RFC 3647
Internet X.509 Public Key Infrastructure Certificate Policy and Certification Practices Framework
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:
(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
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
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
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
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
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
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 provisions7. 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
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.
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
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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
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2.1.4 Relying Party Obligations 4.5, 4.5.2, 4.9.6,
5., 6., 9.6.4, 9.9
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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
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2.2 Liability 9.6, 9.7, 9.8, 9.9
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2.2.1 CA Liability 9.6.1, 9.7., 9.8,
9.9
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2.2.2 RA Liability 9.6.2, 9.7, 9.8, 9.9
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2.3 Financial Responsibility 9.2
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2.3.1 Indemnification by Relying
Parties 9.9
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2.3.2 Fiduciary Relationships 9.7
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2.4 Interpretation and Enforcement 9.16
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2.4.1 Governing Law 9.14, 9.15
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2.4.2 Severability, Survival,
Merger, Notice 9.10.3, 9.11,
9.16.1,9.16.3
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2.4.3 Dispute Resolution
Procedures 9.13, 9.16.4
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2.5 Fees 9.1
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2.5.1 Certificate Issuance
or Renewal Fees 9.1.1
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2.5.2 Certificate Access Fees 9.1.2
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2.5.3 Revocation or Status
Information Access Fees 9.1.3
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2.5.4 Fees for Other Services Such
as Policy Information 9.1.4
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2.5.5 Refund Policy 9.1.5
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2.6 Publication and Repository 2.
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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
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2.6.2 Frequency of Publication 2.3
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2.6.3 Access Controls 2.4
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2.6.4 Repositories 2.1
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2.7 Compliance Audit 8.
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2.7.1 Frequency of Entity Compliance
Audit 8.1
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2.7.2 Identity/Qualifications of
Auditor 8.2
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2.7.3 Auditor's Relationship to Audited
Party 8.3
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2.7.4 Topics Covered by Audit 8.4
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2.7.5 Actions Taken as a Result of
Deficiency 8.5
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2.7.6 Communications of Results 8.6
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2.8 Confidentiality 9.3, 9.4
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2.8.1 Types of Information to be
Kept Confidential 9.3.1, 9.4.2
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2.8.2 Types of Information Not
Considered Confidential 9.3.2, 9.4.3
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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
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2.8.4 Release to Law Enforcement
Officials 9.3.3, 9.4.6
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2.8.5 Release as Part of Civil
Discovery 9.3.3, 9.4.6
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2.8.6 Disclosure Upon Owner's
Request 9.3.3, 9.4.7
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2.8.7 Other Information Release
Circumstances 9.3.3, 9.4.7
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2.9 Intellectual Property Rights 9.5
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3. Identification and Authentication 3.
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3.1 Initial Registration 3.1, 3.2
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3.1.1 Type of Names 3.1.1
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3.1.2 Need for Names to be
Meaningful 3.1.2, 3.1.3
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3.1.3 Rules for Interpreting
Various Name Forms 3.1.4
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3.1.4 Uniqueness of Names 3.1.5
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3.1.5 Name Claim Dispute
Resolution Procedure 3.1.6
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3.1.6 Recognition, Authentication,
and Role of Trademarks 3.1.6
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3.1.7 Method to Prove Possession
of Private Key 3.2.1
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3.1.8 Authentication of
Organization Identity 3.2.2
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3.1.9 Authentication of
Individual Identity 3.2.3
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3.2 Routine Rekey 3.3.1, 4.6, 4.7
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3.3 Rekey After Revocation 3.3.2
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3.4 Revocation Request 3.4
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4. Operational Requirements 4., 5.
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4.1 Certificate Application 4.1, 4.2, 4.6,
4.7
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4.2 Certificate Issuance 4.2, 4.3, 4.4.3,
4.6, 4.7, 4.8.4,
4.8.6, 4.8.7
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4.3 Certificate Acceptance 4.3.2, 4.4, 4.6,
4.7, 4.8.4-4.8.7
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4.4 Certificate Suspension
and Revocation 4.8, 4.9
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4.4.1 Circumstances for Revocation 4.8.1, 4.9.1
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4.4.2 Who Can Request Revocation 4.8.2, 4.9.2
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4.4.3 Procedure for Revocation
Request 4.8.3-4.8.7,
4.9.3
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4.4.4 Revocation Request
Grace Period 4.9.4
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4.4.5 Circumstances for Suspension 4.9.13
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4.4.6 Who Can Request Suspension 4.9.14
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4.4.7 Procedure for Suspension
Request 4.9.15
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4.4.8 Limits on Suspension Period 4.9.16
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4.4.9 CRL Issuance Frequency
(If Applicable) 4.9.7, 4.9.8,
4.10
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4.4.10 CRL Checking Requirements 4.9.6, 4.10
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4.4.11 On-Line Revocation/
Status Checking
Availability 4.9.9, 4.10
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4.4.12 On-Line Revocation
Checking Requirements 4.9.6, 4.9.10,
4.10
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4.4.13 Other Forms
of Revocation
Advertisements 4.9.11, 4.10
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4.4.14 Checking Requirements
for Other Forms of
Revocation
Advertisements 4.9.6, 4.9.11,
4.10
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4.4.15 Special Requirements re
Key Compromise 4.9.12
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4.5 Security Audit Procedures 5.4
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4.5.1 Types of Events Recorded 5.4.1
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4.5.2 Frequency of Processing Log 5.4.2
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4.5.3 Retention Period for Audit
Log 5.4.3
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4.5.4 Protection of Audit Log 5.4.4
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4.5.5 Audit Log Backup Procedures 5.4.5
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4.5.6 Audit Collection System
(Internal vs. External) 5.4.6
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4.5.7 Notification to Event-Causing
Subject 5.4.7
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4.5.8 Vulnerability Assessments 5.4.8
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4.6 Records Archival 5.5
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4.6.1 Types of Records Archived 5.5.1
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4.6.2 Retention Period for Archive 5.5.2
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4.6.3 Protection of Archive 5.5.3
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4.6.4 Archive Backup Procedures 5.5.4
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4.6.5 Requirements for
Time-Stamping of Records 5.5.5
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4.6.6 Archive Collection System
(Internal or External) 5.5.6
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4.6.6 Procedures to Obtain and
Verify Archive Information 5.5.7
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4.7 Key Changeover 5.6
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4.8 Compromise and Disaster
Recovery 5.7, 5.7.1
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4.8.1 Computing Resources, Software,
and/or Data Are Corrupted 5.7.2
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4.8.2 Entity Public
Key is Revoked 4.9.7, 4.9.9,
4.9.11
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4.8.3 Entity Key is Compromised 5.7.3
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4.8.4 Secure Facility After a Natural
or Other Type of Disaster 5.7.4
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4.9 CA Termination 5.8
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5. Physical, Procedural, and
Personnel Security Controls 5.
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5.1 Physical Controls 5.1
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5.1.1 Site Location and Construction 5.1.1
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5.1.2 Physical Access 5.1.2
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5.1.3 Power and Air Conditioning 5.1.3
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5.1.4 Water Exposures 5.1.4
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5.1.5 Fire Prevention and Protection 5.1.5
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5.1.6 Media Storage 5.1.6
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5.1.7 Waste Disposal 5.1.7
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5.1.8 Off-Site Backup 5.1.8
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5.2 Procedural Controls 5.2
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5.2.1 Trusted Roles 5.2.1, 5.2.4
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5.2.2 Number of Persons
Required per Task 5.2.2, 5.2.4
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5.2.3 Identification and
Authentication for Each Role 5.2.3
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5.3 Personnel Controls 5.3
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5.3.1 Background, Qualifications,
Experience, and Clearance
Requirements 5.3.1
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5.3.2 Background Check Procedures 5.3.2
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5.3.3 Training Requirements 5.3.3
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5.3.4 Retraining Frequency
and Requirements 5.3.4
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5.3.5 Job Rotation Frequency
and Sequence 5.3.5
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5.3.6 Sanctions for
Unauthorized Actions 5.3.6
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5.3.7 Contracting Personnel
Requirements 5.3.7
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5.3.8 Documentation Supplied to
Personnel 5.3.8
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6. Technical Security Controls 6.
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6.1 Key Pair Generation and
Installation 6.1
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6.1.1 Key Pair Generation 6.1.1
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6.1.2 Private Key Delivery to Entity 6.1.2
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6.1.3 Public Key Delivery to
Certificate Issuer 6.1.3
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6.1.4 CA Public Key Delivery to Users 6.1.4
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6.1.5 Key Sizes 6.1.5
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6.1.6 Public Key Parameters Generation 6.1.6
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6.1.7 Parameter Quality Checking 6.1.6
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6.1.8 Hardware/Software Key Generation 6.1.1
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6.1.9 Key Usage Purposes
(as per X.509 v3 Key Usage Field) 6.1.9
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6.2 Private Key Protection 6.2
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6.2.1 Standards for Cryptographic
Module 6.2.1
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6.2.2 Private Key (n out of m)
Multi-Person Control 6.2.2
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6.2.3 Private Key Escrow 6.2.3
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6.2.4 Private Key Backup 6.2.4
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6.2.5 Private Key Archival 6.2.5
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6.2.6 Private Key Entry Into
Cryptographic Module 6.2.6, 6.2.7
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6.2.7 Method of Activating
Private Key 6.2.8
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6.2.8 Method of Deactivating
Private Key 6.2.9
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6.2.9 Method of Destroying Private
Key 6.2.10
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6.3 Other Aspects of Key Pair
Management 6.3
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6.3.1 Public Key Archival 6.3.1
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6.3.2 Usage Periods for the Public
and Private Keys 6.3.2
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6.4 Activation Data 6.4
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6.4.1 Activation Data Generation
and Installation 6.4.1
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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.
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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
------------------------------------------------------
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)
