Programme of Requirements part 3i: Certificate Policy for certificates in Private Persons (G1) Domain v4.7

Table of Contents

1 Introduction to the Certificate Policy

1.1 Overview

This is part 3i of the Programme of Requirements (PoR) of the PKI for the government and is called 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 root certificates and underlying domains. This document only relates to the personal certificates issued by TSPs in the Private Persons domain.

Certificates which are issued under the private root certificate are not publicly trusted by browsers or other applications. The scope of these certificates is primarily a closed usergroup within which an agreement has been reached regarding the use of the PKIoverheid Private Root.

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 319 411-2 standard, QCP-n-qscd (ETSI CP OID 0.4.0.194112.1.2) for non-repudiation certificates;

• that ensue from the latest version of the ETSI EN 319 411-1 standard, where policy NCP+ is applicable to authenticity and encryption certificates.;

• 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 end user certificates are listed in appendix A. The certificate status information is listed in the basic requirements.

1.1.2 Status

This is version 4.7 of part 3i of the Programme of Requirements. 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 multiple root certificates are in use for the regular – publicly trusted – root, the TRAIL root, the EV root and the private – not publicly trusted – root. Each of these root certificates contains a hierarchy consisting of differen domains. Each domain has its own specific domain structure.

Furthermore these root certificates often have multiple active generations or versions (g1, g2, g3). In addition the different PKI for the government structures or roots are based both on the SHA-1 algorithm (regular root G1) and the SHA-256 algorithm (regular root G2 and G3).

Each type of certificate within PKIoverheid is uniquely identified by an OID. The OIDs of the Certificate Policies of this part of the Programme of Requirements are 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). private persons domain (8). authenticity (1)/non repudiation (2)/confidentiality (3). 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 Private Persons domain, the user community consists of subscribers who are organizational entities within the government and business community (see PKIo 3.2.2-pkio14) and of certificate holders, who also belong to these subscribers. There are also individuals working in a recognized profession who are both subscriber and certificate holder. 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 holders. certificate managers and relying parties.

• A subscriber is a natural or 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 subscriber can also be a certificate holder.

• 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 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 either a part of an organizational entity for which a subscriber is the contracting party (organization-linked certificate holder), or the practitioner of a recognized occupation and, in that capacity, is a subscriber and therefore the contracting party (profession-linked certificate holder).

• 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.

1.4 Certificate Usage

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

[OID 2.16.528.1.1003.1.2.8.1]

Authenticity certificates, which are issued under this CP, can be used to reliably identify and authenticate persons, organizations and resources electronically. This concerns both the mutual identification of people and identification between people and computerized devices.

Under this OID OCSP responder certificates may be issued for use within the domain Private Persons. 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 2.16.528.1.1003.1.2.8.2]

Signature certificates, which are issued under this CP, can be used to verify electronic signatures, that have "the same legal consequences as a handwritten signature", as stated in article 15a, first and second paragraphs, in Title 1 of Book 3 of the Dutch Civil Code (Burgerlijk Wetboek) under section 1A and are qualified certificates as referred to in article 1.1, paragraph ss of the Telecommunications Act (Telecomwet).

[OID 2.16.528.1.1003.1.2.8.3]

Confidentiality certificates, which are issued under this CP, can be used to protect the confidentiality of data that is exchanged and/or stored in an electronic form. This concerns both the mutual exchange between people and exchange between people and computerized devices.

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

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

Contains no additional requirements.

4.2 Certificate Acceptance

Contains no additional requirements

4.3 Key Pair and Certificate Usage

Contains no additional requirements

4.4 Certificate Revocation and Suspension

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 Logging 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

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 Provisions

Contains no additional requirements.

9.7 Governing Law

Contains no additional requirements.

9.8 Miscellaneous 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 profiles

10.1 Profile of the personal certificates for the Private Persons 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.

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

10.2 Naming convention Subject.commonName

The following requirements apply to the CommonName of the Subject field. The main principle is that the TSP is responsible for correct entry of the CommonName. For a correct implementation this entails that the TSP has to be able to check each part that is entered. The CommonName has the following format³:

[aristocratic designation] [Full first forename OR nickname] [initials other forenames OR full other forenames] [surname prefixes + surname partner '-'] [aristocratic title] [surname prefixes + surname at birth]

whereby:

text in bold = compulsory part

Italic = compulsory part, style in accordance with Compulsory Identification Act document or presented Local Council Personal Records Database extract

normal = optional part; if present, the style has to be the same as the Compulsory Identification Act document or the presented Local Council Personal Records Database extract

In principle, the TSP decides whether or not optional parts are allowed. If it prefers, the TSP can leave the choice for an option to the subscriber or the party requesting the certificate. If the CommonName becomes too long for the number of characters that are allowed, optional parts have to be omitted (starting with the replacement of other forenames by initials from the last to the first position) until the name fits in the maximum field length.

Personal certificates – Private Persons Domain

10.2.1 Basic attributes

10.2.2 Standard extensions

10.2.3 Private extensions

11 Revisions

11.1 Amendments from version 4.6 to 4.7

11.1.1 New

• Requirement 3.2.5-pkio160, list of limitative professions transferred (from PoR part 4) (effective date immediately after publication of PoR 4.7)

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

11.1.2 Modifications

• Authentic proof for practicing a recognized profession merged in requirement 3.2.5-pki29 (effective date immediately after publication of PoR 4.7)

• Limitative list of professions updated, “municipal” tax bailiff (effective date immediately after publication of PoR 4.7)

• Description of a number of certificate attributes replaced by reference to requirement 7.1-pkio174 (effective date 8 weeks after publication of 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, 6.2.11-pkio104, 6.2.11-pkio105, 6.2.11-pkio106, 6.4.1-pkio112 and 4.9.1-pkio52 (effective date immediately after publication PoR 4.7)

11.2 Amendments from version 4.5 to 4.6

11.2.1 Modifications

• 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

• Possibility to offer CPS in English and/or Dutch (requirement 2.2-pkio157, effective date 1-10-2017)

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 2.16.528.1.1003.1.2.8.1 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 references to the public G1 root from the certificate profile, modified text to private G1 root.

11.4 Amendments from version 4.3 to 4.4

11.4.1 New

None

11.4.2 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)

11.4.3 Editorial

• 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

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

• Mandatory QcStatement qualified certificate (effective date 1-7-2016)

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

• Use of values in 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)

11.5.3 Editorial

None

11.6 Amendments from version 4.1 to 4.2

11.6.1 New

• Requirement 7.1-pkio149 (effective date 1 july 2016)

11.6.2 Modifications

None

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

Not applicable.

11.7.3 Editorial

• Small editiorial changes to the following requirements:

  • 3.1.3-pkio11;

  • 3.2.5-pkio32;

  • 5.7.4-pkio86;

  • 9.6.1-pkio131.