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Evaluación de conformidad

Some keys to Regulation No 910/2014 (EIDAS)

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I.- Use of cross-border identification and signature systems

The transposition of Directive 1999/93 was uneven and it has never seemed clear enough that electronic signature and identification certificates issued by Certification Service Providers in one Member State had to be accepted by the rest of the Member States. States, in particular in its eGovernment services.

Since July 1st 2016, the direct application of EU Regulation 910/2014 definitely clarifies this concept. We will see how it is assumed in the implementations.

II.-CSPs (Certification Services Providers) will be called ETSPs (Electronic Trust Services Providers)

They are now called Trust Services Providers (TSPs). And they can issue qualified certificates (equivalent to recognized certificates of Law 59/2003) or non-qualified certificates.

The issuance of natural person certificates is an specific type of trust service (which is compatible with the service provided in Law 59/2003) and, among them, there are qualified certificates (in the aforementioned law they were called “recognized”). In order to issue this kind of certificates, a notification of its intention together with a Conformity Assessment Report issued by a Conformity Assessment Body (in Spain, Entidad Nacional de Acreditación (ENAC)) shall be submitted to the Supervisory Body (in Spain, the State Secretariat for Telecommunications and Information Society). If it is granted with the possibility of issuing qualified certificates, it will be placed in a trusted list (which each Member State publishes with information of all qualified providers of Trust Services) and may use the trust tag “EU” to indicate the services it provides.

It should be noted that the control mechanisms on all service providers are increased (whether they issue qualified certificates or not), which will be audited every 24 months to confirm that they comply with the provisions of the Regulation.

III.- Liability of Service Providers

They remain liable for the damages caused deliberately or negligently to any person due to any breach of the obligations established in the Regulation. However, the limitations on the liability of Article 23 of Law 59/2003 are removed, being the burden of proof (i) of the person claiming the damage, when the Provider issues non-qualified certificates, or (ii) a service provider issuing qualified certificates, who must prove that the damages occurred without intention or negligence on his part.

IV.- Legal Person Certificates

The Regulation does not foresee the issuance of electronic signature certificates in favor of legal persons or entities without legal personality. This type of entities only have electronic stamps, which allow to prove the authenticity of the origin and the integrity of the sealed document.

V.- New regulated services

Apart from the electronic signature (defined in Law 59/2003, in 3 types, electronic signature, advanced and qualified), the Regulation also regulates the electronic seal (there are also 3 kinds), electronic timestamp, certified electronic delivery service, electronic document and website authentication. Recital 55 of the Regulation also opens the possibility of generating qualified electronic signatures such as the mobile signature or the cloud signature, which can greatly boost the market for electronic signatures.

Commission Implementing Decision 2016/650 of April 25 2016 – Security Assessment of electronic signatures and seals qualified creation devices

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REGULATION (EU) No 910/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and  repealing Directive 1999/93/EC

 

The European Comission,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trustworthy services for electronic transactions in the internal market and repealing Directive 1999/93 / EC (1), and in particular Article 30 (3) and Article 39 (2) thereof,

Whereas:

 

(1)

Annex II of  Regulation (EU) No 910/2014 sets out the applicable requirements to qualified electronic signature creation devices and to qualified electronic stamp creation devices.

(2)

The task of developing the technical specifications necessary for the production and marketing of products which are appropriate to the current state of the art is carried out by the competent organizations in the field of standardization.

(3)

IOS / IEC (International Organization for Standardization / International Electrotechnical Commission) establishes the general concepts and principles of information technology security and specifies the general evaluation model to be used as a basis for assessing the safety properties of computer products.

(4)

Under the standardization mandate M/460 granted by the Commission, the European Committee for Standardization (CEN) has developed standards for qualified electronic signatures and electronic seals where electronic signature creation data or electronic stamp creation data are preserved entirely, but not necessarily exclusively, in a user-managed environment. These standards are considered appropriate to assess the conformity of such products with the relevant requirements set out in Annex II to Regulation (EU) No 910/2014.

(5)

Annex II of Regulation (EU) No 910/2014 determines that only a qualified provider of trusted services may manage electronic signature creation data on behalf of the signatory. The safety requirements and their respective certification specifications differ when the signatory physically owns a product and when a qualified provider of trusted services acts on behalf of the signatory. In order to address both situations and to promote over time the development of products and assessment criteria tailored to specific needs, the Annex to this Decision should list standards covering both situations.

(6)

At the time of adoption of this Decision of the Commission, a number of trusted service providers already offer solutions to manage electronic signature creation data on behalf of their customers. Product certifications are currently limited to security modules of computer hardware certified under different standards, but are not yet specifically certified according to the requirements applicable to qualified stamp and signature creation devices. However, there are no published standards, such as EN 419 211 (applicable to electronic signatures created in a fully managed environment, but not necessarily exclusively by the user), for an equally important market for certified distance products . As standards are currently being developed which could be suitable for this purpose, the Commission will complete this Decision when those standards are available and are considered to comply with the requirements set out in Annex II to Regulation (EU) No 910/2014. Until the list of such standards is established, an alternative process may be used to assess the conformity of those products under the conditions laid down in Article 30 (3) (b) of Regulation (EU) No 910/2014.

(7)

The Annex contains the standard EN 419 211, which consists of different parts (1 to 6) covering different situations. Parts 5 and 6 of this standard present extensions related to the environment of qualified signature creation devices, such as communication with trusted signature creation applications. Product manufacturers are free to apply such extensions. In accordance with recital 56 of Regulation (EU) No 910/2014, the purpose of certification under Articles 30 and 39 of that Regulation is to protect signature creation data, while firms are excluded from the scope of certification.

(8)

In order to ensure that electronic signatures or seals generated by a qualified signature or stamp device are securely protected against counterfeiting, as required by Annex II to Regulation (EU) No 910/2014, an essential condition for the security of the certified product is to apply cryptographic algorithms, key lengths and appropriate hash functions. As this aspect has not been harmonized at European level, Member States should cooperate in order to agree on cryptographic algorithms, key lengths and hash functions for use in the field of electronic signatures and signatures.

(9)

The adoption of this Decision renders Commission Decision 2003/511 / EC (2) obsolete. It should therefore be repealed.

(10)

The measures provided for in this Decision are in accordance with the judgement of the Committee referred to in Article 48 of Regulation (EU) No 910/2014.

HAS ADOPTED THE FOLLOWING DECISION:

Article 1.

The Annex to this Decision sets out the standards for the assessment of the security of information technology products which apply to the certification of qualified electronic signature creation devices or qualified electronic stamp creation devices in accordance with , Article 30 (3) (a) or Article 39 (2) of Regulation (EU) No 910/2014 where the electronic signature creation data or the electronic stamp creation data are fully preserved, though not necessarily exclusively, in a user-managed environment.

  1. Until the Commission establishes a list of standards for the assessment of the security of information technology products that apply to the certification of qualified electronic signature creation devices or qualified electronic stamp creation devices, when a qualified trust service provider manages the electronic signature creation data or the electronic seal creation data on behalf of a signatory or a creator of a seal, the certification of those products shall be based on a process which, in accordance with Article 30 (3) (b) makes use of security levels equivalent to those required by Article 30 (3) (a) and notified to the Commission by the public or private body concerned referred to in Article 30 (1) of Regulation (EU) No 910/2014.

 

Article 2

Decision 2003/511 / EC is hereby repealed.

 

Article 3

This Decision shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Done in Brussels, April  25 2016.

By the Commission

President

Jean-Claude JUNCKER

 


(1)  DO L 257 de 28.8.2014, p. 73.

(2)  Commission Decision 2003/511 / EC of 14 July 2003 on the publication of the reference numbers of standards with general recognition for electronic signature products, in accordance with Directive 1999/93 / EC of the European Parliament and of the Council (DO L 175 de 15.7.2003, p. 45).


ANNEX

LIST OF STANDARDS REFERRED TO IN ARTICLE 1 (1)

ISO/IEC 15408 — Information technology — Security techniques — Evaluation criteria for IT security (Tecnología de la información — Técnicas de seguridad —Evaluation Criteria for IT Security, Parts 1 to 3 listed below:

ISO/IEC 15408-1:2009 — Information technology — Security techniques — Evaluation criteria for IT security — Parte 1. (Tecnología de la información — Técnicas de seguridad — Evaluation Criteria for IT Security. Part 1). ISO, 2009.

ISO/IEC 15408-2:2008 — Information technology — Security techniques — Evaluation criteria for IT security — Part 2. (Information Technology — Security Techniques — CEvaluation criteria for IT security. Part 2). ISO, 2008.

ISO/IEC 15408-3:2008 Information technology — Security techniques — Evaluation criteria for IT security — Part 3 (Information Technology — Security Techniques — Evaluation Criteria for IT Security. Part 3). ISO, 2008.

e

ISO/IEC 18045:2008: Information technology — Security techniques — Methodology for IT security evaluation (Information Technology — Security Techniques —Methodology fot IT Security Assessment).

and

EN 419 211 — Protection profiles for secure signature creation device, Parts 1 to 6 —where appropiate— listed below:

EN 419211-1:2014 — Protection profiles for secure signature creation device — Part 1: Overview.

EN 419211-2:2013 — Protection profiles for secure signature creation device — Part 2: Device with key generation.

EN 419211-3:2013 — Protection profiles for secure signature creation device — Part 3: Device with key import.

EN 419211-4:2013 — Protection profiles for secure signature creation device — Part 4: Extension for device with key generation and trusted channel to certificate generation application.

EN 419211-5:2013 — Protection profiles for secure signature creation device — Part 5: Extension for device with key generation and trusted channel to signature creation application.

EN 419211-6:2014 — Protection profiles for secure signature creation device — Part 6: Extension for device with key import and trusted channel to signature creation application.

Digital Trust Service Providers Assessment Standards

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Until July 1st 2016, the assessment of Certification Services Providers according to the standards ETSI TS 101 456, ETSI TS 102 042 and ETSI TS 102 023 will continue being valid.

From that date, the new European standards EN 319 411-1 (equivalent to ETSI TS 102 042) and EN 319 411-2 (equivalent to ETSI TS 101 456) will apply for Certification Service Providers and EN 319 421 (equivalent to ETSI TS 102 023) for Time Stamping Service Providers.

Certification Service Providers and Time Stamping Service Providers are particular cases of Digital Trust Service Providers. Other Digital Trust services are: Preservation of electronic documents signed electronically, Certified Delivery (eDelivery), Cloud Signature and Server-Based Signature.

For the new services the evaluation standards have not yet been published.

 

 

Security requirements for Digital Trust Service Providers

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The standard EN 319 401 establishes the technical and organizational security measures that must be met by providers of digital trust services.

This article is a brief abstract of such requests:

  • The TSP shall use trustworthy systems and products that are protected against modification and ensure the technical security and reliability of the processes supported by them. In particular:

 

  • The TSP shall control physical access to components of the TSP’s system whose security is critical to the provision of its trust services and minimize risks related to physical security. In particular:
  1. physical access to components of the TSP’s system whose security is critical to the provision of its trust services shall be limited to authorized individuals;
  2. controls shall be implemented to avoid loss, damage or compromise of assets and interruption to business activities;
  3. controls shall be implemented to avoid compromise or theft of information and information processing facilities; and
  4. components that are critical for the secure operation of the trust service shall be located in a protected security perimeter with physical protection against intrusion, controls on access through the security perimeter and alarms to detect intrusion.
  • Appropriate security controls shall be in place for the management of any cryptographic keys and any cryptographic devices throughout their lifecycle.

 

  • The TSP’s system access shall be limited to authorized individuals. In particular:
  1. Controls (e.g. firewalls) shall protect the TSP’s internal network domains from unauthorized access including access by subscribers and third parties. Firewalls should also be configured to prevent all protocols and accesses not required for the operation of the TSP.
  2. The TSP shall administer user access of operators, administrators and system auditors. The administration shall include user account management and timely modification or removal of access.
  3. Access to information and application system functions shall be restricted in accordance with the access control policy. The TSP system shall provide sufficient computer security controls for the separation of trusted roles identified in TSP’s practices, including the separation of security administration and operation functions. Particularly, use of system utility programs shall be restricted and controlled.
  4. TSP personnel shall be identified and authenticated before using critical applications related to the service.
  5. TSP personnel shall be accountable for their activities (e.g. retaining event logs).
  6. Sensitive data shall be protected against being revealed through re-used storage objects (e.g. deleted files) being accessible to unauthorized users.

 

  • All media shall be handled securely in accordance with requirements of the information classification scheme. Media containing sensitive data shall be securely disposed of when no longer required.

 

  • The TSP shall ensure an appropriate level of protection of its assets including information assets. In particular, the TSP shall maintain an inventory of all information assets and shall assign a classification consistent with the risk assessment.
  • The TSP shall ensure that employees and contractors support the trustworthiness of the TSP’s operations. In particular:
  1. The TSP shall employ staff and, if applicable, subcontractors, who possess the necessary expertise, reliability, experience, and qualifications and who have received training regarding security and personal data protection rules as appropriate for the offered services and the job function.
  2. TSP personnel should be able to fulfil the requirement of “expert knowledge, experience and qualifications” through formal training and credentials, or actual experience, or a combination of the two. This should include regular (at least every 12 months) updates on new threats and current security practices.
  3. Appropriate disciplinary sanctions shall be applied to personnel violating TSP policies or procedures.
  4. Security roles and responsibilities, as specified in the TSP’s management security policy, shall be documented in job descriptions or in documents available to all concerned personnel. Trusted roles, on which the security of the TSP’s operation is dependent, shall be clearly identified. Trusted roles shall be named by the management and shall be accepted by the management and the person to fulfil the role.
  5. TSP personnel (both temporary and permanent) shall have job descriptions defined from the view point of roles fulfilled with segregation of duties and least privilege, determining position sensitivity based on the duties and access levels, background screening and employee training and awareness. Where appropriate, these shall differentiate between general functions and TSP specific functions. These should include skills and experience requirements.
  6. Personnel shall exercise administrative and management procedures and processes that are in line with the TSP’s information security management procedures.
  7. Managerial personnel shall possess experience or training with respect to the trust service that is provided, familiarity with security procedures for personnel with security responsibilities and experience with information security and risk assessment sufficient to carry out management functions.
  8. All TSP personnel in trusted roles shall be free from conflict of interest that might prejudice the impartiality of the TSP operations.
  9. Trusted roles shall include roles that involve the following responsibilities:
    1. Security Officers: Overall responsibility for administering the implementation of the security practices.
    2. System Administrators: Authorized to install, configure and maintain the TSP trustworthy systems for service management.
    3. System Operators: Responsible for operating the TSP trustworthy systems on a day-to-day basis. Authorized to perform system backup and recovery.
    4. System Auditors: Authorized to view archives and audit logs of the TSP trustworthy systems.
  10. TSP personnel shall be formally appointed to trusted roles by senior management responsible for security requiring the principle of “least privilege” when accessing or when configuring access privileges.
  11. Personnel shall not have access to the trusted functions until any necessary checks are completed.
  • Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of the TSP assets.

 

  • The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into account business and technical issues.

 

  • The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results. The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.

 

  • The TSP shall determine all security requirements and operational procedures that are necessary to implement the risk treatment options measures chosen as documented in the information security policy and the trust service practice statement.

 

  • The risk assessment shall be regularly reviewed and revised.

 

  • The TSP shall specify the set of policies and practices appropriate for the trust services it is providing. These shall be approved by management, published and communicated to employees and external parties as relevant.

 

  • The TSP shall have a statement of the practices and procedures for the trust service provided. In particular:
  1. The TSP shall have a statement of the practices and procedures used to address all the requirements identified for the applicable TSP policy.
  2. The TSP’s trust service practice statement shall identify the obligations of all external organizations supporting the TSP services including the applicable policies and practices.
  3. The TSP shall make available to subscribers and relying parties its practice statement, and other relevant documentation, as necessary to assess conformance to the service policy.
  4. The TSP shall have a management body with overall responsibility for the TSP with final authority for approving the TSP practice statement.
  5. The TSP management shall implement the practices.
  6. The TSP shall define a review process for the practices including responsibilities for maintaining the TSP practice statement.
  7. The TSP shall notify notice of changes it intends to make in its practice statement and shall, following approval by management, make the revised TSP practice statement immediately available to subscribers and relying parties.
  8. The TSP shall state in its practices the provisions made for termination of service
  • TSP shall make the terms and conditions regarding its services available to all subscribers and relying parties.
  • These terms and conditions shall at least specify for each trust service policy supported by the TSP the following:
  1. The trust service policy being applied;
  2. Any limitations on the use of the service such as the expected life-time of public key certificates.
  3. The subscriber’s obligations, if any;
  4. Information for parties relying on the trust service, such as how to verify the trust service token, any possible limitations on the validity period associated with the trust service token.
  5. The period of time during which TSP event logs are retained;
  6. Limitations of liability;
  7. Limitations on the use of the services provided including the limitation for damages arising from the use of services exceeding such limitations;
  8. The applicable legal system;
  9. Procedures for complaints and dispute settlement;
  10. Whether the TSP’s trust service has been assessed to be conformant with the trust service policy, and if so through which conformity assessment scheme; and the TSP contact information.
  • Customers shall be informed about the limitations in advance.

 

  • Terms and conditions shall be made available through a durable means of communication. This information shall be available in a readily understandable language. It may be transmitted electronically.

 

  • The TSP shall define an information security policy which is approved by management and which sets out the organization’s approach to managing its information security. In particular:
  1. A TSP’s information security policy shall be documented, implemented and maintained including the security controls and operating procedures for TSP facilities, systems and information assets providing the services. The TSP shall publish and communicate this information security policy to all employees who are impacted by it.
  2. The TSP shall retain overall responsibility for conformance with the procedures prescribed in its information security policy, even when the TSP functionality is undertaken by outsourcers. TSP shall define the outsourcers liability and ensure that outsourcer are bound to implement any controls required by the TSP
  3. The TSP information security policy and inventory of assets for information security shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. Any changes that will impact on the level of security provided shall be approved by the TSP high level management body. The configuration of the TSPs systems shall be regularly checked for changes which violate the TSPs security policies.
  4. A TSP’s management security policy shall be documented, implemented and maintained including the security controls and operating procedures for TSP facilities, systems and information assets providing the services.
  • The TSP organization shall be reliable. In particular:
  1. Trust service practices under which the TSP operates shall be non-discriminatory.
  2. The TSP shall make its services accessible to all applicants whose activities fall within its declared field of operation and that agree to abide by their obligations as specified in the TSP terms and conditions.
  3. The TSP shall maintain sufficient financial resources and/or obtain appropriate liability insurance, in accordance with national law, to cover liabilities arising from its operations and/or activities.
  4. The TSP shall have the financial stability and resources required to operate in conformity with this policy.
  5. The TSP shall have policies and procedures for the resolution of complaints and disputes received from customers or other relying parties about the provisioning of the services or any other related matters.
  6. The TSP shall have a documented agreement and contractual relationship in place where the provisioning of services involves subcontracting, outsourcing or other third party arrangements.
  • Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of the TSP assets.

 

  • The TSP shall ensure that employees and contractors support the trustworthiness of the TSP’s operations. In particular:
  1. The TSP shall employ staff and, if applicable, subcontractors, who possess the necessary expertise, reliability, experience, and qualifications and who have received training regarding security and personal data protection rules as appropriate for the offered services and the job function.
  2. TSP personnel should be able to fulfil the requirement of “expert knowledge, experience and qualifications” through formal training and credentials, or actual experience, or a combination of the two. This should include regular (at least every 12 months) updates on new threats and current security practices.
  3. Appropriate disciplinary sanctions shall be applied to personnel violating TSP policies or procedures.Security roles and responsibilities, as specified in the TSP’s management security policy, shall be documented in job descriptions or in documents available to all concerned personnel.
  4. Trusted roles, on which the security of the TSP’s operation is dependent, shall be clearly identified. Trusted roles shall be named by the management and shall be accepted by the management and the person to fulfil the role.
  5. TSP personnel (both temporary and permanent) shall have job descriptions defined from the view point of roles fulfilled with segregation of duties and least privilege (see clause 7.1.2), determining position sensitivity based on the duties and access levels, background screening and employee training and awareness. Where appropriate, these shall differentiate between general functions and TSP specific functions. These should include skills and experience requirements.
  6. Personnel shall exercise administrative and management procedures and processes that are in line with the TSP’s information security management procedures.
  7. Managerial personnel shall possess experience or training with respect to the trust service that is provided, familiarity with security procedures for personnel with security responsibilities and experience with information security and risk assessment sufficient to carry out management functions.
  8. All TSP personnel in trusted roles shall be free from conflict of interest that might prejudice the impartiality of the TSP operations.

Trusted roles shall include roles that involve the following responsibilities:

i) Security Officers: Overall responsibility for administering the implementation of the security practices.

ii) System Administrators: Authorized to install, configure and maintain the TSP trustworthy systems for service management.

iii) System Operators: Responsible for operating the TSP trustworthy systems on a day-to-day basis. Authorized to perform system backup and recovery.

iv) System Auditors: Authorized to view archives and audit logs of the TSP trustworthy systems.

j) TSP personnel shall be formally appointed to trusted roles by senior management responsible for security requiring the principle of “least privilege” when accessing or when configuring access privileges.

k) Personnel shall not have access to the trusted functions until any necessary checks are completed.

NOTE 9: In some countries it is not possible for TSP to obtain information on past convictions without the collaboration of the candidate employee.

The TSP shall ensure an appropriate level of protection  of its assets including information assets.

NOTE 1: See clause 8 of ISO/IEC 27002:2013 [i.3] for guidance.

In particular, the TSP shall maintain an inventory of all information assets and shall assign a classification consistent with the risk assessment.

All media shall be handled securely in accordance with requirements of the information classification scheme. Media containing sensitive data shall be securely disposed of when no longer required

  • The TSP’s system access shall be limited to authorized individuals. In particular:

a) Controls (e.g. firewalls) shall protect the TSP’s internal network domains from unauthorized access including access by subscribers and third parties. Firewalls should also be configured to prevent all protocols and accesses not required for the operation of the TSP.

b) The TSP shall administer user access of operators, administrators and system auditors. The administration shall include user account management and timely modification or removal of access.

c) Access to information and application system functions shall be restricted in accordance with the access control policy. The TSP system shall provide sufficient computer security controls for the separation of trusted roles identified in TSP’s practices, including the separation of security administration and operation functions. Particularly, use of system utility programs shall be restricted and controlled.

d) TSP personnel shall be identified and authenticated before using critical applications related to the service.

e) TSP personnel shall be accountable for their activities.

EXAMPLE: By retaining event logs.

f) Sensitive data shall be protected against being revealed through re-used storage objects (e.g. deleted files) being accessible to unauthorized users.

Appropriate security controls shall be in place for the management of any cryptographic keys and any cryptographic devices throughout their lifecycle

The TSP shall control physical access to components of the TSP’s system whose security is critical to the provision of its trust services and minimize risks related to physical security.

In particular:

a) physical access to components of the TSP’s system whose security is critical to the provision of its trust services shall be limited to authorized individuals;

NOTE 2: Criticality is identified through risk assessment, or through application security requirements, as requiring a security protection.

b) controls shall be implemented to avoid loss, damage or compromise of assets and interruption to business activities;

c) controls shall be implemented to avoid compromise or theft of information and information processing facilities; and

d) components that are critical for the secure operation of the trust service shall be located in a protected security perimeter with physical protection against intrusion, controls on access through the security perimeter and alarms to detect intrusion.

  • The TSP shall use trustworthy systems and products that are protected against modification and ensure the technical security and reliability of the processes supported by them. In particular:
  1. An analysis of security requirements shall be carried out at the design and requirements specification stage of any systems development project undertaken by the TSP or on behalf of the TSP to ensure that security is built into Information Technology’s systems.

b) Change control procedures shall be applied for releases, modifications and emergency software fixes of any operational software.c) The integrity of TSP systems and information shall be protected against viruses, malicious and unauthorized software.

d) Media used within the TSP systems shall be securely handled to protect media from damage, theft, unauthorized access and obsolescence.

e) Media management procedures shall protect against obsolescence and deterioration of media within the period of time that records are required to be retained.

f) Procedures shall be established and implemented for all trusted and administrative roles that impact on the provision of services.

g) The TSP shall specify and apply procedures for ensuring security patches are applied within a reasonable time after they come available. A security patch need not be applied if it would introduce additional vulnerabilities or instabilities that outweigh the benefits of applying the security patch. The reason for not applying any security patches shall be documented.

The TSP shall protect its network and systems from attack.

In particular:

a) The TSP shall segment its systems into networks or zones based on risk assessment considering functional, logical, and physical (including location) relationship between trustworthy systems and services. The TSP shall apply the same security controls to all systems co-located in the same zone.

b) The TSP shall restrict access and communications between zones to those necessary for the operation of the TSP. Not needed connections and services shall be explicitly forbidden or deactivated. The established rule set shall be reviewed on a regular basis.

c) The TSP shall maintain any elements of their critical systems (e.g. Root CA systems see ETSI EN 319 411-1 [i.12]) in a secured zone.

d) A dedicated network for administration of IT systems that is separated from the operational network shall be established. Systems used for administration shall not be used for non-administrative purposes.

e) Test platform and production platform shall be separated from other environments not concerned with live operations (e.g development).

f) Communication between distinct trustworthy systems shall only be established through trusted channels that are logically distinct from other communication channels and provide assured identification of its end points and protection of the channel data from modification or disclosure.

g) If external availability of the trust service is required, the external network connection to the internet shall be redundant to ensure availability of the services in case of a single failure. This may be achieved by two different network connections to one of more internet providers.

h) The TSP shall undergo or perform a regular vulnerability scan on public and private IP addresses identified by the TSP and record evidence that each vulnerability scan was performed by a person or entity with the skills, tools, proficiency, code of ethics, and independence necessary to provide a reliable report.

NOTE 1: See item 4c of the CA Browser Forum network security guide [i.8] for guidance regarding the time period.

i) The TSP shall undergo a penetration test on the TSP’s systems at set up and after infrastructure or application upgrades or modifications that the TSP determines are significant. The TSP shall record evidence that each penetration test was performed by a person or entity with the skills, tools, proficiency, code of ethics, and independence necessary to provide a reliable report.

NOTE 2: See item 4d of the CA Browser Forum network security guide [i.8] for guidance regarding the time period.

System activities concerning access to IT systems, user of IT systems, and service requests shall be monitored.

In particular:

a) Monitoring activities should take account of the sensitivity of any information collected or analysed.

b) Abnormal system activities that indicate a potential security violation, including intrusion into the TSP network, shall be detected and reported as alarms.

NOTE 1: Abnormal network system activities can comprise (external) network scans or packet drops.

c) The TSP IT systems shall monitor the following events:

  1. Start-up and shutdown of the logging functions; and
  2. Availability and utilization of needed services with the TSP network.

d) The TSP shall act in a timely and co-ordinated manner in order to respond quickly to incidents and to limit the impact of breaches of security. The TSP shall appoint trusted role personnel to follow up on alerts of potentially critical security events and ensure that relevant incidents are reported in line with the TSP’s procedures.

e) The TSP shall establish procedures to notify the appropriate parties in line with the applicable regulatory rules of any breach of security or loss of integrity that has a significant impact on the trust service provided and on the personal data maintained therein.

NOTE 2: For TSPs operating within the European Union see Regulation (EU) No 910/2014 [i.2] Article 19.2 and contact the national supervisory body, or other competent authority for further guidance in implementing this article.

f) Where the breach of security or loss of integrity is likely to adversely affect a natural or legal person to whom the trusted service has been provided, the TSP shall also notify the natural or legal person of the breach of security or loss of integrity without undue delay.

  1. g) Audit logs shall be monitored or reviewed regularly to identify evidence of malicious activity implementing automatic mechanisms to process the audit logs and alert personnel of possible critical security events.

NOTE 3: See clause 16 of ISO/IEC 27002:2013 [i.3] for guidance.

h) The TSP shall remediate within a reasonable period after the discovery of a critical vulnerability not previously addressed by the TSP. If this is not possible the TSP shall create and implement a plan to mitigate the critical vulnerability or the TSP shall document the factual basis for the TSP’s determination that the vulnerability does not require remediation.

NOTE 4: Further recommendations are given in the CA Browser Forum network security guide [i.8] item 4 f).

i) Incident reporting and response procedures shall be employed in such a way that damage from security incidents and malfunctions are minimized.

The TSP shall record and keep accessible for an appropriate period of time, including after the activities of the TSP have ceased, all relevant information concerning data issued and received by the TSP, in particular, for the purpose of providing evidence in legal proceedings and for the purpose of ensuring continuity of the service.

In particular:

a) The confidentiality and integrity of current and archived records concerning operation of services shall be maintained.

b) Records concerning the operation of services shall be completely and confidentially archived in accordance with disclosed business practices.

c) Records concerning the operation of services shall be made available if required for the purposes of providing evidence of the correct operation of the services for the purpose of legal proceedings.

d) The precise time of significant TSP environmental, key management and clock synchronization events shall be recorded. The time used to record events as required in the audit log shall be synchronised with UTC at least once a day.

e) Records concerning services shall be held for a period of time after the expiration of the validity of the signing keys or any trust service token as appropriate for providing necessary legal evidence and as notified in the TSP disclosure statement.

f) The events shall be logged in a way that they cannot be easily deleted or destroyed (except if reliably transferred to long-term media) within the period of time that they are required to be held.

EXAMPLE: This can be achieved, for example, through the use of write-only media, a record of each removable media used and the use of off-site backup.

In the event of a disaster, including compromise of the private signing key or trust service credentials, operations shall be restored as soon as possible. In particular, the TSP shall define and maintain a continuity plan to enact in case of a disaster.

NOTE 1: Other disaster situations include failure of critical components of a TSP trustworthy system, including hardware and software.

NOTE 2: See clause 17 of ISO/IEC 27002:2013 [i.3] for guidance.

Potential disruptions to subscribers and relying parties shall be minimized as a result of the cessation of the TSP’s services, and in particular continued maintenance of information required to verify the correctness of trust services shall be provided.

In particular:

a) The TSP shall have an up-to-date termination plan.

b) Before the TSP terminates its services at least the following procedures apply:

i) the TSP shall inform the following of the termination: all subscribers and other entities with which the TSP has agreements or other form of established relations, among which relying parties and TSP. In addition, this information shall be made available to other relying parties;

ii) TSP shall terminate authorization of all subcontractors to act on behalf of the TSP in carrying out any functions relating to the process of issuing trust service tokens;

iii) the TSP shall transfer obligations to a reliable party for maintaining all information necessary to provide evidence of the operation of the TSP for a reasonable period, unless it can be demonstrated that the TSP does not hold any such information; and

iv) TSP private keys, including backup copies, shall be destroyed, or withdrawn from use, in a manner such that the private keys cannot be retrieved;

v) where possible TSP should make arrangements to transfer provision of trust services for its existing customers to another TSP.

c) The TSP shall have an arrangement to cover the costs to fulfil these minimum requirements in case the TSP becomes bankrupt or for other reasons is unable to cover the costs by itself, as far as possible within the constraints of applicable legislation regarding bankruptcy.

d) The TSP shall state in its practices the provisions made for termination of service. This shall include:

i) notification of affected entities; and

ii) transferring the TSP obligations to other parties.

e) The TSP shall maintain or transfer to a reliable party its obligations to make available its public key or its trust service tokens to relying parties for a reasonable period.

The TSP shall ensure that it operates in a legal and trustworthy manner:

In particular:

a) The TSP shall provide evidence on how it meets the applicable legal requirements.

b) Trust services provided and end user products used in the provision of those services shall be made accessible for persons with disabilities. Applicable standards such as ETSI EN 301 549 [i.13] should be taken into account.

c) Appropriate technical and organizational measures shall be taken against unauthorized or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data.

NOTE: TSPs operating in Europe are required to ensure that personal data is processed in accordance with Directive 95/46/EC [i.1]. In this respect,  authentication for a service online concerns processing of only those identification data which are adequate, relevant and not excessive to grant access to that service online.