SIST EN 319 521 V1.1.1:2019

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Electronic Signatures and Infrastructures (ESI) - Policy and security requirements for Electronic Registered Delivery Service Providers35.040.01Kodiranje informacij na splošnoInformation coding in generalICS:Ta slovenski standard je istoveten z:ETSI EN 319 521 V1.1.1 (2019-02)SIST EN 319 521 V1.1.1:2019en01-april-2019SIST EN 319 521 V1.1.1:2019SLOVENSKI

ETSI EN 319 521 V1.1.1 (2019-02) Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Electronic Registered Delivery Service Providers

Reference DEN/ESI-0019521 Keywords e-delivery services, policy requirements, registered e-delivery services, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE

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ETSI ETSI EN 319 521 V1.1.1 (2019-02) 3 Contents Intellectual Property Rights ................................................................................................................................ 5 Foreword ............................................................................................................................................................. 5 Modal verbs terminology .................................................................................................................................... 5 Introduction ........................................................................................................................................................ 5 1 Scope ........................................................................................................................................................ 7 2 References ................................................................................................................................................ 7 2.1 Normative references ......................................................................................................................................... 7 2.2 Informative references ........................................................................................................................................ 7 3 Definition of terms, abbreviations and notation ....................................................................................... 8 3.1 Terms .................................................................................................................................................................. 8 3.2 Abbreviations ..................................................................................................................................................... 9 3.3 Notation .............................................................................................................................................................. 9 4 General provision on policies and practices ............................................................................................. 9 4.1 ERDSP Practice statement ................................................................................................................................. 9 4.1.1 Common provisions ...................................................................................................................................... 9 4.1.2 Practice statement for EU QERDSP ........................................................................................................... 10 4.2 Terms and conditions ....................................................................................................................................... 10 4.3 Information security policy .............................................................................................................................. 11 5 General provision on ERDS ................................................................................................................... 11 5.1 User content integrity and confidentiality ........................................................................................................ 11 5.1.1 Common provisions .................................................................................................................................... 11 5.1.2 Provisions for EU QERDSP ....................................................................................................................... 11 5.2 Users Identification and Authentication ........................................................................................................... 12 5.2.1 Provisions for EU QERDSP initial identity verification ............................................................................. 12 5.2.1.1 General .................................................................................................................................................. 12 5.2.1.2 Recipient identification and handover of user content .......................................................................... 12 5.2.2 Provisions for EU QERDS authentication .................................................................................................. 12 5.3 Time reference .................................................................................................................................................. 13 5.3.1 Common provisions .................................................................................................................................... 13 5.3.2 Provisions for EU QERDS ......................................................................................................................... 13 5.4 Events and evidence ......................................................................................................................................... 13 5.4.1 Common provisions .................................................................................................................................... 13 5.4.2 Provisions for EU QERDS ......................................................................................................................... 14 5.5 Interoperability ................................................................................................................................................. 14 6 Risk Assessment ..................................................................................................................................... 15 7 ERDSP management and operation ....................................................................................................... 15 7.1 Internal organization......................................................................................................................................... 15 7.1.1 Organization reliability ............................................................................................................................... 15 7.1.2 Segregation of duties .................................................................................................................................. 15 7.2 Human resources .............................................................................................................................................. 15 7.2.1 Common provisions .................................................................................................................................... 15 7.2.2 Provisions for EU QERDS ......................................................................................................................... 15 7.3 Asset management ............................................................................................................................................ 15 7.3.1 General requirements .................................................................................................................................. 15 7.3.2 Media handling ........................................................................................................................................... 15 7.4 Access control .................................................................................................................................................. 15 7.5 Cryptographic controls ..................................................................................................................................... 16 7.6 Physical and environmental security ................................................................................................................ 16 7.7 Operation security ............................................................................................................................................ 17 7.8 Network security .............................................................................................................................................. 17 7.9 Incident management ....................................................................................................................................... 17 7.10 Collection of evidence for ERDSP internal services ........................................................................................ 17 SIST EN 319 521 V1.1.1:2019

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 4 7.11 Business continuity management ..................................................................................................................... 17 7.12 ERDSP termination and ERDS termination plans ............................................................................................ 18 7.13 Compliance....................................................................................................................................................... 18 History .............................................................................................................................................................. 19

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 5 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: 1 February 2019 Date of latest announcement of this EN (doa): 31 May 2019 Date of latest publication of new National Standard or endorsement of this EN (dop/e):

30 November 2019 Date of withdrawal of any conflicting National Standard (dow): 30 November 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. Introduction 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, 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 by interested parties. It is common practice to implement evidence as digitally signed data. SIST EN 319 521 V1.1.1:2019

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 6 The above stated ERDS concept can be implemented in diverse ways, using different formats for identifiers and evidences, using different protocols for messaging, and even different message delivery models. It is expected that the provision of these kind of services and the providers themselves will be suitably regulated within different regulatory or legal framework. Particularly within the European Union 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 (Regulation (EU) No 910/2014 hereinafter) [i.1] 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. Regulation (EU) No 910/2014 [i.1] defines the so-called Qualified Electronic Registered Delivery Services (QERDS hereinafter). QERDS is a special type of ERDS. Both the service and the provider providing it meet a number of additional requirements that the regular ERDS and its providers do not need to meet.

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 7 1 Scope The present document specifies generally applicable policy and security requirements for Electronic Registered Delivery Services Providers (ERDSP), including the services they provide. The present document is applicable to: • the policy and security requirements of the ERDSP and EU qualified ERDSP; • the general and security requirements of Electronic Registered Delivery Services (ERDS) and EU qualified ERDS in terms of message integrity; protection against loss, theft, damage or any unauthorized alteration of the data transmitted; sender and recipient strong identification; time reference; and proof of data's sending and receiving.

The present document does not specify interconnection requirements. 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". [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". 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 of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. [i.2] ETSI EN 319 102-1: "Electronic Signatures and Infrastructures (ESI); Procedures for Creation and Validation of AdES Digital Signatures; Part 1: Creation and Validation". [i.3] ISO 29115: "Information technology -- Security techniques -- Entity authentication assurance framework". SIST EN 319 521 V1.1.1:2019

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 8 [i.4] NIST SP 800-63B: "Digital Identity Guidelines Authentication and Lifecycle Management". [i.5] Commission Implementing Regulation (EU) 2015/1502 of 8 September 2015 on setting out minimum technical specifications and procedures for assurance levels for electronic identification means pursuant to Article 8(3) of 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 (Text with EEA relevance). [i.6] ETSI EN 319 522-1: "Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 1: Framework and Architecture". [i.7] ETSI EN 319 522-2: "Electronic Signatures and Infrastructures (ESI); Electronic Registered Delivery Services; Part 2: Semantic content". 3 Definition of terms, abbreviations and notation 3.1 Terms For the purposes of the present document, the terms given in ETSI EN 319 401 [1] and the following apply: consignment: act of making the user content available to the recipient, within the boundaries of the electronic registered delivery service Electronic Registered Delivery Service (ERDS): electronic service that makes it possible to transmit data between the sender and recipients by electronic means and provides evidence relating to the handling of the transmitted data, including proof of sending and receiving the data, and that protects transmitted data against the risk of loss, theft, damage or any unauthorized alterations NOTE: An electronic registered delivery service is provided by one ERDSP. ERDSPs can cooperate in transferring data from a sender to a recipient when they are subscribed to different ERDSPs. See 4-corner and extended models in clauses 4.3 and 4.4 of ETSI EN 319 522-1 [i.6].

Electronic Registered Delivery Service (ERDS) evidence: data generated within the electronic registered delivery service, which aims to prove that a certain event has occurred at a certain time Electronic Registered Delivery Service (ERDS) practice statement: statement of the practices that an electronic registered delivery service provider employs in providing its services NOTE: See clause 4 for further information on practice statement. Electronic Registered Delivery Service Provider (ERDSP): trust service provider which provides electronic registered delivery service NOTE: It can be a Trust Service Provider as defined in Regulation (EU) No 910/2014 [i.1]. ERD user agent/application: system consisting of software and/or hardware components by which senders and recipients participate in the exchange of data with electronic registered delivery service providers handover: act of having the user content successfully cross the border of the recipient's electronic registered delivery service towards the recipient's ERD user agent/application Qualified Electronic Registered Delivery Service (QERDS): As specified in Regulation (EU) No 910/2014 [i.1]. Qualified Electronic Registered Delivery Service Provider (QERDSP): trust service provider which provides qualified electronic registered delivery services recipient: natural or legal person to which the user content is addressed sender: natural or legal person that submits the user content NOTE: In the present document, recipients and senders are assumed to be natural or legal persons.

user content: original data produced by the sender which has to be delivered to the recipient SIST EN 319 521 V1.1.1:2019

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 9 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: ERDS Electronic Registered Delivery Service ERDSP Electronic Registered Delivery Service Provider NCP Normalized Certificate Policy PKI Public Key Infrastructure QERDS Qualified Electronic Registered Delivery Service QERDSP Qualified Electronic Registered Delivery Service Provider QTSP Qualified Trust Service Provider REQ REQuirement TLS Transport Layer Security TSP Trust Service Provider 3.3 Notation The requirements identified in the present document include: a) requirements applicable to any ERDSP and ERDS provided. 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]"; c) requirements that include several choices which ought to be selected according to the applicable situation. Such requirements are indicated by clauses marked by "[CHOICE]"; d) - <4-6 letters type of service, whether EU qualified (QERDS / QERDSP) or non EU qualified (ERDS / ERDSP)> < the clause number> - <2 digit number - incremental>.optional<1 lowercase letter ) to distinct elements from a list>. All ERDS and ERDSP requirements apply to QERDS and QERDSP. 4 General provision on policies and practices 4.1 ERDSP Practice statement 4.1.1 Common provisions • REQ-ERDS-4.1.1-01 All requirements from ETSI EN 319 401 [1], clause 6.1 shall apply. • REQ-ERDS-4.1.1-02 The ERDS set of policies and practices shall be approved by the ERDSP management, published and communicated to its employees and external parties as relevant. • REQ-ERDS-4.1.1-03 The ERDSP shall have an ERDS practice statement publicly available on its website or any other electronic means, containing the practices and procedures used to address the requirements on both the ERDSP and the ERDS provided. NOTE: The ERDSP is not obliged to disclose any aspects containing sensitive information. • REQ-ERDS-4.1.1-04 The ERDSP shall define a review process for the practices including responsibilities for maintaining the ERDS practice statement and a process to notify changes it intends to make in its ERDS practice statement. • REQ-ERDS-4.1.1-05 The ERDS practice statement shall identify the obligations of all external organizations supporting the provision of ERDS including the applicable policies and practices. SIST EN 319 521 V1.1.1:2019

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 10 • REQ-ERDS-4.1.1-06 The ERDS practice statement shall specify the means used to report any modifications to user content before consignment/ handover. • REQ-ERDS-4.1.1-07 The ERDS practice statement shall describe how sender and recipient are identified and authenticated to the service. • REQ-ERDS-4.1.1-08 The ERDS practice statement shall include a description on how the ERDS provision ensures the security of transmission against any risk of loss, theft, damage or any unauthorized alterations. • REQ-ERDS-4.1.1-09 The ERDS practice statement shall include the sender, recipient and other relying parties obligations. • REQ-ERDS-4.1.1-10 The ERDS practice statement shall state which event types related to the delivery process the ERDS provides evidence for. • REQ-ERDS-4.1.1-11 The ERDS practice statement shall include information on how to get evidence relating to the handling of the transmitted data. • REQ-ERDS-4.1.1-12 The ERDS practice statement shall include any possible limitations on the evidence validity period. 4.1.2 Practice statement for EU QERDSP In addition, for EU QERDSP and EU QERDS, the following specific requirements apply: • REQ-QERDS-4.1.2-01 The QERDS practice statement shall include a clear statement indicating that the policy is for qualified ERDS as per Regulation (EU) No 910/2014 [i.1]. • REQ-QERDS-4.1.2-02 The QERDS practice statement shall include the complete list of QTSPs involved in the provision of the QERDS. EXAMPLE: Time-stamping service, TSPs issuing certificates, etc. • REQ-QERDS-4.1.2-03 The QERDS practice statement shall include any limitations on the use of the QERDS. • REQ-QERDS-4.1.2-04 The QERDS practice statement shall include the retention period actually applied to the evidence as per clause 5.4.1 and, where applicable, the modalities of reversibility and portability. • REQ-QERDS-4.1.2-05 The QERDS practice statement shall state the provisions made for termination of service. 4.2 Terms and conditions • REQ-ERDS-4.2-01 All requirements from ETSI EN 319 401 [1], clause 6.2 shall apply. • REQ-ERDS-4.2-02 The terms and conditions shall indicate what is deemed to constitute a delivery of the user content to the recipient. • REQ-ERDS-4.2-03 The terms and conditions shall indicate if any expiry of data availability to the recipient is handled and, if applicable, how long the data are available. • REQ-ERDS-4.2-04 Before entering into a contractual relationship with an ERDSP customer, the ERDSP shall inform the customer of the terms and conditions regarding the ERDS. • REQ-ERDS-4.2-05 The ERDSP shall communicate the terms and conditions through a durable (i.e. with integrity over time) means of communication, and in a human readable form. • REQ-ERDS-4.2-06 The terms and conditions may be transmitted electronically. • REQ-ERDS-4.2-07 The ERDSP shall have evidence that the terms and conditions have been accepted by the ERDSP customer. SIST EN 319 521 V1.1.1:2019

ETSI ETSI EN 319 521 V1.1.1 (2019-02) 11 4.3 Information security policy • REQ-ERDS-4.3-01 All requirements from ETSI EN 319 401 [1], clause 6.3 shall apply. 5 General provision on ERDS 5.1 User content integrity and confidentiality 5.1.1 Common provisions • REQ-ERDS-5.1.1-01 The ERDS shall ensure that availability, integrity, and confidentiality of the user content is adequately guaranteed while it is handled by the ERDS.

According to the terms and conditions and, in any case, from the submission to the handover of the user content. • REQ- ERDS-5.1.1-02 The confidentiality of sender/recipient identity shall be protected, especially when exchanged with the sender/recipient or between distributed ERDS system components. • REQ-ERDS-5.1.1-03 The integrity of user content and associated metadata shall be protected in transmission, especially when exchanged with the sender/recipient or between distributed ERDS system components, and in storage. • REQ-ERDS-5.1.1-04 [CONDITIONAL] If the user content needs to be modified by the ERDS, the changes shall be clearly indicated to the sender, the recipient and any third party involved.

EXAMPLE: In case of format conversion. 5.1.2 Provisions for EU QERDSP In addition, the following EU QERDSP and EU QERDS-specific requirements apply: • REQ-QERDS-5.1.2-01 User content shall be protected by either: a) a digital signature supported by a certificate issued under at least NCP policy as defined in ETSI EN 319 411-1 [2] generated by a QTSP in such a manner as to preclude the possibility of the data being changed undetectably; b) a technical mechanism, provided by a QTSP, which provides equivalent assurance in terms of precluding the possibility of the dat