ETSI TS 119 431-1 V1.1.1 (2018-12)

ETSI TS 119 431-1 V1.1.1 (2018-12)






TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for trust service providers;
Part 1: TSP service components operating a remote QSCD /
SCDev

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2 ETSI TS 119 431-1 V1.1.1 (2018-12)



Reference
DTS/ESI-0019431-1
Keywords
e-commerce, electronic signature, remote,
security, trust services
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3 ETSI TS 119 431-1 V1.1.1 (2018-12)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Executive summary . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 8
3 Definition of terms, abbreviations and notations . 8
3.1 Terms . 8
3.2 Abbreviations . 9
3.3 Notation . 10
4 General concepts . 10
4.1 General policy requirements concepts . 10
4.2 Relationships between the TSP issuing certificates and the SSASC . 11
4.3 SSASC applicable documentation . 11
4.3.1 SSASC practice statement . 11
4.3.2 SSASC policy . 11
4.3.3 Terms and conditions . 12
4.4 SSASC sub-component services . 12
5 General provisions on practice statement and policies . 14
5.1 Practice statement requirements . 14
5.2 SCP name and identification . 14
5.3 Participants . 15
5.3.1 SSASP . 15
5.3.2 Subscriber and signer . 15
6 Trust Service Providers practice . 15
6.1 Publication and repository responsibilities . 15
6.2 Signing key initializatio n . 16
6.2.1 Signing key generation . 16
6.2.2 eID means linking . 16
6.2.3 Certificate linking . 17
6.2.4 eID means provision . 17
6.3 Signing key life-cycle operational requirements . 17
6.3.1 Signature activation . 17
6.3.2 Signing key deletion . 18
6.3.3 Signing key backup and recovery . 18
6.4 Facility, management, and operational controls . 18
6.4.1 General . 18
6.4.2 Physical security controls . 18
6.4.3 Procedural controls . 18
6.4.4 Personnel controls . 18
6.4.5 Audit logging procedures . 18
6.4.6 Records archival . 19
6.4.7 Key changeover . 19
6.4.8 Compromise and disaster recovery . 19
6.4.9 SSASP service termination . 19
6.5 Technical security controls . 19
6.5.1 Systems and security management . 19
6.5.2 Systems and operations . 19
6.5.3 Computer security controls . 19
ETSI

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4 ETSI TS 119 431-1 V1.1.1 (2018-12)
6.5.4 Life cycle security controls . 19
6.5.5 Network security controls . 19
6.6 Compliance audit and other assessment . 19
6.7 Other business and legal matters . 20
6.7.1 Fees . 20
6.7.2 Financial responsibility . 20
6.7.3 Confidentiality of business information . 20
6.7.4 Privacy of personal information. 20
6.7.5 Intellectual property rights . 20
6.7.6 Representations and warranties . 20
6.7.7 Disclaimers of warranties . 20
6.7.8 Limitations of liability . 20
6.7.9 Indemnities . 20
6.7.10 Term and termination. 20
6.7.11 Individual notices and communications with participants . 20
6.7.12 Amendments . 20
6.7.13 Dispute resolution procedures. 21
6.7.14 Governing law . 21
6.7.15 Compliance with applicable law . 21
6.7.16 Miscellaneous provisions . 21
6.8 Other provisions . 21
6.8.1 Organizational . 21
6.8.2 Additional testing . 21
6.8.3 Disabilities . 21
6.8.4 Terms and conditions . 21
7 Framework for definition of server signing application service component policy built on the
present document . 21
Annex A (normative): Specific requirements related to Regulation (EU) No 910/2014 . 23
A.1 SSASP as a Qualified TSP . 23
A.2 Policy name and identification . 23
A.3 General requirements . 23
A.4 Signing key generation . 23
A.5 Signature activation . 23
A.6 Signature activation data management . 24
Annex B (informative): Regulation and EU SSASC policy mapping . 25
Annex C (informative): Scope of remote signing standards . 28
C.1 Scope of remote signing standards . 28
History . 29


ETSI

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5 ETSI TS 119 431-1 V1.1.1 (2018-12)
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).
The present document is part 1 of a multi-part deliverable covering policy and security requirements for Trust Service
Providers providing remote signature, as identified below:
Part 1: "TSP service components operating a remote QSCD / SCDev";
Part 2: "TSP service components supporting AdES digital signature creation".
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.
Executive summary
The present document specifies policy and security requirements for TSP service components operating a digital
signature creation device, including a QSCD (Qualified Signature/Seal Creation Device) as defined in Regulation (EU)
No 910/2014 [i.1] to create a digital signature value on behalf of a remote signer.
These requirements are based on the general policy requirements specified in ETSI EN 319 401 [1] and take into
account related requirements for certificate issuance in ETSI EN 319 411-1 [2].
The requirements of the present document are aligned with the requirements specified in CEN EN 419 241-1 [3].
ETSI

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6 ETSI TS 119 431-1 V1.1.1 (2018-12)
Introduction
When digital signatures are created in an entirely user-managed environment, it is assumed that the signature creation
data is under the control of the signer, who is physically in possession of the signature creation device.
For remote digital signature creation, the signature creation data is maintained and managed by a third party on behalf
of the signer. To guarantee that the signature creation environment is reliable and that the signature creation data is used
under the control of the signer, the provider of the remote digital signature service has to apply specific management
and administrative security procedures and use trustworthy systems and products, including secure electronic
communication channels.

ETSI

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7 ETSI TS 119 431-1 V1.1.1 (2018-12)
1 Scope
The present document specifies generally applicable policy and security requirements for Trust Service Providers (TSP)
implementing a service component operating a remote signature creation device (SCDev). Specific requirements apply
when the device is a QSCD as defined in Regulation (EU) No 910/2014 [i.1].
The service component consists of a signing application and a QSCD / SCDev. The term used in the present document
is server signing application service component (SSASC).
The policy and security requirements are defined in terms of requirements for creation, maintenance, life-cycle
management and use of signing keys used to create digital signatures.
The present document gives no restrictions on the type of TSP implementing such a component.
The present document is aimed to be used by independent bodies as the basis for a conformity assessment that a TSP
can be trusted for operating a remote QSCD / SCDev.
The present document supports European and other regulatory frameworks.
NOTE 1: Specifically, but not exclusively, the present document is aimed at qualified and non-qualified trust
service providers, providing the creation of digital signatures supporting electronic signatures and
electronic seals (both advanced and qualified) in accordance with the requirements of Regulation (EU)
No 910/2014 [i.1]. Annex A contains requirements that are specific for an SSASC in the context of
Regulation (EU) No 910/2014 [i.1].
The present document does neither specify how fulfilment of the requirements can be assessed by an independent
conformity assessment body, nor requirements for information to be made available to such independent assessors, or
requirements on such assessors.
NOTE 2: See ETSI EN 319 403 [i.3] for guidance on assessment of a TSP's processes and services.
NOTE 3: The present document references ETSI EN 319 401 [1] for general policy requirements common to all
TSP services covered by ETSI standards.
The present document does not specify protocols used to access the SSASC.
NOTE 4: Protocols for remote digital signature creation are defined in ETSI TS 119 432 [i.4].
The present document identifies specific controls needed to address risks associated with services operating remote
QSCD / SCDev.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
[1] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
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8 ETSI TS 119 431-1 V1.1.1 (2018-12)
[2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[3] CEN EN 419 241-1: "Trustworthy Systems Supporting Server Signing - Part 1: General System
Security Requirements".
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 EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.4] ETSI TS 119 432: "Electronic Signatures and Infrastructures (ESI); Protocols for remote digital
signature creation".
[i.5] IETF RFC 3647: "Internet X.509 Public Key Infrastructure - Certificate Policy and Certification
Practices Framework".
[i.6] ISO/IEC 15408: "Information technology -- Security techniques -- Evaluation criteria for IT
security".
[i.7] ISO/IEC 18014-2: "Information technology -- Security techniques -- Time-stamping services --
Part 2: Mechanisms producing independent tokens".
[i.8] CEN EN 419 241-2: "Trustworthy Systems Supporting Server Signing Part 2: Protection Profile
for QSCD for Server Signing".
[i.9] CEN 419 221-5: " Protection Profiles for TSP Cryptographic Modules - Part 5: Cryptographic
Module for Trust Services".
[i.10] ETSI 119 431-2: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 2: TSP service components supporting AdES digital
signature creation".
3 Definition of terms, abbreviations and notations
3.1 Terms
For the purposes of the present document, the terms given ETSI TR 119 001 [i.2] and the following apply:
NOTE: Where a definition is copied from a referenced document this is indicated by inclusion of the reference
identifier number at the end of the definition.
authentication: provision of assurance in the claimed identity of an entity
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9 ETSI TS 119 431-1 V1.1.1 (2018-12)
NOTE: As defined in ISO/IEC 18014-2 [i.7].
digital signature value: result of the cryptographic transformation of a data unit that allows a recipient of the data unit
to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient
electronic identification (eID): process of using person identification data in electronic form uniquely representing
either a natural or legal person, or a natural person representing a legal person
NOTE: As defined in Regulation (EU) No 910/2014 [i.1].
electronic identification means: material and/or immaterial unit containing person identification data and which is
used for authentication for an online service
NOTE: As defined in Regulation (EU) No 910/2014 [i.1].
electronic identification means reference: data used in the SSASC as a reference to an electronic identification means
in order to authenticate the signer
EXAMPLE: When the eID means uses asymmetric keys, the public key can be the reference.
When a signed assertion is generated after a successful authentication of the signer, the assertion
signer id and the user id can be the reference.
When the eID means uses a secret key (e.g. one time password generator) the secret key can be the
reference.
person identification data: set of data enabling the identity of a natural or legal person, or a natural person
representing a legal person to be established
NOTE: As defined in Regulation (EU) No 910/2014 [i.1]
qualified electronic signature/seal creation device (QSCD): as specified in Regulation (EU) No 910/2014 [i.1]
remote signature creation device: signature creation device used remotely from signer perspective and provides
control of signing operation on the signer's behalf
server signing application service component (SSASC): TSP service component employing a server signing
application to create a digital signature value on behalf of a signer
server signing application service provider (SSASP): TSP operating a server signing application service component
signature creation device (SCDev): configured software or hardware used to implement the signature creation data
and to create a digital signature value
trust service: electronic service that enhances trust and confidence in electronic transactions
trust service provider (TSP): entity which provides one or more trust services
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
eID electronic IDentification
EUSCP EU SSASC Policy
LSCP Lightweight SSASC Policy
NCP Normalized Certificate Policy
NSCP Normalized SSASC Policy
OID Object IDentifier
QSCD Qualified electronic Signature/Seal Creation Device
SCDev Signature Creation Device
SCP SSASC Policy
SSASC Server Signing Application Service Component
SSASP Server Signing Application Service Provider
TSP Trust Service Provider
ETSI

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