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RFC 3647

Internet X.509 Public Key Infrastructure Certificate Policy and Certification Practices Framework

Pages: 94
Informational
Errata
Obsoletes:  2527
Part 3 of 4 – Pages 53 to 88
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Top   ToC   RFC3647 - Page 53   prevText

5. Security Considerations

According to X.509, a certificate policy (CP) is "a named set of rules that indicates the applicability of a certificate to a particular community and/or class of applications with common security requirements." A CP may be used by a relying party to help in deciding whether a certificate, and the binding therein, are sufficiently trustworthy and otherwise appropriate for a particular application. The degree to which a relying party can trust the binding embodied in a certificate depends on several factors. These factors can include the practices followed by the certification authority (CA) in authenticating the subject; the CA's operating policy, procedures, and technical security controls, including the scope of the subscriber's responsibilities (for example, in protecting the private key), and the stated responsibilities and liability terms and conditions of the CA (for example, warranties, disclaimers of warranties, and limitations of liability). This document provides a framework to address technical, procedural, personnel, and physical security aspects of Certification Authorities, Registration Authorities, repositories, subscribers, and relying party cryptographic modules, in order to ensure that the certificate generation, publication, renewal, re-key, usage, and revocation is done in a secure manner. Specifically, Section 4.3 Identification and Authentication (I&A); Section 4.4 Certificate Life-Cycle Operational Requirements; Section 4.5 Facility Management, and Operational Controls; Section 4.6 Technical Security Controls; Section 4.7 Certificate CRL, and OCSP Profiles; and Section 4.8 Compliance Audit and Other Assessment, are oriented towards ensuring secure operation of the PKI entities such as CA, RA, repository, subscriber systems, and relying party systems.

6. Outline of a Set of Provisions

This section contains a recommended outline for a set of provisions, intended to serve as a checklist or (with some further development) a standard template for use by CP or CPS writers. Such a common outline will facilitate:
Top   ToC   RFC3647 - Page 54
   (a) Comparison of two certificate policies during cross-
       certification or other forms of interoperation (for the purpose
       of equivalency mapping).

   (b) Comparison of a CPS with a CP to ensure that the CPS faithfully
       implements the policy.

   (c) Comparison of two CPSs.

   In order to comply with the RFC, the drafters of a compliant CP or
   CPS are strongly advised to adhere to this outline.  While use of an
   alternate outline is discouraged, it may be accepted if a proper
   justification is provided for the deviation and a mapping table is
   provided to readily discern where each of the items described in this
   outline is provided.

   1.      INTRODUCTION
   1.1  Overview
   1.2  Document name and identification
   1.3  PKI participants
   1.3.1  Certification authorities
   1.3.2  Registration authorities
   1.3.3  Subscribers
   1.3.4 Relying parties
   1.3.5  Other participants
   1.4  Certificate usage
   1.4.1.  Appropriate certificate uses
   1.4.2   Prohibited certificate uses
   1.5  Policy administration
   1.5.1  Organization administering the document
   1.5.2  Contact person
   1.5.3  Person determining CPS suitability for the policy
   1.5.4  CPS approval procedures
   1.6  Definitions and acronyms
   2.      PUBLICATION AND REPOSITORY RESPONSIBILITIES
   2.1  Repositories
   2.2  Publication of certification information
   2.3  Time or frequency of publication
   2.4  Access controls on repositories
   3.      IDENTIFICATION AND AUTHENTICATION (11)
   3.1  Naming
   3.1.1  Types of names
   3.1.2  Need for names to be meaningful
   3.1.3  Anonymity or pseudonymity of subscribers
   3.1.4  Rules for interpreting various name forms
   3.1.5  Uniqueness of names
   3.1.6  Recognition, authentication, and role of trademarks
   3.2  Initial identity validation
Top   ToC   RFC3647 - Page 55
   3.2.1  Method to prove possession of private key
   3.2.2  Authentication of organization identity
   3.2.3  Authentication of individual identity
   3.2.4  Non-verified subscriber information
   3.2.5 Validation of authority
   3.2.6  Criteria for interoperation
   3.3  Identification and authentication for re-key requests
   3.3.1  Identification and authentication for routine re-key
   3.3.2  Identification and authentication for re-key after revocation
   3.4 Identification and authentication for revocation request
   4.  CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS (11)
   4.1  Certificate Application
   4.1.1  Who can submit a certificate application
   4.1.2  Enrollment process and responsibilities
   4.2 Certificate application processing
   4.2.1 Performing identification and authentication functions
   4.2.2 Approval or rejection of certificate applications
   4.2.3  Time to process certificate applications
   4.3  Certificate issuance
   4.3.1  CA actions during certificate issuance
   4.3.2  Notification to subscriber by the CA of issuance of
   certificate
   4.4  Certificate acceptance
   4.4.1  Conduct constituting certificate acceptance
   4.4.2  Publication of the certificate by the CA
   4.4.3  Notification of certificate issuance by the CA to other
   entities
   4.5 Key pair and certificate usage
   4.5.1  Subscriber private key and certificate usage
   4.5.2  Relying party public key and certificate usage
   4.6  Certificate renewal
   4.6.1  Circumstance for certificate renewal
   4.6.2  Who may request renewal
   4.6.3  Processing certificate renewal requests
   4.6.4  Notification of new certificate issuance to subscriber
   4.6.5  Conduct constituting acceptance of a renewal certificate
   4.6.6  Publication of the renewal certificate by the CA
   4.6.7  Notification of certificate issuance by the CA to other
   entities
   4.7  Certificate re-key
   4.7.1  Circumstance for certificate re-key
   4.7.2  Who may request certification of a new public key
   4.7.3  Processing certificate re-keying requests
   4.7.4  Notification of new certificate issuance to subscriber
   4.7.5  Conduct constituting acceptance of a re-keyed certificate
   4.7.6  Publication of the re-keyed certificate by the CA
   4.7.7  Notification of certificate issuance by the CA to other
   entities
Top   ToC   RFC3647 - Page 56
   4.8  Certificate modification
   4.8.1  Circumstance for certificate modification
   4.8.2  Who may request certificate modification
   4.8.3  Processing certificate modification requests
   4.8.4  Notification of new certificate issuance to subscriber
   4.8.5  Conduct constituting acceptance of modified certificate
   4.8.6  Publication of the modified certificate by the CA
   4.8.7  Notification of certificate issuance by the CA to other
   entities
   4.9  Certificate revocation and suspension
   4.9.1  Circumstances for revocation
   4.9.2  Who can request revocation
   4.9.3  Procedure for revocation request
   4.9.4  Revocation request grace period
   4.9.5  Time within which CA must process the revocation request
   4.9.6  Revocation checking requirement for relying parties
   4.9.7 CRL issuance frequency (if applicable)
   4.9.8 Maximum latency for CRLs (if applicable)
   4.9.9  On-line revocation/status checking availability
   4.9.10 On-line revocation checking requirements
   4.9.11 Other forms of revocation advertisements available
   4.9.12 Special requirements re key compromise
   4.9.13 Circumstances for suspension
   4.9.14 Who can request suspension
   4.9.15 Procedure for suspension request
   4.9.16 Limits on suspension period
   4.10  Certificate status services
   4.10.1 Operational characteristics
   4.10.2 Service availability
   4.10.3 Optional features
   4.11  End of subscription
   4.12  Key escrow and recovery
   4.12.1 Key escrow and recovery policy and practices
   4.12.2 Session key encapsulation and recovery policy and practices
   5.  FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS (11)
   5.1  Physical controls
   5.1.1  Site location and construction
   5.1.2  Physical access
   5.1.3  Power and air conditioning
   5.1.4  Water exposures
   5.1.5  Fire prevention and protection
   5.1.6  Media storage
   5.1.7  Waste disposal
   5.1.8  Off-site backup
   5.2  Procedural controls
   5.2.1  Trusted roles
   5.2.2  Number of persons required per task
   5.2.3  Identification and authentication for each role
Top   ToC   RFC3647 - Page 57
   5.2.4  Roles requiring separation of duties
   5.3  Personnel controls
   5.3.1  Qualifications, experience, and clearance requirements
   5.3.2  Background check procedures
   5.3.3  Training requirements
   5.3.4  Retraining frequency and requirements
   5.3.5  Job rotation frequency and sequence
   5.3.6  Sanctions for unauthorized actions
   5.3.7  Independent contractor requirements
   5.3.8  Documentation supplied to personnel
   5.4  Audit logging procedures
   5.4.1  Types of events recorded
   5.4.2  Frequency of processing log
   5.4.3  Retention period for audit log
   5.4.4  Protection of audit log
   5.4.5  Audit log backup procedures
   5.4.6  Audit collection system (internal vs. external)
   5.4.7  Notification to event-causing subject
   5.4.8  Vulnerability assessments
   5.5  Records archival
   5.5.1  Types of records archived
   5.5.2  Retention period for archive
   5.5.3  Protection of archive
   5.5.4  Archive backup procedures
   5.5.5  Requirements for time-stamping of records
   5.5.6  Archive collection system (internal or external)
   5.5.7  Procedures to obtain and verify archive information
   5.6  Key changeover
   5.7  Compromise and disaster recovery
   5.7.1  Incident and compromise handling procedures
   5.7.2  Computing resources, software, and/or data are corrupted
   5.7.3  Entity private key compromise procedures
   5.7.4  Business continuity capabilities after a disaster
   5.8  CA or RA termination
   6.  TECHNICAL SECURITY CONTROLS (11)
   6.1  Key pair generation and installation
   6.1.1  Key pair generation
   6.1.2  Private key delivery to subscriber
   6.1.3  Public key delivery to certificate issuer
   6.1.4  CA public key delivery to relying parties
   6.1.5  Key sizes
   6.1.6  Public key parameters generation and quality checking
   6.1.7  Key usage purposes (as per X.509 v3 key usage field)
   6.2  Private Key Protection and Cryptographic Module Engineering
   Controls
   6.2.1  Cryptographic module standards and controls
   6.2.2  Private key (n out of m) multi-person control
   6.2.3  Private key escrow
Top   ToC   RFC3647 - Page 58
   6.2.4  Private key backup
   6.2.5  Private key archival
   6.2.6  Private key transfer into or from a cryptographic module
   6.2.7  Private key storage on cryptographic module
   6.2.8  Method of activating private key
   6.2.9  Method of deactivating private key
   6.2.10 Method of destroying private key
   6.2.11 Cryptographic Module Rating
   6.3  Other aspects of key pair management
   6.3.1  Public key archival
   6.3.2  Certificate operational periods and key pair usage periods
   6.4  Activation data
   6.4.1  Activation data generation and installation
   6.4.2  Activation data protection
   6.4.3  Other aspects of activation data
   6.5  Computer security controls
   6.5.1  Specific computer security technical requirements
   6.5.2  Computer security rating
   6.6  Life cycle technical controls
   6.6.1  System development controls
   6.6.2  Security management controls
   6.6.3  Life cycle security controls
   6.7  Network security controls
   6.8  Time-stamping
   7.  CERTIFICATE, CRL, AND OCSP PROFILES
   7.1  Certificate profile
   7.1.1  Version number(s)
   7.1.2  Certificate extensions
   7.1.3  Algorithm object identifiers
   7.1.4  Name forms
   7.1.5  Name constraints
   7.1.6  Certificate policy object identifier
   7.1.7  Usage of Policy Constraints extension
   7.1.8  Policy qualifiers syntax and semantics
   7.1.9 Processing semantics for the critical Certificate Policies
   extension
   7.2  CRL profile
   7.2.1  Version number(s)
   7.2.2  CRL and CRL entry extensions
   7.3  OCSP profile
   7.3.1  Version number(s)
   7.3.2  OCSP extensions
   8.  COMPLIANCE AUDIT AND OTHER ASSESSMENTS
   8.1  Frequency or circumstances of assessment
   8.2  Identity/qualifications of assessor
   8.3  Assessor's relationship to assessed entity
   8.4  Topics covered by assessment
   8.5  Actions taken as a result of deficiency
Top   ToC   RFC3647 - Page 59
   8.6  Communication of results
   9.  OTHER BUSINESS AND LEGAL MATTERS
   9.1  Fees
   9.1.1  Certificate issuance or renewal fees
   9.1.2  Certificate access fees
   9.1.3  Revocation or status information access fees
   9.1.4  Fees for other services
   9.1.5  Refund policy
   9.2  Financial responsibility
   9.2.1  Insurance coverage
   9.2.2  Other assets
   9.2.3  Insurance or warranty coverage for end-entities
   9.3  Confidentiality of business information
   9.3.1  Scope of confidential information
   9.3.2  Information not within the scope of confidential information
   9.3.3  Responsibility to protect confidential information
   9.4  Privacy of personal information
   9.4.1  Privacy plan
   9.4.2  Information treated as private
   9.4.3  Information not deemed private
   9.4.4  Responsibility to protect private information
   9.4.5  Notice and consent to use private information
   9.4.6   Disclosure pursuant to judicial or administrative process
   9.4.7  Other information disclosure circumstances
   9.5  Intellectual property rights
   9.6  Representations and warranties
   9.6.1  CA representations and warranties
   9.6.2  RA representations and warranties
   9.6.3  Subscriber representations and warranties
   9.6.4  Relying party representations and warranties
   9.6.5  Representations and warranties of other participants
   9.7  Disclaimers of warranties
   9.8  Limitations of liability
   9.9  Indemnities
   9.10  Term and termination
   9.10.1  Term
   9.10.2  Termination
   9.10.3  Effect of termination and survival
   9.11  Individual notices and communications with participants
   9.12  Amendments
   9.12.1  Procedure for amendment
   9.12.2  Notification mechanism and period
   9.12.3  Circumstances under which OID must be changed
   9.13  Dispute resolution provisions
   9.14  Governing law
   9.15  Compliance with applicable law
   9.16  Miscellaneous provisions
   9.16.1  Entire agreement
Top   ToC   RFC3647 - Page 60
   9.16.2  Assignment
   9.16.3  Severability
   9.16.4  Enforcement (attorneys' fees and waiver of rights)
   9.16.5  Force Majeure
   9.17  Other provisions

7. Comparison to RFC 2527

This framework represents an incremental improvement over RFC 2527. The new framework benefits from the experience gained in the course of deploying CP and CPS documents under RFC 2527. Further, this new framework is based on coordination with the American Bar Association Information Security Committee within the Section of Science and Technology Law. The ISC wrote the PKI Assessment Guidelines [ABA2], which embodies a great deal of technical, business, and legal experience in PKI operations. In particular, representatives of the ISC made changes to the framework to better suite it to the legal environment and make it more accessible to lawyers. >From a technical perspective, the changes to the RFC 2527 framework were minimal and incremental, rather than revolutionary. Sections 3-7 have largely been preserved, with modest reorganization and new topics. For example, the new framework includes a revision of Section 4 of the framework to include a full treatment of the certificate life-cycle, the addition of key escrow, key encapsulation, and key recovery policies and practices, and OCSP. Section 2 audit functions now appear alone in Section 8, and Section 2 focuses exclusively on repository functions. The business and legal matters in RFC 2527's Section 2 now appear in a new Section 9. From a legal perspective, the new Section 9 is useful because it places topics in the framework in an ordering that is similar to software licensing and other technology agreements and thus is familiar to technology lawyers. Moreover, the framework as a whole can double as a framework for a subscriber, relying party, or other PKI-related agreement. The changes are intended to make legal review of, and input into, CP and CPS documents more efficient. Section 9 also adds new legal topics, such as the privacy of personal information, liability terms, and duration of the effectiveness of the document. Section 1 of the new framework is largely the same as RFC 2527, although it increases coverage of PKI participants by breaking out subscribers from relying parties and adding a section for other participants. It changes the "applicability" section to one covering appropriate and prohibited uses of certificates. Also, it moves CPS
Top   ToC   RFC3647 - Page 61
   approval procedures from RFC 2527's Section 8.3 into a collected
   policy administration section.  Finally, Section 1.6 adds a place to
   list definitions and acronyms.

   Section 2 of the new framework is a reorganization of Section 2.6 of
   the old framework.  Section 3 of the new framework is based on a
   division of the old Section 3.1 into two parts for naming and
   identification and authentication issues.  It adds new issues, such
   as the permissibility of pseudonyms and anonymity.  Old Section 4
   topics on audit logging, record archives, key changeover, compromise
   and disaster recovery, and CA termination have moved to Section 5.
   The remaining Section 4 topics have been expanded and reorganized to
   cover a complete certificate lifecycle.  New topics include items
   implicit in the RFC 2527 Section 4, but now explicit, such as
   certificate application processing, certificate modification, and the
   end of subscription.

   New Sections 5.1 through 5.3 are almost identical to their
   counterparts in RFC 2527.  The remainder of the new Section 5 is the
   topics moved from RFC 2527's Section 4, in the order that they
   appeared in Section 4.  Section 6 of the new framework is almost the
   same as the old Section 6, with some exceptions, such as the
   consolidation of old Section 6.8 (cryptographic module engineering
   controls) into Section 6.2.1 (now called "cryptographic module
   standards and controls") and the addition of time-stamping in a new
   Section 6.8.  Section 7 is almost identical to the old Section 7, the
   major change being the addition of a section covering OCSP profile.
   Section 8 is almost identical to RFC 2527's Section 2.7.

   New Section 9 contains business and legal topics that were covered in
   RFC 2527's Section 2, including fees, financial responsibility,
   confidentiality, and intellectual property.  It adds a section on the
   privacy of personal information, which has become a significant
   policy issue.  The "liability" Section 2.2 in RFC 2527 now appears in
   Sections 9.6 through 9.9, covering representations and warranties,
   disclaimers, limitations of liability, and indemnities.  Section 9.10
   adds a section concerning the duration of the effectiveness of
   documentation.  Section 9.12 collects terms concerning the way in
   which a document (CP, CPS, agreement, or other document) may be
   amended, formerly appearing in Section 8.1.  Section 9 includes
   "legal boilerplate" topics, some of which were in the old Section 2.
   Finally, Section 9.17 is a catch-all "other provisions" section where
   drafters can place information that does not fit well into any other
   section of the framework.

   The following matrix shows the sections in the old RFC 2527 framework
   and their successor sections in the new framework.
Top   ToC   RFC3647 - Page 62
   ORIGINAL RFC 2527                     NEW RFC SECTION
        SECTION
   ------------------------------------------------------
   1. Introduction                             1.
   ------------------------------------------------------
   1.1 Overview                                1.1
   ------------------------------------------------------
   1.2 Identification                          1.2
   ------------------------------------------------------
   1.3 Community and
       Applicability                           1.3
   ------------------------------------------------------
   1.3.1 Certification
         Authorities                           1.3.1
   ------------------------------------------------------
   1.3.2 Registration Authorities              1.3.2
   ------------------------------------------------------
   1.3.3 End entities                          1.3.3,
                                               1.3.4
   ------------------------------------------------------
   1.3.4 Applicability                         1.4, 4.5
   ------------------------------------------------------
   1.4 Contact Details                         1.5
   ------------------------------------------------------
   1.4.1 Specification Administration
         Organization                          1.5.1
   ------------------------------------------------------
   1.4.2 Contact Person                        1.5.2
   ------------------------------------------------------
   1.4.3 Person Determining CPS
         Suitability for the Policy            1.5.3
   ------------------------------------------------------
   2. General Provisions                       2, 8, 9
   ------------------------------------------------------
   2.1 Obligations                             2.6.4
   ------------------------------------------------------
   2.1.1 1A Obligations                  Integrated
                                         throughout
                                         portions of the
                                         framework that
                                         apply to CAs
   ------------------------------------------------------
   2.1.2 RA Obligations                  Integrated
                                         throughout
                                         portions of the
                                         framework that
                                         apply to RAs
Top   ToC   RFC3647 - Page 63
   ------------------------------------------------------
   2.1.3 Subscriber Obligations          4.1.2, 4.4, 4.5,
                                         4.5.1, 4.6.5,
                                         4.7.5, 4.8.1,
                                         4.8.5, 4.9.1,
                                         4.9.2, 4.9.13,
                                         4.9.15, 5., 6.,
                                         9.6.3, 9.9
   ------------------------------------------------------
   2.1.4 Relying Party Obligations     4.5, 4.5.2, 4.9.6,
                                       5., 6., 9.6.4, 9.9
   ------------------------------------------------------
   2.1.5 Repository Obligations        2., 4.4.2, 4.4.3,
                                       4.6.6, 4.6.7,
                                       4.7.6, 4.7.7,
                                       4.8.6, 4.8.7
   ------------------------------------------------------
   2.2 Liability                       9.6, 9.7, 9.8, 9.9
   ------------------------------------------------------
   2.2.1 CA Liability                  9.6.1, 9.7., 9.8,
                                       9.9
   ------------------------------------------------------
   2.2.2 RA Liability                  9.6.2, 9.7, 9.8, 9.9
   ------------------------------------------------------
   2.3 Financial Responsibility                9.2
   ------------------------------------------------------
   2.3.1 Indemnification by Relying
         Parties                               9.9
   ------------------------------------------------------
   2.3.2 Fiduciary Relationships               9.7
   ------------------------------------------------------
   2.4 Interpretation and Enforcement          9.16
   ------------------------------------------------------
   2.4.1 Governing Law                         9.14, 9.15
   ------------------------------------------------------
   2.4.2 Severability, Survival,
         Merger, Notice                9.10.3, 9.11,
                                       9.16.1,9.16.3
   ------------------------------------------------------
   2.4.3 Dispute Resolution
         Procedures                    9.13, 9.16.4
   ------------------------------------------------------
   2.5 Fees                                    9.1
   ------------------------------------------------------
   2.5.1 Certificate Issuance
         or Renewal Fees                       9.1.1
   ------------------------------------------------------
   2.5.2 Certificate Access Fees               9.1.2
Top   ToC   RFC3647 - Page 64
   ------------------------------------------------------
   2.5.3 Revocation or Status
         Information Access Fees               9.1.3
   ------------------------------------------------------
   2.5.4 Fees for Other Services Such
         as Policy Information                 9.1.4
   ------------------------------------------------------
   2.5.5 Refund Policy                         9.1.5
   ------------------------------------------------------
   2.6 Publication and Repository              2.
   ------------------------------------------------------
   2.6.1 Publication of CA
         Information                    2.2, 4.4.2,
                                        4.4.3, 4.6.6,
                                        4.6.7, 4.7.6,
                                        4.7.7, 4.8.6,
                                        4.8.7
   ------------------------------------------------------
   2.6.2 Frequency of Publication              2.3
   ------------------------------------------------------
   2.6.3 Access Controls                       2.4
   ------------------------------------------------------
   2.6.4 Repositories                          2.1
   ------------------------------------------------------
   2.7 Compliance Audit                        8.
   ------------------------------------------------------
   2.7.1 Frequency of Entity Compliance
         Audit                                 8.1
   ------------------------------------------------------
   2.7.2 Identity/Qualifications of
         Auditor                               8.2
   ------------------------------------------------------
   2.7.3 Auditor's Relationship to Audited
         Party                                 8.3
   ------------------------------------------------------
   2.7.4 Topics Covered by Audit               8.4
   ------------------------------------------------------
   2.7.5 Actions Taken as a Result of
         Deficiency                            8.5
   ------------------------------------------------------
   2.7.6 Communications of Results             8.6
   ------------------------------------------------------
   2.8 Confidentiality                         9.3, 9.4
   ------------------------------------------------------
   2.8.1 Types of Information to be
         Kept Confidential              9.3.1, 9.4.2
Top   ToC   RFC3647 - Page 65
   ------------------------------------------------------
   2.8.2 Types of Information Not
         Considered Confidential        9.3.2, 9.4.3
   ------------------------------------------------------
   2.8.3 Disclosure of Certificate
         Revocation/Suspension
         Information                    9.3.1, 9.3.2,
                                        9.3.3, 9.4.2,
                                        9.4.3, 9.4.4
   ------------------------------------------------------
   2.8.4 Release to Law Enforcement
         Officials                      9.3.3, 9.4.6
   ------------------------------------------------------
   2.8.5 Release as Part of Civil
   Discovery                            9.3.3, 9.4.6
   ------------------------------------------------------
   2.8.6 Disclosure Upon Owner's
         Request                        9.3.3, 9.4.7
   ------------------------------------------------------
   2.8.7 Other Information Release
         Circumstances                  9.3.3, 9.4.7
   ------------------------------------------------------
   2.9 Intellectual Property Rights            9.5
   ------------------------------------------------------
   3. Identification and Authentication        3.
   ------------------------------------------------------
   3.1 Initial Registration                    3.1, 3.2
   ------------------------------------------------------
   3.1.1 Type of Names                         3.1.1
   ------------------------------------------------------
   3.1.2 Need for Names to be
         Meaningful                     3.1.2, 3.1.3
   ------------------------------------------------------
   3.1.3 Rules for Interpreting
         Various Name Forms                    3.1.4
   ------------------------------------------------------
   3.1.4 Uniqueness of Names                   3.1.5
   ------------------------------------------------------
   3.1.5 Name Claim Dispute
         Resolution Procedure                  3.1.6
   ------------------------------------------------------
   3.1.6 Recognition, Authentication,
         and Role of Trademarks                3.1.6
   ------------------------------------------------------
   3.1.7 Method to Prove Possession
         of Private Key                        3.2.1
Top   ToC   RFC3647 - Page 66
   ------------------------------------------------------
   3.1.8 Authentication of
         Organization Identity                 3.2.2
   ------------------------------------------------------
   3.1.9 Authentication of
         Individual Identity                   3.2.3
   ------------------------------------------------------
   3.2 Routine Rekey                    3.3.1, 4.6, 4.7
   ------------------------------------------------------
   3.3 Rekey After Revocation                  3.3.2
   ------------------------------------------------------
   3.4 Revocation Request                      3.4
   ------------------------------------------------------
   4.  Operational Requirements                4., 5.
   ------------------------------------------------------
   4.1 Certificate Application          4.1, 4.2, 4.6,
                                        4.7
   ------------------------------------------------------
   4.2 Certificate Issuance             4.2, 4.3, 4.4.3,
                                        4.6, 4.7, 4.8.4,
                                        4.8.6, 4.8.7
   ------------------------------------------------------
   4.3 Certificate Acceptance           4.3.2, 4.4, 4.6,
                                        4.7, 4.8.4-4.8.7
   ------------------------------------------------------
   4.4 Certificate Suspension
       and Revocation                          4.8, 4.9
   ------------------------------------------------------
   4.4.1 Circumstances for Revocation   4.8.1, 4.9.1
   ------------------------------------------------------
   4.4.2 Who Can Request Revocation     4.8.2, 4.9.2
   ------------------------------------------------------
   4.4.3 Procedure for Revocation
         Request                        4.8.3-4.8.7,
                                        4.9.3
   ------------------------------------------------------
   4.4.4 Revocation Request
         Grace Period                          4.9.4
   ------------------------------------------------------
   4.4.5 Circumstances for Suspension          4.9.13
   ------------------------------------------------------
   4.4.6 Who Can Request Suspension            4.9.14
   ------------------------------------------------------
   4.4.7 Procedure for Suspension
         Request                               4.9.15
   ------------------------------------------------------
   4.4.8 Limits on Suspension Period           4.9.16
Top   ToC   RFC3647 - Page 67
   ------------------------------------------------------
   4.4.9 CRL Issuance Frequency
         (If Applicable)                  4.9.7, 4.9.8,
                                          4.10
   ------------------------------------------------------
   4.4.10 CRL Checking Requirements       4.9.6, 4.10
   ------------------------------------------------------
   4.4.11 On-Line Revocation/
          Status Checking
          Availability                    4.9.9, 4.10
   ------------------------------------------------------
   4.4.12 On-Line Revocation
          Checking Requirements           4.9.6, 4.9.10,
                                          4.10
   ------------------------------------------------------
   4.4.13 Other Forms
          of Revocation
          Advertisements                  4.9.11, 4.10
   ------------------------------------------------------
   4.4.14 Checking Requirements
          for Other Forms of
          Revocation
          Advertisements                  4.9.6, 4.9.11,
                                          4.10
   ------------------------------------------------------
   4.4.15 Special Requirements re
          Key Compromise                        4.9.12
   ------------------------------------------------------
   4.5 Security Audit Procedures                5.4
   ------------------------------------------------------
   4.5.1 Types of Events Recorded               5.4.1
   ------------------------------------------------------
   4.5.2 Frequency of Processing Log            5.4.2
   ------------------------------------------------------
   4.5.3 Retention Period for Audit
         Log                                    5.4.3
   ------------------------------------------------------
   4.5.4 Protection of Audit Log                5.4.4
   ------------------------------------------------------
   4.5.5 Audit Log Backup Procedures            5.4.5
   ------------------------------------------------------
   4.5.6 Audit Collection System
         (Internal vs. External)                5.4.6
   ------------------------------------------------------
   4.5.7 Notification to Event-Causing
         Subject                                5.4.7
   ------------------------------------------------------
   4.5.8 Vulnerability Assessments              5.4.8
Top   ToC   RFC3647 - Page 68
   ------------------------------------------------------
   4.6 Records Archival                         5.5
   ------------------------------------------------------
   4.6.1 Types of Records Archived              5.5.1
   ------------------------------------------------------
   4.6.2 Retention Period for Archive           5.5.2
   ------------------------------------------------------
   4.6.3 Protection of Archive                  5.5.3
   ------------------------------------------------------
   4.6.4 Archive Backup Procedures              5.5.4
   ------------------------------------------------------
   4.6.5 Requirements for
         Time-Stamping of Records               5.5.5
   ------------------------------------------------------
   4.6.6 Archive Collection System
         (Internal or External)                 5.5.6
   ------------------------------------------------------
   4.6.6 Procedures to Obtain and
         Verify Archive Information             5.5.7
   ------------------------------------------------------
   4.7 Key Changeover                           5.6
   ------------------------------------------------------
   4.8 Compromise and Disaster
       Recovery                           5.7, 5.7.1
   ------------------------------------------------------
   4.8.1 Computing Resources, Software,
         and/or Data Are Corrupted              5.7.2
   ------------------------------------------------------
   4.8.2 Entity Public
         Key is Revoked                   4.9.7, 4.9.9,
                                          4.9.11
   ------------------------------------------------------
   4.8.3 Entity Key is Compromised             5.7.3
   ------------------------------------------------------
   4.8.4 Secure Facility After a Natural
         or Other Type of Disaster             5.7.4
   ------------------------------------------------------
   4.9 CA Termination                          5.8
   ------------------------------------------------------
   5. Physical, Procedural, and
      Personnel Security Controls              5.
   ------------------------------------------------------
   5.1 Physical Controls                       5.1
   ------------------------------------------------------
   5.1.1 Site Location and Construction        5.1.1
   ------------------------------------------------------
   5.1.2 Physical Access                       5.1.2
Top   ToC   RFC3647 - Page 69
   ------------------------------------------------------
   5.1.3 Power and Air Conditioning            5.1.3
   ------------------------------------------------------

   5.1.4 Water Exposures                       5.1.4
   ------------------------------------------------------
   5.1.5 Fire Prevention and Protection        5.1.5
   ------------------------------------------------------
   5.1.6 Media Storage                         5.1.6
   ------------------------------------------------------
   5.1.7 Waste Disposal                        5.1.7
   ------------------------------------------------------
   5.1.8 Off-Site Backup                       5.1.8
   ------------------------------------------------------
   5.2 Procedural Controls                     5.2
   ------------------------------------------------------
   5.2.1 Trusted Roles                    5.2.1, 5.2.4
   ------------------------------------------------------
   5.2.2 Number of Persons
         Required per Task                5.2.2, 5.2.4
   ------------------------------------------------------
   5.2.3 Identification and
         Authentication for Each Role          5.2.3
   ------------------------------------------------------
   5.3 Personnel Controls                      5.3
   ------------------------------------------------------
   5.3.1 Background, Qualifications,
         Experience, and Clearance
         Requirements                          5.3.1
   ------------------------------------------------------
   5.3.2 Background Check Procedures           5.3.2
   ------------------------------------------------------
   5.3.3 Training Requirements                 5.3.3
   ------------------------------------------------------
   5.3.4 Retraining Frequency
         and Requirements                      5.3.4
   ------------------------------------------------------
   5.3.5 Job Rotation Frequency
         and Sequence                          5.3.5
   ------------------------------------------------------
   5.3.6 Sanctions for
         Unauthorized Actions                  5.3.6
   ------------------------------------------------------
   5.3.7 Contracting Personnel
         Requirements                          5.3.7
   ------------------------------------------------------
   5.3.8 Documentation Supplied to
         Personnel                             5.3.8
Top   ToC   RFC3647 - Page 70
   ------------------------------------------------------
   6. Technical Security Controls              6.
   ------------------------------------------------------
   6.1 Key Pair Generation and
       Installation                            6.1
   ------------------------------------------------------
   6.1.1 Key Pair Generation                   6.1.1
   ------------------------------------------------------
   6.1.2 Private Key Delivery to Entity        6.1.2
   ------------------------------------------------------
   6.1.3 Public Key Delivery to
         Certificate Issuer                    6.1.3
   ------------------------------------------------------
   6.1.4 CA Public Key Delivery to Users       6.1.4
   ------------------------------------------------------
   6.1.5 Key Sizes                             6.1.5
   ------------------------------------------------------
   6.1.6 Public Key Parameters Generation      6.1.6
   ------------------------------------------------------
   6.1.7 Parameter Quality Checking            6.1.6
   ------------------------------------------------------
   6.1.8 Hardware/Software Key Generation      6.1.1
   ------------------------------------------------------
   6.1.9 Key Usage Purposes
         (as per X.509 v3 Key Usage Field)     6.1.9
   ------------------------------------------------------
   6.2 Private Key Protection                  6.2
   ------------------------------------------------------
   6.2.1 Standards for Cryptographic
         Module                                6.2.1
   ------------------------------------------------------

   6.2.2 Private Key (n out of m)
         Multi-Person Control                  6.2.2
   ------------------------------------------------------
   6.2.3 Private Key Escrow                    6.2.3
   ------------------------------------------------------
   6.2.4 Private Key Backup                    6.2.4
   ------------------------------------------------------
   6.2.5 Private Key Archival                  6.2.5
   ------------------------------------------------------
   6.2.6 Private Key Entry Into
         Cryptographic Module              6.2.6, 6.2.7
   ------------------------------------------------------
   6.2.7 Method of Activating
         Private Key                           6.2.8
Top   ToC   RFC3647 - Page 71
   ------------------------------------------------------
   6.2.8 Method of Deactivating
         Private Key                           6.2.9
   ------------------------------------------------------
   6.2.9 Method of Destroying Private
         Key                                   6.2.10
   ------------------------------------------------------
   6.3 Other Aspects of Key Pair
       Management                              6.3
   ------------------------------------------------------
   6.3.1 Public Key Archival                   6.3.1
   ------------------------------------------------------
   6.3.2 Usage Periods for the Public
         and Private Keys                      6.3.2
   ------------------------------------------------------
   6.4 Activation Data                         6.4
   ------------------------------------------------------
   6.4.1 Activation Data Generation
         and Installation                      6.4.1
   ------------------------------------------------------
   6.4.2 Activation Data Protection            6.4.2
   ------------------------------------------------------
   6.4.3 Other Aspects of Activation
         Data                                  6.4.3
   ------------------------------------------------------
   6.5 Computer Security Controls              6.5
   ------------------------------------------------------
   6.5.1 Specific Computer Security
         Technical Requirements                6.5.1
   ------------------------------------------------------
   6.5.2 Computer Security Rating              6.5.2
   ------------------------------------------------------
   6.6 Life Cycle Technical Controls           6.6
   ------------------------------------------------------
   6.6.1 System Development Controls           6.6.1
   ------------------------------------------------------
   6.6.2 Security Management Controls          6.6.2
   ------------------------------------------------------
   6.6.3 Life Cycle Security Controls          6.6.3
   ------------------------------------------------------
   6.7 Network Security Controls               6.7
   ------------------------------------------------------
   6.8 Cryptographic Module
       Engineering Controls                 6.2.1, 6.2,
                                            6.2.1, 6.2.11
   ------------------------------------------------------
   7.Certificate and CRL Profiles              7.
Top   ToC   RFC3647 - Page 72
   ------------------------------------------------------
   7.1 Certificate Profile                     7.1
   ------------------------------------------------------
   7.1.1 Version Number(s)                     7.1.1
   ------------------------------------------------------
   7.1.2 Certificate Extensions                7.1.2
   ------------------------------------------------------
   7.1.3 Algorithm Object Identifiers          7.1.3
   ------------------------------------------------------
   7.1.4 Name Forms                            7.1.4
   ------------------------------------------------------
   7.1.5 Name Constraints                      7.1.5
   ------------------------------------------------------
   7.1.6 Certificate Policy Object
         Identifier                            7.1.6
   ------------------------------------------------------
   7.1.7 Usage of Policy Constraints
         Extension                             7.1.7
   ------------------------------------------------------
   7.1.8 Policy Qualifiers Syntax
         and Semantics                         7.1.8
   ------------------------------------------------------
   7.1.9 Processing Semantics for
         the Critical Certificate
         Policies Extension                    7.1.9
   ------------------------------------------------------
   7.2 CRL Profile                             7.2
   ------------------------------------------------------
   7.2.1 Version Number(s)                     7.2.1
   ------------------------------------------------------
   7.2.2 CRL and CRL Entry Extensions          7.2.1
   ------------------------------------------------------
   8. Specification Administration             N/A
   ------------------------------------------------------
   8.1 Specification Change
       Procedures                              9.12
   ------------------------------------------------------
   8.2 Publication and Notification
       Policies                                2.2, 2.3
   ------------------------------------------------------
   8.3 CPS Approval Procedures                 1.5.4
   ------------------------------------------------------
Top   ToC   RFC3647 - Page 73
   The following matrix shows the sections in the new framework and the
   sections in RFC 2527 to which the headings in the new framework
   correspond.

   NEW RFC SECTION                      ORIGINAL RFC 2527
                                             SECTION
   ------------------------------------------------------
   1. Introduction                             1.
   ------------------------------------------------------
   1.1 Overview                                1.1
   ------------------------------------------------------
   1.2 Document Name and Identification        1.2
   ------------------------------------------------------
   1.3 PKI Participants                        1.3
   ------------------------------------------------------
   1.3.1 Certification Authorities             1.3.1
   ------------------------------------------------------
   1.3.2 Registration Authorities              1.3.2
   ------------------------------------------------------
   1.3.3 Subscribers                           1.3.3
   ------------------------------------------------------
   1.3.4 Relying Parties                       1.3.3
   ------------------------------------------------------
   1.3.5 Other Participants                    N/A
   ------------------------------------------------------
   1.4 Certificate Usage                       1.3.4
   ------------------------------------------------------
   1.4.1 Appropriate Certificate Uses          1.3.4
   ------------------------------------------------------
   1.4.2 Prohibited Certificate Uses           1.3.4
   ------------------------------------------------------
   1.5 Policy Administration                   1.4
   ------------------------------------------------------
   1.5.1 Organization Administering
         the Document                          1.4.1
   ------------------------------------------------------
   1.5.2 Contact Person                        1.4.2
   ------------------------------------------------------
   1.5.3 Person Determining CPS
         Suitability for the Policy            1.4.3
   ------------------------------------------------------
   1.5.4 CPS Approval Procedures               8.3
   ------------------------------------------------------
   1.6 Definitions and Acronyms                N/A
   ------------------------------------------------------
   2. Publication and Repository
      Responsibilities                         2.1.5, 2.6
Top   ToC   RFC3647 - Page 74
   ------------------------------------------------------
   2.1 Repositories                            2.6.4
   ------------------------------------------------------
   2.2 Publication of Certification
       Information                             2.6.1, 8.2
   ------------------------------------------------------
   2.3 Time or Frequency of
       Publication                             2.6.2, 8.2
   ------------------------------------------------------
   2.4 Access Controls on Repositories         2.6.3
   ------------------------------------------------------
   3. Identification and Authentication        3.
   ------------------------------------------------------
   3.1 Naming                                  3.1
   ------------------------------------------------------
   3.1.1 Type of Names                         3.1.1
   ------------------------------------------------------
   3.1.2 Need for Names to be Meaningful       3.1.2
   ------------------------------------------------------
   3.1.3. Anonymity or Pseudonymity of
          Subscribers                          3.1.2
   ------------------------------------------------------
   3.1.4 Rules for Interpreting Various
         Name Forms                            3.1.3
   ------------------------------------------------------
   3.1.5 Uniqueness of Names                   3.1.4
   ------------------------------------------------------
   3.1.6 Recognition, Authentication,
         and Role of Trademarks           3.1.5, 3.1.6
   ------------------------------------------------------
   3.2 Initial Identity Validation             3.1
   ------------------------------------------------------
   3.2.1 Method to Prove Possession
         of Private Key                        3.1.7
   ------------------------------------------------------
   3.2.2 Authentication of
         Organization Identity                 3.1.8
   ------------------------------------------------------
   3.2.3 Authentication of Individual
         Identity                              3.1.9
   ------------------------------------------------------
   3.2.4 Non-Verified Subscriber
         Information                           N/A
   ------------------------------------------------------
   3.2.5 Validation of Authority               3.1.9
Top   ToC   RFC3647 - Page 75
   ------------------------------------------------------
   3.2.6 Criteria for Interoperation           4.1
   ------------------------------------------------------
   3.3 Identification and Authentication
       for Re-Key Requests                     3.2, 3.3
   ------------------------------------------------------
   3.3.1 Identification and
         Authentication for Routine
         Re-Key                                3.2
   ------------------------------------------------------
   3.3.2 Identification and
         Authentication for Re-Key
         After Revocation                      3.3
   ------------------------------------------------------
   3.4 Identification and Authentication
       for Revocation Request                  3.4
   ------------------------------------------------------
   4. Certificate Life-Cycle
      Operational Requirements                 4.
   ------------------------------------------------------
   4.1 Certificate Application                 4.1
   ------------------------------------------------------
   4.1.1 Who Can Submit a Certificate
         Application                           4.1
   ------------------------------------------------------
   4.1.2 Enrollment Process and
         Responsibilities                      2.1.3, 4.1
   ------------------------------------------------------
   4.2 Certificate Application
       Processing                              4.1, 4.2
   ------------------------------------------------------
   4.2.1 Performing Identification
         and Authentication Functions          4.1, 4.2
   ------------------------------------------------------
   4.2.2 Approval or Rejection of
         Certificate Applications              4.1, 4.2
   ------------------------------------------------------
   4.2.3 Time to Process
         Certificate Applications              4.1, 4.2
   ------------------------------------------------------
   4.3 Certificate Issuance                    4.2
   ------------------------------------------------------
   4.3.1 CA Actions During
         Certificate Issuance                  4.2
   ------------------------------------------------------
   4.3.2 Notifications to Subscriber by
         the CA of Issuance of Certificate     4.2, 4.3
Top   ToC   RFC3647 - Page 76
   ------------------------------------------------------
   4.4 Certificate Acceptance                  2.1.3, 4.3
   ------------------------------------------------------
   4.4.1 Conduct Constituting
         Certificate Acceptance                4.3
   ------------------------------------------------------
   4.4.2 Publication of the
         Certificate by the CA          2.1.5, 2.6.1, 4.3
   ------------------------------------------------------
   4.4.3 Notification of
         Certificate Issuance by
         the CA to Other Entities       2.1.5, 2.6.1,
                                        4.2, 4.3
   ------------------------------------------------------
   4.5 Key Pair and
       Certificate Usage                1.3.4, 2.1.3,
                                        2.1.4
   ------------------------------------------------------
   4.5.1 Subscriber Private Key
         and Certificate Usage          1.3.4, 2.1.3
   ------------------------------------------------------
   4.5.2 Relying Party Public
         Key and Certificate
         Usage                          1.3.4, 2.1.4
   ------------------------------------------------------
   4.6 Certificate Renewal              3.2, 4.1, 4.2,
                                        4.3
   ------------------------------------------------------
   4.6.1 Circumstances for
         Certificate Renewal            3.2, 4.1
   ------------------------------------------------------
   4.6.2 Who May Request Renewal        3.2, 4.1
   ------------------------------------------------------
   4.6.3 Processing Certificate
         Renewal Requests               3.2, 4.1, 4.2
   ------------------------------------------------------
   4.6.4 Notification of New
         Certificate Issuance to
         Subscriber                     3.2, 4.2, 4.3
   ------------------------------------------------------
   4.6.5 Conduct Constituting
         Acceptance of a Renewal
         Certificate                    2.1.3, 3.2, 4.3
   ------------------------------------------------------
   4.6.6 Publication of the
         Renewal Certificate
         by the CA                      2.1.5, 2.6.1,
                                        3.2, 4.3
Top   ToC   RFC3647 - Page 77
   ------------------------------------------------------
   4.6.7 Notification of
         Certificate Issuance by
         the CA to Other Entities       2.1.5, 2.6.1, 3.2,
                                        4.2, 4.3
   ------------------------------------------------------
   4.7 Certificate Re-Key               3.2, 4.1, 4.2, 4.3
   ------------------------------------------------------
   4.7.1 Circumstances for
         Certificate Re-Key             3.2, 4.1
   ------------------------------------------------------
   4.7.2 Who May Request Certification
         of a New Public Key            3.2, 4.1
   ------------------------------------------------------
   4.7.3 Processing Certificate
         Re-Keying Requests             3.2, 4.1, 4.2
   ------------------------------------------------------
   4.7.4 Notification of New
         Certificate Issuance to
         Subscriber                     3.2, 4.2, 4.3
   ------------------------------------------------------
   4.7.5 Conduct Constituting
         Acceptance of a
         Re-Keyed Certificate           2.1.3, 3.2, 4.3
   ------------------------------------------------------
   4.7.6 Publication of the
         Re-Keyed Certificate
         by the CA                      2.1.5, 2.6.1,
                                        3.2, 4.3
   ------------------------------------------------------
   4.7.7 Notification of Certificate
         Issuance by the CA
         to Other Entities              2.1.5, 2.6.1,
                                        3.2, 4.2, 4.3
   ------------------------------------------------------
   4.8 Certificate Modification                4.4
   ------------------------------------------------------
   4.8.1 Circumstances for
         Certificate Modification       2.1.3, 4.4.1
   ------------------------------------------------------
   4.8.2 Who May Request Certificate
         Modification                   4.4.2
   ------------------------------------------------------
   4.8.3 Processing Certificate
         Modification Requests          4.4.3
Top   ToC   RFC3647 - Page 78
   ------------------------------------------------------
   4.8.4 Notification of New
         Certificate Issuance to
         Subscriber                     4.2, 4.3, 4.4.3
   ------------------------------------------------------
   4.8.5 Conduct Constituting
         Acceptance of Modified
         Certificate                    2.1.3, 4.3, 4.4.3
   ------------------------------------------------------
   4.8.6 Publication of the Modified
         Certificate by
         the CA                         2.1.5, 2.6.1,
                                        4.2, 4.3, 4.4.3
   ------------------------------------------------------
   4.8.7 Notification of
         Certificate Issuance by
         the CA to Other
         Entities                       2.1.5, 2.6.1,
                                        4.2, 4.3, 4.4.3
   ------------------------------------------------------
   4.9 Certificate Revocation
       and Suspension                          4.4
   ------------------------------------------------------
   4.9.1 Circumstances for Revocation   2.1.3, 4.4.1
   ------------------------------------------------------
   4.9.2 Who Can Request Revocation     4.4.2
   ------------------------------------------------------
   4.9.3 Procedure for Revocation
         Request                        2.1.3, 4.4.3
   ------------------------------------------------------
   4.9.4 Revocation Request Grace
         Period                                4.4.4
   ------------------------------------------------------
   4.9.5 Time Within Which CA Must
         Process the Revocation Request    N/A
   ------------------------------------------------------
   4.9.6 Revocation Checking
         Requirements for Relying
         Parties                         2.1.4, 4.4.10,
                                         4.4.12, 4.4.14
   ------------------------------------------------------
   4.9.7 CRL Issuance Frequency          4.4.9, 4.8.3
   ------------------------------------------------------
   4.9.8 Maximum Latency for CRLs        4.4.9
   ------------------------------------------------------
   4.9.9 On-Line Revocation/Status
         Checking Availability           4.4.11, 4.8.3
Top   ToC   RFC3647 - Page 79
   ------------------------------------------------------
   4.9.10 On-Line Revocation
          Checking Requirements          4.4.12
   ------------------------------------------------------
   4.9.11 Other Forms of Revocation
          Advertisements Available       4.4.13, 4.4.14,
                                         4.8.3
   ------------------------------------------------------
   4.9.12 Special Requirements re
          Key Compromise                 4.4.15
   ------------------------------------------------------
   4.9.13 Circumstances for Suspension   2.1.3, 4.4.5
   ------------------------------------------------------
   4.9.14 Who Can Request Suspension     4.4.6
   ------------------------------------------------------
   4.9.15 Procedure for
          Suspension Request             2.1.3, 4.4.7
   ------------------------------------------------------
   4.9.16 Limits on Suspension Period    4.4.8
   ------------------------------------------------------
   4.10 Certificate Status Services      4.4.9-4.4.14
   ------------------------------------------------------
   4.10.1 Operational
          Characteristics                4.4.9, 4.4.11,
                                         4.4.13
   ------------------------------------------------------
   4.10.2 Service Availability           4.4.9, 4.4.11,
                                         4.4.13
   ------------------------------------------------------
   4.10.3 Operational Features           4.4.9, 4.4.11,
                                         4.4.13
   ------------------------------------------------------
   4.11 End of Subscription                       N/A
   ------------------------------------------------------
   4.12 Key Escrow and Recovery                  6.2.3
   ------------------------------------------------------
   4.12.1 Key Escrow and Recovery Policy
          and Practices                          6.2.3
   ------------------------------------------------------
   4.12.2 Session Key Encapsulation
          and Recovery Policy and
          Practices                              6.2.3
   ------------------------------------------------------
   5. Facility, Management, and
      Operational Controls               2.1.3, 2.1.4,
                                         4., 5.
   ------------------------------------------------------
   5.1 Physical Controls                         5.1
Top   ToC   RFC3647 - Page 80
   ------------------------------------------------------
   5.1.1 Site Location and Construction          5.1.1
   ------------------------------------------------------
   5.1.2 Physical Access                         5.1.2
   ------------------------------------------------------
   5.1.3 Power and Air Conditioning              5.1.3
   ------------------------------------------------------
   5.1.4 Water Exposures                         5.1.4
   ------------------------------------------------------
   5.1.5 Fire Prevention and Protection          5.1.5
   ------------------------------------------------------
   5.1.6 Media Storage                           5.1.6
   ------------------------------------------------------
   5.1.7 Waste Disposal                          5.1.7
   ------------------------------------------------------
   5.1.8 Off-Site Backup                         5.1.8
   ------------------------------------------------------
   5.2 Procedural Controls                       5.2
   ------------------------------------------------------
   5.2.1 Trusted Roles                           5.2.1
   ------------------------------------------------------
   5.2.2 Number of Persons Required
         per Task                                5.2.2
   ------------------------------------------------------
   5.2.3 Identification and
         Authentication for Each Role            5.2.3
   ------------------------------------------------------
   5.2.4 Roles Requiring Separation
         of Duties                          5.2.1, 5.2.2
   ------------------------------------------------------
   5.3 Personnel Controls                        5.3
   ------------------------------------------------------
   5.3.1 Qualifications, Experience,
         and Clearance Requirements         5.3.1
   ------------------------------------------------------
   5.3.2 Background Check Procedures        5.3.2
   ------------------------------------------------------
   5.3.3 Training Requirements              5.3.3
   ------------------------------------------------------
   5.3.4 Retraining Frequency
         and Requirements                   5.3.4
   ------------------------------------------------------
   5.3.5 Job Rotation Frequency
         and Sequence                       5.3.5
   ------------------------------------------------------
   5.3.6 Sanctions for Unauthorized
         Actions                            5.3.6
Top   ToC   RFC3647 - Page 81
   ------------------------------------------------------
   5.3.7 Independent Contractor
         Requirements                       5.3.7
   ------------------------------------------------------
   5.3.8 Documentation Supplied to
         Personnel                          5.3.8
   ------------------------------------------------------
   5.4 Audit Logging Procedures             4.5
   ------------------------------------------------------
   5.4.1 Types of Events Recorded           4.5.1
   ------------------------------------------------------
   5.4.2 Frequency of Processing Log        4.5.2
   ------------------------------------------------------
   5.4.3 Retention Period for Audit
         Log                                4.5.3
   ------------------------------------------------------
   5.4.4 Protection of Audit Log            4.5.4
   ------------------------------------------------------
   5.4.5 Audit Log Backup Procedures        4.5.5
   ------------------------------------------------------
   5.4.6 Audit Collection System
         (Internal vs. External)            4.5.6
   ------------------------------------------------------
   5.4.7 Notification to Event-Causing
         Subject                            4.5.7
   ------------------------------------------------------
   5.4.8 Vulnerability Assessments          4.5.8
   ------------------------------------------------------
   5.5 Records Archival                     4.6
   ------------------------------------------------------
   5.5.1 Types of Records Archived          4.6.1
   ------------------------------------------------------
   5.5.2 Retention Period for Archive       4.6.2
   ------------------------------------------------------
   5.5.3 Protection of Archive              4.6.3
   ------------------------------------------------------
   5.5.4 Archive Backup Procedures          4.6.4
   ------------------------------------------------------
   5.5.5 Requirements for Time-Stamping
         of Records                         4.6.5
   ------------------------------------------------------
   5.5.6 Archive Collection System
         (Internal or External)             4.6.6
   ------------------------------------------------------
   5.5.7 Procedures to Obtain and
         Verify Archive
         Information                        4.6.7
Top   ToC   RFC3647 - Page 82
   ------------------------------------------------------
   5.6 Key Changeover                       4.7
   ------------------------------------------------------
   5.7 Compromise and Disaster Recovery     4.8
   ------------------------------------------------------
   5.7.1 Incident and Compromise
         Handling Procedures                4.8
   ------------------------------------------------------
   5.7.2 Computing Resources, Software,
         and/or Data Are Corrupted          4.8.1
   ------------------------------------------------------
   5.7.3 Entity Private Key
         Compromise Procedures              4.8.3
   ------------------------------------------------------
   5.7.4 Business Continuity
         Capabilities After a
         Disaster                           4.8.4
   ------------------------------------------------------
   5.8 CA or RA Termination                 4.9
   ------------------------------------------------------
   6. Technical Security Controls           2.1.3, 2.1.4,
                                            6.
   ------------------------------------------------------
   6.1 Key Pair Generation and
       Installation                         6.1
   ------------------------------------------------------
   6.1.1 Key Pair Generation                6.1.1, 6.1.8
   ------------------------------------------------------
   6.1.2 Private Key Delivery to
         Subscriber                         6.1.2
   ------------------------------------------------------
   6.1.3 Public Key Delivery to
         Certificate Issuer                 6.1.3
   ------------------------------------------------------
   6.1.4 CA Public Key Delivery to
         Relying Parties                    6.1.4
   ------------------------------------------------------
   6.1.5 Key Sizes                          6.1.5
   ------------------------------------------------------
   6.1.6 Public Key Parameters Generation
         and Quality Checking               6.1.6, 6.1.7
   ------------------------------------------------------
   6.1.7 Key Usage Purposes
         (as per X.509 v3
         Key Usage Field)                   6.1.9
Top   ToC   RFC3647 - Page 83
   ------------------------------------------------------
   6.2   Private Key Protection and
         Cryptographic Module
         Engineering Controls               6.2, 6.8
   ------------------------------------------------------
   6.2.1 Cryptographic Module Standards
         and Controls                       6.2.1, 6.8
   ------------------------------------------------------
   6.2.2 Private Key (n out of m)
         Multi-Person Control               6.2.2
   ------------------------------------------------------
   6.2.3 Private Key Escrow                 6.2.3
   ------------------------------------------------------
   6.2.4 Private Key Backup                 6.2.4
   ------------------------------------------------------
   6.2.5 Private Key Archival               6.2.5
   ------------------------------------------------------
   6.2.6 Private Key Transfer Into
         or From a Cryptographic
         Module                             6.2.6
   ------------------------------------------------------
   6.2.7 Private Key Storage on
         Cryptographic Module               6.2.6
   ------------------------------------------------------
   6.2.8 Method of Activating Private
         Key                                6.2.7
   ------------------------------------------------------
   6.2.9 Method of Deactivating
         Private Key                        6.2.8
   ------------------------------------------------------
   6.2.10 Method of Destroying
          Private Key                       6.2.9
   ------------------------------------------------------
   6.2.11 Cryptographic Module Rating       6.2.1, 6.8
   ------------------------------------------------------
   6.3 Other Aspects of Key Pair
       Management                           6.3
   ------------------------------------------------------
   6.3.1 Public Key Archival                6.3.1
   ------------------------------------------------------
   6.3.2 Certificate Operational
         Periods and Key Pair Usage
         Periods                            6.3.2
   ------------------------------------------------------
   6.4 Activation Data                      6.4
Top   ToC   RFC3647 - Page 84
   ------------------------------------------------------
   6.4.1 Activation Data Generation
         and Installation                   6.4.1
   ------------------------------------------------------
   6.4.2 Activation Data Protection         6.4.2
   ------------------------------------------------------
   6.4.3 Other Aspects of Activation
         Data                               6.4.3
   ------------------------------------------------------
   6.5 Computer Security Controls           6.5
   ------------------------------------------------------
   6.5.1 Specific Computer Security
         Technical Requirements             6.5.1
   ------------------------------------------------------
   6.5.2 Computer Security Rating           6.5.2
   ------------------------------------------------------
   6.6 Life Cycle Technical Controls        6.6
   ------------------------------------------------------
   6.6.1 System Development Controls        6.6.1
   ------------------------------------------------------
   6.6.2 Security Management Controls       6.6.2
   ------------------------------------------------------
   6.6.3 Life Cycle Security Controls       6.6.3
   ------------------------------------------------------
   6.7 Network Security Controls            6.7
   ------------------------------------------------------
   6.8 Time-Stamping                        N/A
   ------------------------------------------------------
   7. Certificate, CRL, and
      OCSP Profiles                         7.
   ------------------------------------------------------
   7.1 Certificate Profile                  7.1
   ------------------------------------------------------
   7.1.1 Version Number(s)                  7.1.1
   ------------------------------------------------------
   7.1.2 Certificate Extensions             7.1.2
   ------------------------------------------------------
   7.1.3 Algorithm Object Identifiers       7.1.3
   ------------------------------------------------------
   7.1.4 Name Forms                         7.1.4
   ------------------------------------------------------
   7.1.5 Name Constraints                   7.1.5
   ------------------------------------------------------
   7.1.6 Certificate Policy
         Object Identifier                  7.1.6
   ------------------------------------------------------
   7.1.7 Usage of Policy Constraints
         Extension                          7.1.7
Top   ToC   RFC3647 - Page 85
   ------------------------------------------------------
   7.1.8 Policy Qualifiers Syntax
         and Semantics                      7.1.8
   ------------------------------------------------------
   7.1.9 Processing Semantics for the
         Critical Certificate Policies
         Extension                          7.1.9
   ------------------------------------------------------
   7.2 CRL Profile                          7.2
   ------------------------------------------------------
   7.2.1 Version Number(s)                  7.2.1
   ------------------------------------------------------
   7.2.2 CRL and CRL Entry Extensions       7.2.1
   ------------------------------------------------------
   7.3 OCSP Profile                         N/A
   ------------------------------------------------------
   7.3.1 Version Number(s)                  N/A
   ------------------------------------------------------
   7.3.2 OCSP Extensions                    N/A
   ------------------------------------------------------
   8. Compliance Audit and Other
      Assessments                           2.7
   ------------------------------------------------------
   8.1 Frequency and Circumstances
       of Assessment                        2.7.1
   ------------------------------------------------------
   8.2 Identity/Qualifications of
       Assessor                             2.7.2
   ------------------------------------------------------
   8.3 Assessor's Relationship to
       Assessed Entity                      2.7.3
   ------------------------------------------------------
   8.4 Topics Covered by Assessment         2.7.4
   ------------------------------------------------------
   8.5 Actions Taken as a Result
       of Deficiency                        2.7.5
   ------------------------------------------------------
   8.6 Communications of Results            2.7.6
   ------------------------------------------------------
   9. Other Business and Legal
      Matters                               2.

   ------------------------------------------------------
   9.1 Fees                                 2.5
   ------------------------------------------------------
   9.1.1 Certificate Issuance or
         Renewal Fees                       2.5.1
Top   ToC   RFC3647 - Page 86
   ------------------------------------------------------
   9.1.2 Certificate Access Fees            2.5.2
   ------------------------------------------------------
   9.1.3 Revocation or Status
         Information Access Fees            2.5.3
   ------------------------------------------------------
   9.1.4 Fees for Other Services            2.5.4
   ------------------------------------------------------
   9.1.5 Refund Policy                      2.5.5
   ------------------------------------------------------
   9.2 Financial Responsibility             2.3
   ------------------------------------------------------
   9.2.1 Insurance Coverage                 2.3
   ------------------------------------------------------
   9.2.2 Other Assets                       2.3
   ------------------------------------------------------
   9.2.3 Insurance or Warranty Coverage
         for End-Entities                   2.3
   ------------------------------------------------------
   9.3 Confidentiality of Business
       Information                          2.8
   ------------------------------------------------------
   9.3.1 Scope of Confidential
         Information                        2.8.1, 2.8.3
   ------------------------------------------------------
   9.3.2 Information Not Within the
         Scope of Confidential
         Information                        2.8.2, 2.8.3
   ------------------------------------------------------
   9.3.3 Responsibility to Protect
         Confidential Information           2.8,

                                            2.8.3-2.8.7
   ------------------------------------------------------
   9.4 Privacy of Personal Information      2.8
   ------------------------------------------------------
   9.4.1 Privacy Plan                       N/A
   ------------------------------------------------------
   9.4.2 Information Treated as Private     2.8.1, 2.8.3
   ------------------------------------------------------
   9.4.3 Information Not Deemed Private     2.8.2, 2.8.3
   ------------------------------------------------------
   9.4.4 Responsibility to Protect
         Private Information                2.8, 2.8.1,
                                            2.8.3
   ------------------------------------------------------
   9.4.5 Notice and Consent to Use
         Private Information                N/A
Top   ToC   RFC3647 - Page 87
   ------------------------------------------------------
   9.4.6 Disclosure Pursuant to
         Judicial or Administrative
         Process                            2.8.4-2.8.5
   ------------------------------------------------------
   9.4.7 Other Information Disclosure
         Circumstances                      2.8.6-2.8.7
   ------------------------------------------------------
   9.5 Intellectual Property rights         2.9
   ------------------------------------------------------
   9.6 Representations and Warranties       2.2
   ------------------------------------------------------
   9.6.1 CA Representations and
         Warranties                         2.2.1
   ------------------------------------------------------
   9.6.2 RA Representations and
         Warranties                         2.2.2
   ------------------------------------------------------
   9.6.3 Subscriber Representations
         and Warranties                     2.1.3
   ------------------------------------------------------

   9.6.4 Relying Party Representations
         and Warranties                     2.1.4
   ------------------------------------------------------
   9.6.5 Representations and Warranties
         of Other Participants                 N/A
   ------------------------------------------------------
   9.7 Disclaimers of Warranties            2.2, 2.3.2
   ------------------------------------------------------
   9.8 Limitations of Liability                2.2
   ------------------------------------------------------
   9.9 Indemnities                          2.1.3, 2.1.4,
                                            2.2, 2.3.1
   ------------------------------------------------------
   9.10 Term and Termination                   N/A
   ------------------------------------------------------
   9.10.1 Term                                 N/A
   ------------------------------------------------------
   9.10.2 Termination                          N/A
   ------------------------------------------------------
   9.10.3 Effect of Termination and
          Survival                             N/A
   ------------------------------------------------------
   9.11 Individual Notices and
        Communications with Participants       2.4.2
   ------------------------------------------------------
   9.12 Amendments                             8.1
Top   ToC   RFC3647 - Page 88
   ------------------------------------------------------
   9.12.1 Procedure for Amendment              8.1
   ------------------------------------------------------
   9.12.2 Notification Mechanism
          and Period                           8.1
   ------------------------------------------------------
   9.12.3 Circumstances Under Which OID
          Must be Changed                      8.1
   ------------------------------------------------------
   9.13 Dispute Resolution Provisions          2.4.3
   ------------------------------------------------------
   9.14 Governing Law                          2.4.1
   ------------------------------------------------------
   9.15 Compliance with Applicable Law         2.4.1
   ------------------------------------------------------
   9.16 Miscellaneous Provisions               2.4
   ------------------------------------------------------
   9.16.1 Entire Agreement                     2.4.2
   ------------------------------------------------------
   9.16.2 Assignment                           N/A
   ------------------------------------------------------
   9.16.3 Severability                         2.4.2
   ------------------------------------------------------
   9.16.4 Enforcement (Attorney's Fees
          and Waiver of Rights)                2.4.3
   ------------------------------------------------------
   9.17 Other Provisions                       N/A
   ------------------------------------------------------

8. Acknowledgements

The development of the predecessor document (RFC 2527) was supported by the Government of Canada's Policy Management Authority (PMA) Committee, the National Security Agency, the National Institute of Standards and Technology (NIST), and the American Bar Association Information Security Committee Accreditation Working Group. This revision effort is largely a result of constant inspiration from Michael Baum. Michael Power, Mike Jenkins, and Alice Sturgeon have also made several contributions.


(page 88 continued on part 4)

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