SIST EN 319 411-2 V2.2.2:2018

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Elektronski podpisi in infrastruktura (ESI) - Zahteve politike in varnosti za ponudnike storitev zaupanja, ki izdajajo digitalna potrdila - 2. del: Zahteve za ponudnike storitev zaupanja, ki izdajajo kvalificirana digitalna potrdila v EUElectronic Signatures and Infrastructures (ESI) - Policy and security requirements for Trust Service Providers issuing certificates - Part 2: Requirements for trust service providers issuing EU qualified certificates35.040.01Kodiranje informacij na splošnoInformation coding in general35.030Informacijska varnostIT Security03.080.99Druge storitveOther servicesICS:Ta slovenski standard je istoveten z:ETSI EN 319 411-2 V2.2.2 (2018-04)SIST EN 319 411-2 V2.2.2:2018en01-junij-2018SIST EN 319 411-2 V2.2.2:2018SLOVENSKI

ETSI EN 319 411-2 V2.2.2 (2018-04) 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

Reference REN/ESI-0019411-2v221 Keywords e-commerce, electronic signature, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE

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

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ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 3 Contents Intellectual Property Rights ................................................................................................................................ 5 Foreword ............................................................................................................................................................. 5 Modal verbs terminology .................................................................................................................................... 5 Introduction ........................................................................................................................................................ 6 1 Scope ........................................................................................................................................................ 7 2 References ................................................................................................................................................ 7 2.1 Normative references ......................................................................................................................................... 7 2.2 Informative references ........................................................................................................................................ 7 3 Definitions, abbreviations and notation .................................................................................................... 8 3.1 Definitions .......................................................................................................................................................... 8 3.2 Abbreviations ..................................................................................................................................................... 8 3.3 Notation .............................................................................................................................................................. 9 4 General concepts ...................................................................................................................................... 9 4.1 General policy requirements concepts ................................................................................................................ 9 4.2 Certificate policy and certification practice statement ..................................................................................... 10 4.2.1 Overview .................................................................................................................................................... 10 4.2.2 Purpose ....................................................................................................................................................... 10 4.2.3 Level of specificity ..................................................................................................................................... 10 4.2.4 Approach .................................................................................................................................................... 10 4.2.5 Certificate policy ........................................................................................................................................ 10 4.3 Other TSP statements ....................................................................................................................................... 11 4.4 Certification services ........................................................................................................................................ 11 5 General provisions on Certification Practice Statement and Certificate Policies................................... 11 5.1 General requirements ....................................................................................................................................... 11 5.2 Certification Practice Statement Requirements ................................................................................................ 12 5.3 Certificate Policy name and identification ....................................................................................................... 12 5.4 PKI Participants ................................................................................................................................................ 13 5.4.1 Certification authority ................................................................................................................................. 13 5.4.2 Subscriber and subject ................................................................................................................................ 13 5.4.3 Others .......................................................................................................................................................... 13 5.5 Certificate Usage .............................................................................................................................................. 13 5.5.1 QCP-n ......................................................................................................................................................... 13 5.5.2 QCP-l .......................................................................................................................................................... 13 5.5.3 QCP-n-qscd................................................................................................................................................. 13 5.5.4 QCP-l-qscd ................................................................................................................................................. 13 5.5.5 QCP-w ........................................................................................................................................................ 13 6 Trust Service Providers practice ............................................................................................................. 14 6.1 Publication and Repository Responsibilities .................................................................................................... 14 6.2 Identification and Authentication ..................................................................................................................... 14 6.2.1 Naming ....................................................................................................................................................... 14 6.2.2 Initial Identity Validation ............................................................................................................................ 14 6.2.3 Identification and authentication for Re-key requests ................................................................................ 15 6.2.4 Identification and authentication for revocation requests ........................................................................... 15 6.3 Certificate Life-Cycle Operational Requirements ............................................................................................ 15 6.3.1 Certificate Application ................................................................................................................................ 15 6.3.2 Certificate application processing ............................................................................................................... 15 6.3.3 Certificate issuance ..................................................................................................................................... 15 6.3.4 Certificate acceptance ................................................................................................................................. 15 6.3.5 Key Pair and Certificate Usage ................................................................................................................... 15 6.3.6 Certificate Renewal..................................................................................................................................... 16 6.3.7 Certificate Re-key ....................................................................................................................................... 16 6.3.8 Certificate Modification .............................................................................................................................. 16 6.3.9 Certificate Revocation and Suspension....................................................................................................... 16 SIST EN 319 411-2 V2.2.2:2018

ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 4 6.3.10 Certificate Status Services .......................................................................................................................... 16 6.3.11 End of Subscription .................................................................................................................................... 17 6.3.12 Key Escrow and Recovery .......................................................................................................................... 17 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 ........................................................................................................................................ 18 6.4.7 Key Changeover ......................................................................................................................................... 18 6.4.8 Compromise and Disaster Recovery ........................................................................................................... 18 6.4.9 CA or RA Termination ............................................................................................................................... 19 6.5 Technical Security Controls ............................................................................................................................. 19 6.5.1 Key Pair Generation and Installation .......................................................................................................... 19 6.5.2 Private Key Protection and Cryptographic Module Engineering Controls ................................................. 19 6.5.3 Other Aspects of Key Pair Management ..................................................................................................... 19 6.5.4 Activation Data ........................................................................................................................................... 19 6.5.5 Computer Security Controls ....................................................................................................................... 19 6.5.6 Life Cycle Security Controls ...................................................................................................................... 20 6.5.7 Network Security Controls ......................................................................................................................... 20 6.5.8 Time-stamping ............................................................................................................................................ 20 6.6 Certificate, CRL, and OCSP Profiles ............................................................................................................... 20 6.6.1 Certificate Profile ........................................................................................................................................ 20 6.6.2 CRL Profile ................................................................................................................................................. 21 6.6.3 OCSP Profile .............................................................................................................................................. 21 6.7 Compliance Audit and Other Assessment ........................................................................................................ 21 6.8 Other Business and Legal Matters .................................................................................................................... 21 6.8.1 Fees ............................................................................................................................................................. 21 6.8.2 Financial Responsibility ............................................................................................................................. 21 6.8.3 Confidentiality of Business Information ..................................................................................................... 21 6.8.4 Privacy of Personal Information ................................................................................................................. 21 6.8.5 Intellectual Property Rights ........................................................................................................................ 21 6.8.6 Representations and Warranties .................................................................................................................. 21 6.8.7 Disclaimers of Warranties .......................................................................................................................... 22 6.8.8 Limitations of Liability ............................................................................................................................... 22 6.8.9 Indemnities ................................................................................................................................................. 22 6.8.10 Term and Termination ................................................................................................................................ 22 6.8.11 Individual notices and communications with participants .......................................................................... 22 6.8.12 Amendments ............................................................................................................................................... 22 6.8.13 Dispute Resolution Procedures ................................................................................................................... 22 6.8.14 Governing Law ........................................................................................................................................... 22 6.8.15 Compliance with Applicable Law .............................................................................................................. 23 6.8.16 Miscellaneous Provisions ........................................................................................................................... 23 6.9 Other Provisions ............................................................................................................................................... 23 6.9.1 Organizational ............................................................................................................................................. 23 6.9.2 Additional testing ........................................................................................................................................ 23 6.9.3 Disabilities .................................................................................................................................................. 23 6.9.4 Terms and conditions .................................................................................................................................. 23 7 Framework for the definition of other certificate policies built on the present document ..................... 23 7.1 Certificate policy management ......................................................................................................................... 23 7.2 Additional requirements ................................................................................................................................... 24 Annex A (informative): Regulation and EU qualified certificate policy mapping ........................... 25 Annex B (informative): Conformity Assessment Checklist ................................................................ 29 Annex C (informative): Change history ............................................................................................... 30 History .............................................................................................................................................................. 31

ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 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). The present document is part 2 of a multi-part deliverable covering policy requirements for Trust Service Providers issuing certificates. Full details of the entire series can be found in part 1 [2]. The present document is derived from the requirements specified in ETSI TS 101 456 [i.2].

National transposition dates Date of adoption of this EN: 23 April 2018 Date of latest announcement of this EN (doa): 31 July 2018 Date of latest publication of new National Standard or endorsement of this EN (dop/e):

31 January 2019 Date of withdrawal of any conflicting National Standard (dow): 31 January 2019

Modal verbs terminology In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of provisions). "must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation. SIST EN 319 411-2 V2.2.2:2018

ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 6 Introduction The Regulation (EU) No 910/2014 [i.1] establishes a legal framework for electronic signature and electronic seal and for website authentication services. These concepts can be commonly achieved by using cryptographic mechanisms. Electronic signatures and seals implemented by this way are digital signatures. Cryptographic mechanisms are generally supported by a trust service provider (TSP) issuing public key certificates, commonly called a certification authority (CA). By providing general policy and security requirements for trust service providers issuing certificates, the part 1 of the series ETSI EN 319 411-1 [2], is aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst others, requirements from Regulation (EU) No 910/2014 [i.1] and from CA/Browser Forum [i.3]. The present document incorporates the general policy and security requirements as specified in ETSI EN 319 411-1 [2] and adds further requirements in order to meet the specific requirements of Regulation (EU) N° 910/2014 for TSPs issuing EU qualified certificates for electronic signatures and/or EU qualified certificates for electronic seals and/or EU qualified certificates for website authentication in accordance with but not limited to articles 19, 24, 28, 38 and 45 of Regulation (EU) No 910/2014 [i.1].

Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU can build their specifications on the general policy requirements specified in ETSI EN 319 411-1 [2] to benefit from global best practices, and specify any additional requirements in a manner similar to the present document. Conformance to the present document on its own does not imply that the TSP, nor the certificates issued by the TSP, are qualified in accordance with Regulation (EU) No 910/2014 [i.1]. SIST EN 319 411-2 V2.2.2:2018

ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 7 1 Scope The present document specifies policy and security requirements for the issuance, maintenance and life-cycle management of EU qualified certificates as defined in Regulation (EU) No 910/2014 [i.1]. These policy and security requirements support reference certificate policies for the issuance, maintenance and life-cycle management of EU qualified certificates issued to natural persons (including natural persons associated with a legal person or a website) and to legal persons (including legal persons associated with a website), respectively. The present document does not specify how the requirements identified can be assessed by an independent party, including requirements for information to be made available to such independent assessors, or requirements on such assessors. NOTE: See ETSI EN 319 403 [i.6] for guidance on assessment of TSP's processes and services. The present document references ETSI EN 319 411-1 [2] for general requirements on TSP issuing certificates. 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". [3] ETSI EN 319 412-5: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 5: QCStatements". [4] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems Interconnection - The Directory - Part 8: Public-key and attribute certificate frameworks". 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. SIST EN 319 411-2 V2.2.2:2018

ETSI ETSI EN 319 411-2 V2.2.2 (2018-04) 8 [i.2] ETSI TS 101 456: "Electronic Signatures and Infrastructures (ESI); Policy requirements for certification authorities issuing qualified certificates". [i.3] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates". [i.4] IETF RFC 3647: "Internet X.509 Public Key Infrastructure Certificate Policy and Certification Practices Framework". [i.5] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data. [i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers". [i.7] CA/Browser Forum: "Guidelines for The Issuance and Management of Extended Validation Certificates v1.5.5". [i.8] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists". [i.9] IETF RFC 6960: "Internet X.509 Public Key Infrastructure Online Certificate Status Protocol - OCSP". [i.10] ETSI TR 119 411-4: "Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 4: Checklist supporting audit of TSP against EN 319 411-1 or EN 319 411-2". 3 Definitions, abbreviations and notat