ETSI TS 119 102-1 V1.2.1 (2018-08)

TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Procedures for Creation and Validation
of AdES Digital Signatures;
Part 1: Creation and Validation

2 ETSI TS 119 102-1 V1.2.1 (2018-08)

Reference
RTS/ESI-0019102-1-TSversion
Keywords
electronic signature, security, trust services
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ETSI
3 ETSI TS 119 102-1 V1.2.1 (2018-08)
Contents
Intellectual Property Rights . 7
Foreword . 7
Modal verbs terminology . 7
Introduction . 7
1 Scope . 8
2 References . 8
2.1 Normative references . 8
2.2 Informative references . 9
3 Definitions and abbreviations . 10
3.1 Definitions . 10
3.2 Abbreviations . 13
4 Signature creation . 13
4.1 Signature creation model . 13
4.2 Signature creation information model . 15
4.2.1 Introduction. 15
4.2.2 Signature Creation Constraints . 16
4.2.3 Signer's document (SD) . 16
4.2.4 Signer's document representation (SDR) . 17
4.2.5 Signature attributes . 17
4.2.5.1 General requirements . 17
4.2.5.2 Signing certificate identifier . 17
4.2.5.3 Signature policy identifier . 18
4.2.5.4 Signature policy store . 18
4.2.5.5 Data content type . 18
4.2.5.6 Commitment type indication . 18
4.2.5.7 Counter signatures . 19
4.2.5.8 Claimed signing time . 19
4.2.5.9 Claimed signer location . 19
4.2.5.10 Signer's attributes . 19
4.2.6 Data to be signed (DTBS) . 19
4.2.7 Data to be signed (formatted) (DTBSF) . 20
4.2.8 Data to be signed representation (DTBSR) . 20
4.2.9 Signature . 20
4.2.10 Signed data object (SDO) . 20
4.2.11 Validation data . 20
4.3 Signature Classes and Creation Processes . 21
4.3.1 Introduction. 21
4.3.2 Creation of Basic Signatures . 22
4.3.2.1 Description . 22
4.3.2.2 Inputs . 22
4.3.2.3 Outputs . 22
4.3.2.4 Processing . 23
4.3.2.4.1 Selection of documents to sign . 23
4.3.2.4.2 Signature attribute and parameters selection . 23
4.3.2.4.3 Pre-signature presentation . 23
4.3.2.4.4 Signature invocation . 24
4.3.2.4.5 Signing. 24
4.3.2.4.6 Signer authentication . 24
4.3.2.4.7 SDO composition . 24
4.3.3 Creation of a Signature with Time . 25
4.3.3.1 Description . 25
4.3.3.2 Inputs . 25
4.3.3.3 Outputs . 25
4.3.3.4 Process . 25
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4 ETSI TS 119 102-1 V1.2.1 (2018-08)
4.3.4 Creation of Signatures with Long-Term Validation Material . 26
4.3.4.1 Description . 26
4.3.4.2 Inputs . 26
4.3.4.3 Outputs . 26
4.3.4.4 Process . 27
4.3.5 Creation of Signatures providing Long Term Availability and Integrity of Validation Material . 27
4.3.5.1 Description . 27
4.3.5.2 Inputs . 28
4.3.5.3 Outputs . 28
4.3.5.4 Process . 28
5 Signature validation . 28
5.1 Signature validation model . 28
5.1.1 General requirements . 28
5.1.2 Selecting validation processes . 31
5.1.3 Status indication of the signature validation process and signature validation report. 32
5.1.4 Validation constraints . 38
5.1.4.1 General requirements . 38
5.1.4.2 X.509 Validation Constraints . 39
5.1.4.3 Cryptographic Constraints . 39
5.1.4.4 Signature Elements Constraints . 39
5.2 Basic building blocks . 39
5.2.1 Description . 39
5.2.2 Format Checking . 40
5.2.2.1 Description . 40
5.2.2.2 Inputs . 40
5.2.2.3 Outputs . 40
5.2.3 Identification of the signing certificate . 40
5.2.3.1 Description . 40
5.2.3.2 Inputs . 40
5.2.3.3 Outputs . 40
5.2.3.4 Processing . 40
5.2.4 Validation context initialization . 41
5.2.4.1 Description . 41
5.2.4.2 Inputs . 41
5.2.4.3 Outputs . 41
5.2.4.4 Processing . 42
5.2.5 Revocation freshness checker . 42
5.2.5.1 Description . 42
5.2.5.2 Inputs . 42
5.2.5.3 Output . 43
5.2.5.4 Processing . 43
5.2.6 X.509 certificate validation . 43
5.2.6.1 Description . 43
5.2.6.2 Inputs . 44
5.2.6.3 Outputs . 44
5.2.6.4 Processing . 44
5.2.7 Cryptographic verification . 46
5.2.7.1 Description . 46
5.2.7.2 Inputs . 46
5.2.7.3 Outputs . 47
5.2.7.4 Processing . 47
5.2.8 Signature acceptance validation (SAV) . 47
5.2.8.1 Description . 47
5.2.8.2 Inputs . 48
5.2.8.3 Outputs . 48
5.2.8.4 Processing . 48
5.2.8.4.1 General requirements . 48
5.2.8.4.2 Processing AdES attributes . 49
5.2.9 Signature validation presentation building block . 50
5.3 Validation process for Basic Signatures . 51
5.3.1 Description . 51
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5 ETSI TS 119 102-1 V1.2.1 (2018-08)
5.3.2 Inputs . 51
5.3.3 Outputs . 51
5.3.4 Processing . 51
5.4 Time-stamp validation building block . 53
5.4.1 Description . 53
5.4.2 Inputs . 54
5.4.3 Outputs . 54
5.4.4 Processing . 54
5.5 Validation process for Signatures with Time and Signatures with Long-Term Validation Material . 54
5.5.1 Description . 54
5.5.2 Inputs . 55
5.5.3 Outputs . 55
5.5.4 Processing . 55
5.6 Validation process for Signatures providing Long Term Availability and Integrity of Validation
Material . 58
5.6.1 Introduction. 58
5.6.2 Additional building blocks . 58
5.6.2.1 Past certificate validation . 58
5.6.2.1.1 Description . 58
5.6.2.1.2 Input . 59
5.6.2.1.3 Output . 59
5.6.2.1.4 Processing . 59
5.6.2.2 Validation time sliding process . 60
5.6.2.2.1 Description . 60
5.6.2.2.2 Input . 60
5.6.2.2.3 Output . 60
5.6.2.2.4 Processing . 60
5.6.2.3 POE extraction . 62
5.6.2.3.1 Description . 62
5.6.2.3.2 Input . 62
5.6.2.3.3 Output . 62
5.6.2.3.4 Processing . 62
5.6.2.4 Past signature validation building block . 63
5.6.2.4.1 Description . 63
5.6.2.4.2 Input . 63
5.6.2.4.3 Output . 63
5.6.2.4.4 Processing . 63
5.6.3 Validation Process for Signatures providing Long Term Availability and Integrity of Validation
Material . 64
5.6.3.1 Description . 64
5.6.3.2 Input . 64
5.6.3.3 Output . 64
5.6.3.4 Processing . 65
Annex A (informative): Validation examples . 68
A.1 General remarks and assumptions . 68
A.2 Symbols . 68
A.3 Example 1: Revoked certificate . 69
A.3.1 Introduction . 69
A.3.2 Basic signature validation . 69
A.3.3 Validating a Signature with Time . 70
A.3.4 Example 2: Revoked CA certificate . 70
A.3.5 Basic signature validation . 71
A.3.6 Validation of a Signature with Time . 71
A.3.7 Long-Term Validation . 72
Annex B (informative): Signature Classes and AdES Signatures . 75
Annex C (informative): Applicability rules checking and format conformance check . 76
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6 ETSI TS 119 102-1 V1.2.1 (2018-08)
C.1 Applicability checking . 76
C.2 Format conformance. 76
Annex D (informative): Change History . 78
History . 79

ETSI
7 ETSI TS 119 102-1 V1.2.1 (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).
The present document is part 1 of a multi-part deliverable covering Procedures for Creation and Validation of AdES
Digital Signatures, as identified below:
• Part 1: "Creation and Validation";
• Part 2: "Signature Validation Report".
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
The present document aims to meet the general requirements of the international community to provide trust and
confidence in electronic transactions, including, amongst other, applicable requirements from Regulation (EU)
No 910/2014 [i.15].
ETSI
8 ETSI TS 119 102-1 V1.2.1 (2018-08)
1 Scope
The present document specifies procedures for:
• the creation of AdES digital signatures (specified in ETSI EN 319 122-1 [i.2], ETSI EN 319 132-1 [i.4], ETSI
EN 319 142-1 [i.6] respectively);
• establishing whether an AdES digital signature is technically valid;
whenever the AdES digital signature is based on public key cryptography and supported by public key certificates. To
improve readability of the present document, AdES digital signatures are meant when the term signature is being used.
NOTE 1: Regulation (EU) No 910/2014 [i.15] defines the terms electronic signature, advanced electronic signature,
electronic seals and advanced electronic seal. These signatures and seals are usually created using digital
signature technology. The present document aims at supporting the Regulation (EU) No 910/2014 [i.15]
for creation and validation of advanced electronic signatures and seals when they are implemented as
AdES digital signatures.
The present document introduces general principles, objects and functions relevant when creating or validating
signatures based on signature creation and validation constraints and defines general classes of signatures that allow for
verifiability over long periods.
The following aspects are considered to be out of scope:
• generation and distribution of Signature Creation Data (keys, etc.), and the selection and use of cryptographic
algorithms;
• format, syntax or encoding of data objects involved, specifically format or encoding for documents to be
signed or signatures created; and
• the legal interpretation of any signature, especially the legal validity of a signature.
NOTE 2: The signature creation and validation procedures specified in the present document provide several
options and possibilities. The selection of these options is driven by a signature creation policy, a
signature augmentation policy or a signature validation policy respectively. Note that legal requirements
can be provided through specific policies, e.g. in the context of qualified electronic signatures as defined
in the Regulation (EU) 910/2014 [i.15].
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] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[2] ISO/IEC 9594-8:2014: "Information technology -- Open Systems Interconnection -- The Directory
-- Part 8: Public-key and attribute certificate frameworks".
[3] IETF RFC 3161: "Internet X.509 Public Key Infrastructure; Time Stamp Protocol (TSP)".
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9 ETSI TS 119 102-1 V1.2.1 (2018-08)
[4] 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".
[5] T7 & Teletrust: "Common PKI Specifications for Interoperable Applications", Specification Part 9
SigG-Profile, Version 2.0, 20 January 2009.
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] IETF RFC 4158: "Internet X.509 Public Key Infrastructure: Certification Path Building".
[i.2] ETSI EN 319 122-1: "Electronic Signatures and Infrastructures (ESI); CAdES digital signatures;
Part 1: Building blocks and CAdES baseline signatures".
[i.3] ETSI EN 319 122-2: "Electronic Signatures and Infrastructures (ESI); CAdES digital signatures;
Part 2: Extended CAdES signatures".
[i.4] ETSI EN 319 132-1: "Electronic Signatures and Infrastructures (ESI); XAdES digital signatures;
Part 1: Building blocks and XAdES baseline signatures".
[i.5] ETSI EN 319 132-2: "Electronic Signatures and Infrastructures (ESI); XAdES digital signatures;
Part 2: Extended XAdES signatures".
[i.6] ETSI EN 319 142-1: "Electronic Signatures and Infrastructures (ESI); PAdES digital signatures;
Part 1: Building blocks and PAdES baseline signatures".
[i.7] ETSI EN 319 142-2: "Electronic Signatures and Infrastructures (ESI); PAdES digital signatures;
Part 2: Additional PAdES signatures profiles".
[i.8] IETF RFC 5652: "Cryptographic Message Syntax (CMS)".
[i.9] IETF RFC 4998: "Evidence Record Syntax (ERS)".
[i.10] IETF RFC 6283: "Extensible Markup Language Evidence Record Syntax (XMLERS)".
[i.11] Void.
[i.12] IETF RFC 6960: "X.509 Internet Public Key Infrastructure Online Certificate Status Protocol -
OCSP".
[i.13] ETSI EN 319 422: "Electronic Signatures and Infrastructures (ESI); Time-stamping protocol and
time-stamp token profiles".
[i.14] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".
[i.15] 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.16] IETF RFC 3852: "Cryptographic Message Syntax (CMS)".
[i.17] ETSI TS 119 442: "Electronic Signatures and Infrastructures (ESI); Protocol profiles for trust
service providers providing AdES digital signature validation services".
[i.18] ETSI TS 119 102-2: "Elecrotonic Signatures and Infrastructures (ESI); Procedures for Creation
and Validation of AdES Digital Signatures; Part 2: Signature Validation Report".
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10 ETSI TS 119 102-1 V1.2.1 (2018-08)
3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the following terms and definitions apply:
attribute authority: authority which assigns privileges by issuing attribute certificates
attribute certificate: data structure, digitally signed by an attribute authority, that binds some attribute values with
identification information about its holder
certificate: See public key certificate.
certificate identifier: unambiguous identifier of a certificate
certificate path (chain) validation: process of verifying and confirming that a certificate path (chain) is valid
certificate revocation list: signed list indicating a set of certificates that are no longer considered valid by the
certificate issuer
certificate validation: process of verifying and confirming that a certificate is valid
certification authority: authority trusted by one or more users to create and assign public-key certificates
chain model: model for validation of X.509 certificate chains where all CA certificates have to be valid at the time they
were used for issuing a certificate and the end-entity certificate was valid when creating the signature
claimed signing time: time of signing claimed by the signer which on its own does not provide independent evidence
of the actual signing time
(signature) commitment type: signer-selected indication of the exact implication of a digital signature
(signature) creation constraint: criteria used when creating a digital signature
cryptographic suite: combination of a signature scheme with a padding method and a cryptographic hash function
detached (digital) signature: digital signature that, with respect to the signed data object, is neither enveloping nor
enveloped
digital signature: data appended to, or a cryptographic transformation of a data unit that allows a recipient of the data
unit to prove the source and integrity of the data unit and protect against forgery e.g. by the recipient
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
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
electronic document: any content stored in electronic form, in particular text or sound, visual or audiovisual recording
enveloped (digital) signature: digital signature embedded within the signed data object
enveloping (digital) signature: digital signature embedding the signed data object
evidence: information that can be used to resolve a dispute about various aspects of authenticity of archived data
objects
evidence record: unit of data, which can be used to prove the existence of an archived data object or an archived data
object group at a certain time
NOTE: See IETF RFC 4998 [i.9] and IETF RFC 6283 [i.10].
proof of existence: evidence that proves that an object existed at a specific date/time
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11 ETSI TS 119 102-1 V1.2.1 (2018-08)
prospective certificate chain: sequence of n certificates which satisfies the conditions (a) to (c) in IETF RFC 5280 [1]
clause 6.1, and the trust anchor is trusted according to the signature validation policy in use
public key certificate: public key of an entity, together with some other information, rendered unforgeable by digital
signature with the private key of the certification authority which issued it
shell model: model for validation of X.509 certificate chains where all certificates have to be valid at a given time
NOTE: The given time is an input parameter to the validation.
signature acceptance: technical verification to be performed on the signature itself or on the attributes of the signature
(i.e. the "signature elements constraints")
signature attribute: signature property
signature augmentation: process of incorporating to a digital signature information aiming to maintain the validity of
that signature over the near term and/or the long term
NOTE 1: Augmenting signatures is the process by which certain material (e.g. time stamps, validation data and
even archival-related material) is incorporated to the signatures for making them more resilient to change
or for enlarging their longevity.
NOTE 2: This covers collection of information and creation of new structures that allows performing, on the long
term, validations of a signature.
signature augmentation constraint: technical criteria used when augmenting a signature to a specific signature class
signature augmentation policy: set of signature augmentation constraints
NOTE 1: An augmentation policy can be unique
...