Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for Registered Electronic Mail Service Providers

The present document specifies generally applicable policy and security requirements for Registered Electronic Mail
Service Provider (REMSP), including the services they provide.
The present document is applicable to:
• The policy and security requirements of REMS and EU qualified REMS providers.
• The general and security requirements of REMS and EU qualified REMS.
The present document does not specify interconnection requirements.
The present document aims to cover the common and worldwide-recognized requirements to address electronic
registered delivery in a secure and reliable way. Particular attention is paid to the Regulation (EU) No 910/2014 [i.1].
However, the legal effects of services implemented according to the present document are outside the scope of the
present document.

Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za registrirane ponudnike elektronskih poštnih storitev

Ta dokument opredeljuje splošno veljavne zahteve politike in varnosti za registrirane ponudnike elektronskih poštnih storitev (REMSP), vključno s storitvami, ki jih zagotavljajo.
Ta dokument se uporablja za:
• zahteve politike in varnosti za ponudnike REMS in ponudnike REMS, ki izpolnjujejo pogoje EU;
• splošne in varnostne zahteve za ponudnike REMS in ponudnike REMS, ki izpolnjujejo pogoje EU.
Ta dokument ne določa zahtev za medsebojno povezovanje.
Namen tega dokumenta je zajeti splošne in svetovno priznane zahteve za varno in zanesljivo obravnavanje elektronske priporočene dostave. Posebna pozornost je namenjena Uredbi (EU) št. 910/2014 [i.1].
Vendar so pravni učinki storitev, ki se izvajajo v skladu s tem dokumentom, zunaj področja uporabe tega dokumenta.

General Information

Status
Published
Public Enquiry End Date
31-Jul-2018
Publication Date
19-Feb-2019
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
05-Feb-2019
Due Date
12-Apr-2019
Completion Date
20-Feb-2019

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ETSI EN 319 531 V1.1.1 (2019-01)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for Registered Electronic
Mail Service Providers
---------------------- Page: 1 ----------------------
2 ETSI EN 319 531 V1.1.1 (2019-01)
Reference
DEN/ESI-0019531
Keywords
e-delivery services, policy requirements,
registered e-delivery services, registered
electronic mail, security, trust services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - 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 prevailing version of an ETSI

deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.

Users of the present document should be aware that the document may be subject to revision or change of status.

Information on the current status of this and other ETSI documents is available at

https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx

If you find errors in the present document, please send your comment to one of the following services:

https://portal.etsi.org/People/CommiteeSupportStaff.aspx
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 2019.
All rights reserved.
TM TM TM

DECT , PLUGTESTS , UMTS and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

TM TM

3GPP and LTE are trademarks of ETSI registered for the benefit of its Members and

of the 3GPP Organizational Partners.

oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and

of the oneM2M Partners.
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI
---------------------- Page: 2 ----------------------
3 ETSI EN 319 531 V1.1.1 (2019-01)
Contents

Intellectual Property Rights ................................................................................................................................ 4

Foreword ............................................................................................................................................................. 4

Modal verbs terminology .................................................................................................................................... 4

Introduction ........................................................................................................................................................ 5

1 Scope ........................................................................................................................................................ 6

2 References ................................................................................................................................................ 6

2.1 Normative references ......................................................................................................................................... 6

2.2 Informative references ........................................................................................................................................ 6

3 Definition of terms, abbreviations and notation ....................................................................................... 7

3.1 Terms .................................................................................................................................................................. 7

3.2 Abbreviations ..................................................................................................................................................... 7

3.3 Notation .............................................................................................................................................................. 7

4 General provision on policies and practices ............................................................................................. 8

4.1 REMS Practice statement ................................................................................................................................... 8

4.1.1 Common provisions ...................................................................................................................................... 8

4.2 Terms and conditions ......................................................................................................................................... 9

4.3 Information security policy ................................................................................................................................ 9

4.4 REM nature ........................................................................................................................................................ 9

4.5 REM styles of operation ..................................................................................................................................... 9

5 General provision on REMS .................................................................................................................... 9

5.1 Message integrity and confidentiality................................................................................................................. 9

5.1.1 Common provisions ...................................................................................................................................... 9

5.2 Sender and receiver identification and authentication ...................................................................................... 10

5.2.1 Provisions for EU QREMSP Initial identity validation .............................................................................. 10

5.3 Time reference .................................................................................................................................................. 10

5.3.1 Common provisions .................................................................................................................................... 10

5.3.2 Provisions for EU QREMS ......................................................................................................................... 10

5.4 Evidence ........................................................................................................................................................... 10

5.4.1 Common provisions .................................................................................................................................... 10

5.5 Interoperability ................................................................................................................................................. 10

5.5.1 Common provisions .................................................................................................................................... 10

5.5.2 Provisions for EU QREMSP ....................................................................................................................... 11

6 Risk Assessment ..................................................................................................................................... 11

7 REMSP management and operation ....................................................................................................... 11

7.1 Internal organization......................................................................................................................................... 11

7.1.1 Organization reliability ............................................................................................................................... 11

7.1.2 Segregation of duties .................................................................................................................................. 11

7.2 Human resources .............................................................................................................................................. 12

7.3 Asset management ............................................................................................................................................ 12

7.3.1 General requirements .................................................................................................................................. 12

7.3.2 Media handling ........................................................................................................................................... 12

7.4 Access control .................................................................................................................................................. 12

7.5 Cryptographic controls ..................................................................................................................................... 12

7.6 Physical and environmental security ................................................................................................................ 12

7.7 Operation security ............................................................................................................................................ 12

7.8 Network security .............................................................................................................................................. 12

7.9 Incident management ....................................................................................................................................... 12

7.10 Collection of evidence for REMSP internal services ....................................................................................... 13

7.11 Business continuity management ..................................................................................................................... 13

7.12 REMSP termination and REMS termination plans .......................................................................................... 13

7.13 Compliance....................................................................................................................................................... 13

History .............................................................................................................................................................. 14

ETSI
---------------------- Page: 3 ----------------------
4 ETSI EN 319 531 V1.1.1 (2019-01)
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).
National transposition dates
Date of adoption of this EN: 28 January 2019
Date of latest announcement of this EN (doa): 30 April 2019
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 October 2019
Date of withdrawal of any conflicting National Standard (dow): 31 October 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.

ETSI
---------------------- Page: 4 ----------------------
5 ETSI EN 319 531 V1.1.1 (2019-01)
Introduction

Business and administrative relationships among companies, public administrations and private citizens are more and

more implemented electronically. Trust is essential for their success and continued development of electronic services.

It is therefore important that any entity using electronic services have suitable security controls and mechanisms in

place to protect their transactions and to ensure trust and confidence with their partners.

Electronic signatures are commonly used worldwide to ensure authenticity and integrity of electronic documents,

making it possible to transform traditional paper-based processes into electronic ones providing a comparable or even

higher level of assurance. As communication is becoming predominantly internet-based, secure and provable exchange

of documents is essential to the full digital transformation.

An electronic registered delivery service (ERDS hereinafter) provides secure and reliable delivery of electronic

messages between parties, producing evidence of the delivery process for legal accountability. Evidence can be seen as

a declaration by a trusted party that a specific event related to the delivery process (submission of a message, relay of a

message, delivery of a message, refusal of a message, etc.) happened at a certain time. Evidence can be immediately

delivered to the interested party (together with the message or separately) or can be kept in a repository for later access.

It is common practice to implement evidence as digitally signed data. Registered electronic mail (REM hereinafter) is a

specific type of electronic registered delivery, which builds on the formats, protocols and mechanisms used in ordinary

e-mail messaging.

In a number of national, regional or sector-specific communities electronic registered delivery and registered electronic

mail services are already in place, and even more are being developed. Without the definition of common standards

there will be no consistency in the services provided, making it difficult for users to compare them. Under these

circumstances, users might be prevented from easily changing to alternative providers, damaging free competition. Lack

of standardization might also adversely affect interoperability between implementations which are based on different

models.

The documents covering ERDS contain the general concepts and requirements which apply to all kinds of electronic

registered delivery services. Since REM is a specific type of electronic registered delivery, the documents covering

REM service build on the corresponding documents covering ERDS by referencing the necessary provisions, and define

the interpretation and specific requirements which apply only to registered electronic mail.

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.1] (Regulation (EU) No 910/2014, or Regulation hereinafter) provides a legal framework to facilitate

cross-border recognition between existing national legal systems related to electronic registered delivery services. That

framework aims to open new market opportunities for European Union trust service providers to offer new

pan-European electronic registered delivery services. The Regulation defines the so-called qualified electronic

registered delivery service (QERDS hereinafter), which is a special type of ERDS, where both the service and its

provider need to meet a number of additional requirements that the regular ERDSs and their providers do not need to

meet.

The framework of ERDS standards aims to cover the common and worldwide-recognized requirements to address

electronic registered delivery in a secure and reliable way, independent of the applicable legislative framework. The

documents contain generic requirements which can be applied in any geographic region. At the same time, the

framework of ERDS standards aims to support demonstrating compliance to the Regulation (EU) No 910/2014 [i.1]

(and related secondary legislation), both for non-qualified and qualified electronic registered delivery services. Specific

clauses are included defining requirements applicable only to qualified electronic registered delivery services,

especially in the documents covering policy and security requirements. However, the legal effects are outside the scope

of the present document.
ETSI
---------------------- Page: 5 ----------------------
6 ETSI EN 319 531 V1.1.1 (2019-01)
1 Scope

The present document specifies generally applicable policy and security requirements for Registered Electronic Mail

Service Pro
...

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za registrirane ponudnike elektronskih poštnih storitevElectronic Signatures and Infrastructures (ESI) - Policy and security requirements for Registered Electronic Mail Service Providers35.040.01Kodiranje informacij na splošnoInformation coding in generalICS:Ta slovenski standard je istoveten z:ETSI EN 319 531 V1.1.1 (2019-01)SIST EN 319 531 V1.1.1:2019en01-april-2019SIST EN 319 531 V1.1.1:2019SLOVENSKI

STANDARD
SIST EN 319 531 V1.1.1:2019

ETSI EN 319 531 V1.1.1 (2019-01) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Registered Electronic Mail Service Providers

EUROPEAN STANDARD SIST EN 319 531 V1.1.1:2019
ETSI ETSI EN 319 531 V1.1.1 (2019-01) 2

Reference DEN/ESI-0019531 Keywords e-delivery services, policy requirements, registered e-delivery services, registered electronic mail, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: +33 4 92 94 42 00
Fax: +33 4 93 65 47 16

Siret N° 348 623 562 00017 - 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 prevailing version of an ETSI deliverable is the one made publicly available in PDF format at www.etsi.org/deliver. Users of the present document should be aware that the document may be subject to revision or change of status. Information on the current status of this and other ETSI documents is available at https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx If you find errors in the present document, please send your comment to one of the following services: https://portal.etsi.org/People/CommiteeSupportStaff.aspx 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 2019. 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 a trademark of ETSI registered for the benefit of its Members and of the oneM2M Partners. GSM® and the GSM logo are trademarks registered and owned by the GSM Association. SIST EN 319 531 V1.1.1:2019

ETSI ETSI EN 319 531 V1.1.1 (2019-01) 3 Contents Intellectual Property Rights ................................................................................................................................ 4 Foreword ............................................................................................................................................................. 4 Modal verbs terminology .................................................................................................................................... 4 Introduction ........................................................................................................................................................ 5 1 Scope ........................................................................................................................................................ 6 2 References ................................................................................................................................................ 6 2.1 Normative references ......................................................................................................................................... 6 2.2 Informative references ........................................................................................................................................ 6 3 Definition of terms, abbreviations and notation ....................................................................................... 7 3.1 Terms .................................................................................................................................................................. 7 3.2 Abbreviations ..................................................................................................................................................... 7 3.3 Notation .............................................................................................................................................................. 7 4 General provision on policies and practices ............................................................................................. 8 4.1 REMS Practice statement ................................................................................................................................... 8 4.1.1 Common provisions ...................................................................................................................................... 8 4.2 Terms and conditions ......................................................................................................................................... 9 4.3 Information security policy ................................................................................................................................ 9 4.4 REM nature ........................................................................................................................................................ 9 4.5 REM styles of operation ..................................................................................................................................... 9 5 General provision on REMS .................................................................................................................... 9 5.1 Message integrity and confidentiality................................................................................................................. 9 5.1.1 Common provisions ...................................................................................................................................... 9 5.2 Sender and receiver identification and authentication ...................................................................................... 10 5.2.1 Provisions for EU QREMSP Initial identity validation .............................................................................. 10 5.3 Time reference .................................................................................................................................................. 10 5.3.1 Common provisions .................................................................................................................................... 10 5.3.2 Provisions for EU QREMS ......................................................................................................................... 10 5.4 Evidence ........................................................................................................................................................... 10 5.4.1 Common provisions .................................................................................................................................... 10 5.5 Interoperability ................................................................................................................................................. 10 5.5.1 Common provisions .................................................................................................................................... 10 5.5.2 Provisions for EU QREMSP ....................................................................................................................... 11 6 Risk Assessment ..................................................................................................................................... 11 7 REMSP management and operation ....................................................................................................... 11 7.1 Internal organization......................................................................................................................................... 11 7.1.1 Organization reliability ............................................................................................................................... 11 7.1.2 Segregation of duties .................................................................................................................................. 11 7.2 Human resources .............................................................................................................................................. 12 7.3 Asset management ............................................................................................................................................ 12 7.3.1 General requirements .................................................................................................................................. 12 7.3.2 Media handling ........................................................................................................................................... 12 7.4 Access control .................................................................................................................................................. 12 7.5 Cryptographic controls ..................................................................................................................................... 12 7.6 Physical and environmental security ................................................................................................................ 12 7.7 Operation security ............................................................................................................................................ 12 7.8 Network security .............................................................................................................................................. 12 7.9 Incident management ....................................................................................................................................... 12 7.10 Collection of evidence for REMSP internal services ....................................................................................... 13 7.11 Business continuity management ..................................................................................................................... 13 7.12 REMSP termination and REMS termination plans .......................................................................................... 13 7.13 Compliance....................................................................................................................................................... 13 History .............................................................................................................................................................. 14

SIST EN 319 531 V1.1.1:2019

ETSI ETSI EN 319 531 V1.1.1 (2019-01) 4 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).

National transposition dates Date of adoption of this EN: 28 January 2019 Date of latest announcement of this EN (doa): 30 April 2019 Date of latest publication of new National Standard or endorsement of this EN (dop/e):

31 October 2019 Date of withdrawal of any conflicting National Standard (dow): 31 October 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 319 531 V1.1.1:2019

ETSI ETSI EN 319 531 V1.1.1 (2019-01) 5 Introduction Business and administrative relationships among companies, public administrations and private citizens are more and more implemented electronically. Trust is essential for their success and continued development of electronic services. It is therefore important that any entity using electronic services have suitable security controls and mechanisms in place to protect their transactions and to ensure trust and confidence with their partners. Electronic signatures are commonly used worldwide to ensure authenticity and integrity of electronic documents, making it possible to transform traditional paper-based processes into electronic ones providing a comparable or even higher level of assurance. As communication is becoming predominantly internet-based, secure and provable exchange of documents is essential to the full digital transformation. An electronic registered delivery service (ERDS hereinafter) provides secure and reliable delivery of electronic messages between parties, producing evidence of the delivery process for legal accountability. Evidence can be seen as a declaration by a trusted party that a specific event related to the delivery process (submission of a message, relay of a message, delivery of a message, refusal of a message, etc.) happened at a certain time. Evidence can be immediately delivered to the interested party (together with the message or separately) or can be kept in a repository for later access. It is common practice to implement evidence as digitally signed data. Registered electronic mail (REM hereinafter) is a specific type of electronic registered delivery, which builds on the formats, protocols and mechanisms used in ordinary e-mail messaging. In a number of national, regional or sector-specific communities electronic registered delivery and registered electronic mail services are already in place, and even more are being developed. Without the definition of common standards there will be no consistency in the services provided, making it difficult for users to compare them. Under these circumstances, users might be prevented from easily changing to alternative providers, damaging free competition. Lack of standardization might also adversely affect interoperability between implementations which are based on different models. The documents covering ERDS contain the general concepts and requirements which apply to all kinds of electronic registered delivery services. Since REM is a specific type of electronic registered delivery, the documents covering REM service build on the corresponding documents covering ERDS by referencing the necessary provisions, and define the interpretation and specific requirements which apply only to registered electronic mail. 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.1] (Regulation (EU) No 910/2014, or Regulation hereinafter) provides a legal framework to facilitate cross-border recognition between existing national legal systems related to electronic registered delivery services. That framework aims to open new market opportunities for European Union trust service providers to offer new pan-European electronic registered delivery services. The Regulation defines the so-called qualified electronic registered delivery service (QERDS hereinafter), which is a special type of ERDS, where both the service and its provider need to meet a number of additional requirements that the regular ERDSs and their providers do not need to meet. The framework of ERDS standards aims to cover the common and worldwide-recognized requirements to address electronic registered delivery in a secure and reliable way, independent of the applicable legislative framework. The documents contain generic requirements which can be applied in any geographic region. At the same time, the framework of ERDS standards aims to support demonstrating compliance to the Regulation (EU) No 910/2014 [i.1] (and related secondary legislation), both for non-qualified and qualified electronic registered delivery services. Specific clauses are included defining requirements applicable o

...

Final draft ETSI EN 319 531 V1.1.0 (2018-11)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for Registered Electronic
Mail Service Providers
---------------------- Page: 1 ----------------------
2 Final draft ETSI EN 319 531 V1.1.0 (2018-11)
Reference
DEN/ESI-0019531
Keywords
e-delivery services, policy requirements,
registered e-delivery services, registered
electronic mail, security, trust services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - 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.
© ETSI 2018.
All rights reserved.
TM TM TM

DECT , PLUGTESTS , UMTS and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

TM TM

3GPP and LTE are trademarks of ETSI registered for the benefit of its Members and

of the 3GPP Organizational Partners.

oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and

of the oneM2M Partners.
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI
---------------------- Page: 2 ----------------------
3 Final draft ETSI EN 319 531 V1.1.0 (2018-11)
Contents

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

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

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

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

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

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

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

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

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

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

3.2 Abbreviations ..................................................................................................................................................... 8

3.3 Notation .............................................................................................................................................................. 8

4 General provision on policies and practices ............................................................................................. 9

4.1 REMS Practice statement ................................................................................................................................... 9

4.1.1 Common provisions ...................................................................................................................................... 9

4.2 Terms and conditions ....................................................................................................................................... 10

4.3 Information security policy .............................................................................................................................. 10

4.4 REM nature ...................................................................................................................................................... 10

4.5 REM styles of operation ................................................................................................................................... 10

5 General provision on REMS .................................................................................................................. 10

5.1 Message integrity and confidentiality............................................................................................................... 10

5.1.1 Common provisions .................................................................................................................................... 10

5.2 Sender and receiver identification and authentication ...................................................................................... 11

5.2.1 Provisions for EU QREMSP Initial identity validation .............................................................................. 11

5.3 Time reference .................................................................................................................................................. 11

5.3.1 Common provisions .................................................................................................................................... 11

5.3.2 Provisions for EU QREMS ......................................................................................................................... 11

5.4 Evidence ........................................................................................................................................................... 11

5.4.1 Common provisions .................................................................................................................................... 11

5.5 Interoperability ................................................................................................................................................. 11

5.5.1 Common provisions .................................................................................................................................... 11

5.5.2 Provisions for EU QREMSP ....................................................................................................................... 12

6 Risk Assessment ..................................................................................................................................... 12

7 REMSP management and operation ....................................................................................................... 12

7.1 Internal organization......................................................................................................................................... 12

7.1.1 Organization reliability ............................................................................................................................... 12

7.1.2 Segregation of duties .................................................................................................................................. 12

7.2 Human resources .............................................................................................................................................. 13

7.3 Asset management ............................................................................................................................................ 13

7.3.1 General requirements .................................................................................................................................. 13

7.3.2 Media handling ........................................................................................................................................... 13

7.4 Access control .................................................................................................................................................. 13

7.5 Cryptographic controls ..................................................................................................................................... 13

7.6 Physical and environmental security ................................................................................................................ 13

7.7 Operation security ............................................................................................................................................ 13

7.8 Network security .............................................................................................................................................. 13

7.9 Incident management ....................................................................................................................................... 13

7.10 Collection of evidence for REMSP internal services ....................................................................................... 14

7.11 Business continuity management ..................................................................................................................... 14

7.12 REMSP termination and REMS termination plans .......................................................................................... 14

7.13 Compliance....................................................................................................................................................... 14

ETSI
---------------------- Page: 3 ----------------------
4 Final draft ETSI EN 319 531 V1.1.0 (2018-11)

History .............................................................................................................................................................. 15

ETSI
---------------------- Page: 4 ----------------------
5 Final draft ETSI EN 319 531 V1.1.0 (2018-11)
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.

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

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

Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

ETSI
---------------------- Page: 5 ----------------------
6 Final draft ETSI EN 319 531 V1.1.0 (2018-11)
Introduction

Business and administrative relationships among companies, public administrations and private citizens are more and

more implemented electronically. Trust is essential for their success and continued development of electronic services.

It is therefore important that any entity using electronic services have suitable security controls and mechanisms in

place to protect their transactions and to ensure trust and confidence with their partners.

Electronic signatures are commonly used worldwide to ensure authenticity and integrity of electronic documents,

making it possible to transform traditional paper-based processes into electronic ones providing a comparable or even

higher level of assurance. As communication is becoming predominantly internet-based, secure and provable exchange

of documents is essential to the full digital transformation.

An electronic registered delivery service (ERDS hereinafter) provides secure and reliable delivery of electronic

messages between parties, producing evidence of the delivery process for legal accountability. Evidence can be seen as

a declaration by a trusted party that a specific event related to the delivery process (submission of a message, relay of a

message, delivery of a message, refusal of a message, etc.) happened at a certain time. Evidence can be immediately

delivered to the interested party (together with the message or separately) or can be kept in a repository for later access.

It is common practice to implement evidence as digitally signed data. Registered electronic mail (REM hereinafter) is a

specific type of electronic registered delivery, which builds on the formats, protocols and mechanisms used in ordinary

e-mail messaging.

In a number of national, regional or sector-specific communities electronic registered delivery and registered electronic

mail services are already in place, and even more are being developed. Without the definition of common standards

there will be no consistency in the services provided, making it difficult for users to compare them. Under these

circumstances, users might be prevented from easily changing to alternative providers, damaging free competition. Lack

of standardization might also adversely affect interoperability between implementations which are based on different

models.

The documents covering ERDS contain the general concepts and requirements which apply to all kinds of electronic

registered delivery services. Since REM is a specific type of electronic registered delivery, the documents covering

REM service build on the corresponding documents covering ERDS by referencing the necessary provisions, and define

the interpretation and specific requirements which apply only to registered electronic mail.

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.1] (Regulation (EU) No 910/2014, or Regulation hereinafter) provides a legal framework to facilitate

cross-border recognition between existing national legal systems related to electronic registered delivery services. That

framework aims to open new market opportunities for European Union trust service providers to offer new

pan-European electronic registered delivery services. The Regulation defines the so-called qualified electronic

registered delivery service (QERDS hereinafter), which is a special type of ERDS, where both the service and its

provider need to meet a number of additional requirements that the regular ERDSs and their providers do not need to

meet.

The framework of ERDS standards aims to cover the common and worldwide-recognized requirements to address

electronic registered delivery in a secure and reliable way, independent of the applicable legislative framework. The

documents contain generic requirements which can be applied in any geographic region. At the same time, the

framework of ERDS standards aims to support demonstrating compliance to the Regulation (EU) No 910/2014 [i.1]

(and related secondary legislation), both for non-qualified and qualified electronic registered delivery services. Specific

clauses are included defining requirements applicable only to qualified electronic registered delivery services,

especially in the documents covering policy and security requirements. However, the legal effects are outside the scope

of the present document.
ETSI
---------------------- Page: 6 ----------------------
7 Final draft ETSI EN 319 531 V1.1.0 (2018-11)
1 Scope
The present docume
...

Draft ETSI EN 319 531 V1.0.0 (2018-05)
������������������
Electronic Signatures and Infrastructures (ESI��
Policy and security requirements for Registered Electronic
Mail Service Providers
---------------------- Page: 1 ----------------------
2 Draft ETSI EN 319 531 V1.0.0 (2018-05)
Reference
DEN/ESI-0019531
Keywords
e-delivery services, policy requirements,
registered e-delivery services, registered
electronic mail, security, trust services
ETSI
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Users of the present document should be aware that the document may be subject to revision or change of status.

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The copyright and the foregoing restriction extend to reproduction in all media.
© ETSI 2018.
All rights reserved.
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DECT , PLUGTESTS , UMTS and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

TM TM

3GPP and LTE 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.
ETSI
---------------------- Page: 2 ----------------------
3 Draft ETSI EN 319 531 V1.0.0 (2018-05)
Contents

Intellectual Property Rights ............................................................................................................................... 4�

Foreword ............................................................................................................................................................ 4�

Modal verbs terminology ................................................................................................................................... 4�

Introduction ........................................................................................................................................................ 4�

1 Scope ....................................................................................................................................................... 6�

2 References ............................................................................................................................................... 6�

2.1 Normative references ......................................................................................................................................... 6�

2.2 Informative references ....................................................................................................................................... 6�

3 Definitions, abbreviations and notation ................................................................................................... 7�

3.1 Definitions ......................................................................................................................................................... 7�

3.2 Abbreviations .................................................................................................................................................... 7�

3.3 Notation ............................................................................................................................................................. 7�

4 General provision on policies and practices ............................................................................................ 8�

4.1 REMS Practice statement .................................................................................................................................. 8�

4.1.1 Common provisions ..................................................................................................................................... 8�

4.2 Terms and conditions......................................................................................................................................... 9�

4.3 Information security policy ............................................................................................................................... 9�

4.4 REM nature ....................................................................................................................................................... 9�

4.5 REM styles of operation .................................................................................................................................... 9�

5 General provision on REMS .................................................................................................................... 9�

5.1 Message integrity and confidentiality ................................................................................................................ 9�

5.1.1 Common provisions ..................................................................................................................................... 9�

5.2 Sender and receiver identification and authentication ....................................................................................... 9�

5.2.1 Provisions for EU QREMSP Initial identity validation ............................................................................... 9�

5.3 Time reference ..................................................................................................................................................10�

5.3.1 Common provisions ....................................................................................................................................10�

5.3.2 Provisions for EU QERDS ..........................................................................................................................10�

5.4 Evidence ...........................................................................................................................................................10�

5.4.1 Common provisions ....................................................................................................................................10�

5.5 Interoperability .................................................................................................................................................10�

5.5.1 Common provisions ....................................................................................................................................10�

5.5.2 Provisions for EU QREMSP .......................................................................................................................11�

6 Risk Assessment .................................................................................................................................... 11�

7 REMSP management and operation ...................................................................................................... 11�

7.1 Internal organization .........................................................................................................................................11�

7.1.1 Organization reliability ...............................................................................................................................11�

7.1.2 Segregation of duties ...................................................................................................................................11�

7.2 Human resources ..............................................................................................................................................11�

7.3 Asset management ............................................................................................................................................11�

7.3.1 General requirements ..................................................................................................................................11�

7.3.2 Media handling ...........................................................................................................................................12�

7.4 Access control ..................................................................................................................................................12�

7.5 Cryptographic controls .....................................................................................................................................12�

7.6 Physical and environmental security ................................................................................................................12�

7.7 Operation security ............................................................................................................................................12�

7.8 Network security ..............................................................................................................................................12�

7.9 Incident management ........................................................................................................................................12�

7.10 Collection of evidence for REMSP internal services .......................................................................................12�

7.11 Business continuity management .....................................................................................................................12�

7.12 REMSP termination and REMS termination plans ..........................................................................................13�

7.13 Compliance .......................................................................................................................................................13�

History ............................................................................................................................................................. 14�

ETSI
---------------------- Page: 3 ----------------------
4 Draft ETSI EN 319 531 V1.0.0 (2018-05)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information

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

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

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

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

Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee

can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web

server) which are, or may be, or may become, essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

Foreword

This draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

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

Approval Procedure.
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.

Introduction

Business and administrative relationships among companies, public administrations and private citizens are more and

more implemented electronically. Trust is essential for their success and continued development of electronic services.

It is therefore important that any entity using electronic services have suitable security controls and mechanisms in

place to protect their transactions and to ensure trust and confidence with their partners.

ETSI
---------------------- Page: 4 ----------------------
5 Draft ETSI EN 319 531 V1.0.0 (2018-05)

Electronic signatures are commonly used worldwide to ensure authenticity and integrity of electronic documents,

making it possible to transform traditional paper-based processes into electronic ones providing a comparable or even

higher level of assurance. As communication is becoming predominantly internet-based, secure and provable exchange

of documents is essential to the full digital transformation.

An electronic registered delivery service (ERDS hereinafter) provides secure and reliable delivery of electronic

messages between parties, producing evidence of the delivery process for legal accountability. Evidence can be seen as

a declaration by a trusted party that a specific event related to the delivery process (submission of a message, relay of a

message, delivery of a message, refusal of a message, etc.) happened at a certain time. Evidence can be immediately

delivered to the interested party (together with the message or separately) or can be kept in a repository for later access.

It is common practice to implement evidence as digitally signed data. Registered electronic mail (REM hereinafter) is a

specific type of electronic registered delivery, which builds on the formats, protocols and mechanisms used in ordinary

e-mail messaging.

In a number of national, regional or sector-specific communities electronic registered delivery and registered electronic

mail services are already in place, and even more are being developed. Without the definition of common standards

there will be no consistency in the services provided, making it difficult for users to compare them. Under these

circumstances, users might be prevented from easily changing to alternative providers, damaging free competition. Lack

of standardization might also adversely affect interoperability between implementations which are based on different

models.

The documents covering ERDS contain the general concepts and requirements which apply to all kinds of electronic

registered delivery services. Since REM is a specific type of electronic registered delivery, the documents covering

REM service build on the corresponding documents covering ERDS by referencing the necessary provisions, and define

the interpretation and specific requirements which apply only to registered electronic mail.

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.1] (Regulation (EU) No 910/2014, or Regulation hereinafter) provides a legal framework to facilitate cross-border

recognition between existing national legal systems related to electronic registered delivery services. That framework

aims to open new market opportunities for European Union trust service providers to offer new pan-European electronic

registered delivery services. The Regulation defines the so-called qualified electronic registered delivery service

(QERDS hereinafter), which is a special type of ERDS, where both the service and its provider need to meet a number

of additional requirements that the regular ERDSs and their providers do not need to meet.

The framework of ERDS standards aims to cover the common and worldwide-recognized requirements to address

electronic registered delivery in a secure and reliable way, independent of the applicable legislative framework. The

documents contain generic requirements which can be applied in any geographic region. At the same time, the

framework of ERDS standards aims to support demonstrating compliance to the Regulation (EU) No 910/2014 [i.1]

(and related secondary legislation), both for non-qualified and qualified electronic registered delivery services. Specific

clauses are included defining requirements applicable only to qualified electronic registered delivery services,

especially in the documents covering policy and security requirements. Specific clauses are included to this effect,

especially in the documents covering policy and security requirements. However, the legal effects are outside the scope

of the present document.
ETSI
...

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