Technology - Open Systems Interconnection: The Directory:
Authentication Framework," 1997 edition. (Pending publication of 1997
edition, use 1993 edition with the following amendment applied:
Final Text of Draft Amendment DAM 1 to ISO/IEC 9594-8 on Certificate
Extensions, June 1996.)
[PEM1] S. Kent, "Privacy Enhancement for Internet Electronic Mail,
Part II: Certificate-Based Key Management," Internet RFC 1422, 1993.
[PKI1] R. Housley, W. Ford, W. Polk, D. Solo, "Internet Public Key
Infrastructure, Part I: X.509 Certificate and CRL Profile," draft-
ietf-pkix-ipki-part1-03.txt, 1996.
9. AUTHORS' ADDRESSES
Santosh Chokhani
CygnaCom Solutions, Inc.
Suite 100 West
7927 Jones Branch Drive
McLean, VA 22102
Phone: (703) 848-0883
Fax: (703) 848-0960
EMail: chokhani@cygnacom.com
Warwick Ford
VeriSign, Inc.
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One Alewife Center
Cambridge, MA 02140
Phone: (617) 492-2816 x225
Fax: (617) 661-0716
EMail: wford@verisign.com
NOTES
1 The ABA Digital Signature Guidelines can be purchased from the ABA. See http://www.abanet.com for ordering details.
2 Example: A bank claims that it issues CA certificates to its branches only. Now, the user of a CA certificate issued by the bank can assume that the subject CA in the certificate is a branch of the bank.
3 Example: A Government CA claims that it issues certificates to Government employees only. Now, the user of a certificate issued by the Government CA can assume that the subject of the certificate is a Government employee.
4 Examples of the types of subject CA entities are a subordinate organizations (e.g., branch, division, etc.), a US Federal Government agency, a Government of Canada agency, a state agency, a provincial department, etc.
5 Examples of the types of subject RA entities are branch and division of an organization.
6 Examples of types of subject end entities are uniformed and civilian DoD personnel, DoD contractors, Ministry of Defense employees, bank customers, telephone company subscribers, etc.
7 Examples include X.500 distinguished names, RFC 822 Internet
names, URL, etc.
8 The term meaningful means that the name form has commonly understood semantics to determine identity of the person and/or organization. The directory names and RFC 822 names are examples of meaningful names.
9 Examples of proof include the issuing CA generating the key, or requiring the subject to send an electronically signed request or to sign a challenge.
10 Examples of organization identity authentication are: articles of incorporation, duly signed corporate resolutions, company seal, and notarized documents.
11 Examples of individual identity authentication are: biometrics (thumb print, ten finger print, face, palm, and retina scan), driver's license, passport, credit card, company badge, and government badge.
12 Examples include duly signed authorization papers, corporate badge, etc.
13 The identification policy for routine rekey should be the same as the one for initial registration since the same subject needs rekeying. The rekey authentication may be accomplished using the techniques for initial I&A or using digitally signed requests.
14 This I&A policy could be the same as the one for initial registration.
15 This policy could be the same as the one for initial registration.
16 The identification policy for Revocation request could be the same as the one for initial registration since the same subject certificate needs to be revoked. The authentication policy could accept a Revocation request digitally signed by subject. The authentication information used during initial registration could be acceptable for Revocation request. Other less stringent authentication policy could be defined.
17 The identification policy for key compromise notification could be the same as the one for initial registration since the same subject certificate needs to be revoked. The authentication policy could accept a Revocation request digitally signed by subject. The authentication information used during initial registration could be acceptable for key compromise notification. Other less stringent authentication policy could be defined.
18 The n out of m rule allows a key to be split in m parts. The m parts may be given to m different individuals. Any n parts out of the m parts may be used to fully reconstitute the key, but having any n-1 parts provides one with no information about the key.
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19 A key may be escrowed, backed up or archived. Each of these functions have different purpose. Thus, a key may go through any subset of these functions depending on the requirements. The purpose of escrow is to allow a third party (such as an organization or government) to legally obtain the key without the cooperation of the subject. The purpose of back up is to allow the subject to reconstitute the key in case of the destruction of the key. The purpose of archive is to provide for reuse of the key in future, e.g., use the private key to decrypt a document.
20 Critical security parameters are data other than the public and private key pair and public key parameters required to operate the module. An example of a critical security parameters is a PIN or passphrase. The public key parameters are NOT an example of critical security parameters.
21 Examples of physical controls are: monitored facility, guarded facility, locked facility, access controlled using tokens, access controlled using biometrics, access controlled through an access list, etc.
22 Examples of the roles include, system administrator, system security officer, system auditor, and crypto officer. The duties of the system administrator are to configure, generate, boot, and operate the system. The duties of the system security officer are to assign accounts and privileges. The duties of the system auditor are to set up system audit profile, perform audit file management, and audit review. The duties of the crypto officer are to hold, manage, and protect the CA keys and PINs, and to use them to operate the cryptographic devices used by the CA to sign the certificates and the CRLs.
23 The background checks may include clearance level (e.g., none, sensitive, confidential, secret, top secret, etc.) and the clearance granting authority name. In lieu of or in addition to a defined clearance, the background checks may include types of background information (e.g., name, place of birth, date of birth, home address, previous residences, previous employment, and any other information that may help determine trustworthiness). The description should also include which information was verified and how.
24 For example, the certificate policy may impose personnel security requirements on the network system administrator responsible for a CA's network access.
25 Each authorized person should be accountable for his/her actions.
26 A cryptographic module is hardware, software, or firmware or any combination of them.
27 The compliance description should be specific and detailed. For example, for each FIPS 140-1 requirement, describe the level and whether the level has been certified by an accredited laboratory.
28 Example of audit events are: request to create a certificate, request to revoke a certificate, key compromise notification, creation of a certificate, revocation of a certificate, issuance of a certificate, issuance of a CRL, issuance of key compromise CRL, establishment of trusted roles on the CA, actions of truste personnel, changes to CA keys, etc.
29 Example of archive events are: request to create a certificate, request to revoke a certificate, key compromise notification, creation of a certificate, revocation of a certificate, issuance of a certificate, issuance of a CRL, issuance of key compromise CRL, and changes to CA keys.
30 A parent CA is an example of audit relationship.
31 Example of compliance audit topics: sample check on the various I&A policies, comprehensive checks on key management policies, comprehensive checks on system security controls, comprehensive checks on operations policy, and comprehensive checks on certificate profiles,
32 The examples include, temporary suspension of operations until deficiencies are corrected, revocation of entity certificate, change in personnel, invocation of liability policy, more frequent compliance audit, etc.
33 An organization may choose not to make public some of its security controls, clearance procedures, or some others elements due to their sensitivity.
34 All or some of the following items may be different for the various types of entities, i.e., CA, RA, and end entities.
LIST OF ACRONYMS
ABA - American Bar Association
CA - Certification Authority
CPS - Certification Practice Statement
CRL - Certificate Revocation List
DAM - Draft Amendment
FIPS - Federal Information Processing Standard
I&A - Identification and Authentication
IEC - International Electrotechnical Commission
IETF - Internet Engineering Task Force
IP - Internet Protocol
ISO - International Organization for Standardization
ITU - International Telecommunications Union
NIST - National Institute of Standards and Technology
OID - Object Identifier
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PIN - Personal Identification Number
PKI - Public Key Infrastructure
PKIX - Public Key Infrastructure (X.509) (IETF Working Group)