Programme of Requirements part 3b: Certificate Policy for authenticity, confidentiality and non-repudiation certificates in Organization Services (G3) Domain v4.7

Table of Contents

1 Introduction to the Certificate Policy

1.1 Overview

This is part 3b of the Programme of Requirements (PoR) for the PKI for the government and is known as the Certificate Policy (CP). Set out in the PoR are the standards for the PKI for the government. This section relates to the requirements laid down for the services of a Trust Service Provider (TSP) within the PKI for the government. Within the PKI for the government , a distinction is made between various domains. This document only relates to the services certificates issued by TSPs in the Government/Companies and Organization domains.

This chapter includes a brief explanation of the CP. A more detailed explanation regarding the background and structure of the PKI for the government, as well as the cohesion between the various parts within the PoR is included in part 1 of the PoR.

For a list of the definitions and abbreviations used in this section, please refer to part 4 of the PoR.

1.1.1 Design of the Certificate Policy

As stated in part 1 of the PoR, the requirements that form part of the CP consist of requirements ¹:

• that ensue from the Dutch legal framework in relation to the electronic signature;

• that ensue from the latest version of the ETSI EN 319 411-1 standard

  • where policy NCP+ is applicable, so that a SUD is used (ETSI CP OID 0.4.0.2042.1.2)²;

• that ensue from the latest version of the ETSI EN 319 411-2 standard, QCP-l-qcsd (ETSI CP OID 0.4.0.194112.3) for seal certificates (eSeals);

• that are specifically drawn up by and for the PKIoverheid.

Incorporated in chapters 2 to 9 inclusive are references to the specific PKIoverheid requirements in the Additional Requirements. The table below shows the structure of the reference to the actual PKIoverheid requirement (PKIo requirement).

This CP also includes a number of provisions that are not formulated as PKIo requirements. These provisions do not make any demands on the TSPs within the PKI for the government, but do apply as a policy to the PKI for the government. This concerns provisions from paragraphs 1.1, 1.1.1, 1.1.2, 1.2, 1.3, 1.4, 1.5, 8, 9.12.1, 9.12.2, 9.14 and 9.17.

The profiles used within PKIoverheid relating to the services certificates and are listed in appendix A. The status information is listed in the basic requirements.

1.1.2 Status

This is version 4.7 of part 3b of the PoR. The current version has been updated up to and including 8 February 2019.

The PA has devoted the utmost attention and care to the data and information incorporated in this CP. Nevertheless, it is possible that there are inaccuracies and imperfections. The PA accepts no liability for damage resulting from these inaccuracies or imperfections, nor is any liability assumed for damage caused by the use or distribution of this CP, if this CP is used for purposes other than for the use of certificates described in paragraph 1.4 of this CP.

1.2 References to this CP

Within the PKI for the government different structures or roots are used based both on the SHA-1 algorithm (G1) and the SHA-256 algorithm (G2 and G3). Furthermore these structures are devided into different domains. For the G1 root this division consists of the Government/Companies domains (these two domains have merged over time) and Citizen domain.

The G2 root is devided into an Organization, a Citizen and an Autonomous Devices domain.

Under the G3 root there are domains for Organization Person, Organization Services, Citizen, and Autonomous Devices.

Each CP is uniquely identified by an OID, in accordance with the following schedule.

The OID is structured as follows: {joint-iso-itu-t (2). country (16). the Netherlands (528). Dutch organization (1). Dutch government (1003). PKI for the government (1). CP (2). organization domain (5). authenticity (4)/ confidentiality (5). version number}.

If requirements only apply to one or two types of certificates, this is expressly specified by stating the Object Identifier (OID) referencing the applicable CP or CPs.

1.3 User Community

Within the Government/Companies and Organization domains, the user community consists of subscribers who are organizational entities within the government and business community (see PKIo 3.2.2-pkio4) and of certificate holders, who also belong to these subscribers. In addition there are relying parties, who act with a reliance on certificates of the relevant certificate holders.

The parties within the user community are subscribers, certificate managers, certificate holders and relying parties.

• A subscriber is a legal personality who enters into an agreement with a TSP on behalf of one or more certificate holders for the certification of public keys.

• A certificate holder is an entity, characterized in a certificate as the holder of the private key that is linked to the public key provided in the certificate. The certificate holder is part of an organizational entity, for which a subscriber is the contracting party.
  
  Within the Certificate Policy Services, the term certificate holder means:

  • a device or a system (a non-natural person), operated by or on behalf of an organizational entity; or

  • a function of an organizational entity.
    In this CP we use the name "service" for the foregoing certificate holders. To perform the actions in respect of the lifecycle of the certificate holder's certificate, intervention by a party other than the certificate holder is required. The subscriber is responsible for this and has to appoint a certificate manager to perform these actions.

• A certificate manager is a natural personality who performs actions on behalf of the subscriber in respect of the certificate holder's certificate. The subscriber instructs the certificate manager to perform the relevant actions and records these in a certificate manager's testimony.

• A relying party is every natural or legal personality who is a recipient of a certificate and who acts with a reliance on that certificate. Other than for personal certificates, relying parties mainly derive security from the connection of a service (device or feature) to the organizational entity to which the service belongs. The CP Services therefore places the emphasis on providing certainty about the connection of a message sent by or a web service provided by a device, system or (staff) position with the relevant organization. In view of this, establishing the identity of the certificate holder (device or feature) is less important than establishing the certificate holder's connection to the organizational entity.

1.4 Certificate Usage

The use of certificates issued under this CP relates to communication from certificate holders who act on behalf of the subscriber.

[OID 2.16.528.1.1003.1.2.5.4]

Authenticity certificates, issued under this CP, can be used to identify and authenticate, by electronic means, the service that is part of the organizational entity, that is responsible for the relevant service. Issuance of code signing certificates by means of which the integrity and authenticity of software can be safeguarded by a digital signature being placed are NOT allowed under this CP.

Under this OID OCSP responder certificates may be issued for use within the domain Organisation Services. Said certificates can be used to sign OCSP responses for use in the verification of the validity of the end user certificate. More information can be obtained in appendix A of the base requirements.

[OID 2.16.528.1.1003.1.2.5.5]

Confidentiality certificates, issued under this CP, can be used to protect the confidentiality of data that is exchanged and/or stored in an electronic format.

[OID 2.16.528.1.1003.1.2.5.7]

Seal certificates, issued under this CP, can be used to verify electronic seals.

1.5 Contact Information Policy Authority

The PA is responsible for this CP. Questions relating to this CP can be put to the PA; the address can be found at: http://www.logius.nl/pkioverheid.

2 Publication and Repository Responsibilities

2.1 Electronic Repository

Contains no additional requirements.

2.2 Publication of TSP Information

3 Identification and Authentication

3.1 Naming

Contains no additional requirements.

3.2 Initial Identity Validation

3.3 Identification and Authentication for Re-key Requests

Contains no additional requirements.

4 Certificate Life-Cycle Operational Requirements

4.1 Certificate Application

4.2 Certificate Acceptance

Contains no additional requirements.

4.3 Key Pair and Certificate Usage

Contains no additional requirements.

4.4 Revocation and Suspension of Certificates

4.5 Certificate Status Services

Contains no additional requirements.

5 Facility, Management and Operational Controls

5.1 Procedural Controls

Contains no additional requirements.

5.2 Personnel Controls

Contains no additional requirements.

5.3 Audit Loggin Procedures

5.4 Records Archival

5.5 Compromise and Disaster Recovery

6 Technical Security Controls

6.1 Key Pair Generation and Installation

6.2 Private Key Protection and Cryptographic Module Engineering Controls

6.3 Other Aspects of Key Pair Management

6.4 Activation data

6.5 Computer Security Controls

Contains no additional requirements.

6.6 Life Cycle Technical Controls

Contains no additional requirements.

6.7 Network Security Controls

Contains no additional requirements.

7 Certificate, CRL and OSCP profiles

7.1 Certificate Profile

7.2 CRL Profile

Contains no additional requirements.

7.3 OCSP Profile

8 Compliance Audit and Other Assessments

All subjects relating to the conformity assessment of the TSPs within the PKI for the government are covered in PoR part 2 and the basic requirements.

9 Other Business and Legal Matters

9.1 Financial Responsibility

9.2 Intellectual Property Rights

Contains no additional requirements.

9.3 Representations and Warranties

9.4 Limitations of Liability

9.5 Amendments

Contains no additional requirements.

9.6 Dispute Resolution Procedures

Contains no additional requirements.

9.7 Governing Law

Contains no additional requirements.

9.8 Other provisions

If by judicial decision one or more provisions of this CP are declared to be invalid or not applicable, this does not affect the validity and applicability of all other provisions.

10 Appendix A Certificate profile

10.1 Profile of services certificates for the Organisation Services domain

10.1.1 Criteria

When defining the fields and attributes within a certificate, the following codes are used:

• V : Compulsory; indicates that the attribute is compulsory and MUST be used in the certificate.

• O : Optional; indicates that the attribute is optional and MAY be used in the certificate.

• A : Advised against; indicates that the attribute is advised against and SHOULD NOT be used in the certificate.

It is not allowed to use fields that are not specified in the certificate profiles

For the extensions, fields/attributes are used that, in accordance with international standards, are critical, are marked in the 'Critical' column with 'yes' to show that the relevant attribute MUST be checked using a process by means of which a certificate is evaluated. Other fields/attributes are shown with 'no'.

Services certificates for authenticity and confidentiality

10.1.2 Basic attributes

10.1.3 Standard extensions

10.1.4 Private extensions

11 Revisions

11.1 Amendments from version 4.6 to 4.7

11.1.1 New

• Requirement 7.1-pkio177 (effective date immediately after publication PoR 4.7)

• Requirement 3.2.3-pkio169 (effective date 4 weeks after publication of PoR 4.7)

11.1.2 Modifications

• Description of a number of certificate attributes replaced by reference to requirement 7.1-pkio174 (effective date 8 weeks after publication PoR 4.7)

• Reference to CWA 14 169 amended to EN 419 211 for QSCDs. This also sets requirements for the issue of QSCDs for requirements 6.1.1-pkio88, 6.1.1-pkio93, 6.1.1-pkio153, 6.2.11-pkio105, 6.4.1-pkio112 and 4.9.1-pkio52 (effective date immediately after publication PoR 4.7)

• Requirement 6.3.2-pkio148 expired and is replaced by requirement 6.3.2-pkio109 (effective date immediately after publication of PoR 4.7)

11.2 Amendments from version 4.5 to 4.6

11.2.1 Modifications

• Added subject.organizationIdentifier in the certificate profile to fix an ommission (effective date directly after publication of PoR 4.6)

• Modified reference to ETSI certificate profiles (effective date directly after publication of PoR 4.6)

• Corrected subjectAltName.othername field (effective date directly after publication of PoR 4.6)

11.3 Amendments from version 4.4 to 4.5

11.3.1 New

• Mandatory English CPS (requirement 2.2-pkio3, effective date 1-10-2017)

• Mandatory yearly renewal CPS (requirement 2.2-pkio156, effective date 1-1-2017)

11.3.2 Modifications

• Requirement 4.9.9-pkio67 now references RFC6960 instead of RFC2560 (effective date 31-12-2016)

• Allow/require EKU emailProtection in authenticity and non-repudiation certificates in requirement 7.1-pkio149 (effectrive date1-4-2017)

• Change in OID 2.16.528.1.1003.1.2.5.4 to also cover OCSP responder certificates (effective date 1-7-2017)

• Mandatory use of field “NextUpdate” in OCSP responses (requirement 4.9.9-pkio71, effective date 1-7-2017)

11.3.3 Editorial

• Removed typos from certificate profile.

11.4 Amendments from version 4.3 to 4.4

11.4.1 Modifications

• Removal of requirement 5.3.2-pkio79 (effective date 1-2-2017)

• Clarification of issuer.organizationIdentifier field (effective date 1-2-2017)

• Tightening of use optional EKUs that conflict with the parent TSP CA certificate (effective date 1-2-2017)

11.4.2 Editorial

• Moved QCStatements from Public to Private Extensions

• Replaced CSP (Certificate Service Provider) with TSP (Trust Service Provider) in accordance with eIDAS directive.

11.5 Amendments from version 4.2 to 4.3

11.5.1 New

• Pkio153: additional requirements on the use of qualified seals (effective date 1-7-2016)

• New policyidentifier and profile modifications for the use of qualified seals (effective date 1-7-2016)

• Addition of Issuer.organizationalIdentifier in the certificate profile (effective date 1-7-2016)

11.5.2 Modifications

• Description with attribute CertificatePolicies (effective date 1-7-2016)

• Removal of optional use KeyAgreement with Key Usage (effective date no later than 4 weeks after publication of PoR 4.3)

• ETSI TS 102 176-1 replaced by ETSI TS 119 312 (effective date no later than 4 weeks after publication of PoR 4.3)

• Dropped requirement pkio95 because of i.v.m. duplicate requirement in ETSI EN 319 411-1

• Use of values in the BasicConstraints field no longer permitted in end entity certificates (effective date 1-7-2016)

• ETSI TS 102 042 replaced by ETSI EN 319 411-1 (effective date 1-7-2016 or when the accreditation to the certifying body has been granted with a final date of 30 June 2017)

• Requirement 7.1-pkio150 modified (removed not permitted EKU) (effective date 1-11-2016).

11.5.3 Editorial

• Removed references to G1 (expired) and clarified reference to G3 (domains).

11.6 Amendments from version 4.1 to 4.2

11.6.1 New

• Requirement 6.3.2-pkio148 (effective date no later than 4 weeks after publication of PoR)

• Requirement 7.1-pkio150 (effective date 1 juli 2016)

11.6.2 Modifications

• Certificate profile: changed use of subjectAltName from “prohibited toegestaan” to “optional”.

• Ban on issuance of 5 year services certificates to 3 year: removed requirements 6.3.2.-pkio109 and added 6.3.2-pkio148.

11.6.3 Editorial

• None

11.7 Amendments from version 4.0 to 4.1

11.7.1 New

• Certification against ETSI TS 102 042 (effective date no later than 4 weeks after publication of PoR 4.1 );

11.7.2 Modifications

• Requirement 6.3.2-pkio109 (effective date no later than 4 weeks after publication of PoR 4.1 );

11.7.3 Editorial

• Small editiorial change to the following requirements:

  • Requirement 5.7.4-pkio86.

11.8 Amendments from version 3.7 to 4.0

11.8.1 New

• None

11.8.2 Modifications

• PoR requirements have been renumbered according to a new naming convention;

• The creation of a document containing the baseline and additional requirements;

• Changes to requirements can be found in the baseline and additional requirements documents respectively.

11.8.3 Editorial

Editorial changes to requirements can be found in the baseline and additional requirements documents respectively. These changes have no effect on the content of the information.