supply PIN, insert token/key, automatic, etc.)? Once the key is
activated, is the key active for an indefinite period, active for
one time, or active for a defined time period?
9. Who can deactivate the private key and how? Examples of methods
of deactivating private keys include logging out, turning the
power off, removing the token/key, automatic deactivation, and
time expiration.
10. Who can destroy the private key and how? Examples of methods of
destroying private keys include token surrender, token
destruction, and overwriting the key.
11. Provide the capabilities of the cryptographic module in the
following areas: identification of the cryptographic module
boundary, input/output, roles and services, finite state machine,
physical security, software security, operating system security,
algorithm compliance, electromagnetic compatibility, and self
tests. Capability may be expressed through reference to
compliance with a standard such as U.S. FIPS 140-1, associated
level, and rating.
4.6.3. Other Aspects of Key Pair Management
Other aspects of key management need to be considered for the issuing
CA, repositories, subject CAs, RAs, subscribers, and other
participants. For each of these types of entities, the following
questions potentially need to be answered:
1. Is the public key archived? If so, who is the archival agent and
what are the security controls on the archival system? Also,
what software and hardware need to be preserved as part of the
archive to permit use of the public key over time? Note: this
subcomponent is not limited to requiring or describing the use of
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
subscriber. What are the usage periods, or active lifetimes, for
the subscriber’s key pair?
4.6.4. Activation Data
Activation data refers to data values other than whole private keys
that are required to operate private keys or cryptographic modules
containing private keys, such as a PIN, passphrase, or portions of a
private key used in a key-splitting scheme. Protection of activation
data prevents unauthorized use of the private key, and potentially
needs to be considered for the issuing CA, subject CAs, RAs, and
subscribers. Such consideration potentially needs to address the
entire life-cycle of the activation data from generation through
archival and destruction. For each of the entity types (issuing CA,
repository, subject CA, RA, subscriber, and other participants), all
of the questions listed in 4.6.1 through 4.6.3 potentially need to be
answered with respect to activation data rather than with respect to
keys.
4.6.5. Computer Security Controls
This subcomponent is used to describe computer security controls such
as: use of the trusted computing base concept, discretionary access
control, labels, mandatory access controls, object re-use, audit,
identification and authentication, trusted path, security testing,
and penetration testing. Product assurance may also be addressed.
A computer security rating for computer systems may be required. The
rating could be based, for example, on the Trusted System Evaluation
Criteria (TCSEC), Canadian Trusted Products Evaluation Criteria,
European Information Technology Security Evaluation Criteria (ITSEC),
or the Common Criteria for Information Technology Security
Evaluation, ISO/IEC 15408:1999. This subcomponent can also address
requirements for product evaluation analysis, testing, profiling,
product certification, and/or product accreditation related activity
undertaken.
4.6.6. Life Cycle Security Controls
This subcomponent addresses system development controls and security
management controls.
System development controls include development environment security,
development personnel security, configuration management security
during product maintenance, software engineering practices, software
development methodology, modularity, layering, use of failsafe design
and implementation techniques (e.g., defensive programming) and
development facility security.
Security management controls include execution of tools and
procedures to ensure that the operational systems and networks adhere
to configured security. These tools and procedures include checking
the integrity of the security software, firmware, and hardware to
ensure their correct operation.
This subcomponent can also address life-cycle security ratings based,
for example, on the Trusted Software Development Methodology (TSDM)
level IV and V, independent life-cycle security controls audit, and
the Software Engineering Institute’s Capability Maturity Model (SEI-
CMM).
4.6.7. Network Security Controls
This subcomponent addresses network security related controls,
including firewalls.
4.6.8. Time-stamping
This subcomponent addresses requirements or practices relating to the
use of timestamps on various data. It may also discuss whether or
not the time-stamping application must use a trusted time source.
4.7. Certificate and CRL Profiles
This component is used to specify the certificate format and, if CRLs
and/or OCSP are used, the CRL and/or OCSP format. This includes
information on profiles, versions, and extensions used.
4.7.1. Certificate Profile
This subcomponent addresses such topics as the following (potentially
by reference to a separate profile definition, such as the one
defined in IETF PKIX RFC 3280):
* Version number(s) supported;
* Certificate extensions populated and their criticality;
* Cryptographic algorithm object identifiers;
* Name forms used for the CA, RA, and subscriber names;
* Name constraints used and the name forms used in the name
constraints;
* Applicable CP OID(s);
* Usage of the policy constraints extension;
* Policy qualifiers syntax and semantics; and
* Processing semantics for the critical CP extension.
4.7.2. CRL Profile
This subcomponent addresses such topics as the following (potentially
by reference to a separate profile definition, such as the one
defined in IETF PKIX RFC 3280):
* Version numbers supported for CRLs; and
* CRL and CRL entry extensions populated and their criticality.
4.7.3. OCSP Profile
This subcomponent addresses such topics as the following (potentially
by reference to a separate profile definition, such as the IETF RFC
2560 profile):
* Version of OCSP that is being used as the basis for establishing
an OCSP system; and
* OCSP extensions populated and their criticality.
4.8. Compliance Audit and Other Assessment
This component addresses the following:
* The list of topics covered by the assessment and/or the assessment
methodology used to perform the assessment; examples include
WebTrust for CAs (9) and SAS 70 (10).
* Frequency of compliance audit or other assessment for each entity
that must be assessed pursuant to a CP or CPS, or the
circumstances that will trigger an assessment; possibilities
include an annual audit, pre-operational assessment as a condition
of allowing an entity to be operational, or investigation
following a possible or actual compromise of security.
* The identity and/or qualifications of the personnel performing the
audit or other assessment.
* The relationship between the assessor and the entity being
assessed, including the degree of independence of the assessor.
* Actions taken as a result of deficiencies found during the
assessment; examples include a temporary suspension of operations
until deficiencies are corrected, revocation of certificates
issued to the assessed entity, changes in personnel, triggering
special investigations or more frequent subsequent compliance
assessments, and claims for damages against the assessed entity.
* Who is entitled to see results of an assessment (e.g., assessed
entity, other participants, the general public), who provides them
(e.g., the assessor or the assessed entity), and how they are
communicated.
4.9. Other Business and Legal Matters
This component covers general business and legal matters. Sections
9.1 and 9.2 of the framework discuss the business issues of fees to
be charged for various services and the financial responsibility of
participants to maintain resources for ongoing operations and for
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
This subcomponent contains any applicable provisions regarding fees
charged by CAs, repositories, or RAs, such as:
* Certificate issuance or renewal fees;
* Certificate access fees;
* Revocation or status information access fees;
* Fees for other services such as providing access to the relevant
CP or CPS; and
* Refund policy.
4.9.2. Financial Responsibility
This subcomponent contains requirements or disclosures relating to
the resources available to CAs, RAs, and other participants providing
certification services to support performance of their operational
PKI responsibilities, and to remain solvent and pay damages in the
event they are liable to pay a judgment or settlement in connection
with a claim arising out of such operations. Such provisions
include:
* A statement that the participant maintains a certain amount of
insurance coverage for its liabilities to other participants;
* A statement that a participant has access to other resources to
support operations and pay damages for potential liability, which
may be couched in terms of a minimum level of assets necessary to
operate and cover contingencies that might occur within a PKI,
where examples include assets on the balance sheet of an
organization, a surety bond, a letter of credit, and a right under
an agreement to an indemnity under certain circumstances; and
* A statement that a participant has a program that offers first-
party insurance or warranty protection to other participants in
connection with their use of the PKI.
4.9.3. Confidentiality of Business Information
This subcomponent contains provisions relating to the treatment of
confidential business information that participants may communicate
to each other, such as business plans, sales information, trade
secrets, and information received from a third party under a
nondisclosure agreement. Specifically, this subcomponent addresses:
* The scope of what is considered confidential information,
* The types of information that are considered to be outside the
scope of confidential information, and
* The responsibilities of participants that receive confidential
information to secure it from compromise, and refrain from using
it or disclosing it to third parties.
4.9.4. Privacy of Personal Information
This subcomponent relates to the protection that participants,
particularly CAs, RAs, and repositories, may be required to afford to
personally identifiable private information of certificate
applicants, subscribers, and other participants. Specifically, this
subcomponent addresses the following, to the extent pertinent under
applicable law:
* The designation and disclosure of the applicable privacy plan that
applies to a participant’s activities, if required by applicable
law or policy;
* Information that is or is not considered private within the PKI;
* Any responsibility of participants that receive private
information to secure it, and refrain from using it and from
disclosing it to third parties;
* Any requirements as to notices to, or consent from individuals
regarding use or disclosure of private information; and
* Any circumstances under which a participant is entitled or
required to disclose private information pursuant to judicial,
administrative process in a private or governmental proceeding, or
in any legal proceeding.
4.9.5. Intellectual Property Rights
This subcomponent addresses the intellectual property rights, such as
copyright, patent, trademarks, or trade secrets, that certain
participants may have or claim in a CP, CPS, certificates, names, and
keys, or are the subject of a license to or from participants.
4.9.6. Representations and Warranties
This subcomponent can include representations and warranties of
various entities that are being made pursuant to the CP or CPS. For
example, a CPS that serves as a contract might contain a CA’s
warranty that information contained in the certificate is accurate.
Alternatively, a CPS might contain a less extensive warranty to the
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 CAs utilize a
subscriber agreement, and that a subscriber agreement must contain a
warranty by the CA that information in the certificate is accurate.
Participants that may make representations and warranties include
CAs, RAs, subscribers, relying parties, and other participants.
4.9.7. Disclaimers of Warranties
This subcomponent can include disclaimers of express warranties that
may otherwise be deemed to exist in an agreement, and disclaimers of
implied warranties that may otherwise be imposed by applicable law,
such as warranties of merchantability or fitness for a particular
purpose. The CP or CPS may directly impose such disclaimers, or the
CP or CPS may contain a requirement that disclaimers appear in
associated agreements, such as subscriber or relying party
agreements.
4.9.8. Limitations of Liability
This subcomponent can include limitations of liability in a CP or CPS
or limitations that appear or must appear in an agreement associated
with the CP or CPS, such as a subscriber or relying party agreement.
These limitations may fall into one of two categories: limitations
on the elements of damages recoverable and limitations on the amount
of damages recoverable, also known as liability caps. Often,
contracts contain clauses preventing the recovery of elements of
damages such as incidental and consequential damages, and sometimes
punitive damages. Frequently, contracts contain clauses that limit
the possible recovery of one party or the other to an 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
This subcomponent includes provisions by which one party makes a
second party whole for losses or damage incurred by the second 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 that
subscriber agreements contain a term under which a subscriber is
responsible for indemnifying a CA for losses the CA sustains arising
out of a subscriber’s fraudulent misrepresentations on the
certificate application under which the CA issued the subscriber an
inaccurate certificate. Similarly, a CPS may say that a CA uses a
relying party agreement, under which relying parties are responsible
for indemnifying a CA for losses the CA sustains arising out of use
of a certificate without properly checking revocation information or
use of a certificate for purposes beyond what the CA permits.
4.9.10. Term and Termination
This subcomponent can include the time period in which a CP or a CPS
remains in force and the circumstances under which the document,
portions of the document, or its applicability to a particular
participant can be terminated. In addition or alternatively, the CP
or CPS may include requirements that certain term and termination
clauses appear in agreements, such as subscriber or relying party
agreements. In particular, such terms can include:
* The term of a document or agreement, that is, when the document
becomes effective and when it expires if it is not terminated
earlier.
* Termination provisions stating circumstances under which the
document, certain portions of it, or its application to a
particular participant ceases to remain in effect.
* Any consequences of termination of the document. For example,
certain provisions of an agreement may survive its termination and
remain in force. Examples include acknowledgements of
intellectual property rights and confidentiality provisions.
Also, termination may trigger a responsibility of parties to
return confidential information to the party that disclosed it.
4.9.11. Individual notices and communications with participants
This subcomponent discusses the way in which one participant can or
must communicate with another participant on a one-to-one basis in
order for such communications to be legally effective. For example,
an RA may wish to inform the CA that it wishes to terminate its
agreement with the CA. This subcomponent is different from
publication and repository functions, because unlike individual
communications described in this subcomponent, publication and
posting to a repository are for the purpose of communicating to a
wide audience of recipients, such as all relying parties. This
subcomponent may establish mechanisms for communication and indicate
the contact information to be used to route such communications, such
as digitally signed e-mail notices to a specified address, followed
by a signed e-mail acknowledgement of receipt.
4.9.12. Amendments
It will occasionally be necessary to amend a CP or CPS. Some of
these changes will not materially reduce the assurance that a CP or
its implementation provides, and will be judged by the policy
administrator to have an insignificant effect on the acceptability of
certificates. Such changes to a CP or CPS need not require a change
in the CP OID or the CPS pointer (URL). On the other hand, some
changes to a specification will materially change the acceptability
of certificates for specific purposes, and these changes may require
corresponding changes to the CP OID or CPS pointer qualifier (URL).
This subcomponent may also contain the following information:
* The procedures by which the CP or CPS and/or other documents must,
may be, or are amended. In the case of CP or CPS amendments,
change procedures may include a notification mechanism to provide
notice of proposed amendments to affected parties, such as
subscribers and relying parties, a comment period, a mechanism by
which comments are received, reviewed and incorporated into the
document, and a mechanism by which amendments become final and
effective.
* The circumstances under which amendments to the CP or CPS would
require a change in CP OID or CPS pointer (URL).
4.9.13. Dispute Resolution Procedures
This subcomponent discusses procedures utilized to resolve disputes
arising out of the CP, CPS, and/or agreements. Examples of such
procedures include requirements that disputes be resolved in a
certain forum or by alternative dispute resolution mechanisms.
4.9.14. Governing Law
This subcomponent sets forth a statement that the law of a certain
jurisdiction governs the interpretation and enforcement of the
subject CP or CPS or agreements.
4.9.15. Compliance with Applicable Law
This subcomponent relates to stated requirements that participants
comply with applicable law, for example, laws relating to
cryptographic hardware and software that may be subject to the export
control laws of a given jurisdiction. The CP or CPS could purport to
impose such requirements or may require that such provisions appear
in other agreements.
4.9.16. Miscellaneous Provisions
This subcomponent contains miscellaneous provisions, sometimes called
"boilerplate provisions," in contracts. The clauses covered in this
subcomponent may appear in a CP, CPS, or agreements and include:
* An entire agreement clause, which typically identifies the
document or documents comprising the entire agreement between the
parties and states that such agreements supersede all prior and
contemporaneous written or oral understandings relating to the
same subject matter;
* An assignment clause, which may act to limit the ability of a
party in an agreement, assigning its rights under the agreement to
another party (such as the right to receive a stream of payments
in the future) or limiting the ability of a party to delegate its
obligations under the agreement;
* A severability clause, which sets forth the intentions of the
parties in the event that a court or other tribunal determines
that a clause within an agreement is, for some reason, invalid or
unenforceable, and whose purpose is frequently to prevent the
unenforceability of one clause from causing the whole agreement to
be unenforceable; and
* An enforcement clause, which may state that a party prevailing in
any dispute arising out of an agreement is entitled to attorneys’
fees as part of its recovery, or may state that a party’s waiver
of one breach of contract does not constitute a continuing waiver
or a future waiver of other breaches of contract.
* A force majeure clause, commonly used to excuse the performance of
one or more parties to an agreement due to an event outside the
reasonable control of the affected party or parties. Typically,
the duration of the excused performance is commensurate with the
duration of the delay caused by the event. The clause may also