SIST-TS CEN/TS 419261:2015

SLOVENSKI STANDARD
SIST-TS CEN/TS 419261:2015
01-julij-2015
Varnostne zahteve za zaupanja vredne sisteme, ki upravljajo potrdila za
elektronsko podpisovanje
Security requirements for trustworthy systems managing certificates for electronic
signatures
Sicherheitsanforderungen für vertrauenswürdige Systeme zur Verwaltung von
Zertifikaten für elektronische Signaturen
Exigences de sécurité pour systèmes de confiance gérant des certificats pour signature
électronique
Ta slovenski standard je istoveten z: CEN/TS 419261:2015
ICS:
35.040 Nabori znakov in kodiranje Character sets and
informacij information coding
35.240.30 Uporabniške rešitve IT v IT applications in information,
informatiki, dokumentiranju in documentation and
založništvu publishing
SIST-TS CEN/TS 419261:2015 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST-TS CEN/TS 419261:2015

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SIST-TS CEN/TS 419261:2015

TECHNICAL SPECIFICATION
CEN/TS 419261

SPÉCIFICATION TECHNIQUE

TECHNISCHE SPEZIFIKATION
March 2015
ICS 03.120.20; 35.040; 35.240.30
English Version
Security requirements for trustworthy systems managing
certificates and time-stamps
Exigences de sécurité pour systèmes de confiance gérant Sicherheitsanforderungen für vertrauenswürdige Systeme
des certificats et des horodatages zur Verwaltung von Zertifikaten für elektronische Signaturen
und Zeitstempel
This Technical Specification (CEN/TS) was approved by CEN on 18 November 2014 for provisional application.

The period of validity of this CEN/TS is limited initially to three years. After two years the members of CEN will be requested to submit their
comments, particularly on the question whether the CEN/TS can be converted into a European Standard.

CEN members are required to announce the existence of this CEN/TS in the same way as for an EN and to make the CEN/TS available
promptly at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in parallel to the CEN/TS)
until the final decision about the possible conversion of the CEN/TS into an EN is reached.

CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania,
Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United
Kingdom.





EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION

EUROPÄISCHES KOMITEE FÜR NORMUNG

CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels
© 2015 CEN All rights of exploitation in any form and by any means reserved Ref. No. CEN/TS 419261:2015 E
worldwide for CEN national Members.

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Contents Page
Foreword .4
Introduction .7
1 Scope .8
1.1 General .8
1.2 European Regulation-specific .8
2 Normative references .9
3 Terms, definitions, symbols and abbreviations .9
3.1 Terms and definitions .9
3.2 Symbols and abbreviations . 14
4 Description of a Trust Service Provider System . 15
4.1 General . 15
4.2 TSP Core Services for certificate management . 15
4.3 TSP Supplementary Services for certificate management . 16
4.4 TSP Core Services for electronic time-stamp management . 17
4.5 Overall Architecture . 17
5 Security Requirements . 18
5.1 Relationship between Security Requirements and Recommendations. 18
5.2 General Security Requirements . 19
5.2.1 Management . 19
5.2.2 Systems and Operations . 20
5.2.3 Identification and Authentication . 22
5.2.4 System Access Control . 23
5.2.5 Key Management . 24
5.2.6 Accounting and Auditing . 29
5.2.7 Archiving . 31
5.2.8 Backup and Recovery . 31
5.2.9 Network Security Requirements for the Operational Environment . 32
5.2.10 Physical Security Requirements for the Operational Environment . 32
5.3 Core Services Security Requirements for TWS managing certificates . 33
5.3.1 General . 33
5.3.2 Registration Service . 33
5.3.3 Certificate Generation Service . 35
5.3.4 Dissemination Service . 37
5.3.5 Certificate Revocation Management Service . 38
5.3.6 Certificate Revocation Status Service . 40
5.4 Supplementary Services Security Requirements . 42
5.4.1 Subject Device Provision Service . 42
5.5 Core Services Security Requirements for TWS managing electronic time-stamps . 44
5.5.1 Time-Stamping Service . 44
Annex A (informative) Physical security requirements for the operational environment . 47
A.1 General . 47
A.2 P1 Intrusion Resistant Security Perimeter . 47
A.3 P2 Access Control System . 48
A.4 P3 Intrusion Alarm System . 49
A.5 P4 Fire Protection and Prevention . 49
A.6 P5 Power Supply . 50
A.7 P6 Air Conditioning and Ventilation . 50
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Annex B (informative) Network Security Requirements for the Operational Environment . 52
B.1 General . 52
B.2 NET1 Protected TWS Architecture . 52
B.3 NET2 Logging . 53
B.4 NET3 Monitoring and Alerting . 53
Bibliography . 55

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Foreword
This document (CEN/TS 419261:2015) has been prepared by Technical Committee CEN/TC 224 “Personal
identification, electronic signature and cards and their related systems and operations”, the secretariat of
which is held by AFNOR.
This document has been prepared under a mandate given to CEN by the European Commission and the
European Free Trade Association.
Successful implementation of European Directive 1999/93/EC on a Community framework for electronic
signatures [Dir.1999/93/EC] and of 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 [Reg.910/2014/EU] requires standards
for services, processes, systems and products related to electronic signatures as well as guidance for
conformity assessment of such services, processes, systems and products.
NOTE According to Article 50 of Reg.910/2014/EU Directive 1999/93/EC is repealed with effect from 1 July 2016 and
references to the repealed Directive shall be construed as references to the Regulation.
In 1999 the European Information and Communications Technologies Standards Board, with the support of
the European Commission, undertook an initiative bringing together industry and public authorities, experts
and other market players, to create the European Electronic Signature Standardization Initiative (EESSI).
Within this framework the Comité Européen de Normalization / Information Society Standardization System
(CEN/ISSS) and the European Telecommunications Standards Institute / Electronic Signatures and
Infrastructures (ETSI/ESI) were entrusted with the execution of a work programme to develop generally
recognized standards to support the implementation of [Dir.1999/93/EC] and development of a European
electronic signature infrastructure.
The CEN/ISSS Workshop on electronic signatures (WS/E-SIGN) resulted in a set of deliverables, CEN
Workshop Agreements (CWA), which contributed towards those generally recognized standards.
In 2011 the European Commission (EC) with the support of the European Free Trade Association has signed
a specific grant agreement with the European Committee for Standardization (CEN) regarding the update of
the existing European e-Signature CEN Workshop Agreements (CWAs) in the framework of Phase 1 of the
mandate M/460. The present document is such a CEN Workshop Agreement that was first created as a CWA
and then updated into a Technical Specification (TS).
The purpose of this TS is to describe the security requirements for trustworthy systems managing certificates
for electronic signatures and to define overall system security requirements, whereas EN 419221 specifies
security requirements for cryptographic devices. The requirements were partly inspired by Common Criteria
[CC] Part 2, but the TS is not compliant to [CC], as e.g. EN 419221. In consequence, this TS cannot be used
to perform Common Criteria certifications of products.
The TS is intended for use by designers and developers of systems managing certificates and time-stamps,
as well as customers of such systems.
Executive Summary
This Technical Specification specifies security requirements on products and technology components, used by
Trust Service Providers (TSPs) for issuing and managing certificates as well as electronic time-stamps in the
sense of the 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 [Reg.910/2014/EU].
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The term TSP includes certification service providers (CSPs) issuing qualified certificates as defined in the
Directive “Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a
community framework for electronic signatures” [Dir.1999/93/EC]. These certificates are used in conjunction
with electronic signatures and advanced electronic signatures in accordance with Directive 1999/93/EC
[Dir.1999/93/EC]. Additionally, electronic time-stamps issued by a TSP provide evidence that the stamped
data existed at a given time.
This Technical Specification contains the same requirements for TWS used by CSPs according to
[Dir.1999/93/EC] and for TWS used by TSPs according to [Reg.910/2014/EU]. However, [Reg.910/2014/EU]
allows TSPs to manage electronic time-stamps without managing certificates. This is not allowed for CSPs
according to [Dir.1999/93/EC]. Therefore, this Technical Specification distinguishes between CSPs and TSPs
with respect to the provided services where necessary.
TSPs need to use Trustworthy Systems (TWSs) for securely providing the following services, which are
defined in this TS:
a) Registration Service - to verify the identity and, if applicable, any specific attributes of a subject;
b) Certificate Generation Service - to create certificates;
c) Dissemination Service - to provide certificates and policy information to subjects and relying parties;
d) Revocation Management Service - to allow the processing of revocation requests;
e) Revocation Status Service - to provide certificate revocation status information to relying parties;
f) Subject Device Provision Service – to prepare and provide a Signature Creation Device (SCDev) to
subjects. This includes Qualifed electronic Signature and Seal Creation Device (QSCD) provision;
g) Time-stamping Service – provides a Time-stamping Service which may be needed for signature
verification purposes.
TSP shall follow:
h) “General Security Requirements” specified in 5.2 that are applicable to all previously mentioned services;
i) Security requirements specified in 5.3, 5.4 and 5.5 that are specific to some of the previously mentioned
services.
In accordance with Directive1999/93/EC, CSPs need to establish and maintain the first five core services
relevant for the issuance and management of qualified certificates (Registration Service, Certificate
Generation Service, Dissemination Service, Revocation Management Service, and Revocation Status
Service). The other two services (Subject Device Provision Service and Time-stamping Service) are optional
ones and are not required to be established and maintained by CSPs, because of having not being specifically
addressed in Directive1999/93/EC.
TSPs managing certificates and operating in accordance with Regulation (EU) No 910/2014
[Reg.910/2014/EU] will need to establish and maintain the first five core services relevant for the issuance and
management of qualified certificates (Registration Service, Certificate Generation Service, Dissemination
Service, Revocation Management Service, and Revocation Status Service). The Subject Device Provision
Service is an optional service for such a TSP. TSP managing electronic time-stamps need to establish and
maintain the Time-stamping Service relevant for the issuance and management of electronic time-stamps.
TSPs issuing:
j) Certificates according to ETSI/TS 119 411-1 or TS 119 411-2 (or equivalent ENs to be subsequently
published) and/or
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k) Time-stamps according to ETSI/TS 119 421 (or equivalent EN to be subsequently published)
may use TWSs that have been independently assessed against the relevant security requirements defined in
this Technical Specification and declared as being compliant to these requirements. In this case, TSP may
reduce their burden to establish conformance of their policy to the relevant standards and in meeting the
requirements of Dir.1999/93/EC and/or [Reg.910/2014/EU].
Guidance for conformity assessment to the security requirements defined in this TS can be found in
CWA 14172-3.
According to the CEN-CENELEC Internal Regulations, the national standards organizations of the following
countries are bound to implement this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus,
Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany,
Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland,
Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom.
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Introduction
The European Directive 1999/93/EC and the Regulation (EU) No 910/2014 [Reg.910/2014/EU] establish a
framework of requirements for the use of electronic signatures which are legally equivalent to hand-written
signatures. This is the case for “advanced electronic signatures” which are based on a “qualified certificate”
and which are created by a “secure-signature-creation device” according to Article 5.1 of 1999/93/EC and
qualified signatures according to Article 25.2 of [Reg.910/2014/EU].
In particular, Annex II of Dir. 1999/93/EC and Article 24.2 (e) of [Reg.910/2014/EU] provide the requirements
to be followed by TSP when issuing qualified certificates (QCs) and qualified TSP providing qualified trust
services. More specifically, they shall
• use trustworthy systems and products which are protected against modification and ensure the technical
security of the processes supported by them.
This Technical Specification defines security requirements for TWSs within the scope of the services a TSP
needs to provide. It is assumed that TWSs being compliant to relevant security requirements of this TS may
be adopted by TSPs to reduce their effort in deploying systems meeting Dir.1999/93/EC and/or
[Reg.910/2014/EU]. This approach should support industry in developing systems which meet the
requirements laid down in Annex II (f) of Dir.1999/93/EC and in Article 24.2 (e) of [Reg.910/2014/EU].
ETSI TS 119 411-1, 119 411-2, and 119 421 have been taken into account as reference. As a consequence,
TWSs already compliant to relevant security requirements of this TS will require minimal configuration by
TSPs using them, to meet the security requirements for TWS defined in ETSI TS 119 411-1, 119 411-2, and
119 421 (or equivalent ENs to be subsequently published). In addition, compliant TWS may be used by
different TSPs without the need to repeat the conformity assessment.
TWSs for TSPs managing certificates shall comply with the security requirements defined in 5.2 and 5.3 to
support TSPs in providing the following core services:
a) Registration of subject information (Registration Service);
b) Certificate generation (Certificate Generation Service);
c) Certificate dissemination (Dissemination Service);
d) Certificate revocation management (Revocation Management Service);
e) Certificate revocation status provision (Revocation Status Service).
TWS for TSPs managing certificates may comply with the other security requirements defined in 5.4 and 5.5
to support TSPs in providing the following supplementary services:
f) SCDev / QSCD production (Subject Device Provision Service);
g) Time-stamping functions (Time-Stamping Service).
TWS for TSPs managing electronic time-stamps shall comply with requirements defined in 5.5 to provide the
Time-Stamping Service and may provide the other services, either a) – e) or a) – f) and comply with the
corresponding requirements, defined in 5.2 and 5.3 or 5.2, 5.3, and 5.4, respectively.
All security requirements defined in this TS are either:
h) mandatory (indicated by SHALL (NOT) or SHALL (NOT));
i) recommended (indicated by SHOULD (NOT) or (NOT) RECOMMENDED); or
j) optional (MAY or MAY (NOT)).
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1 Scope
1.1 General
This Technical Specification establishes security requirements for TWSs that can be used by a TSP in order
to issue QCs and Non-Qualified Certificates (NQCs) as well as electronic time-stamps in accordance with
Dir.1999/93/EC and with [Reg.910/2014/EU].
Security requirements for the Subject Device Provision Service, which includes SCDev/QSCD provision to
subjects, are defined in this TS. However, requirements specific to SCDev/QSCD devices, as used by
subjects of the TSP, are outside the scope of this TS. These requirements are defined as Common Criteria
[CC] Protection Profiles (PP) in the EN 419211 series.
Recommendations for the cryptographic algorithms to be supported by TWSs are provided in
ETSI/TS 119 312.
Although this TS is based on the use of public key cryptography, it does not require or define any particular
communication protocol or format for electronic signatures, certificates, certificate revocation lists, certificate
status information and time-stamp tokens. It only assumes certain types of information to be present in the
certificates in accordance with Annex I of Dir.1999/93/EC and of [Reg.910/2014/EU]. Interoperability between
TSP systems and subject systems is outside the scope of this document.
The use of TWSs that are already compliant to relevant security requirements of this TS should support TSPs
in reducing their burden to establish conformance of their policy to ETSI TS 119 411-1, 119 411-2, and
119 421 (or equivalent ENs to be subsequently published) and in meeting the Annex I and Annex II
requirements of Dir.1999/93/EC as well as the requirements from Annex I and Article 24.2 (e) of
[Reg.910/2014/EU].
1.2 European Regulation-specific
The main focus of this document is on the requirements in Article 24.2 (e) of [Reg.910/2014/EU] whilst still
facilitating the meeting of requirements in Dir.1999/93/EC, Annex II (f). In considering [Reg.910/2014/EU] it is
important to take into account the following requirements of particular relevance to TSP trustworthy systems:
a) Article 24.2 (f) – “use trustworthy systems to store data provided to it, in a verifiable form so that:
(i) they are publicly available for retrieval only where the consent of the person to whom the data
relates has been obtained,
(ii) only authorised persons can make entries and changes to the stored data,
(iii) the data can be checked for authenticity”;
b) Article 24.2 (g) – “take appropriate measures against forgery and theft of data”;
c) Article 24.2 (h) – “record and keep accessible for an appropriate period of time, including after the
activities of the qualified trust service provider have ceased, all relevant information concerning data
issued and received by the qualified trust service provider, in particular, for the purpose of providing
evidence in legal proceedings and for the purpose of ensuring continuity of the service. Such recording
may be done electronically”;
d) Article 24.2 (j) – “ensure lawful processing of personal data in accordance with Directive 95/46/EC”;
e) Article 24.2 (k) – “in case of qualified trust service providers issuing qualified certificates, establish and
keep updated a certificate database”;
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f) Article 24.3 – “If a qualified trust service provider issuing qualified certificates decides to revoke a
certificate, it shall register such revocation in its certificate database and publish the revocation status of
the certificate in a timely manner, and in any event within 24 hours after the receipt of the request. The
revocation shall become effective immediately upon its publication”;
g) Article 24.4 – "With regard to paragraph 3, qualified trust service providers issuing qualified certificates
shall provide to any relying party information on the validity or revocation status of qualified certificates
issued by them. This information shall be made available at least on a per certificate basis at any time
and beyond the validity period of the certificate in an automated manner that is reliable, free of charge
and efficient”;
h) Article 42.1 – “A qualified electronic time stamp shall meet the following requirements:
(i) it binds the date and time to data in such a manner as to reasonably preclude the possibility of
the data being changed undetectably;
(b) it is based on an accurate time source linked to Coordinated Universal Time; and
(c) it is signed using an advanced electronic signature or sealed with an advanced electronic seal of
the qualified trust service provider, or by some equivalent method”;
i) Annexes I, III, IV – requirements on data in qualified certificates
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated references,
the latest edition of the referenced document (including any amendments) applies.
EN 419211 (all parts), Protection profiles for secure signature creation device
ETSI TS 119 411-1, Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust
Service Providers issuing certificates; Part 1: General Requirements
ETSI TS 119 411-2, Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust
Service Providers issuing certificates; Part 2: Policy Requirements for trust service providers issuing EU
qualified certificates
ETSI TS 119 421, Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust
Service Providers issuing Electronic Time-Stamps
NOTE Equivalent ENs will be published in 2015.
3 Terms, definitions, symbols and abbreviations
3.1 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1.1
activation data
data values, other than keys, that are required to operate cryptographic devices and that need to be protected
(e.g., a PIN, a passphrase, or a manually-held key share)
[SOURCE: RFC 3647:2014, Clause 2]
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3.1.2
advanced electronic signature
electronic signature which meets the following requirements:
a) it is uniquely linked to the signatory;
b) it is capable of identifying the signatory;
c) it is created using means that the signatory can, with a high level of confidence, use under his sole
control; and
d) it is linked to the data signed therewith in such a way subsequent change in the data is detectable
[SOURCE: Reg.910/2014/EU]
3.1.3
authentication data
data used to verify the claimed identity of a user requesting services from TWS
3.1.4
certificate
electronic attestation which links signature-validation-data to a person and confirms the name or
...