ETSI TS 119 441 V1.1.1 (2018-08)

TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Policy requirements for TSP providing
signature validation services

2 ETSI TS 119 441 V1.1.1 (2018-08)

Reference
DTS/ESI-0019441
Keywords
electronic signature, security, trust services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

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

Siret N° 348 623 562 00017 - 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 protected for the benefit of its Members. ®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI
3 ETSI TS 119 441 V1.1.1 (2018-08)
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 Signature Validation Service applicable documentation . 13
4.2.1 Signature Validation Service Practice Statements . 13
4.2.2 Signature Validation Service Policy . 13
4.2.3 Terms and conditions . 13
4.2.4 Other documents associated with signature validation . 14
4.3 Signature Validation Service components . 14
4.3.1 Signature Validation Service actors . 14
4.3.2 Architecture . 15
4.3.3 Process . 16
5 Risk assessment . 18
6 Policies and practices . 18
6.1 Signature Validation Service practice statement . 18
6.2 Terms and Conditions . 18
6.3 Information security policy . 20
7 Signature Validation Service management and operation . 20
7.1 Internal organization. 20
7.2 Human resources . 20
7.3 Asset management . 20
7.4 Access control . 20
7.5 Cryptographic controls . 20
7.6 Physical and environmental security . 21
7.7 Operation security . 21
7.8 Network security . 21
7.9 Incident management . 21
7.10 Collection of evidence . 22
7.11 Business continuity management . 22
7.12 Signature Validation Service provisioning termination and termination plans . 22
7.13 Compliance and legal requirements . 22
8 Signature validation service technical requirements . 23
8.1 Signature validation process . 23
8.2 Signature validation protocol . 24
8.3 Interfaces . 24
8.3.1 Communication channel . 24
8.4 Signature validation report . 25
9 Framework for definition of validation service policies built on the present document . 26
Annex A (informative): Table of contents for signature validation service practice statements . 27
ETSI
4 ETSI TS 119 441 V1.1.1 (2018-08)
Annex B (normative): Qualified Validation Service for QES as defined by article 33 the
Regulation (EU) No 910/2014 . 29
Annex C (informative): Mapping of requirements to Regulation (EU) No 910/2014 . 31
Annex D (informative): Recommendations on user interface . 34
Annex E (informative): Checklist . 35
Annex F (informative): Validation of validation report signature . 36
History . 37

ETSI
5 ETSI TS 119 441 V1.1.1 (2018-08)
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 Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
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
Digital signatures are a major cornerstone for electronic transactions, provided they can be validated in such a way that
participants have confidence in the fact that they answer their (business) needs. In this perspective, a participant may
call a Trust Service Provider (TSP) that will perform the validation of a digital signature on his behalf. Such TSP is
called a Signature Validation Service Provider (SVSP). The outcome of such service is a (or a series of) signature
validation report(s).
Participants of electronic transactions need to have confidence that the TSP has properly established procedures and
protective measures in order to minimize the operational and financial threats and risks associated with digital
signatures.
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, generally applicable requirements from Regulation
(EU) No 910/2014 [i.1] that establishes a legal framework for electronic signature and electronic seal, including their
validation.
ETSI
6 ETSI TS 119 441 V1.1.1 (2018-08)
Regulation (EU) No 910/2014 [i.1] defines Qualified Validation Service for qualified electronic signatures or for
qualified electronic seals, a special type of signature validation service. Annex B provides additional requirements for
EU qualified SVSPs (QSVSP) aiming to fulfil the requirements for qualified validation service for qualified electronic
signatures or for qualified electronic seals as specified by Article 33 of Regulation (EU) No 910/2014 [i.1]. Bodies
wishing to establish policy requirements for signature validation service providers in a regulatory context other than the
EU can build their specifications on the present policy requirements to benefit from global best practices, and specify
any additional requirements in a manner similar to the annex B.

ETSI
7 ETSI TS 119 441 V1.1.1 (2018-08)
1 Scope
The present document, based on the general policy requirements specified in ETSI EN 319 401 [2], specifies policy and
security requirements for signature validation services operated by a TSP.
NOTE 1: Beside signature validation, other signature services, like signature creation, signature augmentation or
signature preservation can also be offered by TSPs. Such services can be provided as stand-alone services
or combined (e.g. augmentation can be used to support a preservation service). The present document
does not provide requirements on signature services beyond validation and does not provide requirements
on how to combine signature related services.
NOTE 2: A distinct Technical Specification (TS) provides policy and security requirements for TSP offering
signature augmentation services as a stand-alone service or in complement to one of the above-mentioned
services.
The present document is aimed at trust services supporting the validation of digital signatures in accordance with
ETSI TS 119 102-1 [3]. It takes into account the relevant requirements for signature validation application specified in
ETSI TS 119 101 [1] as they relate to TSPs.
It is aimed at supporting the validation of digital signatures in European and other regulatory frameworks.
NOTE 3: Specifically, but not exclusively, the present document is aimed at qualified and non-qualified trust
services, supporting the validation of digital signatures in accordance with the requirements of the
Regulation (EU) No 910/2014 [i.1] for validation of electronic signatures and electronic seals (both
advanced and qualified). Annex B complements the requirements for signature validation service
providers offering a Qualified Validation Service for qualified electronic signatures or for qualified
electronic seals as specified by Regulation (EU) No 910/2014 [i.1].
NOTE 4: Specifically, but not exclusively, digital signatures in the present document cover electronic signatures,
advanced electronic signatures, qualified electronic signatures, electronic seals, advanced electronic seals,
and qualified electronic seals as per Regulation (EU) No 910/2014 [i.1].
The present document may be used by competent bodies as the basis for confirming that an organization is trustworthy
in validating digital signatures on behalf of other persons or on its own behalf.
NOTE 5: See ETSI EN 319 403 [i.13] for guidance on assessment of TSP processes and services.
The user's interface is outside the scope of the main TSP service. However, the present document provides in annex D
recommendations for the user's interfaces (for inputting the request and to visualize the validation report).
The TSP has connections with external (trust) services that can be contacted for provisioning validation information, or
to relay the validation request. The present document does not put requirements on the trust service policies applied by
such external services.
The present document identifies specific controls needed to address specific risks associated with validation services.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
ETSI
8 ETSI TS 119 441 V1.1.1 (2018-08)
The following referenced documents are necessary for the application of the present document.
[1] ETSI TS 119 101: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for applications for signature creation and signature validation".
[2] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[3] ETSI TS 119 102-1 (V1.2.1): "Electronic Signatures and Infrastructures (ESI); Procedures for
Creation and Validation of AdES Digital Signatures; Part 1: Creation and Validation".
[4] ISO/IEC 15408 part 1 to 3: "Information technology -- Security techniques -- Evaluation criteria
for IT security".
[5] ISO/IEC 19790: "Information technology -- Security techniques -- Security requirements for
cryptographic modules".
[6] FIPS PUB 140-2: "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] Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic
identification and trust services for electronic transactions in the internal market and repealing
Directive 1999/93/EC.
[i.2] ETSI TR 119 001: "Electronic Signatures and Infrastructures (ESI); The framework for
standardization of signatures; Definitions and abbreviations".
[i.3] ETSI TS 119 102-2: "Elecrtonic Signatures and Infrastructures (ESI); Procedures for Creation and
Validation of AdES Digital Signatures; Part 2: Signature Validation Report".
[i.4] ETSI EN 319 122-1: "Electronic Signatures and Infrastructures (ESI); CAdES digital signatures;
Part 1: Building blocks and CAdES baseline signatures".
[i.5] ETSI EN 319 122-2: "Electronic Signatures and Infrastructures (ESI); CAdES digital signatures;
Part 2: Extended CAdES signatures".
[i.6] ETSI EN 319 132-1: "Electronic Signatures and Infrastructures (ESI); XAdES digital signatures;
Part 1: Building blocks and XAdES baseline signatures".
[i.7] ETSI EN 319 132-2: "Electronic Signatures and Infrastructures (ESI); XAdES digital signatures;
Part 2: Extended XAdES signatures".
[i.8] ETSI EN 319 142-1: "Electronic Signatures and Infrastructures (ESI); PAdES digital signatures;
Part 1: Building blocks and PAdES baseline signatures".
[i.9] ETSI EN 319 142-2: "Electronic Signatures and Infrastructures (ESI); PAdES digital signatures;
Part 2: Additional PAdES signatures profiles".
[i.10] ETSI TS 119 172-1: "Electronic Signatures and Infrastructures (ESI); Signature Policies;
Part 1: Building blocks and table of contents for human readable signature policy documents".
[i.11] ETSI TS 119 172-4: "Electronic Signatures and Infrastructures (ESI); Signature policies;
Part 4: Signature validation policy for European qualified electronic signatures/seals using trusted
lists".
ETSI
9 ETSI TS 119 441 V1.1.1 (2018-08)
[i.12] ETSI TS 119 442: "Electronic Signatures and Infrastructures (ESI); Protocol profiles for trust
service providers providing AdES digital signature validation services".
[i.13] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.14] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.15] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation).
[i.16] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[i.17] 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.18] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:
Certificate profile for web site certificates".
[i.19] ETSI TS 119 172-2: "Electronic Signatures and Infrastructures (ESI); Signature Policies;
Part 2: XML format for signature policies".
[i.20] ETSI TS 119 172-3: "Electronic Signatures and Infrastructures (ESI); Signature Policies;
Part 3: ASN.1 format for signature policies".
[i.21] IETF RFC 3647: "Internet X.509 Public Key Infrastructure Certificate Policy and Certification
Practices Framework".
3 Definitions, abbreviations and notation
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ETSI EN 319 401 [2], in ETSI
TR 119 001 [i.2] and the following apply:
applicability checking: determination whether a signature conform to signature applicability rules
NOTE 1: The applicability checking is a broader concept than validation as covered by the present document: it is
out of scope of the present document.
NOTE 2: The applicability checking can be provided as an adjunct to the signature validation service defined in the
present document.
(signature) commitment type: signer-accepted indication of the exact implication of a digital signature
(signature) creation constraint: criteria used when creating a digital signature
driving application: application that uses a signature creation system to create a signature or a signature validation
application in order to validate digital signatures or a signature augmentation application to augment digital signatures
NOTE: In a signature validation process, the driving application (DA) provides AdES digital signature and other
input to a signature validation application (SVA).
qualified validation service for qualified electronic seals: As specified in Regulation (EU) No 910/2014 [i.1],
Article 40.
qualified validation service for qualified electronic signatures: As specified in Regulation (EU) No 910/2014 [i.1],
Article 33.
ETSI
10 ETSI TS 119 441 V1.1.1 (2018-08)
qualified validation service provider: SVSP that provides qualified validation service for qualified electronic seals or
qualified validation service for qualified electronic signatures
signature acceptance: technical verification to be performed on the signature itself or on the attributes of the signature
(i.e. the "signature elements constraints")
NOTE: The signature acceptance is a technical process defined and specified in ETSI TS 119 102-1 [3] and
performed by a signature validation application (it is thus one part of the signature validation process).
This signature validation application can be managed by a SVSP or can be a stand-alone application on
the relying party environment.
signature applicability rules: set of rules, applicable to one or more digital signatures, that defines the requirements
for determination of whether a signature is fit for a particular business or legal purpose
NOTE 1: Signature applicability rules can be implicit, or can be stated in a human readable document and/or in a
machine processable from. ETSI TS 119 172-1 [i.10] can be used for this purpose.
NOTE 2: Rules in general can be any elements used by a user to decide whether a signature is fit for purpose (e.g.
requirements on the time of signing, on the signer identity, on qualified signatures and statements, on use
the validation report, etc.).
NOTE 3: Applicability rules can include for example:
 one or more signature validation policies containing validation constraints to be checked by the
signature validation application,
 signature validation constraints or rules to be checked in addition to the checks carried out by the
signature validation application.
NOTE 4: The owner of the signature applicability rules is usually the relying party and these rules can be shared by
a community. Signature applicability rules can be handled by an extension to the service provided by the
SVSP that would offer applicability checking and this is out of scope of the present document.
signature class: set of signatures achieving a given functionality
EXAMPLE: Signature with time, signature with long term validation material, Signature providing Long Term
Availability and Integrity of Validation Material are possible signature classes.
signature creation device: configured software or hardware used to implement the signature creation data and to create
a digital signature value
signature validation application: application that validates a signature against a signature validation policy, and that
outputs a status indication (i.e. the signature validation status) and a signature validation report
NOTE: The signature validation application (SVA) is specified in ETSI TS 119 102-1 [3].
signature validation client: component or piece of software that implements the signature validation protocol on the
user's side
signature validation policy: set of signature validation constraints processed or to be processed by the SVA
NOTE 1: A signature validation policy is a purely technical concept. It is one of the inputs of a validation process
(other inputs include the signed data and the signature) that determine the validation result (PASSED,
FAILED or INDETERMINED).
NOTE 2: A signature validation policy can be imposed by signature applicability rules.
signature validation presentation: optional element in the signature validation process that can be used by a verifier to
check the results of a validation process
signature validation report: comprehensive report of the validation provided by the signature validation application to
the DA and allowing the driving application and any party beyond the driving application, to inspect details of the
decisions made during validation and investigate the detailed causes for the status indication provided by the signature
validation application
ETSI
11 ETSI TS 119 441 V1.1.1 (2018-08)
EXAMPLE: Clause 5.1.3 of ETSI TS 119 102-1 [3] specifies minimum requirements for the content of such a
report and ETSI TS 119 102-2 [i.3] specifies such a report.
Signature Validation Service (SVS) policy: set of rules that indicates the applicability of a signature validation service
to a particular community and/or class of application with common security requirements
NOTE: A SVS policy is applicable to a service; it is a specific sub-class of trust service policy as defined in ETSI
EN 319 401 [2]. It relates to the quality and applicability of the service.
signature validation service (SVS) practice statement: statement of the practices and procedures used to address all
the requirements identified for the provision of the signature validation service
NOTE: A signature validation service practice statement is a trust service practice statement that is part of the
SVSP's documentation (see ETSI EN 319 401 [2]).
signature validation service server: component that implements the signature validation protocol and processes the
signature validation on the SVSP's side
signature validation status: one of the following indications: TOTAL-PASSED, TOTAL-FAILED or
INDETERMINATE
signature validation: process of verifying and confirming that a digital signature is technically valid
signature verification: process of checking the cryptographic value of a signature using signature verification data
signer: entity being the creator of a digital signature
signature validation constraint: technical criteria against which a digital signature can be validated, e.g. as specified
in ETSI TS 119 102-1 [3]
EXAMPLE: Criteria can be expressed as an abstract formulation of rule, value, parameter, range and
computation result.
NOTE: Validation constraints can be defined in a formal signature validation policy, can be given in
configuration parameter files or implied by the behaviour of the signature validation application.
user: application or human being interacting with an application on top of a signature validation client
validation: process of verifying and confirming that a certificate or a digital signature is valid
validation data: data that is used to validate a digital signature
validation of qualified electronic signature: As specified in Regulation (EU) No 910/2014 [i.1], Article 32.
validation of qualified electronic seals: As specified in Regulation (EU) No 910/2014 [i.1], Article 40.
validation service: system accessible via a communication network, which validates a digital signature
verifier: entity that wants to validate or verify a digital signature
3.2 Abbreviations
For the purposes of the present document, the abbreviations given in ETSI EN 319 401 [2], in ETSI TR 119 001 [i.2]
and the following apply:
DA Driving Application
OVR OVeRall
PoE Proof of Existence
QES Qualified Electronic Signature or Qualified Electronic Seal
(Q)SCD (Qualified) Signature Creation Device
QSVSP Qualified Signature Validation Service Provider
SD Signer's Document
SDO Signed Data Object
SDR Signed Document Representation
SVA Signature Validation Application
ETSI
12 ETSI TS 119 441 V1.1.1 (2018-08)
SVP Signature Validation Protocol
SVR Signature Validation Report
SVS Signature Validation Service
SVSP Signature Validation Service Provider
SVSServ Signature Validation Service Server
TSA Time Stamping Authority
TSP Trust Service Provider
VPR signature Validation PRocess
3.3 Notation
The requirements identified in the present document include:
a) requirements applicable to any TSP conforming to the present document. Such requirements are indicated by
clauses without any additional marking;
b) requirements applicable under certain conditions. Such requirements are indicated by clauses marked by
"[CONDITIONAL]".
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The elements of services are:
• OVR: General requirement (requirement applicable to more than 1 component)
• SVP: Signature validation protocol
NOTE: Specific protocol requirements are defined in ETSI TS 119 442 [i.12], the present document only
provides policy requirements regarding protocol applicable to the service.
• VPR: Signature validation process
• SVR: Signature validation report
The management of the requirement identifiers for subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digits number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish new requirements.
• The requirement identifier for deleted requirements are left and completed with "VOID".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
4 General concepts
4.1 General policy requirements concepts
The present document is structured in line with ETSI EN 319 401 [2]. It incorporates ETSI EN 319 401 [2]
requirements by reference and adds requirements relevant for a SVSP.
See ETSI EN 319 401 [2], clause 4 for guidance on general policy requirements.
ETSI
13 ETSI TS 119 441 V1.1.1 (2018-08)
4.2 Signature Validation Service applicable documentation
4.2.1 Signature Validation Service Practice Statements
The SVSP develops, implements, enforces, and updates a SVS practice statements which is a trust service practice
statement such as defined in ETSI EN 319 401 [2], instantiated for a signature validation service. See clause 6.1.
The SVS practice statements describe how the SVSP operates its service and is owned by the SVSP. The recipients of
the practice statements can be the auditors, the subscribers and the relying parties.
NOTE: The presence of some elements is mandatory in the SVS practice statement as requested in the present
document, however the present document places no restriction on the form of the SVS practice statement;
it can be included in a general TSP practice statement document that covers other services delivered by
that TSP or a standalone document. Annex A provides a recommended table of content.
The present document provides requirements identified as necessary to support a high-level signature validation service
policy, to be endorsed by a SVSP and reflected in its practice statements.
4.2.2 Signature Validation Service Policy
A SVS policy describes what is offered and can contain diverse information beyond the scope of the present document
to indicate the applicability of the service. The recipients of the service policy can be the subscribers and the relying
parties.
The present document can be referred by such SVS policy to provide information about the level of the service.
SVSPs conforming to the present document's normative requirements except those from annex B may use in its
documentation the following specific OID:
• itu-t(0) identified-organization(4) etsi(0) val-service-policies(19441) policy-identifiers(1) main (1)
QSVSP conforming to the present document's normative requirements including those defined in annex B may use in
its documentation the following specific OID:
• itu-t(0) identified-organization(4) etsi(0) val-service-policies(19441) policy-identifiers(1) qualified (2)
According to ETSI EN 319 401 [2] it is mandatory for a TSP to identify the service policies it supports. For validation
services, such identifier is communicated by the SVSP via the validation responses and/or reports and through the
documentation provided to the subscribers and relying parties.
A SVS policy is not necessarily part of the SVSP's documentation (as per ETSI EN 319 401 [2] a practice statement and
general terms and conditions are sufficient); e.g. a SVS policy can be shared by a community and not owned by the
SVSP. Also, the present document does not put constraints on the form of the SVS policies; a SVS can be a stand-alone
document or be provided as part of the practice statements and/or the general terms and conditions.
The present document does not put any limitation on the content of the SVS policies but it is requested that the SVSP
provides minimal information about the service it offers (see clauses 6.1 and 6.2).
4.2.3 Terms and conditions
In addition to the SVS practice statements and, when issued by the SVSP, the signature validation service policy, the
SVSP also issues terms and conditions, see clause 6.2. The terms and conditions are specific to a SVSP. The recipients
of the terms and conditions can be the subscribers and the relying parties.
NOTE: The presence of some elements is mandatory in the terms and conditions as requested in the present
document, however the present document places no restriction on the form of terms and conditions; it can
be a standalone document for a public audience, or it can be split over subscriber's agreement(s) and
information to relying parties. The form and content of the terms and conditions can also depend on
national regulations.
ETSI
14 ETSI TS 119 441 V1.1.1 (2018-08)
4.2.4 Other documents associated with signature validation
The SVA works on the basis of a signature validation policy as input, i.e. a signature validation is always done against
a signature validation policy. Such signature validation policy, which is the set of signature validation
constraints processed or to be processed by the SVA, can be issued as a human readable document or machine
processable. It can be identified by means of an OID/URI (see clause 8). The SVS can accept several sources of
signature validation policies, including from the user.
Beyond the criteria against which signatures are technically validated, it is important to be able to determine if a
signature is fitting a certain business need. Signature applicability rules can be used for this purpose. They can be
structured as per ETSI TS 119 172-1 [i.10] and can include a signature validation policy containing the validation
constraints to be checked by the SVA, as well as other criteria to be checked beyond the validation process. Going
beyond the scope of a signature validation policy, the signature applicability rules state the rules and assumptions used
by a user to decide whether a signature is fit for purpose and is usually owned by the relying party.
NOTE: The use of signature applicability rules is outside the scope of the present document but can be applied as
an extension to the validation service as covered by the present document.
4.3 Signature Validation Service components
4.3.1 Signature Validation Service actors
The two main actors are the SVSP, which is a Trust Service Provider (TSP) and its subscriber. A SVSP can offer one
or more signature validation services. Within a subscriber's umbrella, user(s) request signature validation.
NOTE: A signature validation service can be combined with a signature augmentation service. The protocol
specified in ETSI TS 119 442 [i.12] supports the request for augmentation with validation.
A user is an application or a human being interacting with an application on top of the signature validation client (see
clause 4.3.2). The requirements in the present document apply to the SVSP, neither to the user nor to the other actors
that can be involved in the provision of signature validation services. Such other actors are listed below to give a
complete picture of the validation landscape, they include:
• The signer can constrain/limit the signature (e.g. by means of a signature (creation) policy, a commitment
type) and this can influence the signature validation
• The signer's related TSPs:
- The TSP having issued the signer's certificate (CA);
- Any TSP that can be implied in the signature generation:
 the TSP handling the (Q)SCD on behalf of the signer;
 the TSP generating the signature;
 TSAs;
 etc.
• Other TSPs:
- TSAs;
- other SVSPs to whom the SVSP can relay a request;
- etc.
• The European or foreign trusted list providers; and
• The European Commission providing the List of Trusted Lists.
ETSI
15 ETSI TS 119 441 V1.1.1 (2018-08)
4.3.2 Architecture
The validation services are broken down into the following components:
• The signature validation client is a component or a piece of software that implements the signature validation
protocol on the user's side. In particular it:
- Requests a signature validation to the signature validation service server (SVSServ);
NOTE 1: It is possible to request the validation of multiple signatures (see ETSI TS 119 442 [i.12]). However, the
present document and ETSI TS 119 442 [i.12] do not specify how to handle the relationships between
multiple signatures, nor how to validate more complex structures such as ASiC.
- Executes the signature validation protocol (SVP) on the user's side;
- When applicable, cares for the validation report presentation;
- The client can incorporate:
 A user interface for manually inputting the request.
 A machine interface for automated requests.
 A user interface to present the report.
NOTE 2: The applicability checking, i.e. the final decision to "accept" a signature on the basis of the validation
report (e.g. according to the reported cause(s) of an indetermination or specific information on the
signature mentioned in the report), can be done by the user (manually), or the client, or the server
(depending on the SVS implementation). This can be done according to signatures applicability rules
such are specified in ETSI TS 119 172-1 [i.10].
• The signature validation service server (SVSServ) which is the component that implements the signature
validation protocol on the SVSP's side. In particular it:
- Executes the signature validation service protocol and processes the signature validation on the SVSP
side;
- Runs the signature validation application (SVA) such as defined in ETSI TS 119 102-1 [3], that
implements the validation algorithm also defined in ETSI TS 119 102-1 [3]. For this purpose, the service
can call external actors e.g. (non-exhaustive list):
 The CA having issued the signer's certificate (for certificate(s) status information services (OCSP),
or repository services to get a CRL).
 The CA of the TSA(s) that have provided timestamps within the signature.
 Other SVSP for complementary checks.
 The European Member States trusted lists,
...