oSIST prEN 319 411-1 V1.4.0:2023

Draft ETSI EN 319 411-1 V1.4.0 (2023-07)






EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Policy and security requirements for
Trust Service Providers issuing certificates;
Part 1: General requirements

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2 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)

Reference
REN/ESI-0019411-1v141
Keywords
e-commerce, electronic signature, extended
validation certificate, public key, security, trust
services

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ETSI

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3 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 6
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 8
3 Definition of terms, symbols, abbreviations and notations . 9
3.1 Terms . 9
3.2 Symbols . 12
3.3 Abbreviations . 12
3.4 Notations . 13
4 General concepts . 13
4.1 General policy requirements concepts . 13
4.2 Certification Services applicable documentation . 14
4.2.1 Certification Practice Statement . 14
4.2.2 Certificate Policy . 14
4.2.3 Terms and conditions and PKI disclosure statement . 16
4.3 Certification services . 16
5 General provisions on Certification Practice Statement and Certificate Policies. 17
5.1 General requirements . 17
5.2 Certification Practice Statement requirements . 18
5.3 Certificate Policy name and identification . 19
5.4 PKI participants . 19
5.4.1 Certification Authority . 19
5.4.2 Subscriber and subject . 20
5.4.3 Others . 21
5.5 Certificate usage . 21
6 Trust Service Providers practice . 21
6.1 Publication and repository responsibilities . 21
6.2 Identification and authentication . 22
6.2.1 Naming . 22
6.2.2 Initial identity validation . 22
6.2.3 Identification and authentication for Re-key requests . 26
6.2.4 Identification and authentication for revocation requests . 26
6.3 Certificate Life-Cycle operational requirements . 27
6.3.1 Certificate application . 27
6.3.2 Certificate application processing . 28
6.3.3 Certificate issuance . 29
6.3.4 Certificate acceptance . 30
6.3.5 Key pair and certificate usage . 32
6.3.6 Certificate renewal . 33
6.3.7 Certificate Re-key . 34
6.3.8 Certificate modification . 35
6.3.9 Certificate revocation and suspension. 35
6.3.10 Certificate status services . 36
6.3.11 End of subscription . 37
6.3.12 Key escrow and recovery . 37
6.4 Facility, management, and operational controls . 38
6.4.1 General . 38
6.4.2 Physical security controls . 38
ETSI

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4 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)
6.4.3 Procedural controls . 39
6.4.4 Personnel controls . 39
6.4.5 Audit logging procedures . 39
6.4.6 Records archival . 40
6.4.7 Key changeover . 40
6.4.8 Compromise and disaster recovery . 40
6.4.9 Certification Authority or Registration Authority termination . 41
6.5 Technical security controls . 41
6.5.1 Key pair generation and installation . 41
6.5.2 Private key protection and cryptographic module engineering controls . 43
6.5.3 Other aspects of key pair management . 44
6.5.4 Activation data . 45
6.5.5 Computer security controls . 45
6.5.6 Life cycle security controls . 45
6.5.7 Network security controls . 46
6.5.8 Timestamping . 46
6.6 Certificate, CRL and OCSP profiles. 46
6.6.1 Certificate profile . 46
6.6.2 CRL profile . 46
6.6.3 OCSP profile . 47
6.7 Compliance audit and other assessment . 47
6.8 Other business and legal matters . 47
6.8.1 Fees . 47
6.8.2 Financial responsibility . 47
6.8.3 Confidentiality of business information . 47
6.8.4 Privacy of personal information. 48
6.8.5 Intellectual property rights . 48
6.8.6 Representations and warranties . 48
6.8.7 Disclaimers of warranties . 48
6.8.8 Limitations of liability . 48
6.8.9 Indemnities . 48
6.8.10 Term and termination. 49
6.8.11 Individual notices and communications with participants . 49
6.8.12 Amendments . 49
6.8.13 Dispute resolution procedures. 49
6.8.14 Governing law . 49
6.8.15 Compliance with applicable law . 49
6.8.16 Miscellaneous provisions . 49
6.9 Other provisions . 49
6.9.1 Organizational . 49
6.9.2 Additional testing . 50
6.9.3 Disabilities . 50
6.9.4 Terms and conditions . 50
7 Framework for the definition of other certificate policies . 51
7.1 Certificate policy management . 51
7.2 Additional requirements . 51
Annex A (informative): Model PKI disclosure statement . 52
A.1 Introduction . 52
A.2 The PDS structure . 52
A.3 The PDS format . 53
Annex B (informative): Conformity assessment checklist . 54
Annex C (informative): Bibliography . 55
Annex D (informative): Change history . 56
History . 58

ETSI

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5 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are 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 Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
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.
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Foreword
This draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards EN
Approval Procedure.
The present document is part 1 of a multi-part deliverable covering the Policy and security requirements for Trust
Service Providers issuing certificates, as identified below:
ETSI EN 319 411-1: "General requirements";
ETSI EN 319 411-2: "Requirements for trust service providers issuing EU qualified certificates";
NOTE: Part 3 of this multi-part deliverable has been withdrawn.
ETSI TR 119 411-4: "Checklist supporting audit of TSP against ETSI EN 319 411-1 or ETSI EN 319 411-2";
ETSI TR 119 411-5: "Guidelines for the coexistence of web browser and EU trust controls".
The present document is derived from the requirements specified in ETSI TS 102 042 [i.6].

Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa
Date of withdrawal of any conflicting National Standard (dow): 6 months after doa

ETSI

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6 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)
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
Electronic commerce, in its broadest sense, is a way of doing business and communicating across public and private
networks. An important requirement of electronic commerce is the ability to identify the originator and protect the
confidentiality of electronic exchanges. This is commonly achieved by using cryptographic mechanisms which are
supported by a Trust Service Provider (TSP) issuing certificates, commonly called a Certification Authority (CA).
For participants of electronic commerce to have confidence in the security of these cryptographic mechanisms they
need to have confidence that the TSP has properly established procedures and protective measure in order to minimize
the operational and financial threats and risks associated with public key cryptographic systems.
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.14] and those from CA/Browser Forum, BRG [6].
Bodies wishing to establish policy requirements for TSPs issuing certificates in a regulatory context other than the EU
can base their requirements on those specified in the present document and specify any additional requirements in a
manner similar to ETSI EN 319 411-2 [i.5], which builds on the present document requirements so as to benefit from
the use of generally accepted global best practices.
ETSI

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7 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)
1 Scope
The present document specifies generally applicable policy and security requirements for Trust Service Providers
(TSPs) issuing public key certificates, including trusted web site certificates.
The policy and security requirements are defined in terms of requirements for the issuance, maintenance and life-cycle
management of certificates. These policy and security requirements support several reference certificate policies,
defined in clauses 4 and 5.
A framework for the definition of policy requirements for TSPs issuing certificates in a specific context where
particular requirements apply is defined in clause 7.
The present document covers requirements for CA hierarchies, however this is limited to supporting the policies as
specified in the present document. It does not include requirements for root CAs and intermediate CAs for other
purposes.
The present document is applicable to:
• the general requirements of certification in support of cryptographic mechanisms, including digital signatures
for electronic signatures and seals;
• the general requirements of certification authorities issuing TLS/SSL certificates;
• the general requirements of the use of cryptography for authentication and encryption.
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.2] for guidance on assessment of TSP's processes and services. The present
document references ETSI EN 319 401 [9] for general policy requirements common to all classes of
TSP's services.
The present document includes provisions consistent with the requirements from the CA/Browser Forum in EVCG [4]
and BRG [6].
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] ISO/IEC 15408 (parts 1 to 3): "Information security, cybersecurity and privacy protection -
Evaluation criteria for IT security".
[2] ETSI EN 319 412-4: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 4:
Certificate profile for web site certificates".
[3] ISO/IEC 19790:2012: "Information technology - Security techniques - Security requirements for
cryptographic modules".
ETSI

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8 Draft ETSI EN 319 411-1 V1.4.0 (2023-07)
[4] CA/Browser Forum: "Guidelines for The Issuance and Management of Extended Validation
Certificates".
[5] CA/Browser Forum (V1.8.6): "Baseline Requirements for the Issuance and Management of
Publicly-Trusted Certificates".
[6] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-
Trusted Certificates".
[7] ISO/IEC 9594-8/Recommendation ITU-T X.509: "Information technology - Open Systems
Interconnection - Part 8: The Directory: Public-key and attribute certificate frameworks".
[8] IETF RFC 5280: "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation
List (CRL) Profile".
[9] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers".
[10] ETSI EN 319 412-2: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 2:
Certificate profile for certificates issued to natural persons".
[11] ETSI EN 319 412-3: "Electronic Signatures and Infrastructures (ESI); Certificate Profiles; Part 3:
Certificate profile for certificates issued to legal persons".
[12]
...