| < draft-ietf-pkix-ipki-new-rfc2527-00.txt | draft-ietf-pkix-ipki-new-rfc2527-01.txt > | |||
|---|---|---|---|---|
| PKIX Working Group S. Chokhani (CygnaCom Solutions, Inc.) | PKIX Working Group S. Chokhani (CygnaCom Solutions, Inc.) | |||
| Internet Draft W. Ford (VeriSign, Inc.) | Internet Draft W. Ford (VeriSign, Inc.) | |||
| R. Sabett (Cooley Godward LLP) | R. Sabett (Cooley Godward LLP) | |||
| C. Merrill (McCarter & English, LLP) | C. Merrill (McCarter & English, LLP) | |||
| S. Wu (VeriSign, Inc.) | S. Wu (Infoliance, Inc.) | |||
| Expires in six months from July 12, 2001 | Expires in six months from January 3, 2002 | |||
| Internet X.509 Public Key Infrastructure | Internet X.509 Public Key Infrastructure | |||
| Certificate Policy and Certification Practices Framework | Certificate Policy and Certification Practices Framework | |||
| < draft-ietf-pkix-ipki-new-rfc2527-00.txt > | < draft-ietf-pkix-ipki-new-rfc2527-01.txt > | |||
| Status of this Memo | Status of this Memo | |||
| This document is an Internet-Draft and is subject to all provisions | This document is an Internet-Draft and is subject to all provisions | |||
| of Section 10 of RFC2026. Internet-Drafts are working documents of | of Section 10 of RFC2026. Internet-Drafts are working documents of | |||
| the Internet Engineering Task Force (IETF), its areas, and its working | the Internet Engineering Task Force (IETF), its areas, and its working | |||
| groups. Note that other groups may also distribute working documents | groups. Note that other groups may also distribute working documents | |||
| as Internet-Drafts. | as Internet-Drafts. | |||
| Internet-Drafts are draft documents valid for a maximum of 6 months | Internet-Drafts are draft documents valid for a maximum of 6 months | |||
| and may be updated, replaced, or may become obsolete by other | and may be updated, replaced, or may become obsolete by other | |||
| documents at any time. It is inappropriate to use Internet-Drafts | documents at any time. It is inappropriate to use Internet-Drafts | |||
| as reference material or to cite them other than as work in | as reference material or to cite them other than as work in | |||
| progress. | progress. | |||
| The list of current Internet-Drafts can be accessed at | The list of current Internet-Drafts can be accessed at | |||
| http://www.ietf.org/1id-abstracts.html | http://www.ietf.org/1id-abstracts.html | |||
| The list of Internet-Draft Shadow Directories can be accessed at | The list of Internet-Draft Shadow Directories can be accessed at | |||
| http://www.ietf.org/shadow.html. | http://www.ietf.org/shadow.html. | |||
| To view the entire list of current Internet-Drafts, please check the | To view the entire list of current Internet-Drafts, please check the | |||
| "1id-abstracts.txt" listing contained in the Internet-Drafts Shadow | "1id-abstracts.txt" listing contained in the Internet-Drafts Shadow | |||
| Directories on ftp.is.co.za (Africa), ftp.nordu.net (Northern | Directories on ftp.is.co.za (Africa), ftp.nordu.net (Northern | |||
| Europe), ftp.nis.garr.it (Southern Europe), munnari.oz.au (Pacific | Europe), ftp.nis.garr.it (Southern Europe), munnari.oz.au (Pacific | |||
| Rim), ftp.ietf.org (US East Coast), or ftp.isi.edu (US West Coast). | Rim), ftp.ietf.org (US East Coast), or ftp.isi.edu (US West Coast). | |||
| skipping to change at page 1, line 55 ¶ | skipping to change at page 1, line 55 ¶ | |||
| This document presents a framework to assist the writers of | This document presents a framework to assist the writers of | |||
| certificate policies or certification practice statements for | certificate policies or certification practice statements for | |||
| participants within public key infrastructures, such as | participants within public key infrastructures, such as | |||
| certification authorities, policy authorities, and communities of | certification authorities, policy authorities, and communities of | |||
| interest that wish to rely on certificates. In particular, the | interest that wish to rely on certificates. In particular, the | |||
| framework provides a comprehensive list of topics that potentially | framework provides a comprehensive list of topics that potentially | |||
| (at the writer's discretion) need to be covered in a certificate | (at the writer's discretion) need to be covered in a certificate | |||
| policy or a certification practice statement. This document is | policy or a certification practice statement. This document is | |||
| being submitted to the RFC Editor with a request for publication as | being submitted to the RFC Editor with a request for publication as | |||
| an Informational RFC. | an Informational RFC that will supercede RFC 2527 [CPF]. | |||
| TABLE OF CONTENTS | TABLE OF CONTENTS | |||
| 1. INTRODUCTION 3 | 1. INTRODUCTION 3 | |||
| 1.1 BACKGROUND 3 | 1.1 BACKGROUND 3 | |||
| 1.2 PURPOSE 5 | 1.2 PURPOSE 5 | |||
| 1.3 SCOPE 5 | 1.3 SCOPE 5 | |||
| 2. DEFINITIONS 6 | 2. DEFINITIONS 6 | |||
| 3. CONCEPTS 8 | 3. CONCEPTS 8 | |||
| 3.1 CERTIFICATE POLICY 8 | 3.1 CERTIFICATE POLICY 8 | |||
| 3.2 CERTIFICATE POLICY EXAMPLES 10 | 3.2 CERTIFICATE POLICY EXAMPLES 10 | |||
| skipping to change at page 2, line 50 ¶ | skipping to change at page 2, line 50 ¶ | |||
| 4.4.2 Certificate Application Processing 24 | 4.4.2 Certificate Application Processing 24 | |||
| 4.4.3 Certificate Issuance 24 | 4.4.3 Certificate Issuance 24 | |||
| 4.4.4 Certificate Acceptance 25 | 4.4.4 Certificate Acceptance 25 | |||
| 4.4.5 Key Pair and Certificate Usage 25 | 4.4.5 Key Pair and Certificate Usage 25 | |||
| 4.4.6 Certificate Renewal 26 | 4.4.6 Certificate Renewal 26 | |||
| 4.4.7 Certificate Re-key 26 | 4.4.7 Certificate Re-key 26 | |||
| 4.4.8 Certificate Modification 27 | 4.4.8 Certificate Modification 27 | |||
| 4.4.9 Certificate Revocation and Suspension 27 | 4.4.9 Certificate Revocation and Suspension 27 | |||
| 4.4.10 Certificate Status Services 28 | 4.4.10 Certificate Status Services 28 | |||
| 4.4.11 End of Subscription 28 | 4.4.11 End of Subscription 28 | |||
| 4.4.12 Key Escrow and Recovery 28 | 4.4.12 Key Escrow and Recovery 29 | |||
| 4.5 MANAGEMENT, OPERATIONAL, AND PHYSICAL CONTROLS 29 | 4.5 FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS 29 | |||
| 4.5.1 Physical Security Controls 29 | 4.5.1 Physical Security Controls 29 | |||
| 4.5.2 Procedural Controls 30 | 4.5.2 Procedural Controls 30 | |||
| 4.5.3 Personnel Security Controls 30 | 4.5.3 Personnel Controls 30 | |||
| 4.5.4 Audit Logging Procedures 31 | 4.5.4 Audit Logging Procedures 31 | |||
| 4.5.5 Records Archival 32 | 4.5.5 Records Archival 31 | |||
| 4.5.6 Key Changeover 32 | 4.5.6 Key Changeover 32 | |||
| 4.5.7 Compromise and Disaster Recovery 32 | 4.5.7 Compromise and Disaster Recovery 32 | |||
| 4.5.8 CA or RA Termination 33 | 4.5.8 CA or RA Termination 33 | |||
| 4.6 TECHNICAL SECURITY CONTROLS 33 | 4.6 TECHNICAL SECURITY CONTROLS 33 | |||
| 4.6.1 Key Pair Generation and Installation 33 | 4.6.1 Key Pair Generation and Installation 33 | |||
| 4.6.2 Private Key Protection and Cryptographic | 4.6.2 Private Key Protection and Cryptographic | |||
| Module Engineering Controls 34 | Module Engineering Controls 34 | |||
| 4.6.3 Other Aspects of Key Pair Management 36 | 4.6.3 Other Aspects of Key Pair Management 36 | |||
| 4.6.4 Activation Data 36 | 4.6.4 Activation Data 36 | |||
| 4.6.5 Computer Security Controls 36 | 4.6.5 Computer Security Controls 36 | |||
| 4.6.6 Life Cycle Security Controls 36 | 4.6.6 Life Cycle Security Controls 37 | |||
| 4.6.7 Network Security Controls 37 | 4.6.7 Network Security Controls 37 | |||
| 4.6.8 Timestamping 37 | 4.6.8 Timestamping 37 | |||
| 4.7 CERTIFICATE AND CRL PROFILES 37 | 4.7 CERTIFICATE, CRL, AND OCSP PROFILES 37 | |||
| 4.7.1 Certificate Profile 37 | 4.7.1 Certificate Profile 37 | |||
| 4.7.2 CRL Profile 38 | 4.7.2 CRL Profile 38 | |||
| 4.7.4 OCSP Profile 38 | 4.7.3 OCSP Profile 38 | |||
| 4.8 COMPLIANCE AUDIT AND OTHER ASSESSMENT 38 | 4.8 COMPLIANCE AUDIT AND OTHER ASSESSMENT 38 | |||
| 4.9 OTHER BUSINESS AND LEGAL MATTERS 39 | 4.9 OTHER BUSINESS AND LEGAL MATTERS 39 | |||
| 4.9.1 Fees 39 | 4.9.1 Fees 40 | |||
| 4.9.2 Financial Responsibility 39 | 4.9.2 Financial Responsibility 40 | |||
| 4.9.3 Confidentiality of Business Information 40 | 4.9.3 Confidentiality of Business Information 40 | |||
| 4.9.4 Privacy of Personal Information 40 | 4.9.4 Privacy of Personal Information 41 | |||
| 4.9.5 Intellectual Property Rights 40 | 4.9.5 Intellectual Property Rights 41 | |||
| 4.9.6 Representations and Warranties 41 | 4.9.6 Representations and Warranties 41 | |||
| 4.9.7 Disclaimers of Warranties 41 | 4.9.7 Disclaimers of Warranties 42 | |||
| 4.9.8 Limitations of Liability 41 | 4.9.8 Limitations of Liability 42 | |||
| 4.9.9 Indemnities 41 | 4.9.9 Indemnities 42 | |||
| 4.9.10 Term and Termination 42 | 4.9.10 Term and Termination 42 | |||
| 4.9.11 Individual notices and communications | 4.9.11 Individual notices and communications | |||
| with participants 42 | with participants 43 | |||
| 4.9.12 Amendments 42 | 4.9.12 Amendments 43 | |||
| 4.9.13 Dispute Resolution Procedures 43 | 4.9.13 Dispute Resolution Procedures 44 | |||
| 4.9.14 Governing Law 43 | 4.9.14 Governing Law 44 | |||
| 4.9.15 Compliance with Applicable Law 43 | 4.9.15 Compliance with Applicable Law 44 | |||
| 4.9.16 Miscellaneous Provisions 43 | 4.9.16 Miscellaneous Provisions 44 | |||
| 4.9.17 Other Provisions 44 | 4.9.17 Other Provisions 45 | |||
| 5. OUTLINE OF A SET OF PROVISIONS 44 | 5. OUTLINE OF A SET OF PROVISIONS 45 | |||
| 6. ACKNOWLEDGMENTS 51 | 6. ACKNOWLEDGMENTS 51 | |||
| 7. REFERENCES 51 | 7. REFERENCES 52 | |||
| 8. AUTHORS' ADDRESSES 52 | 8. AUTHORS' ADDRESSES 53 | |||
| NOTES 53 | NOTES 53 | |||
| LIST OF ACRONYMS 54 | LIST OF ACRONYMS 54 | |||
| ----------------------------------------------------------------- | ----------------------------------------------------------------- | |||
| 1. INTRODUCTION | 1. INTRODUCTION | |||
| 1.1 BACKGROUND | 1.1 BACKGROUND | |||
| In general, a public-key certificate (hereinafter "certificate") | In general, a public-key certificate (hereinafter "certificate") | |||
| binds a public key held by an entity (such as person, organization, | binds a public key held by an entity (such as person, organization, | |||
| account, device, or site) to a set of information that identifies | account, device, or site) to a set of information that identifies | |||
| the entity associated with use of the corresponding private key. In | the entity associated with use of the corresponding private key. In | |||
| most cases involving identity certificates, this entity is known as | most cases involving identity certificates, this entity is known as | |||
| the "subject" or "subscriber" of the certificate. Two exceptions, | the "subject" or "subscriber" of the certificate. Two exceptions, | |||
| skipping to change at page 4, line 54 ¶ | skipping to change at page 4, line 55 ¶ | |||
| expanded upon in [BAU1]. | expanded upon in [BAU1]. | |||
| A more detailed description of the practices followed by a CA in | A more detailed description of the practices followed by a CA in | |||
| issuing and otherwise managing certificates may be contained in a | issuing and otherwise managing certificates may be contained in a | |||
| certification practice statement (CPS) published by or referenced by | certification practice statement (CPS) published by or referenced by | |||
| the CA. According to the American Bar Association Information | the CA. According to the American Bar Association Information | |||
| Security Committee's Digital Signature Guidelines (hereinafter | Security Committee's Digital Signature Guidelines (hereinafter | |||
| "DSG")(1) and the Information Security Committee's PKI Assessment | "DSG")(1) and the Information Security Committee's PKI Assessment | |||
| Guidelines (hereinafter "PAG")(2), "a CPS is a statement of the | Guidelines (hereinafter "PAG")(2), "a CPS is a statement of the | |||
| practices which a certification authority employs in issuing | practices which a certification authority employs in issuing | |||
| certificates." [ABA1, ABA2] | certificates." [ABA1, ABA2] In general, CPSs also describe practices | |||
| relating to all certificate lifecycle services (e.g., issuance, | ||||
| management, revocation, and renewal or re-keying), and CPSs provide | ||||
| details concerning other business, legal, and technical matters. | ||||
| The terms contained in a CP or CPS may or may not be binding upon a | The terms contained in a CP or CPS may or may not be binding upon a | |||
| PKI's participants as a contract. A CP or CPS may itself purport to | PKI's participants as a contract. A CP or CPS may itself purport to | |||
| be a contract. More commonly, however, an agreement may incorporate | be a contract. More commonly, however, an agreement may incorporate | |||
| a CP or CPS by reference and therefore bind the parties of the | a CP or CPS by reference and therefore attempt to bind the parties of | |||
| agreement to some or all of its terms. For example, some PKIs may | the agreement to some or all of its terms. For example, some PKIs | |||
| utilize a CP or (more commonly) a CPS that is incorporated by | may utilize a CP or (more commonly) a CPS that is incorporated by | |||
| reference in the agreement between a subscriber and a CA or RA | reference in the agreement between a subscriber and a CA or RA | |||
| (called a "subscriber agreement") or the agreement between a relying | (called a "subscriber agreement") or the agreement between a relying | |||
| party and a CA (called a "relying party agreement" or "RPA"). In | party and a CA (called a "relying party agreement" or "RPA"). In | |||
| other cases, however, a CP or CPS has no contractual significance at | other cases, however, a CP or CPS has no contractual significance at | |||
| all. A PKI may intend these CPs and CPSs to be strictly | all. A PKI may intend these CPs and CPSs to be strictly | |||
| informational or disclosure documents. | informational or disclosure documents. | |||
| This RFC supercedes RFC 2527 [CPF]. | ||||
| 1.2 PURPOSE | 1.2 PURPOSE | |||
| The purpose of this document is twofold. First, the document aims | The purpose of this document is twofold. First, the document aims | |||
| to explain the concepts of a CP and a CPS, describe the differences | to explain the concepts of a CP and a CPS, describe the differences | |||
| between these two concepts, and describe their relationship to | between these two concepts, and describe their relationship to | |||
| subscriber and relying party agreements. Second, this document aims | subscriber and relying party agreements. Second, this document aims | |||
| to present a framework to assist the writers and users of | to present a framework to assist the writers and users of | |||
| certificate policies or CPSs in drafting and understanding these | certificate policies or CPSs in drafting and understanding these | |||
| documents. In particular, the framework identifies the elements | documents. In particular, the framework identifies the elements | |||
| that may need to be considered in formulating a CP or a CPS. The | that may need to be considered in formulating a CP or a CPS. The | |||
| purpose is not to define particular certificate policies or CPSs, | purpose is not to define particular certificate policies or CPSs, | |||
| per se. Moreover, this document does not aim to provide | per se. Moreover, this document does not aim to provide legal advice | |||
| recommendations as to particular requirements or practices that | or recommendations as to particular requirements or practices that | |||
| should be contained within CPs or CPSs. (Such recommendations, | should be contained within CPs or CPSs. (Such recommendations, | |||
| however, appear in [ABA2].) | however, appear in [ABA2].) | |||
| 1.3 SCOPE | 1.3 SCOPE | |||
| The scope of this document is limited to discussion of the topics | The scope of this document is limited to discussion of the topics | |||
| that can be covered in a CP (as defined in X.509) or CPS (as defined | that can be covered in a CP (as defined in X.509) or CPS (as defined | |||
| in the DSG and PAG). In particular, this document describes the | in the DSG and PAG). In particular, this document describes the | |||
| types of information that should be considered for inclusion in a CP | types of information that should be considered for inclusion in a CP | |||
| or a CPS. While the framework as presented generally assumes use of | or a CPS. While the framework as presented generally assumes use of | |||
| skipping to change at page 6, line 43 ¶ | skipping to change at page 6, line 43 ¶ | |||
| example, a particular CP might indicate applicability of a type of | example, a particular CP might indicate applicability of a type of | |||
| certificate to the authentication of parties engaging in business- | certificate to the authentication of parties engaging in business- | |||
| to-business transactions for the trading of goods or services within | to-business transactions for the trading of goods or services within | |||
| a given price range. | a given price range. | |||
| Certification path - An ordered sequence of certificates that, | Certification path - An ordered sequence of certificates that, | |||
| together with the public key of the initial object in the path, can | together with the public key of the initial object in the path, can | |||
| be processed to obtain that of the final object in the path. | be processed to obtain that of the final object in the path. | |||
| Certification Practice Statement (CPS) - A statement of the | Certification Practice Statement (CPS) - A statement of the | |||
| practices that a certification authority employs in issuing | practices that a certification authority employs in issuing, | |||
| certificates. | managing, revoking, and renewing or re-keying certificates. | |||
| CPS Summary (or CPS Abstract) - A subset of the provisions of a | CPS Summary (or CPS Abstract) - A subset of the provisions of a | |||
| complete CPS that is made public by a CA. | complete CPS that is made public by a CA. | |||
| Identification - The process of establishing the identity of an | Identification - The process of establishing the identity of an | |||
| individual or organization, i.e., to show that an individual or | individual or organization, i.e., to show that an individual or | |||
| organization is a specific individual or organization. In the | organization is a specific individual or organization. In the | |||
| context of a PKI, identification refers to two processes: (1) | context of a PKI, identification refers to two processes: (1) | |||
| establishing that a given name of an individual or organization | establishing that a given name of an individual or organization | |||
| corresponds to a real-world identity of an individual or | corresponds to a real-world identity of an individual or | |||
| skipping to change at page 8, line 51 ¶ | skipping to change at page 8, line 51 ¶ | |||
| the way relying parties or relying party applications use | the way relying parties or relying party applications use | |||
| certificates. Different certificates are issued following different | certificates. Different certificates are issued following different | |||
| practices and procedures, and may be suitable for different | practices and procedures, and may be suitable for different | |||
| applications and/or purposes. | applications and/or purposes. | |||
| The X.509 standard defines a CP as "a named set of rules that | The X.509 standard defines a CP as "a named set of rules that | |||
| indicates the applicability of a certificate to a particular | indicates the applicability of a certificate to a particular | |||
| community and/or class of application with common security | community and/or class of application with common security | |||
| requirements" [ISO1]. An X.509 Version 3 certificate may identify a | requirements" [ISO1]. An X.509 Version 3 certificate may identify a | |||
| specific applicable CP, which may be used by a relying party to | specific applicable CP, which may be used by a relying party to | |||
| decide whether or not to trust a certificate for a particular | decide whether or not to trust a certificate, associated public key, | |||
| purpose. | or any digital signatures verified using the public key for a | |||
| particular purpose. | ||||
| CPs typically fall into two major categories. First, some CPs | CPs typically fall into two major categories. First, some CPs | |||
| "indicate the applicability of a certificate to a particular | "indicate the applicability of a certificate to a particular | |||
| community" [ISO1]. These CPs set forth requirements for | community" [ISO1]. These CPs set forth requirements for | |||
| certificates within a particular community. For instance, a CP may | certificate usage and requirements on members of a community. | |||
| focus on the needs of a geographical community, such as the ETSI | For instance, a CP may focus on the needs of a geographical community, | |||
| policy requirements for CAs issuing qualified certificates [ETS]. | ||||
| Also, a CP of this kind may focus on the needs of a specific | such as the ETSI policy requirements for CAs issuing qualified | |||
| vertical-market community, such as financial services [IDT]. | certificates [ETS]. Also, a CP of this kind may focus on the | |||
| needs of a specific vertical-market community, such as | ||||
| financial services [IDT]. | ||||
| The second category of typical CPs "indicate the applicability of a | The second category of typical CPs "indicate the applicability of a | |||
| certificate to a . . . class of application with common security | certificate to a . . . class of application with common security | |||
| requirements." These CPs identify a set of applications or uses for | requirements." These CPs identify a set of applications or uses for | |||
| certificates and say that these applications or uses require a | certificates and say that these applications or uses require a | |||
| certain level of security. They then set forth PKI requirements | certain level of security. They then set forth PKI requirements | |||
| that are appropriate for these applications or uses. A CP within | that are appropriate for these applications or uses. A CP within | |||
| this category often makes sets requirements appropriate for a | this category often makes sets requirements appropriate for a | |||
| certain "level of assurance" provided by certificates, relative to | certain "level of assurance" provided by certificates, relative to | |||
| certificates issued pursuant to related CPs. These levels of | certificates issued pursuant to related CPs. These levels of | |||
| skipping to change at page 9, line 35 ¶ | skipping to change at page 9, line 37 ¶ | |||
| medium, and high. The GOC PMA described certain types of digital | medium, and high. The GOC PMA described certain types of digital | |||
| signature and confidentiality uses in the document, each with a | signature and confidentiality uses in the document, each with a | |||
| certain set of security requirements, and grouped them into eight | certain set of security requirements, and grouped them into eight | |||
| categories. The GOC PMA then established PKI requirements for each | categories. The GOC PMA then established PKI requirements for each | |||
| of these categories, thereby creating eight types of certificates, | of these categories, thereby creating eight types of certificates, | |||
| each providing rudimentary, basic, medium, or high levels of | each providing rudimentary, basic, medium, or high levels of | |||
| assurance. The progression from rudimentary to high levels | assurance. The progression from rudimentary to high levels | |||
| corresponds to increasing security requirements and corresponding | corresponds to increasing security requirements and corresponding | |||
| increasing levels of assurance. | increasing levels of assurance. | |||
| A CP, which needs to be recognized by both the issuer and user of a | A CP is represented in a certificate by a unique number called | |||
| certificate, is represented in a certificate by a unique number | an "Object Identifier" (OID). That OID, or at least an "arc", can be | |||
| called an "Object Identifier" (OID). That OID, or at least an "arc" | registered. An "arc" is the beginning of the numerical sequence of | |||
| representing the beginning of the numerical sequence of an OID and | an OID and is assigned to a particular organization. The | |||
| assigned to a particular organization, can be registered. The | ||||
| registration process follows the procedures specified in ISO/IEC and | registration process follows the procedures specified in ISO/IEC and | |||
| ITU standards. The party that registers the OID or arc also can | ITU standards. The party that registers the OID or arc also can | |||
| publish the text of the CP, for examination by relying parties. Any | publish the text of the CP, for examination by relying parties. Any | |||
| one certificate will typically declare a single CP or, possibly, be | one certificate will typically declare a single CP or, possibly, be | |||
| issued consistent with a small number of different policies. Such | issued consistent with a small number of different policies. Such | |||
| declaration appears in the Certificate Policies extension of a X.509 | declaration appears in the Certificate Policies extension of a X.509 | |||
| Version 3 certificate. When a CA places multiple CPs within a | Version 3 certificate. When a CA places multiple CPs within a | |||
| certificate's Certificate Policies extension, the CA is asserting | certificate's Certificate Policies extension, the CA is asserting | |||
| that the certificate is appropriate for use in accordance with any | that the certificate is appropriate for use in accordance with any | |||
| of the listed CPs. | of the listed CPs. | |||
| skipping to change at page 10, line 4 ¶ | skipping to change at page 10, line 4 ¶ | |||
| that the certificate is appropriate for use in accordance with any | that the certificate is appropriate for use in accordance with any | |||
| of the listed CPs. | of the listed CPs. | |||
| CPs also constitute a basis for an audit, accreditation, or another | CPs also constitute a basis for an audit, accreditation, or another | |||
| assessment of a CA. Each CA can be assessed against one or more | assessment of a CA. Each CA can be assessed against one or more | |||
| certificate policies or CPSs that it is recognized as implementing. | certificate policies or CPSs that it is recognized as implementing. | |||
| When one CA issues a CA-certificate for another CA, the issuing CA | When one CA issues a CA-certificate for another CA, the issuing CA | |||
| must assess the set of certificate policies for which it trusts the | must assess the set of certificate policies for which it trusts the | |||
| subject CA (such assessment may be based upon an assessment with | subject CA (such assessment may be based upon an assessment with | |||
| respect to the certificate policies involved). The assessed set of | respect to the certificate policies involved). The assessed set of | |||
| certificate policies is then indicated by the issuing CA in the | certificate policies is then indicated by the issuing CA in the | |||
| CA-certificate. The X.509 certification path processing logic | CA-certificate. The X.509 certification path processing logic | |||
| employs these CP indications in its well-defined trust model. | employs these CP indications in its well-defined trust model. | |||
| 3.2 CERTIFICATE POLICY EXAMPLES | 3.2 CERTIFICATE POLICY EXAMPLES | |||
| For example purposes, suppose that the International Air Transport | For example purposes, suppose that the International Air Transport | |||
| Association (IATA) undertakes to define some certificate policies | Association (IATA) undertakes to define some certificate policies | |||
| for use throughout the airline industry, in a PKI operated by IATA | for use throughout the airline industry, in a PKI operated by IATA | |||
| in combination with PKIs operated by individual airlines. Two CPs | in combination with PKIs operated by individual airlines. Two CPs | |||
| might be defined - the IATA General-Purpose CP, and the IATA | might be defined - the IATA General-Purpose CP, and the IATA | |||
| Commercial-Grade CP. | Commercial-Grade CP. | |||
| skipping to change at page 13, line 5 ¶ | skipping to change at page 12, line 58 ¶ | |||
| The Certificate Policies extension field has a provision for | The Certificate Policies extension field has a provision for | |||
| conveying, along with each CP identifier, additional policy- | conveying, along with each CP identifier, additional policy- | |||
| dependent information in a qualifier field. The X.509 standard does | dependent information in a qualifier field. The X.509 standard does | |||
| not mandate the purpose for which this field is to be used, nor does | not mandate the purpose for which this field is to be used, nor does | |||
| it prescribe the syntax for this field. Policy qualifier types can | it prescribe the syntax for this field. Policy qualifier types can | |||
| be registered by any organization. | be registered by any organization. | |||
| The following policy qualifier types are defined in PKIX RFC 2459 | The following policy qualifier types are defined in PKIX RFC 2459 | |||
| [PKI1]: | [PKI1]: | |||
| (a) The CPS Pointer qualifier contains a pointer to a CPS, CPS | (a) The CPS Pointer qualifier contains a pointer to a CPS, CPS | |||
| Summary, RPA, or PDS published by the CA. The pointer is in the | Summary, RPA, or PDS published by the CA. The pointer is in the | |||
| form of a uniform resource identifier (URI). | form of a uniform resource identifier (URI). | |||
| (b) The User Notice qualifier contains a text string that is to be | (b) The User Notice qualifier contains a text string that is to be | |||
| displayed to subscribers and relying parties prior to the use of the | displayed to subscribers and relying parties prior to the use of the | |||
| certificate. The text string may be an IA5String or a BMPString - a | certificate. The text string may be an IA5String or a BMPString - a | |||
| subset of the ISO 100646-1 multiple octet coded character set. A CA | subset of the ISO 100646-1 multiple octet coded character set. A CA | |||
| may invoke a procedure that requires that the relying party | may invoke a procedure that requires that the relying party | |||
| acknowledge that the applicable terms and conditions have been | acknowledge that the applicable terms and conditions have been | |||
| disclosed and/or accepted. | disclosed and/or accepted. | |||
| Policy qualifiers can be used to support the definition of generic, | Policy qualifiers can be used to support the definition of generic, | |||
| or parameterized, CPs. Provided the base CP so provides, policy | or parameterized, CPs. Provided the base CP so provides, policy | |||
| qualifier types can be defined to convey, on a per-certificate | qualifier types can be defined to convey, on a per-certificate | |||
| basis, additional specific policy details that fill in the generic | basis, additional specific policy details that fill in the generic | |||
| definition. | definition. | |||
| 3.4 CERTIFICATION PRACTICE STATEMENT | 3.4 CERTIFICATION PRACTICE STATEMENT | |||
| The term certification practice statement (CPS) is defined by the | The term certification practice statement (CPS) is defined by the | |||
| DSG and PAG as: "A statement of the practices which a certification | DSG and PAG as: "A statement of the practices which a certification | |||
| authority employs in issuing certificates." [ABA1, ABA2] In the | authority employs in issuing certificates." [ABA1, ABA2] As stated | |||
| DSG, the ABA expands this definition with the following comments: | above, a CPS establishes practices concerning lifecycle services in | |||
| addition to issuance, such as certificate management (including | ||||
| publication and archiving), revocation, and renewal or re-keying. In | ||||
| the DSG, the ABA expands this definition with the following comments: | ||||
| "A certification practice statement may take the form of a | "A certification practice statement may take the form of a | |||
| declaration by the certification authority of the details of its | declaration by the certification authority of the details of its | |||
| trustworthy system and the practices it employs in its operations | trustworthy system and the practices it employs in its operations | |||
| and in support of issuance of a certificate . . . ." This form of | and in support of issuance of a certificate . . . ." This form of | |||
| CPS is the most common type, and can vary in length and level of | CPS is the most common type, and can vary in length and level of | |||
| detail. | detail. | |||
| Some PKIs may not have the need to create a thorough and detailed | Some PKIs may not have the need to create a thorough and detailed | |||
| statement of practices. For example, the CA may itself be the | statement of practices. For example, the CA may itself be the | |||
| relying party and would already be aware of the nature and | relying party and would already be aware of the nature and | |||
| trustworthiness of its services. In other cases, a PKI may provide | trustworthiness of its services. In other cases, a PKI may provide | |||
| certificates providing only a very low level of assurances where the | certificates providing only a very low level of assurances where the | |||
| applications being secured may pose only marginal risks if | applications being secured may pose only marginal risks if | |||
| compromised. In these cases, a PKI may only want to write a | compromised. In these cases, an organization establishing a PKI | |||
| subscriber agreement, relying party agreement, or an agreement | may only want to write or have CAs use a subscriber agreement, | |||
| combining subscriber and relying party terms, depending on the role | relying party agreement, or agreement combining subscriber and | |||
| of the different PKI participants. In such a PKI, that agreement | relying party terms, depending on the role of the different PKI | |||
| may serve as the only "statement of practices that a certification | participants. In such a PKI, that agreement may serve as the only | |||
| authority employs in issuing certificates." Consequently, that | "statement of practices" used by one or more CAs within that PKI. | |||
| agreement may also be considered a CPS and can be entitled or | Consequently, that agreement may also be considered a CPS and can | |||
| subtitled as such. | be entitled or subtitled as such. | |||
| Likewise, since a detailed CPS may contain sensitive details of its | Likewise, since a detailed CPS may contain sensitive details of its | |||
| system, a CA may elect not to publish its entire CPS. It may | system, a CA may elect not to publish its entire CPS. It may | |||
| instead opt to publish a CPS Summary (or CPS Abstract). The CPS | instead opt to publish a CPS Summary (or CPS Abstract). The CPS | |||
| Summary would contain only those provisions from the CPS that the CA | Summary would contain only those provisions from the CPS that the CA | |||
| considers to be relevant to the participants in the PKI (such as the | considers to be relevant to the participants in the PKI (such as the | |||
| responsibilities of the parties or the stages of the certificate | responsibilities of the parties or the stages of the certificate | |||
| lifecycle). A CPS Summary, however, would not contain those | lifecycle). A CPS Summary, however, would not contain those | |||
| sensitive provisions of the full CPS that might provide an | sensitive provisions of the full CPS that might provide an | |||
| attacker with useful information about the CA's operations. | attacker with useful information about the CA's operations. | |||
| Throughout this document, the use of "CPS" includes both a detailed | Throughout this document, the use of "CPS" includes both a detailed | |||
| CPS and a CPS Summary (unless otherwise specified). | CPS and a CPS Summary (unless otherwise specified). | |||
| CPSs do not automatically constitute contracts and do not | CPSs do not automatically constitute contracts and do not | |||
| automatically bind PKI participants as a contract would. Where a | automatically bind PKI participants as a contract would. Where a | |||
| document serves the dual purpose of being a subscriber or relying | document serves the dual purpose of being a subscriber or relying | |||
| party agreement and CPS, the document is intended to be a contract | party agreement and CPS, the document is intended to be a contract | |||
| and constitutes a binding contract to the extent that a subscriber | and constitutes a binding contract to the extent that a subscriber | |||
| skipping to change at page 14, line 52 ¶ | skipping to change at page 14, line 53 ¶ | |||
| various topics. In other words, the purpose of the CP is to | various topics. In other words, the purpose of the CP is to | |||
| establish what participants must do. A CPS, by contrast, states how | establish what participants must do. A CPS, by contrast, states how | |||
| a CA and other participants in a given domain implement procedures | a CA and other participants in a given domain implement procedures | |||
| and controls to meet the requirements stated in the CP. In other | and controls to meet the requirements stated in the CP. In other | |||
| words, the purpose of the CPS is to disclose how the participants | words, the purpose of the CPS is to disclose how the participants | |||
| perform their functions and implement controls. | perform their functions and implement controls. | |||
| An additional difference between a CP and CPS relates the scope of | An additional difference between a CP and CPS relates the scope of | |||
| coverage of the two kinds of documents. Since a CP is a statement | coverage of the two kinds of documents. Since a CP is a statement | |||
| of requirements, it best serves as the vehicle for communicating | of requirements, it best serves as the vehicle for communicating | |||
| minimum operating guidelines that must be met by interoperating PKIs | minimum operating guidelines that must be met by interoperating PKIs. | |||
| . Thus, a CP generally applies to multiple CAs, multiple | Thus, a CP generally applies to multiple CAs, multiple organizations, | |||
| organizations, or multiple domains. By contrast, a CPS applies only | or multiple domains. By contrast, a CPS applies only to a single CA | |||
| to a single CA or single organization and is not generally a vehicle | or single organization and is not generally a vehicle to facilitate | |||
| to facilitate interoperation. | interoperation. | |||
| A CA with a single CPS may support multiple CPs (used for | A CA with a single CPS may support multiple CPs (used for | |||
| different application purposes and/or by different relying party | different application purposes and/or by different relying party | |||
| communities). Also, multiple CAs, with non-identical CPSs, may | communities). Also, multiple CAs, with non-identical CPSs, may | |||
| support the same CP. | support the same CP. | |||
| For example, the Federal Government might define a government-wide | For example, the Federal Government might define a government-wide | |||
| CP for handling confidential human resources information. The CP | CP for handling confidential human resources information. The CP | |||
| will be a broad statement of the general requirements for | will be a broad statement of the general requirements for | |||
| participants within the Government's PKI, and an indication of the | participants within the Government's PKI, and an indication of the | |||
| skipping to change at page 18, line 4 ¶ | skipping to change at page 18, line 4 ¶ | |||
| provisions. For example, a CPS could be expressed as a combination | provisions. For example, a CPS could be expressed as a combination | |||
| of the following: | of the following: | |||
| (a) a list of certificate policies supported by the CPS; | (a) a list of certificate policies supported by the CPS; | |||
| (b) for each CP in (a), a set of provisions that contains | (b) for each CP in (a), a set of provisions that contains | |||
| statements responding to that CP by filling in details not | statements responding to that CP by filling in details not | |||
| stipulated in that policy or expressly left to the discretion of the | stipulated in that policy or expressly left to the discretion of the | |||
| CA (in its CPS) ; such statements serve to state how this particular | CA (in its CPS) ; such statements serve to state how this particular | |||
| CPS implements the requirements of the particular CP; or | CPS implements the requirements of the particular CP; or | |||
| (c) a set of provisions that contains statements regarding the | (c) a set of provisions that contains statements regarding the | |||
| certification practices on the CA, regardless of CP. | certification practices on the CA, regardless of CP. | |||
| The statements provided in (b) and (c) may augment or refine the | The statements provided in (b) and (c) may augment or refine the | |||
| stipulations of the applicable CP, but generally must not conflict | stipulations of the applicable CP, but generally must not conflict | |||
| with any of the stipulations of such CP. In certain cases, however, | with any of the stipulations of such CP. In certain cases, however, | |||
| a policy authority may permit exceptions to the requirements in a | a policy authority may permit exceptions to the requirements in a | |||
| CP, because certain compensating controls of the CA are disclosed in | CP, because certain compensating controls of the CA are disclosed in | |||
| its CPS that allow the CA to provide assurances that are equivalent | its CPS that allow the CA to provide assurances that are equivalent | |||
| to the assurances provided by CAs that are in full compliance with | to the assurances provided by CAs that are in full compliance with | |||
| the CP. | the CP. | |||
| This framework outlines the contents of a set of provisions, in | This framework outlines the contents of a set of provisions, in | |||
| terms of nine primary components, as follows: | terms of nine primary components, as follows: | |||
| 1. Introduction | 1. Introduction | |||
| 2. Publication and Repository | 2. Publication and Repository | |||
| 3. Identification and Authentication | 3. Identification and Authentication | |||
| 4. Certificate Life-Cycle Operational Requirements | 4. Certificate Life-Cycle Operational Requirements | |||
| 5. Facilities, Management, and Operational Controls | 5. Facilities, Management, and Operational Controls | |||
| 6. Technical Security Controls | 6. Technical Security Controls | |||
| 7. Certificate, CRL, and OCSP Profile | 7. Certificate, CRL, and OCSP Profile | |||
| 8. Compliance audit | 8. Compliance audit | |||
| 9. Other Business and Legal Matters | 9. Other Business and Legal Matters | |||
| PKIs can use this simple framework of nine primary components to | PKIs can use this simple framework of nine primary components to | |||
| write a simple CP or CPS. Moreover, a CA can use this same | write a simple CP or CPS. Moreover, a CA can use this same | |||
| framework to write a subscriber agreement, relying party agreement, | framework to write a subscriber agreement, relying party agreement, | |||
| skipping to change at page 18, line 44 ¶ | skipping to change at page 18, line 45 ¶ | |||
| paragraph 1 as an introduction or recitals, it can set forth the | paragraph 1 as an introduction or recitals, it can set forth the | |||
| responsibilities of the parties in paragraphs 2-8, and it can use | responsibilities of the parties in paragraphs 2-8, and it can use | |||
| paragraph 9 to cover the business and legal issues described in more | paragraph 9 to cover the business and legal issues described in more | |||
| detail in, and using the ordering of, Section 4.9 below (such as | detail in, and using the ordering of, Section 4.9 below (such as | |||
| representations and warranties, disclaimers, and liability | representations and warranties, disclaimers, and liability | |||
| limitations). The ordering of topics in this simple framework and | limitations). The ordering of topics in this simple framework and | |||
| the business and legal matters Section 4.9 is the same as (or | the business and legal matters Section 4.9 is the same as (or | |||
| similar to) the ordering of topics in a typical software or other | similar to) the ordering of topics in a typical software or other | |||
| technology agreement. Therefore, a PKI can establish a set of core | technology agreement. Therefore, a PKI can establish a set of core | |||
| documents (with a CP, CPS, subscriber agreement, and relying party | documents (with a CP, CPS, subscriber agreement, and relying party | |||
| agreement) all having the same coverage and ordering of topics, | agreement) all having the same structure and ordering of topics, | |||
| thereby facilitating comparisons and mappings among these documents | thereby facilitating comparisons and mappings among these documents | |||
| and among the corresponding documents of other PKIs. | and among the corresponding documents of other PKIs. | |||
| This simple framework may also be useful for agreements other than | This simple framework may also be useful for agreements other than | |||
| subscriber agreements and relying party agreements. For instance, a | subscriber agreements and relying party agreements. For instance, a | |||
| CA wishing to outsource certain services to an RA or certificate | CA wishing to outsource certain services to an RA or certificate | |||
| manufacturing authority (CMA) may find it useful to use this | manufacturing authority (CMA) may find it useful to use this | |||
| framework as a checklist to write a registration authority agreement | framework as a checklist to write a registration authority agreement | |||
| or outsourcing agreement. Similarly, two CAs may wish to use this | or outsourcing agreement. Similarly, two CAs may wish to use this | |||
| simple framework for the purpose of drafting a cross-certification, | simple framework for the purpose of drafting a cross-certification, | |||
| unilateral certification, or other interoperability agreement. | unilateral certification, or other interoperability agreement. | |||
| In short, the primary components of the simple framework | In short, the primary components of the simple framework | |||
| (specified above) may meet the needs of drafters of short CPs, CPSs, | (specified above) may meet the needs of drafters of short CPs, CPSs, | |||
| subscriber agreements, and relying party agreements. Nonetheless, | subscriber agreements, and relying party agreements. Nonetheless, | |||
| this framework is extensible, and its coverage of the nine | this framework is extensible, and its coverage of the nine | |||
| components is flexible enough to meet the needs of drafters of | components is flexible enough to meet the needs of drafters of | |||
| comprehensive CPs and CPSs. Specifically, omponents appearing above | comprehensive CPs and CPSs. Specifically, components appearing above | |||
| can be further divided into subcomponents, and a subcomponent may | can be further divided into subcomponents, and a subcomponent may | |||
| comprise multiple elements. Section 4 provides a more detailed | comprise multiple elements. Section 4 provides a more detailed | |||
| description of the contents of the above components, and their | description of the contents of the above components, and their | |||
| subcomponents. Drafters of CPs and CPSs are permitted to add | subcomponents. Drafters of CPs and CPSs are permitted to add | |||
| additional levels of subcomponents below the subcomponents described | additional levels of subcomponents below the subcomponents described | |||
| in Section 4 for the purpose of meeting the needs of the drafter's | in Section 4 for the purpose of meeting the needs of the drafter's | |||
| particular PKI. | particular PKI. | |||
| 4. CONTENTS OF A SET OF PROVISIONS | 4. CONTENTS OF A SET OF PROVISIONS | |||
| skipping to change at page 21, line 28 ¶ | skipping to change at page 21, line 24 ¶ | |||
| certificates is prohibited. | certificates is prohibited. | |||
| In the case of a CP or CPS describing different levels of assurance, | In the case of a CP or CPS describing different levels of assurance, | |||
| this subcomponent can describe applications or types of applications | this subcomponent can describe applications or types of applications | |||
| that are appropriate or inappropriate for the different levels of | that are appropriate or inappropriate for the different levels of | |||
| assurance. | assurance. | |||
| 4.1.5 Policy Administration | 4.1.5 Policy Administration | |||
| This subcomponent includes the name and mailing address of the | This subcomponent includes the name and mailing address of the | |||
| organization that is responsible for the registration, maintenance, | organization that is responsible for the drafting, registering, | |||
| and interpretation of this CP or CPS. It also includes the name, | maintaining, and updating of this CP or CPS. It also includes the | |||
| electronic mail address, telephone number, and fax number of a | name, electronic mail address, telephone number, and fax number of a | |||
| contact person. | contact person. As an alternative to naming an actual person, the | |||
| document may name a title or role, an e-mail alias, and other | ||||
| generalized contact information. In some cases, the organization may | ||||
| state that its contact person, alone or in combination with others, | ||||
| is available to answer questions about the document. | ||||
| Moreover, when a formal or informal policy authority is responsible | Moreover, when a formal or informal policy authority is responsible | |||
| for determining whether a CA should be allowed to operate within or | for determining whether a CA should be allowed to operate within or | |||
| interoperate with a PKI, it may wish to approve the CPS of the CA as | interoperate with a PKI, it may wish to approve the CPS of the CA as | |||
| being suitable for the policy authority's CP. If so, this | being suitable for the policy authority's CP. If so, this | |||
| subcomponent includes the name, electronic mail address, telephone | subcomponent can include the name or title, electronic mail address | |||
| number, and fax number of the person in charge of making such a | (or alias), telephone number, fax number, and other generalized | |||
| determination. Finally, in this case, this subcomponent also | information of the entity in charge of making such a determination. | |||
| includes the procedures by which this determination is made. | Finally, in this case, this subcomponent also includes the | |||
| procedures by which this determination is made. | ||||
| 4.1.6 Definitions and acronyms | 4.1.6 Definitions and acronyms | |||
| This subcomponent contains a list of definitions for defined terms | This subcomponent contains a list of definitions for defined terms | |||
| used within the document, as well as a list of acronyms in the | used within the document, as well as a list of acronyms in the | |||
| document and their meanings. | document and their meanings. | |||
| 4.2 PUBLICATION AND REPOSITORY RESPONSIBILITIES | 4.2 PUBLICATION AND REPOSITORY RESPONSIBILITIES | |||
| This component contains any applicable provisions regarding: | This component contains any applicable provisions regarding: | |||
| * An identification of the entity or entities that operate | * An identification of the entity or entities that operate | |||
| skipping to change at page 22, line 38 ¶ | skipping to change at page 22, line 39 ¶ | |||
| 4.3.1 Naming | 4.3.1 Naming | |||
| This subcomponent includes the following elements regarding naming | This subcomponent includes the following elements regarding naming | |||
| and identification of the subscribers: | and identification of the subscribers: | |||
| * Types of names assigned to the subject, such as X.500 | * Types of names assigned to the subject, such as X.500 | |||
| distinguished names; RFC-822 names; and X.400 names; | distinguished names; RFC-822 names; and X.400 names; | |||
| * Whether names have to be meaningful or not;(3) | * Whether names have to be meaningful or not;(3) | |||
| * Whether subscribers can be anonymous or not and, if so, what names | * Whether or not subscribers can be anonymous or pseudonymous, and, | |||
| are assigned to anonymous subscribers; | if they can, what names are assigned to or can be used by anonymous | |||
| subscribers; | ||||
| * Rules for interpreting various name forms, such as the X.500 | * Rules for interpreting various name forms, such as the X.500 | |||
| standard and RFC-822; | standard and RFC-822; | |||
| * Whether names have to be unique; and | * Whether names have to be unique; and | |||
| * Recognition, authentication, and role of trademarks. | * Recognition, authentication, and role of trademarks. | |||
| 4.3.2 Initial Identity Validation | 4.3.2 Initial Identity Validation | |||
| skipping to change at page 26, line 41 ¶ | skipping to change at page 26, line 41 ¶ | |||
| * Notification of certificate issuance by the CA to other entities. | * Notification of certificate issuance by the CA to other entities. | |||
| 4.4.7 Certificate Re-key | 4.4.7 Certificate Re-key | |||
| This subcomponent is used to describe the following elements related | This subcomponent is used to describe the following elements related | |||
| to a subscriber or other participant generating a new key pair and | to a subscriber or other participant generating a new key pair and | |||
| applying for the issuance of new certificate that certifies the new | applying for the issuance of new certificate that certifies the new | |||
| public key: | public key: | |||
| * Circumstances under which certificate re-key can or must takes | * Circumstances under which certificate re-key can or must take | |||
| place, such as after a certificate is revoked for the reasons of key | place, such as after a certificate is revoked for the reasons of key | |||
| compromise or after a certificate has expired and the usage period | compromise or after a certificate has expired and the usage period | |||
| of the key pair has also expired; | of the key pair has also expired; | |||
| * Who may request certificate re-key, for example, the subscriber; | * Who may request certificate re-key, for example, the subscriber; | |||
| * A CA or RA's procedures to process re-keying requests to issue the | * A CA or RA's procedures to process re-keying requests to issue the | |||
| new certificate, such as procedures that are the same as the initial | new certificate, such as procedures that are the same as the initial | |||
| certificate issuance; | certificate issuance; | |||
| skipping to change at page 27, line 4 ¶ | skipping to change at page 27, line 4 ¶ | |||
| * A CA or RA's procedures to process re-keying requests to issue the | * A CA or RA's procedures to process re-keying requests to issue the | |||
| new certificate, such as procedures that are the same as the initial | new certificate, such as procedures that are the same as the initial | |||
| certificate issuance; | certificate issuance; | |||
| * Notification of the new certificate to the subscriber; | * Notification of the new certificate to the subscriber; | |||
| * Conduct constituting acceptance of the certificate; | * Conduct constituting acceptance of the certificate; | |||
| * Publication of the certificate by the CA; and | * Publication of the certificate by the CA; and | |||
| * Notification of certificate issuance by the CA to other | * Notification of certificate issuance by the CA to other | |||
| entities. | entities. | |||
| 4.4.8 Certificate Modification | 4.4.8 Certificate Modification | |||
| This subcomponent is used to describe the following elements related | This subcomponent is used to describe the following elements related | |||
| to issuance of a new certificate due to changes in the information | to issuance of a new certificate (6) due to changes in the | |||
| in the certificate other than the subscriber public key: | information in the certificate other than the subscriber public key: | |||
| * Circumstances under which certificate modification can takes | * Circumstances under which certificate modification can take | |||
| place, such as name change, role change, reorganization resulting a | place, such as name change, role change, reorganization resulting a | |||
| change in the DN; | change in the DN; | |||
| * Who may request certificate modification, for instance, | * Who may request certificate modification, for instance, | |||
| subscribers, human resources personnel, or the RA; | subscribers, human resources personnel, or the RA; | |||
| * A CA or RA's procedures to process modification requests to issue | * A CA or RA's procedures to process modification requests to issue | |||
| the new certificate, such as procedures that are the same as the | the new certificate, such as procedures that are the same as the | |||
| initial certificate issuance; | initial certificate issuance; | |||
| skipping to change at page 28, line 40 ¶ | skipping to change at page 28, line 41 ¶ | |||
| * Procedures to request certificate suspension, such as a digitally | * Procedures to request certificate suspension, such as a digitally | |||
| signed message from subscriber or RA, or a phone call from RA; and | signed message from subscriber or RA, or a phone call from RA; and | |||
| * How long the suspension may last. | * How long the suspension may last. | |||
| 4.4.10 Certificate Status Services | 4.4.10 Certificate Status Services | |||
| This subcomponent addresses the certificate status checking services | This subcomponent addresses the certificate status checking services | |||
| available to the relying parties, including: | available to the relying parties, including: | |||
| * The operational characteristics of certificate status checking services; | * The operational characteristics of certificate status checking | |||
| services; | ||||
| * The availability of such services, and any applicable policies on | * The availability of such services, and any applicable policies on | |||
| unavailability; and | unavailability; and | |||
| * Any optional features of such services. | * Any optional features of such services. | |||
| 4.4.11 End of Subscription | 4.4.11 End of Subscription | |||
| This subcomponent addresses procedures used by the subscriber to end | This subcomponent addresses procedures used by the subscriber to end | |||
| subscription to the CA services, including: | subscription to the CA services, including: | |||
| skipping to change at page 32, line 8 ¶ | skipping to change at page 32, line 4 ¶ | |||
| * Whether the subject who caused an audit event to occur is notified | * Whether the subject who caused an audit event to occur is notified | |||
| of the audit action; and | of the audit action; and | |||
| * Vulnerability assessments, for example, where audit data is run | * Vulnerability assessments, for example, where audit data is run | |||
| through a tool that identifies potential attempts to breach the | through a tool that identifies potential attempts to breach the | |||
| security of the system. | security of the system. | |||
| 4.5.5 Records Archival | 4.5.5 Records Archival | |||
| This subcomponent is used to describe general records archival (or | This subcomponent is used to describe general records archival (or | |||
| records retention) policies, including the following: | records retention) policies, including the following: | |||
| * Types of records that are archived, for example, all audit data, | * Types of records that are archived, for example, all audit data, | |||
| certificate application information, and documentation supporting | certificate application information, and documentation supporting | |||
| certificate applications; | certificate applications; | |||
| * Retention period for archive; | * Retention period for archive; | |||
| * Protection of archive: | * Protection of archive: | |||
| - Who can view the archive, for example, a requirement that only the | - Who can view the archive, for example, a requirement that only the | |||
| audit administrator may view the archive; | audit administrator may view the archive; | |||
| - Protection against modification of archive, such as storing the | - Protection against modification of archive, such as securely | |||
| data on a write once medium; | storing the data on a write once medium; | |||
| - Protection against deletion of archive; and | - Protection against deletion of archive; | |||
| - Protection against deterioration of the media on which the archive | - Protection against deterioration of the media on which the archive | |||
| Protection against deletion of archive; | ||||
| is stored, such as a requirement for data to be migrated | is stored, such as a requirement for data to be migrated | |||
| periodically to fresh media. | periodically to fresh media; and | |||
| - Protection against obsolescence of hardware, operating systems, and | ||||
| other software, by, for example, retaining as part of the archive the | ||||
| hardware, operating systems, and/or other software in order to permit | ||||
| access to and use of archived records over time. | ||||
| * Archive backup procedures; | * Archive backup procedures; | |||
| * Requirements for time-stamping of records; | * Requirements for time-stamping of records; | |||
| * Whether the archive collection system is internal or external; and | * Whether the archive collection system is internal or external; and | |||
| * Procedures to obtain and verify archive information, such as a | * Procedures to obtain and verify archive information, such as a | |||
| requirement that two separate copies of the archive data be kept | requirement that two separate copies of the archive data be kept | |||
| under the control of two persons, and that the two copies be | under the control of two persons, and that the two copies be | |||
| skipping to change at page 35, line 4 ¶ | skipping to change at page 35, line 4 ¶ | |||
| module used to generate the keys? A cryptographic module can be | module used to generate the keys? A cryptographic module can be | |||
| composed of hardware, software, firmware, or any combination of | composed of hardware, software, firmware, or any combination of | |||
| them. For example, are the keys certified by the infrastructure | them. For example, are the keys certified by the infrastructure | |||
| required to be generated using modules compliant with the US FIPS | required to be generated using modules compliant with the US FIPS | |||
| 140-1? If so, what is the required FIPS 140-1 level of the module? | 140-1? If so, what is the required FIPS 140-1 level of the module? | |||
| Are there any other engineering or other controls relating to a | Are there any other engineering or other controls relating to a | |||
| cryptographic module, such as the identification of the | cryptographic module, such as the identification of the | |||
| cryptographic module boundary, input/output, roles and services, | cryptographic module boundary, input/output, roles and services, | |||
| finite state machine, physical security, software security, | finite state machine, physical security, software security, | |||
| operating system security, algorithm compliance, electromagnetic | operating system security, algorithm compliance, electromagnetic | |||
| compatibility, and self tests. | compatibility, and self tests. | |||
| 2. Is the private key under n out of m multi-person control?(6) | 2. Is the private key under n out of m multi-person control?(7) | |||
| If yes, provide n and m (two person control is a special case of n | If yes, provide n and m (two person control is a special case of n | |||
| out of m, where n = m = 2)? | out of m, where n = m = 2)? | |||
| 3. Is the private key escrowed?(7) If so, who is the escrow agent, | 3. Is the private key escrowed?(8) If so, who is the escrow agent, | |||
| what form is the key escrowed in (examples include plaintext, | what form is the key escrowed in (examples include plaintext, | |||
| encrypted, split key), and what are the security controls on the | encrypted, split key), and what are the security controls on the | |||
| escrow system? | escrow system? | |||
| 4. Is the private key backed up? If so, who is the backup agent, | 4. Is the private key backed up? If so, who is the backup agent, | |||
| what form is the key backed up in (examples include plaintext, | what form is the key backed up in (examples include plaintext, | |||
| encrypted, split key), and what are the security controls on the | encrypted, split key), and what are the security controls on the | |||
| backup system? | backup system? | |||
| 5. Is the private key archived? If so, who is the archival agent, | 5. Is the private key archived? If so, who is the archival agent, | |||
| skipping to change at page 36, line 13 ¶ | skipping to change at page 36, line 13 ¶ | |||
| standard such as U.S. FIPS 140-1, associated level, and rating. | standard such as U.S. FIPS 140-1, associated level, and rating. | |||
| 4.6.3 Other Aspects of Key Pair Management | 4.6.3 Other Aspects of Key Pair Management | |||
| Other aspects of key management need to be considered for the | Other aspects of key management need to be considered for the | |||
| issuing CA, repositories, subject CAs, RAs, subscribers, and other | issuing CA, repositories, subject CAs, RAs, subscribers, and other | |||
| participants. For each of these types of entity, the following | participants. For each of these types of entity, the following | |||
| questions potentially need to be answered: | questions potentially need to be answered: | |||
| 1. Is the public key archived? If so, who is the archival agent and | 1. Is the public key archived? If so, who is the archival agent and | |||
| what are the security controls on the archival system? The archival | what are the security controls on the archival system? Also, what | |||
| system should provide integrity controls other than digital | software and hardware need to be preserved as part of the archive to | |||
| signatures since: the archival period may be greater than the | permit use of the public key over time? Note: this subcomponent is | |||
| cryptanalysis period for the key and the archive requires tamper | not limited to requiring or describing the use of digital signatures | |||
| protection, which is not provided by digital signatures. | with archival data, but rather can address integrity controls other | |||
| than digital signatures when an archive requires tamper protection. | ||||
| Digital signatures do not provide tamper protection or protect the | ||||
| integrity of data; they merely verify data integrity. Moreover, the | ||||
| archival period may be greater than the cryptanalysis period for | ||||
| the public key needed to verify any digital signature applied to | ||||
| archival data. | ||||
| 2. What is the operational period of the certificates issued to the | 2. What is the operational period of the certificates issued to the | |||
| subscriber. What are the usage periods, or active lifetimes, for | subscriber. What are the usage periods, or active lifetimes, for | |||
| the subscriber's key pair? | the subscriber's key pair? | |||
| 4.6.4 Activation Data | 4.6.4 Activation Data | |||
| Activation data refers to data values other than whole private keys | Activation data refers to data values other than whole private keys | |||
| that are required to operate private keys or cryptographic modules | that are required to operate private keys or cryptographic modules | |||
| containing private keys, such as a PIN, passphrase, or portions of a | containing private keys, such as a PIN, passphrase, or portions of a | |||
| skipping to change at page 36, line 54 ¶ | skipping to change at page 37, line 4 ¶ | |||
| audit, identification and authentication, trusted path, security | audit, identification and authentication, trusted path, security | |||
| testing, and penetration testing. Product assurance may also be | testing, and penetration testing. Product assurance may also be | |||
| addressed. | addressed. | |||
| A computer security rating for computer systems may be required. | A computer security rating for computer systems may be required. | |||
| The rating could be based, for example, on the Trusted System | The rating could be based, for example, on the Trusted System | |||
| Evaluation Criteria (TCSEC), Canadian Trusted Products Evaluation | Evaluation Criteria (TCSEC), Canadian Trusted Products Evaluation | |||
| Criteria, European Information Technology Security Evaluation | Criteria, European Information Technology Security Evaluation | |||
| Criteria (ITSEC), or the Common Criteria for Information Technology | Criteria (ITSEC), or the Common Criteria for Information Technology | |||
| Security Evaluation, ISO/IEC 15408:1999. This subcomponent can also | Security Evaluation, ISO/IEC 15408:1999. This subcomponent can also | |||
| address requirements for product evaluation analysis, testing, | address requirements for product evaluation analysis, testing, | |||
| profiling, product certification, and/or product accreditation | profiling, product certification, and/or product accreditation | |||
| related activity undertaken. | related activity undertaken. | |||
| 4.6.6 Life Cycle Security Controls | 4.6.6 Life Cycle Security Controls | |||
| This subcomponent addresses system development controls and | This subcomponent addresses system development controls and | |||
| security management controls. | security management controls. | |||
| System development controls include development environment | System development controls include development environment | |||
| security, development personnel security, configuration management | security, development personnel security, configuration management | |||
| security during product maintenance, software engineering practices, | security during product maintenance, software engineering practices, | |||
| software development methodology, modularity, layering, use of | software development methodology, modularity, layering, use of | |||
| failsafe design and implementation techniques (e.g., defensive | failsafe design and implementation techniques (e.g., defensive | |||
| programming) and development facility security. | programming) and development facility security. | |||
| Security management controls include execution of tools and | Security management controls include execution of tools and | |||
| procedures to ensure that the operational systems and networks | procedures to ensure that the operational systems and networks | |||
| adhere to configured security. These tools and procedures include | adhere to configured security. These tools and procedures include | |||
| checking the integrity of the security software, firmware, and | checking the integrity of the security software, firmware, and | |||
| hardware to ensure their correct operation. | hardware to ensure their correct operation. | |||
| This subcomponent can also address life-cycle security ratings | This subcomponent can also address life-cycle security ratings | |||
| based, for example, on the Trusted Software Development Methodology | based, for example, on the Trusted Software Development Methodology | |||
| (TSDM) level IV and V, independent life-cycle security controls | (TSDM) level IV and V, independent life-cycle security controls | |||
| audit, and the Software Engineering Institute's Capability Maturity | audit, and the Software Engineering Institute's Capability Maturity | |||
| Model (SEI-CMM). | Model (SEI-CMM). | |||
| 4.6.7 Network Security Controls | 4.6.7 Network Security Controls | |||
| This subcomponent addresses network security related controls, | This subcomponent addresses network security related controls, | |||
| including firewalls. | including firewalls. | |||
| skipping to change at page 38, line 42 ¶ | skipping to change at page 38, line 47 ¶ | |||
| an OCSP system; and | an OCSP system; and | |||
| * OCSP extensions populated and their criticality. | * OCSP extensions populated and their criticality. | |||
| 4.8 COMPLIANCE AUDIT AND OTHER ASSESSMENT | 4.8 COMPLIANCE AUDIT AND OTHER ASSESSMENT | |||
| This component addresses the following: | This component addresses the following: | |||
| * The list of topics covered by the assessment and/or the assessment | * The list of topics covered by the assessment and/or the assessment | |||
| methodology used to perform the assessment; examples include | methodology used to perform the assessment; examples include | |||
| WebTrust for CAs (8) and SAS 70 (9). | WebTrust for CAs (9) and SAS 70 (10). | |||
| * Frequency of compliance audit or other assessment for each entity | * Frequency of compliance audit or other assessment for each entity | |||
| that must be assessed pursuant to a CP or CPS, or the circumstances | that must be assessed pursuant to a CP or CPS, or the circumstances | |||
| that will trigger an assessment; possibilities include an annual | that will trigger an assessment; possibilities include an annual | |||
| audit, pre-operational assessment as a condition of allowing an | audit, pre-operational assessment as a condition of allowing an | |||
| entity to being operations, or investigation following a possible or | entity to being operations, or investigation following a possible or | |||
| actual compromise of security. | actual compromise of security. | |||
| * The identity and/or qualifications of the personnel performing the | * The identity and/or qualifications of the personnel performing the | |||
| audit or other assessment. | audit or other assessment. | |||
| skipping to change at page 38, line 55 ¶ | skipping to change at page 39, line 4 ¶ | |||
| that must be assessed pursuant to a CP or CPS, or the circumstances | that must be assessed pursuant to a CP or CPS, or the circumstances | |||
| that will trigger an assessment; possibilities include an annual | that will trigger an assessment; possibilities include an annual | |||
| audit, pre-operational assessment as a condition of allowing an | audit, pre-operational assessment as a condition of allowing an | |||
| entity to being operations, or investigation following a possible or | entity to being operations, or investigation following a possible or | |||
| actual compromise of security. | actual compromise of security. | |||
| * The identity and/or qualifications of the personnel performing the | * The identity and/or qualifications of the personnel performing the | |||
| audit or other assessment. | audit or other assessment. | |||
| * The relationship between the assessor and the entity being | * The relationship between the assessor and the entity being | |||
| assessed, including the degree of independence of the assessor. | assessed, including the degree of independence of the assessor. | |||
| * Actions taken as a result of deficiencies found during the | * Actions taken as a result of deficiencies found during the | |||
| assessment; examples include a temporary suspension of operations | assessment; examples include a temporary suspension of operations | |||
| until deficiencies are corrected, revocation of certificates issued | until deficiencies are corrected, revocation of certificates issued | |||
| to the assessed entity, changes in personnel, triggering special | to the assessed entity, changes in personnel, triggering special | |||
| investigations or more frequent subsequent compliance assessments, | investigations or more frequent subsequent compliance assessments, | |||
| and claims for damages against the assessed entity. | and claims for damages against the assessed entity. | |||
| * Who is entitled to see results of an assessment (e.g., assessed | * Who is entitled to see results of an assessment (e.g., assessed | |||
| entity, other participants, the general public), who provides them | entity, other participants, the general public), who provides them | |||
| (e.g., the assessor or the assessed entity), and how they are | (e.g., the assessor or the assessed entity), and how they are | |||
| communicated. | communicated. | |||
| 4.9 OTHER BUSINESS AND LEGAL MATTERS | 4.9 OTHER BUSINESS AND LEGAL MATTERS | |||
| In all cases below, the CP or CPS itself may purport to impose terms | This component covers general business and legal matters. Sections | |||
| on participants to the extent the CP or CPS is a contract or part of | 9.1 and 9.2 of the framework discuss the business issues of fees to | |||
| a contract, or the CP or CPS may contain requirements that such | be charged for various services and the financial responsibility of | |||
| terms appear in separate agreements, such as subscriber agreements | participants to maintain resources for ongoing operations and for | |||
| and relying party agreements. | paying judgments or settlements in response to claims asserted | |||
| against them. The remaining sections are generally concerned with | ||||
| legal topics. | ||||
| Starting with Section 9.3 of the framework, the ordering of topics | ||||
| is the same as or similar to the ordering of topics in a typical | ||||
| software licensing agreement or other technology agreement. | ||||
| Consequently, this framework may not only be used for CPs and CPSs, | ||||
| but also associated PKI-related agreements, especially subscriber | ||||
| agreements and relying party agreements. This ordering is intended | ||||
| help lawyers review CPs, CPSs, and other documents adhering to this | ||||
| framework. | ||||
| With respect to many of the legal subcomponents within this | ||||
| component, a CP or CPS drafter may choose to include in the document | ||||
| terms and conditions that apply directly to subscribers or relying | ||||
| parties. For instance, a CP or CPS may set forth limitations of | ||||
| liability that apply to subscribers and relying parties. The | ||||
| inclusion of terms and conditions is likely to be appropriate where | ||||
| the CP or CPS is itself a contract or part of a contract. | ||||
| In other cases, however, the CP or CPS is not a contract or part of | ||||
| a contract; instead, it is configured so that its terms and | ||||
| conditions are applied to the parties by separate documents, which | ||||
| may include associated agreements, such as subscriber or relying | ||||
| party agreements. In that event, a CP drafter may write a CP so as | ||||
| to require that certain legal terms and conditions appear (or not | ||||
| appear) in such associated agreements. For example, a CP might | ||||
| include a subcomponent stating that a certain limitation of | ||||
| liability term must appear in a CA's subscriber and relying party | ||||
| agreements. Another example is a CP that contains a subcomponent | ||||
| prohibiting the use of a subscriber or relying party agreement | ||||
| containing a limitation upon CA liability inconsistent with the | ||||
| provisions of the CP. A CPS drafter may use legal subcomponents to | ||||
| disclose that certain terms and conditions appear in associated | ||||
| subscriber, relying party, or other agreements in use by the CA. A | ||||
| CPS might explain, for instance, that the CA writing it uses an | ||||
| associated subscriber or relying party agreement that applies a | ||||
| particular provision for limiting liability. | ||||
| 4.9.1 Fees | 4.9.1 Fees | |||
| This subcomponent contains any applicable provisions regarding fees | This subcomponent contains any applicable provisions regarding fees | |||
| charged by CAs, repositories, or RAs, such as: | charged by CAs, repositories, or RAs, such as: | |||
| * Certificate issuance or renewal fees; | * Certificate issuance or renewal fees; | |||
| * Certificate access fees; | * Certificate access fees; | |||
| skipping to change at page 39, line 46 ¶ | skipping to change at page 40, line 31 ¶ | |||
| * Fees for other services such as providing access to the relevant | * Fees for other services such as providing access to the relevant | |||
| CP or CPS; and | CP or CPS; and | |||
| * Refund policy. | * Refund policy. | |||
| 4.9.2 Financial Responsibility | 4.9.2 Financial Responsibility | |||
| This subcomponent contains requirements or disclosures relating to | This subcomponent contains requirements or disclosures relating to | |||
| the resources available to CAs, RAs, and other participants | the resources available to CAs, RAs, and other participants | |||
| providing certification services to support performance of their | providing certification services to support performance of their | |||
| operational responsibilities, and to remain solvent and pay damages | operational PKI responsibilities, and to remain solvent and pay | |||
| in the event they are liable to pay a judgment or settlement in | damages in the event they are liable to pay a judgment or settlement | |||
| connection with a claim arising out of their operations. Such | in connection with a claim arising out of such operations. Such | |||
| provisions include: | provisions include: | |||
| * A statement that the participant maintains a certain amount of | * A statement that the participant maintains a certain amount of | |||
| insurance coverage for its liabilities to other participants; | insurance coverage for its liabilities to other participants; | |||
| * A statement that a participant has access to other resources to | * A statement that a participant has access to other resources to | |||
| support operations and pay damages for potential liability, which | support operations and pay damages for potential liability, which | |||
| may be couched in terms of a minimum level of assets necessary to | may be couched in terms of a minimum level of assets necessary to | |||
| operate and cover contingencies that might occur within a PKI, where | operate and cover contingencies that might occur within a PKI, where | |||
| examples include assets on the balance sheet of an organization, a | examples include assets on the balance sheet of an organization, a | |||
| skipping to change at page 41, line 4 ¶ | skipping to change at page 41, line 40 ¶ | |||
| * Any requirements as to notices to, or consent from individuals | * Any requirements as to notices to, or consent from individuals | |||
| regarding use or disclosure of private information; and | regarding use or disclosure of private information; and | |||
| * Any circumstances under which a participant is entitled or | * Any circumstances under which a participant is entitled or | |||
| required to disclose private information pursuant to judicial, | required to disclose private information pursuant to judicial, | |||
| administrative process in a private or governmental proceeding, or | administrative process in a private or governmental proceeding, or | |||
| in any legal proceeding. | in any legal proceeding. | |||
| 4.9.5 Intellectual Property Rights | 4.9.5 Intellectual Property Rights | |||
| This subcomponent addresses the intellectual property rights, | This subcomponent addresses the intellectual property rights, | |||
| such as copyright, patent, trademarks, or trade secrets, that | such as copyright, patent, trademarks, or trade secrets, that | |||
| certain participants may have or claim in a CP, CPS, certificates, | certain participants may have or claim in a CP, CPS, certificates, | |||
| names, and keys, or are the subject of a license to or from | names, and keys, or are the subject of a license to or from | |||
| participants. | participants. | |||
| 4.9.6 Representations and Warranties | 4.9.6 Representations and Warranties | |||
| This subcomponent can include representations and warranties of | This subcomponent can include representations and warranties of | |||
| various entities that are being made pursuant to the CP or CPS. For | various entities that are being made pursuant to the CP or CPS. For | |||
| example, a CPS that serves as a contract may contain a CA's warranty | example, a CPS that serves as a contract might contain a CA's | |||
| that information in the certificate is accurate. This subcomponent | warranty that information contained in the certificate is accurate. | |||
| can also include requirements that representations and warranties | Alternatively, a CPS might contain a less extensive warranty to the | |||
| appear in certain agreements, such as subscriber or relying party | effect that the information in the certificate is true to the best | |||
| of the CA's knowledge after performing certain identity | ||||
| authentication procedures with due diligence. This subcomponent can | ||||
| also include requirements that representations and warranties appear | ||||
| in certain agreements, such as subscriber or relying party | ||||
| agreements. For instance, a CP may contain a requirement that all | agreements. For instance, a CP may contain a requirement that all | |||
| CAs utilize a subscriber agreement, and that a subscriber agreement | CAs utilize a subscriber agreement, and that a subscriber agreement | |||
| must contain a warranty by the CA that information in the | must contain a warranty by the CA that information in the | |||
| certificate is accurate. | certificate is accurate. Participants that may make representations | |||
| and warranties include CAs, RAs, subscribers, relying parties, and | ||||
| Participants that may make representations and warranties include | other participants. | |||
| CAs, RAs, subscribers, relying parties, and other participants. | ||||
| 4.9.7 Disclaimers of Warranties | 4.9.7 Disclaimers of Warranties | |||
| This subcomponent can include disclaimers of express warranties that | This subcomponent can include disclaimers of express warranties that | |||
| may otherwise be deemed to exist in an agreement, and disclaimers of | may otherwise be deemed to exist in an agreement, and disclaimers of | |||
| implied warranties that may otherwise be imposed by applicable law, | implied warranties that may otherwise be imposed by applicable law, | |||
| such as warranties of merchantability or fitness for a particular | such as warranties of merchantability or fitness for a particular | |||
| purpose. The CP or CPS may impose such disclaimers, or the CP or | purpose. The CP or CPS may directly impose such disclaimers, or the | |||
| CPS may contain a requirement that disclaimers appear in agreements, | CP or CPS may contain a requirement that disclaimers appear in | |||
| such as subscriber or relying party agreements. | associated agreements, such as subscriber or relying party agreements. | |||
| 4.9.8 Limitations of Liability | 4.9.8 Limitations of Liability | |||
| This subcomponent can include limitations of liability in a CP or | This subcomponent can include limitations of liability in a CP or | |||
| CPS or limitations that appear or must appear in an agreement. | CPS or limitations that appear or must appear in an agreement | |||
| These limitations may fall into one of two categories: limitations | associated with the CP or CPS, such as a subscriber or relying party | |||
| on the elements of damages recoverable and limitations on the amount | agreement. These limitations may fall into one of two categories: | |||
| of damages recoverable, also known as liability caps. Often, | limitations on the elements of damages recoverable and limitations | |||
| contracts contain clauses preventing the recovery of elements of | on the amount of damages recoverable, also known as liability caps. | |||
| damages such as incidental and consequential damages, and sometimes | Often, contracts contain clauses preventing the recovery of elements | |||
| punitive damages. Frequently, contracts contain clauses that limit | of damages such as incidental and consequential damages, and | |||
| the possible recovery of one party or the other to an amount certain | sometimes punitive damages. Frequently, contracts contain clauses | |||
| or to an amount corresponding to a benchmark, such as the amount a | that limit the possible recovery of one party or the other to an | |||
| vendor was paid under the contract. | amount certain or to an amount corresponding to a benchmark, such as | |||
| the amount a vendor was paid under the contract. | ||||
| 4.9.9 Indemnities | 4.9.9 Indemnities | |||
| This subcomponent includes provisions by which one party makes a | This subcomponent includes provisions by which one party makes a | |||
| second party whole for losses or damage incurred by the second | second party whole for losses or damage incurred by the second | |||
| party, typically arising out of the first party's conduct. They may | party, typically arising out of the first party's conduct. They may | |||
| appear in a CP, CPS, or agreement. For example, a CP may require | appear in a CP, CPS, or agreement. For example, a CP may require | |||
| that subscriber agreements contain a term under which a subscriber | that subscriber agreements contain a term under which a subscriber | |||
| is responsible for indemnifying a CA for losses the CA sustains | is responsible for indemnifying a CA for losses the CA sustains | |||
| arising out of a subscriber's fraudulent misrepresentations on the | arising out of a subscriber's fraudulent misrepresentations on the | |||
| skipping to change at page 42, line 20 ¶ | skipping to change at page 43, line 4 ¶ | |||
| information or use of a certificate for purposes beyond what the CA | information or use of a certificate for purposes beyond what the CA | |||
| permits. | permits. | |||
| 4.9.10 Term and Termination | 4.9.10 Term and Termination | |||
| This subcomponent can include the time period in which a CP or a CPS | This subcomponent can include the time period in which a CP or a CPS | |||
| remains in force and the circumstances under which the document, | remains in force and the circumstances under which the document, | |||
| portions of the document, or its applicability to a particular | portions of the document, or its applicability to a particular | |||
| participant can be terminated. In addition or alternatively, the CP | participant can be terminated. In addition or alternatively, the CP | |||
| or CPS may include requirements that certain term and termination | or CPS may include requirements that certain term and termination | |||
| clauses appear in agreements, such as subscriber or relying party | clauses appear in agreements, such as subscriber or relying party | |||
| agreements. In particular, such terms include: | agreements. In particular, such terms can include: | |||
| * The term of a document or agreement, that is, when the document | * The term of a document or agreement, that is, when the document | |||
| becomes effective and when it expires if it is not terminated | becomes effective and when it expires if it is not terminated | |||
| earlier. | earlier. | |||
| * Termination provisions stating circumstances under which the | * Termination provisions stating circumstances under which the | |||
| document, certain portions of it, or its application to a particular | document, certain portions of it, or its application to a particular | |||
| participant ceases to remain in effect. | participant ceases to remain in effect. | |||
| * Any consequences of termination of the document. For example, | * Any consequences of termination of the document. For example, | |||
| skipping to change at page 45, line 26 ¶ | skipping to change at page 46, line 4 ¶ | |||
| 1.3.5 Other participants | 1.3.5 Other participants | |||
| 1.4 Certificate usage | 1.4 Certificate usage | |||
| 1.4.1. Appropriate certificate uses | 1.4.1. Appropriate certificate uses | |||
| 1.4.2 Prohibited certificate uses | 1.4.2 Prohibited certificate uses | |||
| 1.5 Policy administration | 1.5 Policy administration | |||
| 1.5.1 Organization administering the document | 1.5.1 Organization administering the document | |||
| 1.5.2 Contact person | 1.5.2 Contact person | |||
| 1.5.3 Person determining CPS suitability for the policy | 1.5.3 Person determining CPS suitability for the policy | |||
| 1.5.4 CPS approval procedures | 1.5.4 CPS approval procedures | |||
| 1.6 Definitions and acronyms | 1.6 Definitions and acronyms | |||
| 2. PUBLICATION AND REPOSITORY RESPONSIBILITIES | 2. PUBLICATION AND REPOSITORY RESPONSIBILITIES | |||
| 2.1 Repositories | 2.1 Repositories | |||
| 2.2 Publication of certification information | 2.2 Publication of certification information | |||
| 2.3 Time or frequency of publication | 2.3 Time or frequency of publication | |||
| 2.4 Access controls on repositories | 2.4 Access controls on repositories | |||
| 3. IDENTIFICATION AND AUTHENTICATION (10) | 3. IDENTIFICATION AND AUTHENTICATION (11) | |||
| 3.1 Naming | 3.1 Naming | |||
| 3.1.1 Types of names | 3.1.1 Types of names | |||
| 3.1.2 Need for names to be meaningful | 3.1.2 Need for names to be meaningful | |||
| 3.1.3 Anonymity of subscribers | 3.1.3 Anonymity or pseudonymity of subscribers | |||
| 3.1.4 Rules for interpreting various name forms | 3.1.4 Rules for interpreting various name forms | |||
| 3.1.5 Uniqueness of names | 3.1.5 Uniqueness of names | |||
| 3.1.5 Recognition, authentication, and role of trademarks | 3.1.6 Recognition, authentication, and role of trademarks | |||
| 3.2 Initial identity validation | 3.2 Initial identity validation | |||
| 3.2.1 Method to prove possession of private key | 3.2.1 Method to prove possession of private key | |||
| 3.2.2 Authentication of organization identity | 3.2.2 Authentication of organization identity | |||
| 3.2.3 Authentication of individual identity | 3.2.3 Authentication of individual identity | |||
| 3.2.4 Non-verified subscriber information | 3.2.4 Non-verified subscriber information | |||
| 3.2.5 Validation of authority | 3.2.5 Validation of authority | |||
| 3.2.6 Criteria for interoperation | 3.2.6 Criteria for interoperation | |||
| 3.3 Identification and authentication for re-key requests | 3.3 Identification and authentication for re-key requests | |||
| 3.3.1 Identification and authentication for routine re-key | 3.3.1 Identification and authentication for routine re-key | |||
| 3.3.2 Identification and authentication for re-key after revocation | 3.3.2 Identification and authentication for re-key after revocation | |||
| 3.4 Identification and authentication for revocation request | 3.4 Identification and authentication for revocation request | |||
| 4. CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS (10) | 4. CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS (11) | |||
| 4.1 Certificate Application | 4.1 Certificate Application | |||
| 4.1.1 Who can submit a certificate application | 4.1.1 Who can submit a certificate application | |||
| 4.1.2 Enrollment process and responsibilities | 4.1.2 Enrollment process and responsibilities | |||
| 4.2 Certificate application processing | 4.2 Certificate application processing | |||
| 4.2.1 Performing identification and authentication functions | 4.2.1 Performing identification and authentication functions | |||
| 4.2.2 Approval or rejection of certificate applications | 4.2.2 Approval or rejection of certificate applications | |||
| 4.2.3 Time to process certificate applications | 4.2.3 Time to process certificate applications | |||
| skipping to change at page 47, line 30 ¶ | skipping to change at page 48, line 4 ¶ | |||
| 4.9.6 Revocation checking requirement for relying parties | 4.9.6 Revocation checking requirement for relying parties | |||
| 4.9.7 CRL issuance frequency (if applicable) | 4.9.7 CRL issuance frequency (if applicable) | |||
| 4.9.8 Maximum latency for CRLs (if applicable) | 4.9.8 Maximum latency for CRLs (if applicable) | |||
| 4.9.9 On-line revocation/status checking availability | 4.9.9 On-line revocation/status checking availability | |||
| 4.9.10 On-line revocation checking requirements | 4.9.10 On-line revocation checking requirements | |||
| 4.9.11 Other forms of revocation advertisements available | 4.9.11 Other forms of revocation advertisements available | |||
| 4.9.12 Special requirements re key compromise | 4.9.12 Special requirements re key compromise | |||
| 4.9.13 Circumstances for suspension | 4.9.13 Circumstances for suspension | |||
| 4.9.14 Who can request suspension | 4.9.14 Who can request suspension | |||
| 4.9.15 Procedure for suspension request | 4.9.15 Procedure for suspension request | |||
| 4.9.16 Limits on suspension period | 4.9.16 Limits on suspension period | |||
| 4.10 Certificate status services | 4.10 Certificate status services | |||
| 4.10.1 Operational characteristics | 4.10.1 Operational characteristics | |||
| 4.10.2 Service availability | 4.10.2 Service availability | |||
| 4.10.3 Optional features | 4.10.3 Optional features | |||
| 4.11 End of subscription | 4.11 End of subscription | |||
| 4.12 Key escrow and recovery | 4.12 Key escrow and recovery | |||
| 4.12.1 Key escrow and recovery policy and practices | 4.12.1 Key escrow and recovery policy and practices | |||
| 4.12.2 Session key encapsulation and recovery policy and practices | 4.12.2 Session key encapsulation and recovery policy and practices | |||
| 5. FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS (10) | 5. FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS (11) | |||
| 5.1 Physical controls | 5.1 Physical controls | |||
| 5.1.1 Site location and construction | 5.1.1 Site location and construction | |||
| 5.1.2 Physical access | 5.1.2 Physical access | |||
| 5.1.3 Power and air conditioning | 5.1.3 Power and air conditioning | |||
| 5.1.4 Water exposures | 5.1.4 Water exposures | |||
| 5.1.5 Fire prevention and protection | 5.1.5 Fire prevention and protection | |||
| 5.1.6 Media storage | 5.1.6 Media storage | |||
| 5.1.7 Waste disposal | 5.1.7 Waste disposal | |||
| 5.1.8 Off-site backup | 5.1.8 Off-site backup | |||
| skipping to change at page 48, line 32 ¶ | skipping to change at page 49, line 4 ¶ | |||
| 5.4.4 Protection of audit log | 5.4.4 Protection of audit log | |||
| 5.4.5 Audit log backup procedures | 5.4.5 Audit log backup procedures | |||
| 5.4.6 Audit collection system (internal vs. external) | 5.4.6 Audit collection system (internal vs. external) | |||
| 5.4.7 Notification to event-causing subject | 5.4.7 Notification to event-causing subject | |||
| 5.4.8 Vulnerability assessments | 5.4.8 Vulnerability assessments | |||
| 5.5 Records archival | 5.5 Records archival | |||
| 5.5.1 Types of records archived | 5.5.1 Types of records archived | |||
| 5.5.2 Retention period for archive | 5.5.2 Retention period for archive | |||
| 5.5.3 Protection of archive | 5.5.3 Protection of archive | |||
| 5.5.4 Archive backup procedures | 5.5.4 Archive backup procedures | |||
| 5.5.5 Requirements for time-stamping of records | 5.5.5 Requirements for time-stamping of records | |||
| 5.5.6 Archive collection system (internal or external) | 5.5.6 Archive collection system (internal or external) | |||
| 5.5.7 Procedures to obtain and verify archive information | 5.5.7 Procedures to obtain and verify archive information | |||
| 5.6 Key changeover | 5.6 Key changeover | |||
| 5.7 Compromise and disaster recovery | 5.7 Compromise and disaster recovery | |||
| 5.7.1 Incident and compromise handling procedures | 5.7.1 Incident and compromise handling procedures | |||
| 5.7.2 Computing resources, software, and/or data are corrupted | 5.7.2 Computing resources, software, and/or data are corrupted | |||
| 5.7.3 Entity private key compromise procedures | 5.7.3 Entity private key compromise procedures | |||
| 5.7.4 Business continuity capabilities after a disaster | 5.7.4 Business continuity capabilities after a disaster | |||
| 5.8 CA or RA termination | 5.8 CA or RA termination | |||
| 6. TECHNICAL SECURITY CONTROLS (10) | 6. TECHNICAL SECURITY CONTROLS (11) | |||
| 6.1 Key pair generation and installation | 6.1 Key pair generation and installation | |||
| 6.1.1 Key pair generation | 6.1.1 Key pair generation | |||
| 6.1.2 Private key delivery to subscriber | 6.1.2 Private key delivery to subscriber | |||
| 6.1.3 Public key delivery to certificate issuer | 6.1.3 Public key delivery to certificate issuer | |||
| 6.1.4 CA public key delivery to relying parties | 6.1.4 CA public key delivery to relying parties | |||
| 6.1.5 Key sizes | 6.1.5 Key sizes | |||
| 6.1.6 Public key parameters generation and quality checking | 6.1.6 Public key parameters generation and quality checking | |||
| 6.1.7 Key usage purposes (as per X.509 v3 key usage field) | 6.1.7 Key usage purposes (as per X.509 v3 key usage field) | |||
| 6.2 Private Key Protection and Cryptographic Module Engineering | 6.2 Private Key Protection and Cryptographic Module Engineering | |||
| Controls | Controls | |||
| 6.2.1 Cryptographic module standards and controls | 6.2.1 Cryptographic module standards and controls | |||
| 6.2.2 Private key (n out of m) multi-person control | 6.2.2 Private key (n out of m) multi-person control | |||
| 6.2.3 Private key escrow | 6.2.3 Private key escrow | |||
| 6.2.4 Private key backup | 6.2.4 Private key backup | |||
| 6.2.5 Private key archival | 6.2.5 Private key archival | |||
| 6.2.6 Private key transfer into or from a cryptographic module | 6.2.6 Private key transfer into or from a cryptographic module | |||
| 6.2.7 Private key storage on cryptographic module | 6.2.7 Private key storage on cryptographic module | |||
| skipping to change at page 52, line 30 ¶ | skipping to change at page 53, line 8 ¶ | |||
| [PKI1] R. Housley, W. Ford, W. Polk, D. Solo, "Internet X.509 Public | [PKI1] R. Housley, W. Ford, W. Polk, D. Solo, "Internet X.509 Public | |||
| Key Infrastructure, Certificate and CRL Profile," RFC 2459 1998. | Key Infrastructure, Certificate and CRL Profile," RFC 2459 1998. | |||
| [CPF] S. Chokhani and W. Ford, "Internet X.509 Public Key | [CPF] S. Chokhani and W. Ford, "Internet X.509 Public Key | |||
| Infrastructure, Certificate Policy and Certification Practices | Infrastructure, Certificate Policy and Certification Practices | |||
| Statement Framework," RFC 2527, April 1998. | Statement Framework," RFC 2527, April 1998. | |||
| 8. AUTHORS' ADDRESSES | 8. AUTHORS' ADDRESSES | |||
| Santosh Chokhani | Santosh Chokhani | |||
| CygnaCom Solutions, Inc. | CygnaCom Solutions, Inc., an Entrust company | |||
| an Entrust company | ||||
| 7927 Jones Branch Drive, Suite 100 West | 7927 Jones Branch Drive, Suite 100 West | |||
| McLean, VA 22102 | McLean, VA 22102 | |||
| Phone: (703) 270-3520 | Phone: (703) 270-3520 | |||
| Fax: (703) 848-0960 | Fax: (703) 848-0960 | |||
| EMail: chokhani@cygnacom.com | EMail: chokhani@cygnacom.com | |||
| Warwick Ford | Warwick Ford | |||
| VeriSign, Inc. | VeriSign, Inc. | |||
| 301 Edgewater Place, Suite 210 | 401 Edgewater Place, Suite 280 | |||
| Wakefield, MA 01880 | Wakefield, MA 01880 | |||
| Phone: (781) 245-6996 x225 | Phone: (781) 245-6996 x225 | |||
| Fax: (781) 245-6006 | Fax: (781) 245-6006 | |||
| EMail: wford@verisign.com | EMail: wford@verisign.com | |||
| Randy V. Sabett | Randy V. Sabett, J.D., CISSP | |||
| Cooley Godward LLP | Cooley Godward LLP | |||
| One Freedom Square, Reston Town Center | One Freedom Square, Reston Town Center | |||
| 11951 Freedom Drive | 11951 Freedom Drive | |||
| Reston, VA 20190-5601 | Reston, VA 20190-5601 | |||
| Phone: (703) 456-8137 | Phone: (703) 456-8137 | |||
| Fax: (703) 456-8100 | Fax: (703) 456-8100 | |||
| EMail: rsabett@cooley.com | EMail: rsabett@cooley.com | |||
| Charles (Chas) R. Merrill | Charles (Chas) R. Merrill | |||
| McCarter & English, LLP | McCarter & English, LLP | |||
| Four Gateway Center | Four Gateway Center | |||
| 100 Mulberry Street | 100 Mulberry Street | |||
| Newark, New Jersey 07101-0652 | Newark, New Jersey 07101-0652 | |||
| Phone: (973) 622-4444 | Phone: (973) 622-4444 | |||
| Fax: (973) 624-7070 | Fax: (973) 624-7070 | |||
| EMail: cmerrill@concentric.net | EMail: cmerrill@concentric.net | |||
| Stephen S. Wu | Stephen S. Wu | |||
| VeriSign, Inc. | Infoliance, Inc. | |||
| 487 East Middlefield Road | 101 First St. # 725 | |||
| Mountain View, CA 94043 | Los Altos, CA 94022 | |||
| Phone: (650) 426-3568 | Phone: (650) 917-8045 | |||
| Fax: (650) 426-5113 | Fax: (650) 618-1454 | |||
| EMail: swu@verisign.com | EMail: swu@infoliance.com | |||
| NOTES | NOTES | |||
| 1 A paper copy of the ABA Digital Signature Guidelines can be | 1 A paper copy of the ABA Digital Signature Guidelines can be | |||
| purchased from the ABA. See http://www.abanet.com for ordering | purchased from the ABA. See http://www.abanet.com for ordering | |||
| details. The DSG may also be downloaded without charge from the ABA | details. The DSG may also be downloaded without charge from the ABA | |||
| website at | website at | |||
| http://www.abanet.org/scitech/ec/isc/digital_signature.html. | http://www.abanet.org/scitech/ec/isc/digital_signature.html. | |||
| 2 A draft of the PKI Assessment Guidelines may be downloaded | 2 A draft of the PKI Assessment Guidelines may be downloaded | |||
| without charge from the ABA website at | without charge from the ABA website at | |||
| skipping to change at page 53, line 43 ¶ | skipping to change at page 54, line 20 ¶ | |||
| 4 The subject may not need to prove to the CA that the subject has | 4 The subject may not need to prove to the CA that the subject has | |||
| possession of the private key corresponding to the public key being | possession of the private key corresponding to the public key being | |||
| registered if the CA generates the subject's key pair on the | registered if the CA generates the subject's key pair on the | |||
| subject's behalf. | subject's behalf. | |||
| 5 Examples of means to identify and authenticate individuals include | 5 Examples of means to identify and authenticate individuals include | |||
| biometric means (such as thumb print, ten finger print, and scan of | biometric means (such as thumb print, ten finger print, and scan of | |||
| the face, palm, or retina), a driver's license, a credit card, a | the face, palm, or retina), a driver's license, a credit card, a | |||
| company badge, and a government badge. | company badge, and a government badge. | |||
| 6 The n out of m rule allows a private key to be split in m parts. | 6 Certificate "modification" does not refer to making a change to an | |||
| existing certificate, since this would prevent the verification of | ||||
| any digital signatures on the certificate and cause the certificate | ||||
| to be invalid. Rather, the concept of "modification" refers to a | ||||
| situation where the information referred to in the certificate has | ||||
| changed or should be changed, and the CA issues a new certificate | ||||
| containing the modified information. One example is a subscriber | ||||
| that changes his or her name, which would necessitate the issuance | ||||
| of a new certificate containing the new name. | ||||
| 7 The n out of m rule allows a private key to be split in m parts. | ||||
| The m parts may be given to m different individuals. Any n parts | The m parts may be given to m different individuals. Any n parts | |||
| out of the m parts may be used to fully reconstitute the private | out of the m parts may be used to fully reconstitute the private | |||
| key, but having any n-1 parts provides one with no information about | key, but having any n-1 parts provides one with no information about | |||
| the private key. | the private key. | |||
| 7 A private key may be escrowed, backed up, or archived. Each of | 8 A private key may be escrowed, backed up, or archived. Each of | |||
| these functions has a different purpose. Thus, a private key may go | these functions has a different purpose. Thus, a private key may go | |||
| through any subset of these functions depending on the requirements. | through any subset of these functions depending on the requirements. | |||
| The purpose of escrow is to allow a third party (such as an | The purpose of escrow is to allow a third party (such as an | |||
| organization or government) to obtain the private key without the | organization or government) to obtain the private key without the | |||
| cooperation of the subscriber. The purpose of back up is to allow | cooperation of the subscriber. The purpose of back up is to allow | |||
| the subscriber to reconstitute the key in case of the destruction or | the subscriber to reconstitute the key in case of the destruction or | |||
| corruption of the key for business continuity purposes. The | corruption of the key for business continuity purposes. The | |||
| purpose of archive is to provide for reuse of the private key in | purpose of archive is to provide for reuse of the private key in | |||
| future, e.g., use to decrypt a document. | future, e.g., use to decrypt a document. | |||
| 8 WebTrust refers to the "WebTrust Program for Certification | 9 WebTrust refers to the "WebTrust Program for Certification | |||
| Authorities," from the American Institute of Certified Public | Authorities," from the American Institute of Certified Public | |||
| Accountants, Inc., and the Canadian Institute of Chartered | Accountants, Inc., and the Canadian Institute of Chartered | |||
| Accountants. | Accountants. | |||
| 9 See <http://www.aicpa.org>. | 10 See <http://www.aicpa.org>. | |||
| 10 All or some of the following items may be different for the | 11 All or some of the following items may be different for the | |||
| various types of entities, i.e., CA, RA, and end entities. | various types of entities, i.e., CA, RA, and end entities. | |||
| LIST OF ACRONYMS | LIST OF ACRONYMS | |||
| ABA - American Bar Association | ABA - American Bar Association | |||
| CA - Certification Authority | CA - Certification Authority | |||
| CPS - Certification Practice Statement | CPS - Certification Practice Statement | |||
| CRL - Certificate Revocation List | CRL - Certificate Revocation List | |||
| DAM - Draft Amendment | DAM - Draft Amendment | |||
| FIPS - Federal Information Processing Standard | FIPS - Federal Information Processing Standard | |||
| I&A - Identification and Authentication | I&A - Identification and Authentication | |||
| IEC - International Electrotechnical Commission | IEC - International Electrotechnical Commission | |||
| IETF - Internet Engineering Task Force | IETF - Internet Engineering Task Force | |||
| IP - Internet Protocol | IP - Internet Protocol | |||
| ISO - International Organization for Standardization | ISO - International Organization for Standardization | |||
| ITU - International Telecommunications Union | ITU - International Telecommunications Union | |||
| NIST - National Institute of Standards and Technology | NIST - National Institute of Standards and Technology | |||
| OID - Object Identifier | OID - Object Identifier | |||
| PIN - Personal Identification Number | PIN - Personal Identification Number | |||
| PKI - Public Key Infrastructure | PKI - Public Key Infrastructure | |||
| PKIX - Public Key Infrastructure (X.509) (IETF Working Group) | PKIX - Public Key Infrastructure (X.509) (IETF Working Group) | |||
| RA - Registration Authority | RA - Registration Authority | |||
| RFC - Request For Comment | RFC - Request For Comment | |||
| URL - Uniform Resource Locator | URL - Uniform Resource Locator | |||
| US - United States | US - United States | |||
| < draft-ietf-pkix-ipki-new-rfc2527-00.txt > | < draft-ietf-pkix-ipki-new-rfc2527-01.txt > | |||
| Expires in six months from July 12, 2001 | Expires in six months from January 3, 2002 | |||
| End of changes. 93 change blocks. | ||||
| 154 lines changed or deleted | 249 lines changed or added | |||
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