.3 The PDS format . 41
Annex B (informative): Revisions made since previous versions . 42
Annex C (informative): Conformity assessment check list . 43
Annex D (informative): Bibliography . 44
History . 45
ETSI

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5 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)
Intellectual Property Rights
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 (http://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.
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 on policy requirements for Trust Service Providers issuing
certificate 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 "Policy requirements for
certification authorities issuing public key certificates" [i.6] 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): 12 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.
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.
ETSI

---------------------- Page: 5 ----------------------
6 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)
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.15] 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 specified in the present document and specifying any additional requirements in a manner
similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from the use of
generally accepted global best practices.
ETSI

---------------------- Page: 6 ----------------------
7 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)
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 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 processes and services. The present
document references ETSI EN 319 401 [8] for general policy requirements common to all classes of TSP
services.
The present document however provides in annex C, a check list 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
http://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 issued to organizations". .
[3] ISO/IEC 19790:2006: "Information technology -- Security techniques -- Security requirements for
cryptographic modules".
[4] CA/Browser Forum (V1.5.5): "Guidelines for The Issuance and Management of Extended
Validation Certificates".
ETSI

---------------------- Page: 7 ----------------------
8 Draft ETSI EN 319 411-1 V1.0.0 (2015-06)
[5] CA/Browser Forum (V1.3.0): "Baseline Requirements for the Issuance and Management of
Publicly-Trusted Certificates".
[6] ISO/IEC 9594-8/ITU-T Recommendation X.509: "Information technology - Open Systems
Interconnection - The Directory: 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".
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 27002:2
...