SIST EN 319 411-2 V2.3.1:2021

SLOVENSKI STANDARD
SIST EN 319 411-2 V2.3.1:2021
01-julij-2021
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 EU
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
Ta slovenski standard je istoveten z: ETSI EN 319 411-2 V2.3.1 (2021-05)
ICS:
03.080.99 Druge storitve Other services
35.030 Informacijska varnost IT Security
35.040.01 Kodiranje informacij na Information coding in general
splošno
SIST EN 319 411-2 V2.3.1:2021 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN 319 411-2 V2.3.1:2021

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SIST EN 319 411-2 V2.3.1:2021
ETSI EN 319 411-2 V2.3.1 (2021-05)






EUROPEAN STANDARD
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

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SIST EN 319 411-2 V2.3.1:2021

2 ETSI EN 319 411-2 V2.3.1 (2021-05)

Reference
REN/ESI-0019411-2v231
Keywords
e-commerce, electronic signature, security,
trust services

ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: +33 4 92 94 42 00  Fax: +33 4 93 65 47 16

Siret N° 348 623 562 00017 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.

Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and
microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2021.
All rights reserved.

ETSI

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SIST EN 319 411-2 V2.3.1:2021

3 ETSI EN 319 411-2 V2.3.1 (2021-05)
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 Definition of terms, symbols, abbreviations and notation . 8
3.1 Terms . 8
3.2 Symbols . 8
3.3 Abbreviations . 9
3.4 Notation . 9
4 General concepts . 10
4.1 General policy requirements concepts . 10
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
ETSI

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SIST EN 319 411-2 V2.3.1:2021

4 ETSI EN 319 411-2 V2.3.1 (2021-05)
6.3.9 Certificate Revocation and Suspension. 16
6.3.10 Certificate Status Services . 16
6.3.11 End of Subscription . 18
6.3.12 Key Escrow 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 . 18
6.4.7 Key Changeover . 19
6.4.8 Compromise and Disaster Recovery . 19
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 . 20
6.5.3 Other Aspects of Key Pair Management . 20
6.5.4 Activation Data . 20
6.5.5 Computer Security Controls . 20
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 . 22
6.8.3 Confidentiality of Business Information . 22
6.8.4 Privacy of Personal Information . 22
6.8.5 Intellectual Property Rights . 22
6.8.6 Representations and Warranties . 22
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 . 23
6.8.11 Individual notices and communications with participants . 23
6.8.12 Amendments . 23
6.8.13 Dispute Resolution Procedures . 23
6.8.14 Governing Law . 23
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 . 24
7.1 Certificate policy management . 24
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

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SIST EN 319 411-2 V2.3.1:2021

5 ETSI EN 319 411-2 V2.3.1 (2021-05)
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.
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.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the
®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
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: 12 May 2021
Date of latest announcement of this EN (doa): 31 August 2021
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2022
Date of withdrawal of any conflicting National Standard (dow): 28 February 2022

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.
ETSI

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SIST EN 319 411-2 V2.3.1:2021

6 ETSI EN 319 411-2 V2.3.1 (2021-05)
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].
ETSI

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SIST EN 319 411-2 V2.3.1:2021

7 ETSI EN 319 411-2 V2.3.1 (2021-05)
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 t
...

Draft ETSI EN 319 411-2 V2.3.0 (2021-02)






EUROPEAN STANDARD
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

---------------------- Page: 1 ----------------------
2 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)



Reference
REN/ESI-0019411-2v231
Keywords
e-commerce, electronic signature, security, trust
services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE

Tel.: +33 4 92 94 42 00  Fax: +33 4 93 65 47 16

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

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Copyright Notification
No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying
and microfilm except as authorized by written permission of ETSI.
The content of the PDF version shall not be modified without the written authorization of ETSI.
The copyright and the foregoing restriction extend to reproduction in all media.

© ETSI 2021.
All rights reserved.

DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.

3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and
of the oneM2M Partners.
®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI

---------------------- Page: 2 ----------------------
3 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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 Definition of terms, symbols, abbreviations and notation . 8
3.1 Terms . 8
3.2 Symbols . 8
3.3 Abbreviations . 9
3.4 Notation . 9
4 General concepts . 10
4.1 General policy requirements concepts . 10
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 Valid atio n . 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
ETSI

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4 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
6.3.9 Certificate Revocation and Suspension. 16
6.3.10 Certificate Status Services . 16
6.3.11 End of Subscription . 18
6.3.12 Key Escrow 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 . 18
6.4.7 Key Changeover . 19
6.4.8 Compromise and Disaster Recovery . 19
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 . 20
6.5.3 Other Aspects of Key Pair Management . 20
6.5.4 Activation Data . 20
6.5.5 Computer Security Controls . 20
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 . 22
6.8.3 Confidentiality of Business Information . 22
6.8.4 Privacy of Personal Information . 22
6.8.5 Intellectual Property Rights . 22
6.8.6 Representations and Warranties . 22
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 . 23
6.8.11 Individual notices and communications with participants . 23
6.8.12 Amendments . 23
6.8.13 Dispute Resolution Procedures . 23
6.8.14 Governing Law . 23
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 . 24
7.1 Certificate policy management . 24
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

---------------------- Page: 4 ----------------------
5 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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 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 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].

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

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.
ETSI

---------------------- Page: 5 ----------------------
6 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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].
ETSI

---------------------- Page: 6 ----------------------
7 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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.
ETSI

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8 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
[i.2] ETSI TS 101 456: "Electronic Signatures and Infrastructures (ESI); Policy requirements for
certification authorities issuing qualified certificates".
[i.3] CA/Browser Forum (V1.7.1): "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 (V1.6.7): "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 ETSI EN 319 411-1 or ETSI EN 319 411-2".
[i.11] Commission implementing decision (EU) 2015/1505 of 8 September 2015 laying down technical
...

SLOVENSKI STANDARD
oSIST prEN 319 411-2 V2.3.0:2021
01-april-2021
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 EU
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
Ta slovenski standard je istoveten z: ETSI EN 319 411-2 V2.3.0 (2021-02)
ICS:
03.080.99 Druge storitve Other services
35.030 Informacijska varnost IT Security
35.040.01 Kodiranje informacij na Information coding in general
splošno
oSIST prEN 319 411-2 V2.3.0:2021 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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oSIST prEN 319 411-2 V2.3.0:2021

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oSIST prEN 319 411-2 V2.3.0:2021
Draft ETSI EN 319 411-2 V2.3.0 (2021-02)






EUROPEAN STANDARD
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

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oSIST prEN 319 411-2 V2.3.0:2021

2 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)



Reference
REN/ESI-0019411-2v231
Keywords
e-commerce, electronic signature, security, trust
services
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ETSI

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3 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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 Definition of terms, symbols, abbreviations and notation . 8
3.1 Terms . 8
3.2 Symbols . 8
3.3 Abbreviations . 9
3.4 Notation . 9
4 General concepts . 10
4.1 General policy requirements concepts . 10
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 Valid atio n . 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
ETSI

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4 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
6.3.9 Certificate Revocation and Suspension. 16
6.3.10 Certificate Status Services . 16
6.3.11 End of Subscription . 18
6.3.12 Key Escrow 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 . 18
6.4.7 Key Changeover . 19
6.4.8 Compromise and Disaster Recovery . 19
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 . 20
6.5.3 Other Aspects of Key Pair Management . 20
6.5.4 Activation Data . 20
6.5.5 Computer Security Controls . 20
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 . 22
6.8.3 Confidentiality of Business Information . 22
6.8.4 Privacy of Personal Information . 22
6.8.5 Intellectual Property Rights . 22
6.8.6 Representations and Warranties . 22
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 . 23
6.8.11 Individual notices and communications with participants . 23
6.8.12 Amendments . 23
6.8.13 Dispute Resolution Procedures . 23
6.8.14 Governing Law . 23
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 . 24
7.1 Certificate policy management . 24
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

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5 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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 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 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].

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

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.
ETSI

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oSIST prEN 319 411-2 V2.3.0:2021

6 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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].
ETSI

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7 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
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.
ETSI

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oSIST prEN 319 411-2 V2.3.0:2021
8 Draft ETSI EN 319 411-2 V2.3.0 (2021-02)
[i.2] ETSI TS 101 456: "Electronic Signatures and Infrastructures (ESI); Policy requirements for
certification authorities issuing qualified certificates".
[i.3]
...