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5.4.9 Component SubjectOfRetrieval
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5.4.9.1 Semantics
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The SubjectOfRetrieval component is used in the RetrievePO request to specify what should be the subject of the retrieval call. The SubjectOfRetrieval component shall contain the following sub-component: • The value element. It shall contain one instance of a string which shall be one of the following values: - PO - indicates that only the preservation object is requested to be retrieved. - Evidence - indicates that only the preservation evidence is requested to be retrieved. - POwithEmbeddedEvidence - indicates that both the preservation object and the preservation evidence are to be retrieved combined in a preservation object (container), which contains both the submitted preservation object and the preservation evidence. EXAMPLE: ASiC-E (see clause A.3.1) containers according to ETSI EN 319 162-1 [1], XAIP containers according to BSI TR-03125-F [i.2] (see clause A.3.2) and PAdES digital signatures with document time-stamp according to ETSI EN 319 142-1 [i.8] are examples of preservation object (containers), which contain both the submitted preservation object and the preservation evidence. - POwithDetachedEvidence - indicates that both the preservation object and the preservation evidence are to be retrieved as separate objects.
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5.4.9.2 XML Syntax
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The XML type SubjectOfRetrievalType shall implement the requirements defined in the SubjectOfRetrieval component. The SubjectOfRetrievalType XML type shall be defined as in the XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <simpleType name="SubjectOfRetrievalType"> <restriction base="string"> <enumeration value="PO"/> <enumeration value="Evidence"/> <enumeration value="POwithEmbeddedEvidence"/> <enumeration value="POwithDetachedEvidence"/> </restriction> </simpleType>
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5.4.9.3 JSON Syntax
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The SubjectOfRetrievalType JSON object shall implement in JSON syntax the requirements defined in the SubjectOfRetrieval component. The SubjectOfRetrievalType JSON object shall be defined as in the JSON Schema file (Preservation-API.json) provided in Annex D, and which is copied below for information. "pres-SubjectOfRetrievalType": { "type": "string", "enum": ["PO", "Evidence", "POwithEmbeddedEvidence", "POwithDetachedEvidence"] } Properties in the JSON schema above shall implement sub-component of SubjectOfRetrieval component mapped by names as shown in Table 22. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 56 Table 22 Element Implementing JSON member name Comments value value []
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5.4.10 Component Trace
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5.4.10.1 Semantics
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The Trace component contains a sequence of Event elements (see clause 5.4.4) and is returned as response to a RetrieveTrace request (see clause 5.3.7). The Trace component may contain the following sub-component: • Zero or more instances of the Event element. Each instance of the Event element shall be according to clause 5.4.4.
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5.4.10.2 XML Syntax
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The XML type TraceType shall implement the requirements defined in the Trace component. The TraceType XML type shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <complexType name="TraceType"> <sequence> <element ref="pres:Event" minOccurs="0" maxOccurs="unbounded" /> </sequence> </complexType>
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5.4.10.3 JSON Syntax
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The TraceType JSON object shall implement in JSON syntax the requirements defined in the Trace component. The TraceType JSON object is defined in the JSON Schema file (Preservation-API.json) provided in Annex D, and which is copied below for information. "pres-TraceType": { "type": "object", "properties": { "event": { "type": "array", "items": { "$ref": "#/definitions/pres-EventType" } } } } Properties in the JSON schema above shall implement the sub-component of the Trace component mapped by names as shown in Table 23. Table 23 Element Implementing JSON member name Comments Event event [] ETSI ETSI TS 119 512 V1.2.1 (2023-05) 57
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5.5 Components for ASiC extensions
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5.5.1 Overview and motivation
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Among the preservation object containers mentioned in the present document is the ASiC-container defined in ETSI EN 319 162-1 [1] and profiled in clause A.3.1. The components defined in the present clause specify preservation-specific extensions for the ASiCManifest component (see clause 5.5.2) and the DataObjectReference component (see clause 5.5.3).
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5.5.2 Extensions for ASiCManifest
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5.5.2.1 ContainerID Extension
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5.5.2.1.1 Semantics
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The ContainerID extension may be used to convey the preservation service-specific identifier of a preservation object container. The following sub-component shall be present within the ContainerID component: • The POID element shall be present and indicate the Preservation Object IDentifier (POID) of the preservation object container. The following sub-component may be present within the ContainerID component: • The optional VersionID element may be present and indicate the version identifier of the preservation object container, if applicable.
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5.5.2.1.2 Syntax
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The XML type ContainerIDType shall implement the requirements defined in the ContainerID component. The ContainerID XML element shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <element name="ContainerID" type="pres:ContainerIDType" /> <complexType name="ContainerIDType"> <sequence> <element ref="pres:POID" /> <element ref="pres:VersionID" minOccurs="0" maxOccurs="1" /> </sequence> </complexType> <element name="POID" type="string"/> <element name="VersionID" type="string" />
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5.5.2.1.3 Criticality
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The ContainerID extension should not be critical.
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5.5.2.2 PreservationPeriod Extension
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5.5.2.2.1 Semantics
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The PreservationPeriod extension consists of a single element, which shall indicate the preservation period of the preservation object container. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 58
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5.5.2.2.2 Syntax
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The XML element PreservationPeriod shall implement the requirements defined for this component. The PreservationPeriod XML element shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <element name="PreservationPeriod" type="date" />
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5.5.2.2.3 Criticality
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The PreservationPeriod extension should not be critical.
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5.5.2.3 PreservationSubmitter Extension
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5.5.2.3.1 Semantics
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The PreservationSubmitter extension consists of a single element, which shall identify the client in its role as preservation submitter.
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5.5.2.3.2 Syntax
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The XML element PreservationSubmitter shall implement the requirements defined for this component. The PreservationSubmitter XML element shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <element name="PreservationSubmitter" type="string" />
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5.5.2.3.3 Criticality
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The PreservationSubmitter extension should not be critical.
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5.5.2.4 IsUpdatedVersionOf Extension
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5.5.2.4.1 Semantics
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The IsUpdatedVersionOf extension allows to indicate that a preservation object container is indeed an update of another preservation object container. For this purpose, it shall refer to this preservation object container.
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5.5.2.4.2 Syntax
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The XML element IsUpdatedVersionOf shall implement the requirements defined for this component. The IsUpdatedVersionOf XML element shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <element name="IsUpdatedVersionOf" type="anyURI" />
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5.5.2.4.3 Criticality
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The IsUpdatedVersionOf extension should not be critical.
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5.5.2.5 CanonicalizationMethod Extension
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5.5.2.5.1 Semantics
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The CanonicalizationMethod extension allows to specify how XML data contained in a preservation object container shall be canonicalized prior to applying preservation techniques. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 59
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5.5.2.5.2 Syntax
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The XML element CanonicalizationMethod shall implement the requirements defined for this component. The CanonicalizationMethod XML element shall be defined as in the XML Schema file (xmldsig-core- schema-dss-rw.xsd) provided with OASIS DSS-X Core 2.0 [5].
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5.5.2.5.3 Criticality
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The CanonicalizationMethod extension should be critical, because preservation evidences will appear to become invalid, if a required canonicalization method is missed to be applied.
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5.5.2.6 ValidationReport Extension
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5.5.2.6.1 Semantics
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The ValidationReport extension allows to insert a validation report, which provides the validation result for the preservation evidence and data objects referred to in the corresponding ASiCManifest element.
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5.5.2.6.2 Syntax
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The XML element ValidationReport shall satisfy the requirements defined in clause 5.4.5.
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5.5.2.6.3 Criticality
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The ValidationReport extension should not be critical.
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5.5.3 Extensions for DataObjectReference
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5.5.3.1 IsMetaDataOf Extension
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5.5.3.1.1 Semantics
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The IsMetaDataOf extension allows to indicate that a preservation object is indeed a meta data object, which describes another data object. For this purpose, it shall refer to the preservation object of which it is a meta data information.
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5.5.3.1.2 Syntax
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The XML element IsMetaDataOf shall implement the requirements defined for this component. The IsMetaDataOf XML element shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <element name="IsMetaDataOf" type="anyURI" />
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5.5.3.1.3 Criticality
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The IsMetaDataOf extension should not be critical. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 60
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5.6 Components for other preservation object formats
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5.6.1 Component DigestList
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5.6.1.1 Semantics
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The DigestList component is conveyed as content of a single PO component (see clause 5.4.5) within the PreservePO call (see clause 5.3.3) of the preservation scheme with temporary storage as specified in clause F.2. It is only admissible to submit a single PO component with a single DigestList component within one PreservePO call. Below follows a list of the sub-components that constitute this component: • The DigestMethod element shall contain one instance of a string. The string specifies the digest algorithm as URI, which contains an Object Identifier (OID) as specified in IETF RFC 3061 [i.19]. EXAMPLE: The string urn:oid:2.16.840.1.101.3.4.2.1 corresponds to the digest algorithm SHA256. • The DigestValue element may occur one or more times and shall contain one instance of a base64 encoded binary value, which represents a digest value, which has been calculated with the specified DigestMethod. • The optional Evidence element shall, if present, contain a preservation evidence, which shall be augmented by the preservation service, whereas the details of the augmentation process are defined by the preservation object format and applied preservation evidence policy of the applied preservation profile. A given element shall satisfy the requirements specified in clause 5.4.4. NOTE: Submitting a DigestList component containing a digest method, a list of digest values and an evidence record according to IETF RFC 4998 [3] or IETF RFC 6283 [4] to a preservation service which implements the preservation scheme with temporary storage as specified in clause F.2 allows to perform a hash-tree renewal of the provided evidence record.
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5.6.1.2 XML Syntax
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The XML type DigestListType shall implement the requirements defined in the DigestList component. The DigestListType XML element shall be defined as in XML Schema file (Preservation-API.xsd) provided in Annex C, and which is copied below for information. <complexType name="DigestListType"> <sequence> <element ref="ds-rw:DigestMethod"/> <element maxOccurs="unbounded" minOccurs="1" ref="ds-rw:DigestValue"/> <element maxOccurs="1" minOccurs="0" ref="pres:Evidence"/> </sequence> </complexType>
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5.6.1.3 JSON Syntax
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The component DigestList is not used as JSON object directly. The DigestListType JSON object shall implement in JSON syntax the requirements defined in the DigestList component. Properties of the JSON object shall implement the sub-components of DigestList using JSON-specific names mapped as shown in Table 24. Table 24 Element Implementing JSON member name Comments DigestMethod digAlg [] DigestValue digVal Evidence ev ETSI ETSI TS 119 512 V1.2.1 (2023-05) 61 The DigestListType JSON object shall be defined as in JSON Schema file (Preservation-API.json) provided in Annex D, and which is copied below for information. "pres-DigestListType": { "type": "object", "properties": { "digAlg": { "$ref": "#/definitions/dsigrw-DigestMethodType" }, "digVal": { "type": "array", "items": { "type": "string" } }, "ev": { "$ref": "#/definitions/pres-EvidenceType" } }, "required": ["digAlg", "digVal"] }
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6 Requirements for preservation object data formats
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6.1 General aspects and requirements
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An important property of the preservation service specified in the present document is that it is able to support different preservation schemes and preservation profiles (see clauses 4.4 and 5.4.7), which may use preservation objects in different formats. Among the preservation objects one may distinguish: • submission data objects, which are submitted to the preservation service; • preservation evidences, which are produced by the preservation service; and • preservation object containers, which are retrieved from the preservation service. An admissible preservation object data format shall be documented in a permanent and readily available public specification, in sufficient detail so that interoperability between independent implementations is possible. The format of a preservation object shall be identified by a URI according to IETF RFC 3986 [2] (see FormatId component in clause 5.4.5). For the sake of interoperability, one should only use preservation object data formats defined in Annex B.
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6.2 Specific requirements for preservation object containers
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Among the additional output formats supported within the preservation profile (see clause 5.4.7) are in particular preservation object containers. For preservation object containers, the general requirements for preservation data objects (see clause 6.1) and the following requirements shall be fulfilled: 1) It shall allow to store one or more data objects. 2) It may allow assigning further attributes to the contained data objects, which allow to distinguish between content data objects and meta data objects, which may describe the relationship between the different data objects, or indicate that the preservation service performed a certain transformation (e.g. encryption, decryption, canonicalization) before preservation. NOTE: For the preservation of unencoded XML-based data objects, it is necessary to specify the CanonicalizationMethod according to clause 5.5.2.5 of XMLDSIG [i.27]. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 62 3) It shall allow to store one or more preservation evidence objects, which protect a well-defined set of data objects in a well-defined manner. 4) It may contain an identifier, which allows to address the preservation object container within the scope of a specific preservation service. 5) It may support a versioning mechanism, which allows to maintain and preserve multiple versions of a preservation object container as outlined in Annex E. 6) It may support a privacy-friendly mode in which the original data objects can be replaced by corresponding hash values and optional data object locators, which allow to retrieve hash values for additional hash algorithms from the client, if required. 7) It may support the inclusion of validation reports.
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7 Requirements for preservation schemes
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A preservation scheme (specification) shall meet the following general requirements: 1) A preservation scheme shall be documented in a permanent and readily available public specification, in sufficient detail so that interoperability between independent implementations is possible. 2) A preservation scheme shall be identified by a URI according to IETF RFC 3986 [2]. 3) The preservation scheme specification shall specify the applicable preservation storage model of the preservation scheme. 4) The preservation scheme specification shall specify the set of preservation goals supported by the preservation scheme. 5) The preservation scheme specification shall specify the set of mandatory and optional operations supported by the preservation scheme. 6) The preservation scheme specification shall describe the process for generating and validating preservation evidences. 7) The preservation scheme specification shall describe how the augmentation of preservation evidences takes place. 8) The preservation scheme specification may specify required or recommended formats of input and output parameters and related transformations of data, if applicable, for the implementation of the preservation scheme. Refer to Annex F for preservation schemes defined in the present document. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 63 Annex A (normative): Preservation object formats A.1 Submission data object formats A.1.1 CAdES digital signature according to ETSI EN 319 122-1 A CAdES digital signature according to ETSI EN 319 122-1 [i.5] is identified by the following URI: • http://uri.etsi.org/ades/CAdES A.1.2 XAdES digital signature according to ETSI EN 319 132-1 A XAdES digital signature according to ETSI EN 319 132-1 [i.7] is identified by the following URI: • http://uri.etsi.org/ades/XAdES A.1.3 PAdES digital signature according to ETSI EN 319 142-1 A PAdES digital signature according to ETSI EN 319 142-1 [i.8] is identified by the following URI: • http://uri.etsi.org/ades/PAdES A.1.4 Associated Signature Container Extended (ASiC-E) An ASiC-E container according to ETSI EN 319 162-1 [1] (clause 4.4) is identified by the following URL: • http://uri.etsi.org/ades/ASiC/type/ASiC-E A preservation-specific profile (ASiC-ERS) is provided in clause A.3.1. A.1.5 XML-based Archival Information Package (XAIP) An XML-based Archival Information Package (XAIP) according to BSI TR-03125-F [i.2], which is in turn based on ISO 14721 (OAIS) [i.16] and ISO 13527 (XFDU) [i.15] is identified by the following URL: • http://www.bsi.bund.de/tr-esor/xaip More details are to be found in clause A.3.2. A.1.6 DigestList as submission data object format The DigestList component as specified in clause 5.6.1 may appear in a call with a single PO component and serve as submission data object format. It is identified by the following URL in the FormatId element of the PO component (see clause 5.4.5.1): • http://uri.etsi.org/19512/format/DigestList NOTE: The DigestList component is used in the preservation scheme with temporary storage according to clause F.2. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 64 A.2 Preservation evidence formats A.2.1 Time-stamp Token according to IETF RFC 3161 The ASN.1-based time-stamp token according to IETF RFC 3161 [i.20] is identified by the following URI: • urn:ietf:rfc:3161:TimeStampToken A.2.2 Evidence Record according to IETF RFC 4998 The ASN.1-based Evidence Record according to IETF RFC 4998 [3] (clause 3) is identified by the following URI: • urn:ietf:rfc:4998:EvidenceRecord A.2.3 Evidence Record according to IETF RFC 6283 The XML-based Evidence Record according to IETF RFC 6283 [4] is identified by the following URI: • urn:ietf:rfc:6283:EvidenceRecord A.2.4 CAdES Archive Time Stamp V3 according to ETSI EN 319 122-1 The ASN.1-based Archive Time Stamp V3 attribute according to ETSI EN 319 122-1 [i.5] (clause 5.5.3) is identified by the following URI: • http://uri.etsi.org/ades/CAdES/archive-time-stamp-v3 A.2.5 XAdES Archive Time Stamp according to ETSI EN 319 132-1 The XML-based Archive Time Stamp property according to ETSI EN 319 132-1 [i.7] (clause 5.5.2) is identified by the following URI: • http://uri.etsi.org/ades/XAdES/ArchiveTimeStamp A.2.6 PAdES Document Time-Stamp according to ETSI EN 319 142-1 The Document Time-Stamp according to ETSI EN 319 142-1 [i.8] (clause 5.4) is identified by the following URI: • http://uri.etsi.org/ades/PAdES/document-time-stamp NOTE: For preservation purposes it is necessary to insert the validation material in the Document Signature Store before applying the Document-Time-Stamp according to ETSI EN 319 142-1 [i.8]. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 65 A.3 Additional input and/or output data object formats A.3.1 ASiC with Evidence Records (ASiC-ERS) A.3.1.1 Unique Identifier In line with the requirements for preservation object containers (see clause 6.2), the Associated Signature Container Extended according to ETSI EN 319 162-1 [1] (clause 4.4) with ASiCEvidenceRecordManifest, which is called ASiC- ERS in the following is identified by the following URL: • http://uri.etsi.org/ades/ASiC/type/ASiC-ERS A.3.1.2 Published Specification The published specification for ASiC-ERS is ETSI EN 319 162-1 [1] with the profiling specified in clause A.3.1.3. A.3.1.3 ASiC-ERS is a profile of ASiC-E In order to serve as preservation object container, an ASiC-ERS container shall fulfil the following requirements: 1) The ASiC-ERS container shall be an ASiC-E container according to ETSI EN 319 162-1 [1]. 2) The ASiC-ERS container shall contain one or more ASiCEvidenceRecordManifest files whose names match "META-INF/ASiCEvidenceRecordManifest*.xml" and which contain an ASiCManifest element instance conformant to clause A.4 of ETSI EN 319 162-1 [1] and as specified below. NOTE 1: In case of migration from one preservation service to another one, or in case a preservation service maintains multiple hash trees using different hash functions in parallel, there will be multiple ASiCEvidenceRecordManifest files. 3) For each ASiCEvidenceRecordManifest file there shall be exactly one evidence record file present in the META-INF folder of the ASiC-E container, which applies to all the data object files referenced by DataObjectReference elements within the ASiCManifest element. 4) This evidence record file shall be named as follows: a) "*evidencerecord*.ers" which shall contain an ASN.1-based evidence record according to IETF RFC 4998 [3] that applies to the file object specified in the ASiCEvidenceRecordManifest file; or b) "*evidencerecord*.xml" which shall contain an XML-based evidence record according to IETF RFC 6283 [4] that applies to the file object specified in the ASiCEvidenceRecordManifest file. 5) For each data object file, which is protected by an evidence record, there shall be a corresponding DataObjectReference element as specified below. 6) The ASiCManifest element shall have the following sub-components: - The SigReference element shall contain one instance of a sub-component, which satisfies the following requirements and reference the evidence record file (see requirement Nr. 2 and Nr. 3 above): 1) The URI element shall contain one instance of a URI, which points the evidence record file, which type is indicated by its file name and extension. As specified in requirement Nr. 3 of clause A.3.1.3, a file name and extension "*evidencerecord*.ers" indicates an ASN.1 based evidence record according to IETF RFC 4998 [3] and a file name and extension "*evidencerecord*.xml" indicates an XML based evidence record according to IETF RFC 6283 [4]. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 66 - The optional MimeType element shall not be present: 1) The DataObjectReference element shall occur one or more times, satisfies the requirements specified in ETSI EN 319 162-1 [1] and may be extended using components specified in clause 5.5.3. NOTE 2: An ASIC-E container may contain data objects, which are not protected by any evidence record. This is similar to an AdES digital signature, which may contain unsigned attributes or properties. 2) The optional ASiCManifestExtensions element shall satisfy the requirements specified in ETSI EN 319 162-1 [1] and may be extended using components specified in clause 5.5.2. A.3.1.4 Fulfilment of requirements and other considerations A.3.1.4.1 Overview and motivation The present clause verifies that the requirements for preservation object containers defined in clause 6.2 are fulfilled, whereas the correspondence of the requirements defined in clause 6.2 and the following sub-clauses is indicated in Table A.1. Table A.1 Requirement defined in clause 6.2 Reference 1 Shall allow storage of one or more data objects. Clause A.3.1.4.2 2 May allow additional attributes. Clause A.3.1.4.3 3 Shall allow to store one or more preservation evidences. Clause A.3.1.4.4 4 May contain local identifier. Clause A.3.1.4.5 5 May support versioning. Clause A.3.1.4.6 6 May support privacy-friendly mode. Clause A.3.1.4.7 7 May support the inclusion of validation reports. Clause A.3.1.4.8 A.3.1.4.2 Data objects According to requirement Nr. 4 in clause A.3.1.3, there shall be a DataObjectReference element for each data object file in the ASiC-ERS container, which is protected by an evidence record. A.3.1.4.3 Additional attributes To indicate that a data object is in fact a metadata object of another data object, the IsMetaData Extension defined in clause 5.5.3.1 may be used. To indicate the applied canonicalization method, the CanonicalizationMethod extension defined in clause 5.5.2.5 may be used. A.3.1.4.4 Preservation evidence According to requirements Nr. 1 through Nr. 3 in clause A.3.1.3, an ASiC-ERS container shall contain one or more ASiCEvidenceRecordManifest files, which contain an ASiCManifest element, which refers within the SigReference element to an evidence record file, which contains an evidence record according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. A.3.1.4.5 Local identifiers The local identifier of the preservation object container within a specific preservation service may be provided in an Extension element within the ASiCManifestExtensions element (see clauses A.3.1.3 and 5.5.2), which contains a pres:ContainerID element as specified in clause 5.5.2.1. This element allows to specify the POID and VersionID of a versioned preservation object container. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 67 A.3.1.4.6 Versioning A simple versioning strategy may be supported using the IsUpdatedVersionOf extension as specified in clause 5.5.2.4. A.3.1.4.7 Privacy considerations If it is necessary to remove certain data object files from an ASiC-ERS based preservation object container because of privacy considerations, the concerned data object files and possibly the related DataObjectReference elements can simply be deleted from the container. In order to obtain a proof of existence on a file, rather than sending the whole file, it is possible to send a hash function identifier and a hash value of that file using the DigestList component as specified in clause 5.6.1. In this way, the preservation service will be kept ignorant of both the semantics and the size of the object to be protected. It is possible to extend the validity of a signature, using a PGD goal rather than a PDS goal, if the client captures by itself all the validation data according to the signature augmentation policy and the signature validation policy of its choice and adds all the validation data into the signature prior the invocation of the preservation service. The client can then send a hash function identifier and a hash value of the digital signature, the validation data and the signed data. The advantage is that the preservation service is kept ignorant of both the identity of the signer(s) and of the content of the signed data as well as the signature augmentation policy and the signature validation policy that have been used by the client. In both cases, the choice of the hash function to be used is made by the client which shall use one of the hash functions allowed in the profile. A.3.1.4.8 Validation reports Validation reports may be included within an ASiC-ERS in a ValidationReport extension according to clause 5.5.2.6. A.3.1.4.9 Security considerations Because an ASiCManifestExtensions element, one or more DataObjectReference elements and/or DataObjectReferenceExtensions elements or individual Extension elements contained therein can be removed from the ASiC-E container without being noticed, the preservation object container proposed here does not protect the integrity of the full collection, but only the individual data objects. When the service is used with a PDS goal only and when the signature is a detached signature, the client should be aware that the evidence will remain usable only if the hash function originally used by the client to sign the object remains secure (i.e. is resistant to collision attacks). In some cases, the client should consider to use additionally a preservation service with the PGD goal in order to protect the signed object. Another possibility would be to use the preservation service with a combined PDS and PGD goal. A.3.1.4.10 Interoperability considerations The operation requests specified in clause 5.3 are designed to submit and retrieve single (groups of) preservation objects and preservation evidences. In case of evidence records according to IETF RFC 4998 [3] or IETF RFC 6283 [4], the preservation evidences contain reduced hash-trees, for which it would be very cumbersome, if not impossible, to recalculate the full hash-tree, which would be required for seamless migration from one preservation service to another one. Against this background, Annex H specifies a data structure EvidenceExchange, which contains preservation objects, preservation evidences and the otherwise missing full hash-trees in order to support seamless export and import from one preservation service to another one using evidence records. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 68 A.3.2 XML-based Archival Information Package (XAIP) A.3.2.1 Unique Identifier In line with the requirements for preservation object containers (see clause 6.2), the XML-based Archival Information Package (XAIP) according to BSI TR-03125-F [i.2], which is in turn based on ISO 14721 [i.16] (OAIS) and ISO 13527 [i.15] (XFDU) is identified by the following URL: • http://www.bsi.bund.de/tr-esor/xaip A.3.2.2 Published Specification The published specification for the XML-based Archival Information Package (XAIP) is BSI TR-03125-F [i.2]. A.3.2.3 Main component (XAIP) A.3.2.3.1 Semantics In order to serve as preservation object container, an XAIP container shall consist of an XAIP component and shall fulfil the requirements specified in BSI TR-03125-F [i.2]. Below follows a list of the sub-components that may be present within the XAIP component: • The packageHeader element shall be present and contain general information about the preservation data object container and describe, for example, its logical structure and its content and related preservation specific meta data. The packageHeader element may contain an identifier AOID of the package and descriptive packageInfo information and shall contain a sequence of versionManifest elements, which specify the content of a version of the XAIP. Further information on the xaip:packageHeaderType can be found in BSI TR-03125-F [i.2]. • The optional metaDataSection element may be present and include meta information for the description of the business and archiving context, if present. The metaDataSection shall contain all information that is needed for the transparent and long-term interpretation of the business and preservation context. Further information on the xaip:metaDataSectionType can be found in BSI TR-03125-F [i.2]. • The optional dataObjectsSection element shall include the content data of the preservation data object container, if present. This element may, for example, be used to store or reference content data in different platform- or application-specific data formats in an XAIP container or to archive entire files or records in different documents. Further information on the xaip:dataObjectsSectionType can be found in BSI TR-03125-F [i.2]. • The optional credentialsSection element ssall include credential objects in the form of Evidence Records or supplemental evidence data, such as signatures, time stamps, certificates or signature verification information. Further information on the xaip:credentialsSectionType can be found in BSI TR-03125-F [i.2]. A.3.2.3.2 Syntax The XML elements of this clause are defined in the XML namespace: • http://www.bsi.bund.de/tr-esor/xaip The XML type XAIPType shall implement the requirements defined in the XAIP component. The XAIP XML element shall be defined as in XML Schema file tr-esor-xaip-v1.3.xsd, which is part of BSI TR-03125-F [i.2], and which is copied below for information. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 69 <xs:element name="XAIP" type="xaip:XAIPType"/> <xs:complexType name="XAIPType"> <xs:sequence> <xs:element name="packageHeader" type="xaip:packageHeaderType"> </xs:element> <xs:element name="metaDataSection" type="xaip:metaDataSectionType" maxOccurs="1" minOccurs="0"> </xs:element> <xs:element name="dataObjectsSection" type="xaip:dataObjectsSectionType" maxOccurs="1" minOccurs="0"> </xs:element> <xs:element name="credentialsSection" type="xaip:credentialsSectionType" maxOccurs="1" minOccurs="0"> </xs:element> </xs:sequence> </xs:complexType> A.3.2.4 Sub-components The details with respect to the sub-components of XAIP are specified in BSI TR-03125-F [i.2]. A.3.2.5 Fulfilment of requirements and other considerations A.3.2.5.1 Overview and motivation The present clause verifies that the requirements for preservation object containers defined in clause 6.2 are fulfilled, whereas the correspondence of the requirements defined in clause 6.2 and in clauses A.3.2.5.2 to A.3.2.5.8 is indicated in Table A.2. Table A.2 Requirement defined in clause 6.2 Reference 1 Shall allow storage of one or more data objects. Clause A.3.2.5.2 2 May allow additional attributes. Clause A.3.2.5.3 3 Shall allow to store one or more preservation evidences. Clause A.3.2.5.4 4 May contain local identifier. Clause A.3.2.5.5 5 May support versioning. Clause A.3.2.5.6 6 May support privacy-friendly mode. Clause A.3.2.5.7 7 May support the inclusion of validation reports. Clause A.3.2.5.8 A.3.2.5.2 Data objects The content data objects within an XAIP shall be stored within the dataObjectSection child element and referenced from one or more versionManifest elements within the packageHeader. In a similar manner the meta data objects, which refer to and describe content data objects, are stored within the metaDataSection and referenced from versionManifest elements. A.3.2.5.3 Additional attributes The meta data objects within an XAIP shall be stored within xaip:metaDataObject elements within the metaDataSection. A.3.2.5.4 Preservation evidence Preservation evidences in form of evidence records according to IETF RFC 4998 [3] or IETF RFC 6283 [4] as well as detached signatures or other signature-related objects, such as certificates, revocation information and time-stamps for example, shall be stored in the credentialSection of an XAIP and referenced from the versionManifest element. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 70 A.3.2.5.5 Local identifiers The local identifier of the preservation object container within a specific preservation service is provided in the AOID child element of the packageHeader within the XAIP and the VersionID attribute of the corresponding versionManifest element. These elements are analogous to the POID and VersionID sub-components of the ContainerID component specified in clause 5.5.2.1. A.3.2.5.6 Versioning Versioning as outlined in Annex E is supported using the "Delta XAIP" element DXAIP as specified in section 3.6 of BSI TR-03125-F [i.2]. A.3.2.5.7 Privacy considerations If it is necessary to remove certain data object files from an XAIP based preservation object container because of privacy considerations, the concerned data object files may be replaced by its hash value or deleted from the container without side effects for other preservation objects. The systematic replacement of a data object by its hash value and a reference to the place where the data object is stored leads to a "Logical XAIP" (LXAIP) as specified in BSI TR-03125-F [i.2]. A.3.2.5.8 Validation reports Validation reports may be included within an XAIP within the credentialsSection within xaip:credential/vr:VerificationReport or xaip:credential/other elements. A.3.2.5.9 Security considerations If the protection of the completeness and integrity of a version of an XAIP or the entire XAIP is required, the versionManifest within the packageHeader of the XAIP or the packageHeader itself may be part of the integrity protection provided by the applied evidence records. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 71 Annex B (normative): WSDL Document The file at https://forge.etsi.org/rep/esi/x19_512_preservation_protocol/raw/v1.2.1/19512-Preservation-API.wsdl (19512-Preservation-API.wsdl) contains the Web Service Description Language (WSDL) specification, which builds upon the XML schema definitions in Annex C in order to define a SOAP-based protocol for the Preservation-API (see clause 5.3). ETSI ETSI TS 119 512 V1.2.1 (2023-05) 72 Annex C (normative): XML Schema Document C.1 XML Schema file location for namespace http://uri.etsi.org/19512/v1.2.1# The file at https://forge.etsi.org/rep/esi/x19_512_preservation_protocol/raw/v1.2.1/19512-Preservation-API.xsd (19512-Preservation-API.xsd) contains the XML schema definitions for the Preservation-API (see clause 5.3) within the namespace whose URI value is http://uri.etsi.org/19512/v1.2.1#. C.2 XML Schema file location for namespace http://uri.etsi.org/19512/exchange/v1.2.1# The file at https://forge.etsi.org/rep/esi/x19_512_preservation_protocol/raw/v1.2.1/19512-EvidenceExchange.xsd (19512-EvidenceExchange.xsd) contains the XML schema definitions for the EvidenceExchange component (see Annex G) within the namespace whose URI value is http://uri.etsi.org/19512/exchange/v1.2.1#. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 73 Annex D (normative): JSON Schema and OpenAPI Documents D.1 JSON Schema file The file at https://forge.etsi.org/rep/esi/x19_512_preservation_protocol/raw/v1.2.1/19512-Preservation-API- schema.json (19512-Preservation-API-schema.json) contains the JSON schema definitions for the Preservation-API (see clause 5.3). D.2 OpenAPI specification The file at https://forge.etsi.org/rep/esi/x19_512_preservation_protocol/raw/v1.2.1/19512-Preservation-API- openapi.json (19512-Preservation-API-openapi.json) contains the OpenAPI 3.0 specification for the Preservation-API (see clause 5.3). ETSI ETSI TS 119 512 V1.2.1 (2023-05) 74 Annex E (informative): Versioning of a Preservation Object Container A Preservation Object Container (POC) is a container, which contains a set of Preservation Objects (PO) and optionally related metadata, which provide information about the PO, and optional manifest files, which specifies its content. If a POC supports versioning, there may be multiple VersionManifest files, whereas each such file corresponds to a single version of the POC, which comprises the set of preservation objects, which are explicitly referenced by the VersionManifest file. In this case, a preservation service with storage (see clause 4.3.1) which supports a POC-format with versioning, a new logical version of a POC can be created with the UpdatePOC-Request (see clause 5.3.6). In this case, the data in the POC, that has already been stored, is not changed, but a new logical version, which is described by a so called DeltaPOC-structure, is logically appended to the existing POC. The UpdatePOC function allows to provide a logical update of an existing POC, which is already stored within the preservation service. In doing so, each change to the stored POC necessarily creates a new logical version of the POC, which is logically appended to the existing POC to ensure accountability. With this function, existing POs in the latest version of an existing POC may be logically updated or deleted or new PO may be added to an existing POC. Hence, the permissible changes to POCs with versioning are: 1) Adding a new version with additional or changed POs (e.g. content data objects, meta data objects, digital signatures, electronic time-stamps, evidence records, verification reports) to the POC. 2) Logically deleting POs from the latest version of a POC by removing the corresponding pointers from the corresponding version-specific Manifest file. NOTE: Only the pointers to the PDOs are removed from the latest VersionManifest, but the referenced PDOs are kept in the POC. For this purpose, the client sends a "Delta Preservation Object Container" (DeltaPOC), which unambiguously specifies what needs to be changed (added, changed or deleted) in the latest version of an already stored POC. This is realized by the fact that the DeltaPOC contains a VersionManifest file corresponding to the new version of the POC. The POC is identified by a POID and the newly created version, which is "logically appended" to the already stored POC, is uniquely identified by the returned VersionID. EXAMPLE: In this example it is assumed that the client already has stored an XAIP-based POC as outlined in Figure E.2. It is also assumed that the submitted XAIP-based POC contained three POs (PO1=M1, PO2 =D1 and PO3=C1 ), which constitute the first version of the POC. During the lifetime of this POC it happens that the PO2=D1 and PO3 =C1 are not necessary anymore, but in addition a fourth PO4=D2 and fifth PO5=C2 need to be added to the preserved files. Such a change is possible using the UpdatePOC operation, which contains the POID and a suitable DeltaPOC, which is a PO with POFormat= http://www.bsi.bund.de/tr-esor/xaip. This DeltaPOC is outlined in Figure E.2 and specifies the difference to the previous version of the POC. Hence, the DeltaPOC points to those POs, which already were available in the POC and still belong to the latest version of the POC (i.e. in our example M1), and the new POs, which need to be added to the POC (i.e. in our example the two additional preservation objects PO4=D2 and PO5=C2. After successfully creation of the new logical version of the POC, the preservation service returns the corresponding version number (VersionID). ETSI ETSI TS 119 512 V1.2.1 (2023-05) 75 Figure E.1: Example of an XAIP-based POC with one version comprising M1, D1, C1 Figure E.2: Example of "DeltaPOC", which keeps M1, removes D1, C1 and adds D2, C2 ETSI ETSI TS 119 512 V1.2.1 (2023-05) 76 Figure E.3:Example of an XAIP-based POC with two versions ETSI ETSI TS 119 512 V1.2.1 (2023-05) 77 Annex F (normative): Preservation schemes F.1 Preservation scheme with storage based on evidence records F.1.1 Identifier The preservation scheme with storage and evidence records is identified by the following URI: • http://uri.etsi.org/19512/scheme/pds+pgd+aug+wst+ers F.1.2 Preservation goal(s) The present preservation scheme shall support the following three preservation goals: • extending over long periods of time the validity status of digital signatures, which is indicated by the URI: - http://uri.etsi.org/19512/goal/pds • providing proofs of existence of data over long periods of time, which is indicated by the URI: - http://uri.etsi.org/19512/goal/pgd • the augmentation of submitted evidences, which is indicated by the URI: - http://uri.etsi.org/19512/goal/aug F.1.3 Preservation storage model The present preservation scheme supports the preservation storage model "with storage" according to clause 4.3.1, which corresponds to the value WithStorage within the PreservationStorageModel element (see clause 5.4.6). F.1.4 Supported operations F.1.4.1 Mandatory operations A preservation profile which implements the present preservation scheme shall support the following operations: • PreservePO according to clause 5.3.3. • RetrievePO according to clause 5.3.4. • DeletePO according to clause 5.3.5. F.1.4.2 Optional operations A preservation profile which implements the present preservation scheme may support the following operations: • UpdatePOC according to clause 5.3.6. • RetrieveTrace according to clause 5.3.7. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 78 • ValidateEvidence according to clause 5.3.8. • Search according to clause 5.3.9. F.1.4.3 Announcement of supported operations The set of supported operations, shall be indicated in the list of operations that is specified in the preservation profile, which refers to this scheme. F.1.5 Generation and validation of preservation evidences The present preservation scheme generates preservation evidences in form of evidence records according to IETF RFC 4998 [3] and/or IETF RFC 6283 [4], which are announced in the Profile/EvidenceFormat element as: • urn:ietf:rfc:4998; and/or • urn:ietf:rfc:6283. For this purpose, the PreservePO function of the present preservation scheme distinguishes two types of SubDO: • SubDO with one or more digital signatures (SubDOwithDS); and • SubDO without digital signatures (SubDOwoDS). For SubDOwithDS, the preservation service shall perform a signature validation according to a suitable signature validation policy and collect and store the necessary validation material at a suitable place within the provided signature objects or within dedicated places of the preservation object container or within a validation report embedded within a preservation object container. For SubDOs in certain formats, such as the XML, it may be necessary to perform a canonicalization before hash values are calculated. As soon as all SubDO have been prepared accordingly, they are hashed with a suitable hash algorithm, inserted in a Merkle hash-tree as specified in IETF RFC 4998 [3] and/or IETF RFC 6283 [4] and protected by an initial archive time-stamp, using a suitable time-stamping authority according to the specified policy. The validation of the produced evidence records can be performed using a suitable validation policy, which in particular specifies the set of trust anchors and further validation constraints. The applied preservation evidence creation policy and a recommended preservation evidence validation policy may be announced in the applicable Profile/Policy element with Type equal to the following URI: • http://uri.etsi.org/19512/policy/preservation-evidence F.1.6 Augmentation of preservation evidences Based on monitoring the suitability of the cryptographic algorithms based on a suitable cryptographic policy, such as ETSI TS 119 312 [i.9] for example, the preservation service shall perform time-stamp- or hash-tree-renewals as specified in IETF RFC 4998 [3] and/or IETF RFC 6283 [4]. F.1.7 Requirements and recommendations for preservation profiles For the preservation profile described within the Profile element (see clause 5.4.7) there are the following requirements and recommendations: • ProfileIdentifier - see clause 5.4.7. • Operation - shall indicate the supported operations according to clause F.1.4. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 79 • Policy - see clause 5.4.7. • ProfileValidityPeriod - see clause 5.4.7. • PreservationStorageModel - shall be equal to WithStorage. • PreservationGoal - shall indicate the supported preservation goals (see clause F.1.2). • EvidenceFormat - shall be present and indicate which evidence record format is supported, whereas the following two URIs may appear: - urn:ietf:rfc:4998 - urn:ietf:rfc:6283 • Specification - should be present at least once and refer to the URL at which the present document can be retrieved. This element may be present multiple times to refer to further specification documents which provide more details with respect to the profile, if necessary. • Description - see clause 5.4.7. NOTE: The elements Specification and Description may provide more information with respect to the profile of the produced evidence records. • SchemeIdentifier - shall be equal to the following URI: - http://uri.etsi.org/19512/scheme/pds+pgd+wst+ers • ExpectedEvidenceDuration - see clause 5.4.7. • PreservationEvidenceRetentionPeriod - shall not be present. • Extension - see clause 5.4.7. F.2 Preservation scheme with temporary storage based on evidence records F.2.1 Identifier This preservation scheme has a PGD goal and supports the storage model "With Temporary Storage" (WTS) using Evidence Records according to IETF RFC 4998 [3] and/or IETF RFC 6283 [4]. It is identified by the following URI: • http://uri.etsi.org/19512/scheme/pgd+wts+ers F.2.2 Preservation goal(s) The present preservation scheme shall support the following preservation goal: • providing proofs of existence of data over long periods of time, which is indicated by the URI: - http://uri.etsi.org/19512/goal/pgd Furthermore, a preservation service may indicate that it additionally supports: • the augmentation of submitted evidences, which is indicated by the URI: - http://uri.etsi.org/19512/goal/aug ETSI ETSI TS 119 512 V1.2.1 (2023-05) 80 F.2.3 Preservation storage model The present preservation scheme supports the preservation storage model "with temporary storage" according to clause 4.3.2, which corresponds to the value WithTemporaryStorage within the PreservationStorageModel element (see clause 5.4.6). F.2.4 Supported operations F.2.4.1 Mandatory operations A preservation service supporting this preservation scheme shall support the following two operations: • PreservePO according to clause 5.3.3, whereas the PO elements may contain DigestList structures according to clause 5.6.1 or submission data objects in other formats, as indicated corresponding Input/Format elements within in the Profile element. • RetrievePO according to clause 5.3.4, which returns a PO in form of an Evidence Record according to IETF RFC 4998 [3] or IETF RFC 6283 [4], which details may be profiled as described within the preservation profile. F.2.4.2 Optional operations A preservation service supporting this preservation scheme may support the following operations: • RetrieveTrace according to clause 5.3.7; and • ValidateEvidence according to clause 5.3.8. F.2.4.3 Announcement of supported operations The set of supported operations, shall be indicated in the list of operations that is specified in the preservation profile, which refers to this scheme. F.2.5 Generation and validation of preservation evidences The present preservation scheme generates preservation evidences in form of evidence records according to IETF RFC 4998 [3] and/or IETF RFC 6283 [4], which are announced in the Profile/EvidenceFormat element as: • urn:ietf:rfc:4998; and/or • urn:ietf:rfc:6283. For this purpose, the PreservePO function conveys a DigestList component (see clause 5.6.1) within the PO element, which contains a digest method and one or more digest values, which are added to a suitable current hash-tree, which will result in an evidence record, which can be picked up by the client during the preservation evidence retention period. If the optional Evidence element is present and contains an evidence record, this evidence record will be augmented, whereas depending on the cryptographic algorithms of the provided evidence record and the available time-stamping authorities a time-stamp renewal or hash-tree renewal may take place. NOTE: In case the client stores the original data and only provides hash values, the preservation service can treat these hash values only as general data, since he does not have access to the original data and does not know that the provided hash values were calculated from them. The validation of the produced evidence records can be performed using a suitable validation policy, which in particular specifies the set of trust anchors and further validation constraints. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 81 The applied preservation evidence creation policy and a recommended preservation evidence validation policy may be announced in the applicable Profile/Policy element with Type equal to the following URI: • http://uri.etsi.org/19512/policy/preservation-evidence F.2.6 Augmentation of preservation evidences Based on monitoring the suitability of the cryptographic algorithms based on a suitable cryptographic policy, such as ETSI TS 119 312 [i.9] for example, the preservation service performs time-stamp- or hash-tree-renewals as specified in IETF RFC 4998 [3] and/or IETF RFC 6283 [4], if the provided DigestList parameter contains an optional Evidence element. F.2.7 Requirements and recommendations for preservation profiles For the preservation profile described within the Profile element (see clause 5.4.7) there are the following requirements and recommendations: • ProfileIdentifier - see clause 5.4.7. • Operation - shall indicate the supported operations according to clause F.2.4. Whereas the Input/Format/FormatID element corresponding to the PreservePO operation contains the URI http://uri.etsi.org/19512/format/DigestList and the Input/Format/Parameter/Format/FormatID elements specify the set of supported digest algorithms. • Policy - see clause 5.4.7. • ProfileValidityPeriod - see clause 5.4.7. • PreservationStorageModel - shall be equal to WithTemporaryStorage. • PreservationGoal - shall indicate the supported preservation goals according to clause F.2.2. • EvidenceFormat - shall be present and indicate which evidence record format is supported, whereas the following two URIs may appear: - urn:ietf:rfc:4998 - urn:ietf:rfc:6283 • Specification - should be present at least once and refer to the URL at which the present document can be retrieved. This element may be present multiple times to refer to further specification documents which provide more details with respect to the profile, if necessary. • Description - see clause 5.4.7. NOTE: The child element Description may in particular contain information with respect to the profile of the produced evidence records, which may contain attributes with identifiers for additional policies, such as a preservation evidence creation policy and a recommended preservation evidence creation policy, and/or the identity of the preservation service. • SchemeIdentifier - shall be equal to http://uri.etsi.org/19512/scheme/pgd+wts+ers. • ExpectedEvidenceDuration - see clause 5.4.7. • PreservationEvidenceRetentionPeriod - shall be present and specifies the period in which the asynchronously produced preservation evidences can be retrieved by the client. • Extension - see clause 5.4.7. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 82 F.3 Preservation scheme with signature augmentation and with storage F.3.1 Identifier The preservation scheme with signature augmentation and without storage is identified by the following URI: • http://uri.etsi.org/19512/scheme/pds+wst+aug F.3.2 Preservation goal(s) The present preservation scheme supports the following preservation goals: • extending over long periods of time the validity status of digital signatures, which is indicated by the URI: - http://uri.etsi.org/19512/goal/pds Furthermore, a preservation service may indicate that it additionally supports: • the augmentation of submitted evidences, which is indicated by the URI: - http://uri.etsi.org/19512/goal/aug F.3.3 Preservation storage model The present preservation scheme supports the preservation storage model "with storage" according to clause 4.3.1, which corresponds to the value WithStorage within the PreservationStorageModel element (see clause 5.4.6). F.3.4 Supported operations F.3.4.1 Mandatory operations A preservation profile which implements the present preservation scheme shall support the following operations: • PreservePO according to clause 5.3.3. • RetrievePO according to clause 5.3.4. • DeletePO according to clause 5.3.5. F.3.4.2 Optional operations A preservation profile which implements the present preservation scheme may support the following operations: • RetrieveTrace according to clause 5.3.7. • ValidateEvidence according to clause 5.3.8. • Search according to clause 5.3.9. F.3.4.3 Announcement of supported operations The set of supported operations, shall be indicated in the list of operations that is specified in the preservation profile, which refers to this scheme. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 83 F.3.5 Generation and validation of preservation evidences The present preservation scheme augments the signature corresponding to the signature format, which are announced in the Profile/EvidenceFormat element with the following URIs: • http://uri.etsi.org/ades/CAdES/archive-time-stamp-v3 • http://uri.etsi.org/ades/XAdES/ArchiveTimeStamp • http://uri.etsi.org/ades/PAdES/document-time-stamp For this purpose, the PreservePO function of the present preservation scheme distinguishes two types cases: 1) the signature and the signed data are in the same object; 2) at least a part of the signed data is in a different object. In the second case the preservation service shall keep a link between the signature and the signed data. The preservation service verifies that all the validation data needed to validate the signature is available, adds this to the signature and protects it with a time-stamp corresponding to the specific signature format. The preservation service chooses a hash algorithm to protect the validation data, the signature and the signed data corresponding to the state of the art. The evidence is included in the signature. The signature format specific standard specifies how to validate the corresponding evidence. The applied preservation evidence creation policy and a recommended preservation evidence validation policy may be announced in the applicable Profile/Policy element with Type equal to the following URI: • http://uri.etsi.org/19512/policy/preservation-evidence F.3.6 Augmentation of preservation evidences Based on monitoring the suitability of the cryptographic algorithms based on a suitable cryptographic policy, such as ETSI TS 119 312 [i.9] for example, the preservation service shall perform an augmentation of the signature according to the specific evidence format. F.3.7 Requirements and recommendations for preservation profiles For the preservation profile described within the Profile element (see clause 5.4.7) there are the following requirements and recommendations: • ProfileIdentifier - see clause 5.4.7. • Operation - shall indicate the supported operations according to clause F.3.4. • Policy - see clause 5.4.7. • ProfileValidityPeriod - see clause 5.4.7. • PreservationStorageModel - shall be equal to WithStorage. • PreservationGoal - shall indicate the set of supported preservation goals according to clause F.3.2. • EvidenceFormat - shall be present and indicate the supported evidence formats, whereas the following URIs may appear: - http://uri.etsi.org/ades/CAdES/archive-time-stamp-v3 ETSI ETSI TS 119 512 V1.2.1 (2023-05) 84 - http://uri.etsi.org/ades/XAdES/ArchiveTimeStamp - http://uri.etsi.org/ades/PAdES/document-time-stamp • Specification - should be present at least once and refer to the URL at which the present document can be retrieved. This element may be present multiple times to refer to further specification documents which provide more details with respect to the profile, if necessary. • Description - see clause 5.4.7. • SchemeIdentifier - shall be equal to the following URI: - http://uri.etsi.org/19512/scheme/pgd+wst+aug • ExpectedEvidenceDuration - see clause 5.4.7. • PreservationEvidenceRetentionPeriod - shall not be present. • Extension - see clause 5.4.7. F.4 Preservation scheme with signature augmentation and without storage F.4.1 Identifier The preservation scheme with signature augmentation and without storage is identified by the following URI: • http://uri.etsi.org/19512/scheme/pds+wos+aug F.4.2 Preservation goal(s) The present preservation scheme shall support the following preservation goal: • extending over long periods of time the validity status of digital signatures, which is indicated by the URI: - http://uri.etsi.org/19512/goal/pds Furthermore, a preservation service may indicate that it additionally supports: • the augmentation of submitted evidences, which is indicated by the URI: - http://uri.etsi.org/19512/goal/aug F.4.3 Preservation storage model The present preservation scheme supports the preservation storage model "without storage" according to clause 4.3.3, which corresponds to the value WithoutStorage within the PreservationStorageModel element (see clause 5.4.6). F.4.4 Supported operations F.4.4.1 Mandatory operations A preservation profile which implements the present preservation scheme shall support the following operation: • PreservePO according to clause 5.3.3. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 85 F.4.4.2 Optional operations A preservation service supporting this preservation scheme may support the following operations: • RetrieveTrace according to clause 5.3.7. • ValidateEvidence according to clause 5.3.8. F.4.4.3 Announcement of supported operations The set of supported operations, shall be indicated in the list of operations that is specified in the preservation profile, which refers to this scheme. F.4.5 Generation and Validation of Preservation Evidences The present preservation scheme augments the signature corresponding to the signature format, which are announced in the Profile/EvidenceFormat element with the following URIs: • http://uri.etsi.org/ades/CAdES/archive-time-stamp-v3 • http://uri.etsi.org/ades/XAdES/ArchiveTimeStamp • http://uri.etsi.org/ades/PAdES/document-time-stamp For this purpose, the PreservePO function of the present preservation scheme distinguishes two types cases: 1) the signature and the signed data are in the same object; 2) at least a part of the signed data is in a different object. In the second case the preservation service shall keep a link between the signature and the signed data. The preservation service verifies that all the validation data needed to validate the signature is available, adds this to the signature and protects it with a time-stamp corresponding the specific signature format. The preservation service chooses a hash algorithm to protect the validation data, the signature and the signed data corresponding to the state of the art. The evidence is included in the signature. The signature format specific standard specifies how to validate the corresponding evidence. The applied preservation evidence creation policy and a recommended preservation evidence validation policy may be announced in the applicable Profile/Policy element with Type equal to the following URI: • http://uri.etsi.org/19512/policy/preservation-evidence F.4.6 Augmentation of preservation evidences Based on monitoring the suitability of the cryptographic algorithms based on a suitable cryptographic policy, such as ETSI TS 119 312 [i.9] for example, the preservation service shall perform an augmentation of the signature according to the specific evidence format. F.4.7 Requirements and recommendations for preservation profiles For the preservation profile described within the Profile element (see clause 5.4.7) there are the following requirements and recommendations: • ProfileIdentifier - see clause 5.4.7. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 86 • Operation - shall indicate the supported operations according to clause F.4.4. • Policy - see clause 5.4.7. • ProfileValidityPeriod - see clause 5.4.7. • PreservationStorageModel - shall be equal to WithoutStorage. • PreservationGoal - shall indicate the supported preservation goals according to clause F.4.2. • EvidenceFormat - shall be present and indicate the supported evidence formats, whereas the following URIs may appear: - http://uri.etsi.org/ades/CAdES/archive-time-stamp-v3 - http://uri.etsi.org/ades/XAdES/ArchiveTimeStamp - http://uri.etsi.org/ades/PAdES/document-time-stamp • Specification - should be present at least once and refer to the URL at which the present document can be retrieved. This element may be present multiple times to refer to further specification documents which provide more details with respect to the profile, if necessary. • Description - see clause 5.4.7. • SchemeIdentifier - shall be equal to http://uri.etsi.org/19512/scheme/pgd+wos+aug. • ExpectedEvidenceDuration - see clause 5.4.7. • PreservationEvidenceRetentionPeriod - shall not be present. • Extension - see clause 5.4.7. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 87 Annex G (informative): Data structure for backup or migration of preservation services with storage G.1 Motivation and solution outline In case of a preservation service with storage (see clause 4.3.1), an important requirement with respect to interoperability is that it is possible to migrate the entire data stock from one preservation service to another one. As evidence records according to IETF RFC 4998 [3] or IETF RFC 6283 [4] only contain reduced hash-trees, which only contain the part of the hash-tree, which is relevant for a specific (set of) submission data object(s), the conventional operations of the Preservation-API according to clause 5, such as RetrievePO for the export of preservation objects and PreservePO for import of preservation objects are not always suitable for the migration of the entire data stock of a preservation service to another one. Against this background, the EvidenceExport data structure specified here, has been defined. This structure in particular comprises the full hash-trees related to the evidence records produced in a first preservation service such that a second preservation service can import this data structure and keep on preserving the submitted data objects in a seamless fashion. The structure may also be used for exporting data structures not based on a hash tree. NOTE: The EvidenceExchange structure defined here can also be used for backup purposes. G.2 Data Structures for migration of preservation services G.2.1 XML Namespace The XML elements of this clause are defined in the XML namespace: • 'http://uri.etsi.org/19512/exchange/v1.1.1#'. G.2.2 Component EvidenceExchange G.2.2.1 Semantics The EvidenceExchange structure contains the necessary data structures to export and import the entire data stock of a preservation service with storage. Below follows a list of the sub-components that may be present within this component: • The EvidenceInfo element may occur an arbitrary number of times and contain information on preservation evidences and satisfy the requirements specified in clause G.2.3. NOTE 1: The EvidenceInfo element can in particular contain or refer to evidence records according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. • The Object element may occur an arbitrary number of times and contain a preservation object of type POType as specified in clause 5.4.5. This preservation data object, is protected by one or more preservation evidences (e.g. evidence records). The preservation evidences are either contained in the EvidenceInfo/Evidence element or embedded in the Object element and identified by a corresponding EvidenceInfo/EvidenceRef element. The ID attribute of this element is present and the relatedObjects attribute may refer to the related EvidenceInfo and HashTree elements. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 88 NOTE 2: For each Object element, which is protected by an evidence record, there is at least one EvidenceInfo element. On the other hand, an evidence record can protect multiple data objects and hence a single EvidenceInfo element can refer to multiple Object elements. If redundant hash-trees with different hash algorithms and/or different time-stamping authorities are maintained, there will be multiple EvidenceInfo elements per Object. • The HashTree element may occur zero or more times and contain a hash-tree, if present. The hash trees may be according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. The detailed structure of this element is specified in clause G.2.4. The ID attribute of this element is present and the relatedObjects attribute refers to the related EvidenceInfo element. • The Other element may occur an arbitrary number of times and contain an element of type POType as specified in clause 5.4.5. This element may contain preservation specific metadata or elements, which extend the semantic of the EvidenceExchange element. G.2.2.2 Syntax The XML type EvidenceExchangeType implements the requirements defined in the EvidenceExchange component. The EvidenceExchangeType XML element is defined in the XML Schema EvidenceExchange.xsd (see clause C.2), and is copied below for information. <xs:complexType name="EvidenceExchangeType"> <xs:sequence> <xs:element maxOccurs="unbounded" minOccurs="0" ref="ex:EvidenceInfo"/> <xs:element maxOccurs="unbounded" minOccurs="0" ref="ex:Object"/> <xs:element maxOccurs="unbounded" minOccurs="0" ref="ex:HashTree"/> <xs:element maxOccurs="unbounded" minOccurs="0" name="Other" type="pres:POType"/> </xs:sequence> </xs:complexType> <xs:element name="EvidenceInfo" type="ex:EvidenceInfo" /> <xs:element name="Object" type="pres:POType" /> <xs:element name="HashTree" type="ex:HashTreeType" /> G.2.3 Component EvidenceInfo G.2.3.1 Semantics The EvidenceInfo element provides information with respect to preservation evidences and related data structures. It either contains a preservation evidence (Evidence) or refers to a preservation evidence (EvidenceRef) and it refers to related data structures, such as hash-trees (HashTreeRef), data objects (ObjectRef) or related preservation evidences (RelatedEvidenceRef). Below follows a list of the sub-components that constitute this component: • The optional Evidence element may be present and contain, if present, one instance of a sub-component, which satisfies the requirements specified in clause 5.4.4. • The optional EvidenceRef element may be present and contain, if present, one instance of a sub-component, which refers to a preservation evidence embedded in the preservation object referenced by the ObjectRef element below. • There will be either an Evidence element or an EvidenceRef element. • The optional HashTreeRef element may be present multiple times and contain, if present, one instance of a sub-component, which refers to the hash-tree related to the preservation evidence, which is embedded in the Evidence element or identified by EvidenceRef. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 89 • The optional ObjectRef element may be present multiple times and refer, if present, to an Object element, which is protected by the preservation evidence, which is embedded in the Evidence element or identified by EvidenceRef. • The optional RelatedEvidenceRef element may be present and refer, if present, to related preservation evidences, which are related to the preservation evidence, which is embedded in the Evidence element or identified by EvidenceRef. • The ID element contains one instance of a unique identifier. G.2.3.2 Syntax The XML type EvidenceType implements the requirements defined in the Evidence component. The EvidenceType XML element is defined in XML Schema EvidenceExchange.xsd (see clause C.2) and is copied below for information. <xs:complexType name="EvidenceType"> <xs:sequence> <xs:choice> <xs:element ref="pres:Evidence"/> <xs:element name="EvidenceRef" type="xs:IDREF"/> </xs:choice> <xs:element name="HashTreeRef" type="xs:IDREF" maxOccurs="unbounded" minOccurs="0"/> <xs:element name="ObjectRef" type="xs:IDREF" maxOccurs="unbounded" minOccurs="0"/> <xs:element name="RelatedEvidenceRef" type="xs:IDREF" maxOccurs="unbounded" minOccurs="0"/> </xs:sequence> <xs:attribute name="ID" type="xs:ID" use="required"/> </xs:complexType> G.2.4 Component HashTree G.2.4.1 Semantics The HashTree element contains a hash-tree according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. Below follows a list of the sub-components that are present within this component: • The Node element corresponds to the root of the hash-tree, which may by recursion contain further inner nodes of the hash-tree represented by Node elements (see clause G.2.6), single Leaf elements (see clause G.2.7) or Group elements (see clause G.2.8), which correspond to data object groups according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. The detailed structure of the Node element, which is derived from the abstract AbstractNode component (see clause G.2.5) is specified in clause G.2.6. • The DigestMethod element specifies the hash algorithm which was used for the creation of the hash tree. G.2.4.2 XML Syntax The XML type HashTreeType implements the requirements defined in the HashTree component. The HashTreeType XML element is defined in XML Schema EvidenceExchange.xsd (see clause C.2) and is copied below for information. <xs:complexType name="HashTreeType"> <xs:sequence> <xs:element ref="ex:Node"/> <xs:element ref="ds-rw:DigestMethod"/> </xs:sequence> </xs:complexType> ETSI ETSI TS 119 512 V1.2.1 (2023-05) 90 G.2.5 Component AbstractNode G.2.5.1 Semantics The AbstractNode component is an abstract component, which corresponds to some node within the hash-tree. It forms the basis for deriving the Node (see clause G.2.6), Leaf (see clause G.2.7) and Group elements (see clause G.2.8) and contains a DigestValue element, which contains a hash value attached to the node of the hash-tree. Below follows a list of the sub-components that may be present within this component: • The DigestValue element contains the hash value corresponding to the node of the hash-tree produced with the DigestMethod within the HashTree element above. G.2.5.2 Syntax The XML type AbstractNodeType implements the requirements defined in the AbstractNode component. The AbstractNodeType XML element is defined in XML Schema EvidenceExchange.xsd (see clause C.2) and is copied below for information. <xs:complexType abstract="true" name="AbstractNodeType"> <xs:sequence> <xs:element ref="ds-rw:DigestValue"/> </xs:sequence> </xs:complexType> G.2.6 Component Node G.2.6.1 Semantics The Node component corresponds to the root node or some inner node of the hash-tree, which has an associated hash value (DigestValue) attached to it by derivation from AbstractNodeType (see clause G.2.5). The Node element may contain an arbitrary number of child elements, which may either be Node elements again, or alternatively Leaf (see clause G.2.7) or Group elements (see clause G.2.8). Below follows a list of the sub-components that may be present an arbitrary number of times within this component in addition to the DigestValue element, which is included by derivation from AbstractNodeType (see cluse G.2.5): • The Node element corresponds to inner nodes of the hash-tree. • The Leaf element (see clause G.2.7) corresponds to a single leaf of the hash-tree. • The Group element (see clause G.2.8) correspond to data object groups according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. G.2.6.2 Syntax The XML type NodeType implements the requirements defined in the Node component. The NodeType XML element is defined in XML Schema EvidenceExchange.xsd (see clause C.2) and is copied below for information. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 91 <xs:complexType name="NodeType"> <xs:complexContent> <xs:extension base="ex:AbstractNodeType"> <xs:choice maxOccurs="unbounded" minOccurs="0"> <xs:element ref="ex:Node"/> <xs:element ref="ex:Leaf"/> <xs:element ref="ex:Group"/> </xs:choice> </xs:extension> </xs:complexContent> </xs:complexType> G.2.7 Component Leaf G.2.7.1 Semantics The Leaf element represents a leaf of a Hash Tree. It may contain a Reference element, which points to the Object associated with the leaf and which are protected by the Hash Tree. Below follows a list of the sub-components that may be present within this component in addition to the DigestValue element, which is included by derivation from AbstractNodeType (see clause G.2.5): • A Reference element is an XML-reference, which points to the corresponding Object (see clause G.2.2) protected by the hash-tree. G.2.7.2 Syntax The XML type LeafType implements the requirements defined in the Leaf component. The LeafType XML element is defined in XML Schema EvidenceExchange.xsd (see clause C.2) and is copied below for information. <xs:complexType name="LeafType"> <xs:complexContent> <xs:extension base="ex:AbstractNodeType"> <xs:sequence> <xs:element maxOccurs="1" minOccurs="0" ref="ex:Reference"/> </xs:sequence> </xs:extension> </xs:complexContent> </xs:complexType> <xs:element name="Leaf" type="ex:LeafType" /> <xs:element name="Reference" type="xs:IDREF" /> G.2.8 Component Group G.2.8.1 Semantics The Group element (see clause G.2.8) correspond to data object groups according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. Below follows a list of the sub-components that may be present within this component in addition to the DigestValue element, which is included by derivation from AbstractNodeType (see clause G.2.5): • The Leaf element occurs one or more times and correspond to the individual data objects within a data object group according to IETF RFC 4998 [3] or IETF RFC 6283 [4]. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 92 G.2.8.2 Syntax The XML type GroupType implements the requirements defined in the Group component. The GroupType XML element is defined in XML Schema EvidenceExchange.xsd (see clause C.2) and is copied below for information. <xs:complexType name="GroupType"> <xs:complexContent> <xs:extension base="ex:AbstractNodeType"> <xs:sequence> <xs:element maxOccurs="unbounded" minOccurs="1" ref="ex:Leaf"/> </xs:sequence> </xs:extension> </xs:complexContent> </xs:complexType> ETSI ETSI TS 119 512 V1.2.1 (2023-05) 93 Annex H (normative): Attributes for preservation evidences H.1 Introduction The attributes defined in the present annex are meant to be inserted in preservation evidences. The ASN.1-based attributes defined in the present annex shall be inserted as attribute in an ASN.1-based evidence record according to IETF RFC 4998 [3] or as unsigned attribute of a CAdES digital signature according to ETSI EN 319 122-1 [i.5] before an archive-time-stamp-v3 attribute is applied. The XML-based elements defined in the present annex shall be inserted as a child element of the Attribute element in an XML-based evidence record according to IETF RFC 6283 [4] or as unsigned property of a XAdES digital signature according to ETSI EN 319 132-1 [i.7] before an ArchiveTimeStamp property is applied. H.2 The preservation-service-identifier attribute H.2.1 Semantics The preservation-service-identifier attribute shall contain a URI according to IETF RFC 3986 [2], which uniquely identifies the preservation service. NOTE: This identifier can appear in a trusted list according to ETSI TS 119 612 [i.4] as service digital identity according to clause 5.5.3 of the present document. H.2.2 ASN.1-Syntax The corresponding definitions shall be as defined in Annex I and are copied here for information. The preservation-service-identifier attribute shall contain exactly one component of AttributeValue type. The preservation-service-identifier attribute shall be an instance of PreservationServiceIdentifier ASN.1 type. The preservation-service-identifier attribute shall be identified by the id-pres-preservation- service-identifier OID. id-pres-preservation-service-identifier OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes(1) 1 }}. PreservationServiceIdentifier ::= IA5Strin. H.2.3 XML-Syntax The XML element PreservationServiceIdentifier shall implement the requirements defined for the preservation-service-identifier attribute. The PreservationServiceIdentifier XML element is defined in XML Schema Preservation-API.xsd (see Annex C) and is copied below for information. <element name="PreservationServiceIdentifier" type="anyURI"/> ETSI ETSI TS 119 512 V1.2.1 (2023-05) 94 H.3 The preservation-evidence-policy attribute H.3.1 Semantics The preservation-evidence-policy attribute shall contain a URI according to IETF RFC 3986 [2], which uniquely identifies the preservation evidence policy of a preservation evidence. This URI shall be identical to the URI used in the Profile/Policy/PolicyByRef/PolicyID element (see clause 5.4.7) corresponding to the preservation evidence policy. H.3.2 ASN.1-Syntax The corresponding definitions shall be as defined in Annex I and are copied here for information. The preservation-evidence-policy attribute shall contain exactly one component of AttributeValue type. The preservation-evidence-policy attribute shall be an instance of PreservationEvidencePolicy ASN.1 type. The preservation-evidence-policy attribute shall be identified by the id-pres-preservation- evidence-policy OID. id-pres-preservation-evidence-policy OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes(1) 2 }}. PreservationEvidencePolicy ::= IA5String. H.3.3 XML-Syntax The XML element PreservationEvidencePolicy shall implement the requirements defined for the preservation-evidence-policy attribute. The PreservationEvidencePolicy XML element is defined in XML Schema Preservation-API.xsd (see Annex C) and is copied below for information. <element name="PreservationEvidencePolicy" type="anyURI"/> H.4 The preservation-profile attribute H.4.1 Semantics The preservation-profile attribute shall contain a URI according to IETF RFC 3986 [2], which uniquely identifies the preservation profile used to produce a preservation evidence. This URI shall be identical to the URI used in the Profile/ProfileIdentifier element (see clause 5.4.7) to reference the identifier of the preservation profile. H.4.2 ASN.1-Syntax The corresponding definitions shall be as defined in Annex I and are copied here for information. The preservation-profile attribute shall contain exactly one component of AttributeValue type. The preservation-profile attribute shall be an instance of PreservationProfile ASN.1 type. The preservation-profile attribute shall be identified by the id-pres-preservation-profile OID. ETSI ETSI TS 119 512 V1.2.1 (2023-05) 95 id-pres-preservation-profile OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes(1) 3 }}. PreservationProfile ::= IA5String. H.4.3 XML-Syntax The XML element PreservationProfile shall implement the requirements defined for the preservation-profile attribute. The PreservationProfile XML element is defined in XML Schema Preservation-API.xsd (see Annex C) and is copied below for information. <element name="PreservationProfile" type="anyURI"/> ETSI ETSI TS 119 512 V1.2.1 (2023-05) 96 Annex I (normative): ASN.1 syntax for attributes for preservation evidences In case of discrepancy in the ASN.1 definitions between the previous clauses and this annex, this annex takes precedence. The following ASN.1 module shall be interpreted using the syntax defined in Recommendation ITU-T X.680 [7]. ETSI-Preservation-Attributes { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes (1) } DEFINITIONS EXPLICIT TAGS ::= BEGIN -- EXPORTS All - -- Object Identifier arc for attributes defined in the present document id-pres-preservation-evidence-attributes OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes (1)} -- preservation-service-identifier (Annex H.1) id-pres-preservation-service-identifier OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes(1) 1 }} PreservationServiceIdentifier ::= IA5String -- preservation-evidence-policy (Annex H.2) id-pres-preservation-evidence-policy OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes(1) 2 }} PreservationEvidencePolicy ::= IA5String -- preservation-profile (Annex H.3) id-pres-preservation-profile OBJECT IDENTIFIER ::= { itu-t(0) identified-organization(4) etsi(0) preservation(19512) attributes(1) 3 }} PreservationProfile ::= IA5String END ETSI ETSI TS 119 512 V1.2.1 (2023-05) 97 Annex J (informative): Change history date Version Information about changes October 2020 1.1.2 Minor corrections to the schema files April 2023 1.2.1 Corrections to the Preservation Object (PO) and Evidence components as well as clarifications for DigestList ETSI ETSI TS 119 512 V1.2.1 (2023-05) 98 History Document history V1.1.1 January 2020 Publication V1.1.2 October 2020 Publication V1.2.1 May 2023 Publication
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1 Scope
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The present document builds on the general policy requirements specified in ETSI EN 319 401 [1], specifies policy and security requirements for trust service providers providing long-term preservation of digital signatures and of general data, i.e. signed data or unsigned data, using digital signature techniques. The present document aims at supporting preservation services in different regulatory frameworks. Specifically, but not exclusively, the preservation service addressed in the present document aims at supporting qualified preservation service for qualified electronic signatures or seals as per Regulation (EU) No 910/2014 [i.2]. Specifically, but not exclusively, digital signatures in the present document cover electronic signatures, advanced electronic signatures, qualified electronic signatures, electronic seals, advanced electronic seals, and qualified electronic seals as per Regulation (EU) No 910/2014 [i.2]. The present document addresses two main cases: 1) The preservation over long periods of time, using digital signature techniques, of the ability to validate a digital signature, of the ability to maintain its validity status and of the ability to get a proof of existence of the associated signed data as they were at the time of the submission to the preservation service even if later the signing key becomes compromised, the certificate expires, or cryptographic attacks become feasible on the signature algorithm or the hash algorithm used in the submitted signature. NOTE 1: A qualified preservation service for qualified electronic signatures or seals as per Regulation (EU) No 910/2014 [i.2] for which the status of the technical validity needs to be preserved, is covered in this case. NOTE 2: The validity status of a signature means the status of the signature that will not change over time. Such a status may be valid (TOTAL_PASSED according to ETSI EN 319 102-1 [i.6]) or invalid (TOTAL_FAILED and certain cases for INDETERMINATE according to ETSI EN 319 102-1 [i.6]). NOTE 3: "Digital signature techniques" designates techniques based on digital signatures, time-stamps or evidence records. 2) The provision of a proof of existence of digital objects, whether they are signed or not, using digital signature techniques (digital signatures, time-stamp tokens, evidence records, etc.). NOTE 4: In this case, even if the main object to be preserved is a signature, it is treated in the same way as any other file. NOTE 5: A proof of existence of digital object not using digital signature techniques is not in the scope of the present document. The present document covers different strategies for the preservation service. The applicable requirements depend on the strategy chosen by the preservation service. EXAMPLE 1: The preservation service can provide storage, no storage, or temporary storage. EXAMPLE 2: The preservation service can receive the digital signature, the signed data, the revocation information or only hash values and evidences. The present document identifies specific controls needed to address specific risks associated with preservation services. The transformation of the original data into another data object with equivalent object content and semantic to avoid the risk that the original data object/viewer system is becoming obsolete is out of the scope of the present document. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 8
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2 References
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2.1 Normative references
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References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at https://docbox.etsi.org/Reference. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are necessary for the application of the present document. [1] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers". [2] ETSI TS 119 612: "Electronic Signatures and Infrastructures (ESI); Trusted Lists". [3] ISO/IEC 15408 (parts 1 to 3): "Information technology -- Security techniques -- Evaluation criteria for IT security". [4] ISO/IEC 19790: "Information technology -- Security techniques -- Security requirements for cryptographic modules". [5] FIPS PUB 140-2: "Security Requirements for Cryptographic Modules".
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2.2 Informative references
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References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the referenced document (including any amendments) applies. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are not necessary for the application of the present document but they assist the user with regard to a particular subject area. [i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data. [i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. OJ L 257, 28.8.2014, p. 73-114. [i.3] Commission Implementing Decision (EU) 2015/1505 of 8 September 2015 laying down technical specifications and formats relating to trusted lists pursuant to Article 22(5) of Regulation (EU) No 910/2014 of the European Parliament and of the Council on electronic identification and trust services for electronic transactions in the internal market. [i.4] ETSI TR 119 001: "Electronic Signatures and Infrastructures (ESI); The framework for standardization of signatures; Definitions and abbreviations". [i.5] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites". [i.6] ETSI EN 319 102-1: "Electronic Signatures and Infrastructures (ESI); Procedures for Creation and Validation of AdES Digital Signatures; Part 1: Creation and Validation". ETSI ETSI TS 119 511 V1.1.1 (2019-06) 9 [i.7] ETSI TS 119 122-3: "Electronic Signatures and Infrastructures (ESI); CAdES digital signatures; Part 3: Incorporation of Evidence Record Syntax (ERS) mechanisms in CAdES". [i.8] ETSI EN 319 162-1: "Electronic Signatures and Infrastructures (ESI); Associated Signature Containers (ASiC); Part 1: Building blocks and ASiC Baseline containers". [i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General requirements". [i.10] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service providers issuing EU qualified certificates". [i.11] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing Time-Stamps". [i.12] ETSI EN 319 422: "Electronic Signatures and Infrastructures (ESI); Time-stamping protocol and time-stamp token profiles". [i.13] ETSI TS 119 512: "Electronic Signatures and Infrastructures (ESI); Protocols for trust service providers providing long-term data preservation services". [i.14] ISO/IEC 21320-1 (2015): "Information technology -- Document Container File -- Part 1: Core". [i.15] ISO 14641-1:2018: "Electronic archiving -- Part 1: Specifications concerning the design and the operation of an information system for electronic information preservation". [i.16] ISO 14721:2012: "Space data and information transfer systems -- Open archival information system (OAIS) -- Reference model". [i.17] ISO 16363:2011: "Space data and information transfer systems -- Audit and certification of trustworthy digital repositories". [i.18] IETF RFC 3161: "Internet X.509 Public Key Infrastructure Time-Stamp Protocol (TSP)". [i.19] IETF RFC 3986: "Uniform Resource Identifier (URI): Generic Syntax". [i.20] IETF RFC 4998: "Evidence Record Syntax (ERS)". [i.21] IETF RFC 5280 (2008): Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile". [i.22] IETF RFC 5816 (2010): "ESSCertIDv2 Update for RFC 3161". [i.23] IETF RFC 6283 (2011): "Extensible Markup Language Evidence Record Syntax (XMLERS)". [i.24] IETF RFC 6960 (2013): "Online Certificate Status Protocol - OCSP". [i.25] W3C Recommendation 26 November 2008: "Extensible Markup Language (XML) 1.0 (Fifth Edition)". NOTE: Available at https://www.w3.org/TR/REC-xml/. [i.26] BSI TR-03125-F: "Preservation of Evidence of Cryptographically signed Documents", Formats (TR-ESOR-F). NOTE: Available at https://www.bsi.bund.de/EN/tr-esor_XAIP. [i.27] BSI TR-03125-M.3: "Preservation of Evidence of Cryptographically signed Documents", Formats (TR-ESOR-M.3). NOTE: Available at https://www.bsi.bund.de/EN/tr-esor. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 10 3 Definition of terms, symbols, abbreviations and notations
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3.1 Terms
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For the purposes of the present document, the terms given in ETSI TR 119 001 [i.4] and the following apply: certificate status authority: authority providing certificate status information EXAMPLE: The certificate status information can be provided using the Online Certificate Status Protocol (OCSP) [i.24] or in form of Certificate Revocation Lists (CRL) [i.21]. container: data object, which contains a set of data objects and optional additional information, which describes the contained data objects and optionally its content and its interrelationships EXAMPLE: The format of a container can be based on, ZIP as defined in ISO/IEC 21320-1 [i.14] or XML [i.25]. ASiC [i.8] is an example of a container based on ZIP. NOTE: Additional information may comprise associated digital signatures, time-stamps, evidence records, validation data (CRLs, OCSP responses) and validation reports. data object: actual binary/octet data being operated on (e.g. transformed, digested, or signed) by an application and which may be associated with additional information like an identifier, the encoding, size or type delta preservation object container: special preservation object container describing the difference to an already existing preservation object container digital signature techniques: techniques based on digital signatures, time-stamps or evidence records EU qualified time-stamping authority: qualified trust-service provider issuing qualified electronic time-stamps as laid down in Regulation (EU) 910/2014 [i.2] evidence record: unit of data, which can be used to prove the existence of an archived data object or an archived data object group at a certain time NOTE: See IETF RFC 4998 [i.20], IETF RFC 6283 [i.23] and ETSI TS 119 122-3 [i.7]. expected evidence duration: for a preservation service with temporary storage or without storage, duration during which the preservation service expects that the preservation evidence can be used to achieve the preservation goal export-import package: information extracted from the preservation service including the submission data object (SubDO), the preservation evidence and preservation-related metadata, allowing another preservation service to import it in order to continue to achieve the preservation goal based on this information long-term: time period during which technological changes may be a concern EXAMPLE: Possible technological changes are obsolescence of cryptographic technology such as crypto algorithms, key sizes or hash functions, key compromises. long-term preservation: extension of the validity status of a digital signature over long periods of time and/or extension of provision of proofs of existence of data over long periods of time, in spite of obsolescence of cryptographic technology such as crypto algorithms, key sizes or hash functions, key compromises or of the loss of the ability to check the validity status of public key certificates metadata: data about other data NOTE: See ISO 14721:2012 [i.16]. notification protocol: protocol used by a preservation service to notify the preservation client preservation client: component or a piece of software which interacts with a preservation service via the preservation protocol ETSI ETSI TS 119 511 V1.1.1 (2019-06) 11 preservation evidence: evidence produced by the preservation service which can be used to demonstrate that one or more preservation goals are met for a given preservation object preservation evidence augmentation: addition of data to an existing preservation evidence to extend the validity period of that evidence EXAMPLE: Adding a new time-stamp protecting additional validation data which can be used to validate a previous signature and/or time-stamp, and/or the hash of the protected data using a stronger hash algorithm. preservation evidence policy: set of rules that specify the requirements and the internal process to generate or how to validate a preservation evidence preservation evidence retention period: for a preservation service With Temporary Storage (WTS) the time period during which the evidences that are produced asynchronously can be retrieved from the preservation service preservation goal: one of the following objectives achieved during the preservation time frame: extending over long periods of time the validity status of digital signatures, providing proofs of existence of data over long periods of time, or augmenting externally provided preservation evidences NOTE: A preservation service can achieve one or more preservation goals. preservation mechanism: mechanism used to preserve preservation objects and to maintain the validity of preservation evidences NOTE: The present document only addresses preservation mechanisms based on digital signature techniques. preservation interface: component implementing the preservation protocol on the side of the preservation service preservation manifest: data object in a preservation object container referring to the preservation data objects or additional information and metadata in the preservation object container EXAMPLE 1: Additional file in an ASiC-container according to ETSI EN 319 162-1 [i.8], clause A.7. EXAMPLE 2: versionManifest in TR-ESOR-F [i.26]. EXAMPLE 3: An XML based manifest data element in an XML-based Preservation Object Container (POC). preservation object: typed data object which is submitted to, processed by or retrieved from a preservation service NOTE: This covers submission data objects, preservation object containers and preservation evidences. preservation object container: container which contains a set of data objects and optionally related metadata providing information about the data objects and optionally preservation manifest(s) specifying its content and relationships EXAMPLE 1: An ASiC-S or ASiC-E container is a Preservation Object Container that supports one or more signature and time assertion files each applicable to its own set of one or more files. EXAMPLE 2: An OAIS Submission Information Packages is a Preservation Object Container. preservation object identifier: unique identifier of a (set of) preservation object(s) submitted to a preservation service preservation period: for a preservation service with storage, duration during which the preservation service preserves the submitted preservation objects and the associated evidences NOTE: The submitted preservation objects can be updated during the preservation period. preservation profile: uniquely identified set of implementation details pertinent to a preservation storage model and one or more preservation goals which specifies how preservation evidences are generated and validated NOTE: See clause 4.3 of the present document and the description of a machine-readable version in ETSI TS 119 512 [i.13]. preservation protocol: protocol to communicate between the preservation service and a preservation client ETSI ETSI TS 119 511 V1.1.1 (2019-06) 12 preservation scheme: generic set of procedures and rules pertinent to a preservation storage model and one or more preservation goals which outlines how preservation evidences are created and validated NOTE 1: Different preservation profiles can implement the same preservation scheme. NOTE 2: A preservation scheme can be implemented by one or more preservation profiles. preservation service: service capable of extending the validity status of a digital signature over long periods of time and/or of providing proofs of existence of data over long periods of time preservation service provider: trust service provider providing a preservation service preservation service policy: trust service policy for a preservation service preservation service practice statement: trust service practice statement for a preservation service preservation storage model: one of the following ways of implementing a preservation service: with storage, with temporary storage, without storage preservation submitter: legal or natural person using the preservation client to submit the submission data object preservation subscriber: legal or natural person bound by agreement with a preservation trust service provider to any subscriber obligations proof of existence: evidence that proves that an object existed at a specific date/time proof of integrity: evidence that data has not been altered since it was protected NOTE: A proof of existence requires and implies a proof of integrity. EU qualified preservation service: preservation service that meets the requirements for qualified preservation service for qualified electronic signatures and/or for qualified electronic seals as laid down in Regulation (EU) 910/2014 [i.2] signer: entity being the creator of a digital signature submission data object: original data object provided by the client NOTE: If provided by the client, the Preservation Object Container (POC) is a submission data object. time assertion: time-stamp token or an evidence record time-stamp: data in electronic form which binds other electronic data to a particular time establishing evidence that these data existed at that time time-stamping authority: trust service provider which issues time-stamps using one or more time-stamping units time-stamping service: trust service for issuing time-stamps time-stamping unit: set of hardware and software which is managed as a unit and has a single time-stamp signing key active at a time trusted list: list that provides information about the status and the status history of the trust services from trust service providers regarding compliance with the applicable requirements and the relevant provisions of the applicable legislation NOTE: In the context of European Union Member States, as specified in Regulation (EU) No 910/2014 [i.2], it refers to an EU Member State list including information related to the qualified trust service providers for which it is responsible, together with information related to the qualified trust services provided by them. validation data: data that is used to validate a digital signature
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3.2 Symbols
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Void. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 13
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3.3 Abbreviations
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For the purposes of the present document, the abbreviations given in ETSI TR 119 001 [i.4] and the following apply: AUG Augmentation goal CSA Certificate Status Authority EUMS European Union Member State OVR Overall PDS Preservation of Digital Signatures PGD Preservation of General Data PO Preservation Object POC Preservation Object Container PRP Preservation service Protocol PSP Preservation Service Provider QES Qualified Electronic Signature or Qualified Electronic Seal SigS digital Signature creation Service SubDO Submission Data Object TS Trust Service TSA Time-Stamping Authority TSP Trust Service Provider ValS Validation Service WOS Without Storage WST With Storage WTS With Temporary Storage
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3.4 Notations
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The requirements, recommendations or permissions identified in the present document include: a) requirements, recommendations or permissions applicable to any TSP conforming to the present document. Such requirements are indicated by clauses without any additional marking; b) requirements, recommendations or permissions applicable under certain conditions. Such requirements are indicated by clauses marked by "[CONDITIONAL]"; c) requirements, recommendations or permissions applicable to specific sub-group of preservation are marked as follows: - [WOS] preservation service without storage; - [WTS] preservation service with temporary storage; - [WST] preservation service with storage; - [PDS] preservation of digital signatures; - [PGD] preservation of general data; - [PDS+PGD] combined preservation of digital signatures and general data; - [AUG] augmentation of submitted preservation evidence. The requirements, recommendations or permissions in the present document are identified as follows: <the 3 letters identifying the elements of services > - < the clause number> - <2-digit number - incremental> The elements of services are: • OVR: General requirements, recommendations or permissions (requirement applicable to more than 1 component). • PRP: Preservation service protocol. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 14 The management of the requirement identifiers for subsequent editions of the present document is as follows: • When a requirement is inserted at the end of a clause, the 2-digit number above is incremented to the next available digit. • When a requirement is inserted between two existing requirements, capital letters appended to the previous requirement identifier are used to distinguish new requirements. • The requirement identifier for deleted requirements are left and completed with "VOID". The requirement identifier for modified requirements is left void and the modified requirement is identified by capital letter(s) appended to the initial requirement number.
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4 General Concepts
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4.1 Preservation storage models
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4.1.1 Overview
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Three preservation storage models for the preservation service are distinguished: 1) Preservation services with storage [WST]. In this case, the data to be preserved is stored by the preservation service while the evidences and the preserved data are delivered upon request by the preservation service to the preservation client. The preservation service stores the submitted data object(s) (SubDO(s)) and the preservation object(s) (PO(s)) and the associated preservation evidences. The PO(s) are derived from the SubDo(s) by augmentation or by building a Preservation Object Container (POC). Specific requirements, recommendations or permissions for this case are marked by [WST], see clause 3.4. 2) Preservation services with temporary storage [WTS]. In this case, the data to be preserved is stored on the client side. The preservation service keeps the data or a hash of the data to be preserved only temporarily at latest until the evidence is produced. Evidences are produced asynchronously. Once they are produced, the evidences are stored during some time period to allow the client to retrieve them. Specific requirements, recommendations or permissions for this case are marked by [WTS], see clause 3.4. EXAMPLE: Evidences records can be produced daily using the hash values of the data to be preserved that has been presented during 24 hours. 3) Preservation services without storage [WOS]. In this case, the data to be preserved is stored on the client side. The preservation service neither stores the SubDO nor the preservation evidences. Evidences are produced synchronously and are included in the response. The preservation service only keeps traces of its actions to be able to provide records of its activities. Specific requirements, recommendations or permissions for this case are marked by [WOS], see clause 3.4. Depending on the preservation storage model, the service will implement different processes. The three models are shown in figures 1, 2 and 3. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 15
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4.1.2 Preservation service with storage [WST]
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Figure 1: Functional model of a preservation service with storage [WST] The preservation protocol allows the preservation client to interact with the preservation interface. A preservation service with storage stores the SubDO and the preservation object(s) (PO(s)) derived from the SubDO(s) by augmentation or building a Preservation Object Container (POC) and produces preservation evidences upon request according to a preservation profile that has been previously selected. The preservation client of the submitter submits one or more SubDO(s) to the preservation service and receives back a preservation object identifier. Afterwards, during the preservation period, the preservation client is able to retrieve upon request one or more preservation evidence(s) and/or Preservation Objects (POs). The preservation service provides the possibility to delete the stored PO(s). In case of the deletion of preservation evidences the corresponding SubDOs and derived POs are to be deleted as well. According to the preservation profile that has been previously selected, the preservation service can keep the preservation evidences when deleting the SubDOs, but not the other way around, until the end of the preservation period. A preservation service with storage can allow to provide a new version of an already submitted PO. The link between different versions is covered in the POC. Such a functionality allows to specify the difference to the previous version. The preservation service can contact external TSPs to retrieve information needed to create the preservation evidences. Such services can be Certificate Status Authorities (CSA), Time-Stamping Authorities (TSA), digital Signature creation Service (SigS) or Validation Services (ValS) or archival service. The preservation service uses an internal or external TSA in producing the preservation evidences. The preservation service monitors the cryptographic algorithms used within the stored preservation evidences (see clause 7.14) and augments the preservation evidences, if needed (see clause 7.15). ETSI ETSI TS 119 511 V1.1.1 (2019-06) 16
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4.1.3 Preservation service with temporary storage [WTS]
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Figure 2: Functional model of a preservation service with temporary storage [WTS] The preservation protocol allows the preservation client to interact with the preservation interface. A preservation service with temporary storage temporarily stores one or more SubDO(s) or one or more submitted hash value(s) received by the preservation client until the preservation evidence(s) are made available for retrieval by the client and then deletes them. The preservation service makes evidences asynchronously available after a time period according to the preservation profile. Once a preservation service has produced the evidences, they can be obtained upon request during the preservation evidence retention period. The preservation service can contact external TSPs to retrieve information needed to create the preservation evidences. Such services can be Certificate Status Authorities (CSA), Time-Stamping Authorities (TSA), Signature or Seal creation Service (SigS) or Validation Services (ValS). The preservation service uses an internal or external TSA in producing the preservation evidences. The preservation service monitors the cryptographic algorithms used within its active profiles (see clause 7.14) and changes the set of applicable algorithms if needed. The preservation evidences are created according to the active profiles and augmented, if needed (see clause 7.15). ETSI ETSI TS 119 511 V1.1.1 (2019-06) 17
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4.1.4 Preservation service without storage [WOS]
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Figure 3: Functional model of a preservation service without storage [WOS] The preservation protocol allows the preservation client to interact with the preservation interface. A preservation service without storage neither stores the data to be preserved nor a hash of the data nor evidences. It produces evidences synchronously according to the preservation profile. The submitter submits one or more a SubDO(s) and immediately retrieves a response with one or more preservation evidence(s) for it (synchronous mode). The preservation service monitors the cryptographic algorithms used within its active profiles (see clause 7.14) and changes the set of applicable algorithms if needed. The preservation evidences are created according to the active profiles. The preservation service can contact external TSPs to retrieve information needed to create the preservation evidences. Such services can be Certificate Status Authorities (CSA), Time-Stamping Authorities (TSA), Signature or Seal creation Service (SigS) or validation services (ValS). The preservation service uses an internal or external TSA in producing the preservation evidences.
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4.2 Functional goals
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Different scenarios for preservation services can be distinguished, each having specific security and policy requirements. A preservation service can provide: 1) the provision of proofs of existence over long periods of time of general data whether this data is signed or not; 2) the preservation over long periods of time of the ability to validate a digital signature, to maintain its validity status and to get a proof of existence of the associated signed data; and/or 3) the augmentation of preservation evidence submitted to the preservation service. In the first case, the goal of a preservation service is to produce evidence that data or a collection of data indeed have not been altered and existed at a certain time. Specific requirements, recommendations or permissions for this care are marked by [PGD], see clause 3.4. In the second case, the ability to validate a digital signature and to maintain its validity status is obtained by making sure that all needed validation data is collected, verified and protected using digital signature techniques. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 18 NOTE 1: ETSI EN 319 102-1 [i.6] defines different validation statuses (TOTAL_VALID, TOTAL_FAILED, INDETERMINATE). NOTE 2: The main difference between the first and the second case is that in the second date the validation data corresponding to the signature is preserved as well, see OVR-9.3-03 in clause 9.3. These evidences provide a proof of existence of the digital signature and the validation data (time-stamps, certification paths, revocation information), and also a proof of existence of the signed data in case the signed data is provided together with the signature. The validation data can be included either in the information submitted to the preservation service, or can be obtained by the preservation service. The present document does not give any restrictions on how the validation data is collected and protected in the preservation evidence. NOTE 3: The validation data can be included directly into the evidence or into a validation report. NOTE 4: The preservation service is not a signature validation service. It can use a signature validation service to create a validation report, or to make sure that all needed validation data is collected and verified, but this is not needed, as long as it collects, verifies and protects all the validation data needed to preserve the ability to validate the digital signature and to maintain its validity status over long periods of time. In case all the needed validation data cannot be collected and verified by the preservation service, the preservation profile indicates how the preservation service will react. Possible strategies for the preservation service are: • to indicate a failure; or • to preserve all the information it can collect; or • if possible, try to collect missing validation data at a later point in time. Specific requirements, recommendations or permissions for this case are marked by [PDS], see clause 3.4. A preservation service can also provide both, extending the validity status of submitted digital signatures and at the same time providing a proof of existence for the other submitted data [PDS+PGD]. In addition to the first two cases, the preservation service can support an augmentation goal of submitted preservation evidences. In this case, the preservation service allows the client to submit one or more preservation evidence(s) which will then be augmented by the preservation service, if needed. EXAMPLE 1: The preservation service allows to receive an evidence record created by a different preservation service, and the protected data, and will continue the preservation of the data by augmenting the originally submitted preservation evidence. NOTE 5: For a preservation service with storage, the augmentation of preservation evidence during the preservation period is independent of the "augmentation goal", since it augments internally stored preservation evidence(s) and not submitted preservation evidence(s). A preservation service can support the augmentation goal alone or in combination with other goals. The mapping between the signed documents(s) and their hashes used within the signature(s) is essential when preserving a signature. EXAMPLE 2: In Regulation (EU) No 910/2014 [i.2] the link between the signed document and the signature is part of the conditions for an advanced electronic signature/seal. However due to confidentiality, privacy or performance reasons there are use cases where it is preferable to submit only the hashes of the signed documents to the preservation service. In this case, the preservation of the signed document falls out of the control and responsibility of the preservation service. The preservation service is only responsible for the preservation of the submitted hashes. The proof of existence of the hash value gives a proof of the existence of the hashed object as long as the hash algorithm is considered strong enough. A preservation service might provide the possibility to send new hash values of the signed document before the originally used hash algorithm becomes week. These values can for example be used to do a hash-tree renewal or update an evidence. However, again in this case the preservation service is only responsible for the preservation of the submitted hashes, it has no way of checking if the new hash values are related to the originally provided ones. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 19
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4.3 Preservation service applicable documentation
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4.3.1 Preservation service practice statement
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The PSP develops, implements, enforces, and updates a preservation practice statements which is a trust service practice statement such as defined in ETSI EN 319 401 [1], instantiated for a preservation service. See clause 6.1. The preservation service practice statements describe how the PSP operates its service and is owned by the PSP. The recipients of the practice statements can be the auditors, the subscribers and the relying parties. NOTE: The presence of some elements is mandatory in the preservation service practice statement as requested in the present document, however the present document places no restriction on the form of the preservation service practice statement; it can be included in a general TSP practice statement document that covers other services delivered by that TSP or a standalone document. The present document provides requirements identified as necessary to support a high-level preservation service policy, to be endorsed by a PSP and reflected in its practice statements.
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4.3.2 Preservation service policy
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A preservation service policy describes what is offered and can contain diverse information beyond the scope of the present document to indicate the applicability of the service. The recipients of the service policy can be auditors, the subscribers and the relying parties. It contains the rules to follow in providing the service. However, it is not limited to the technical description as provided in the preservation profile, but covers also more general requirements on the service management and the operation. The present document can be referred by such preservation service policy to provide information about the level of the service. PSPs conforming to the present document's normative requirements except those from annex A may use in its documentation the following specific OID: • itu-t(0) identified-organization(4) etsi(0) pres-service-policies(19511) policy-identifiers(1) main (1). PSPs conforming to the present document's normative requirements including those defined in annex A may use in its documentation the following specific OID: • itu-t(0) identified-organization(4) etsi(0) pres-service-policies(19511) policy-identifiers(1) qualified (2). According to ETSI EN 319 401 [1] it is mandatory for a TSP to identify the service policies it supports. For preservation services, such identifier is communicated through the documentation provided to the subscribers and relying parties. A preservation service policy is not necessarily part of the SP's documentation (as per ETSI EN 319 401 [1] a practice statement and general terms and conditions are sufficient); e.g. a preservation service policy can be shared by a community and not owned by the PSP. Also, the present document does not put constraints on the form of the preservation service policy; a preservation service policy can be a stand-alone document or be provided as part of or referenced by the practice statements and/or the general terms and conditions.
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4.3.3 Preservation schemes and preservation profiles
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A preservation scheme is a generic set of procedures and rules pertinent to a preservation storage model and one or more preservation goals which outlines how preservation evidences are created and validated. It can be supported by one or more preservation profiles. A preservation profile identifies a set of implementation details specifying how preservation evidences are generated and validated and which are pertinent to a preservation storage model and one or more preservation goals. A preservation profile can reference a preservation scheme for specification of general rules. EXAMPLE 1: ETSI TS 119 512 [i.13] annex G contains examples of preservation schemes. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 20 A given preservation service can implement different preservation profiles. Each preservation profile is uniquely identifiable. EXAMPLE 2: The unique identification can be done using an URI (absolute or using relative), see IETF RFC 3986 [i.19]. EXAMPLE 3: The unique identification can be done using an OID or URI and a version and a date from which the specific version is applicable. The content of the preservation profile is described in clause 6.4.
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4.3.4 Preservation evidence policy
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The preservation evidence policy is referenced by the preservation profile. It contains all the information about how preservation evidences are created and how they can be validated. NOTE: See OVR-6.4-04 c)-a.
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4.3.5 Signature validation policy
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In case of preservation of digital signatures where the preservation service collects the validation data needed to determine the status of the digital signature, the signature validation policy is referenced in the preservation profile. In this case, the validation policy describes the rules followed to obtain the validation data. NOTE: See OVR-6.4-04 c)-b.
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4.4 Expected evidence duration
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The expected evidence duration applies for a preservation service with temporary storage or without storage. It is a duration during which or a date until which, the preservation service expects that a preservation evidence can be used to achieve the preservation goal. This means that the preservation evidence can still be verified and provides cryptographical protection. For several preservation evidence formats, e.g. evidence records or archival AdES signatures, it is sufficient to be able to successfully validate the latest time-stamp of the whole preservation evidence. For preservation evidences generated using digital signature techniques, several durations need to be considered: 1) the private key validity period, i.e. the pre-determined time period during which the private key can be used to generate evidences, unless the associated certificate has been revoked for any reason; 2) the certificate validity period; 3) the duration during which the certificate revocation requests are managed, i.e. a certificate can be revoked; 4) the duration during which the revocation information remains available; 5) the duration during which the hash functions are resistant to collision attacks; and 6) the duration during which the public key is resistant to cryptographic attacks. For public key certificates conformant to IETF RFC 5280 [i.21], the certificate can only be revoked during the certificate validity period. For public key certificates conformant to IETF RFC 5280 [i.21], the revocation information is available at least until the end of the validity period of the certificate. However, a CA can provide revocation information also after the expiration of a certificate. EXAMPLE: For qualified certificates, as defined by the Regulation (EU) No 910/2014 [i.2], the revocation information is provided beyond the validity period of the certificate, see article 24 point 4 of Regulation (EU) No 910/2014 [i.2]. An evidence generated using time assertions (time-stamps or evidence records) needs to be validated by building a certification path up to a trust anchor. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 21 NOTE: A trust anchor can be at the top of a CA hierarchy or any CA certificate in a CA hierarchy. A preservation evidence can be validated as long as: 1) none of the certificates from the certification path has been revoked for the reason 'key compromise'; 2) no public key present in the validation data is subject to cryptographic attacks; and 3) none of the hash functions used in the validation data is subject to collision attacks. Point 1) can be verified as long as revocation information is available. If the private key and all backup copies of it are effectively destroyed at the end of the private key validity period, then the only way to compromise the private key will be to perform a successful cryptographic attack on the corresponding public key or on one of the hash functions being used. The expected evidence duration reflects an estimation of a date for the resistance of both the digital signature algorithms and the hash functions used in the validation data for the last preservation evidence. The technological validity period corresponds to a time period during which a signature or evidence can be successful validated and trusted. It depends on until when the certification path can be verified and until when the cryptographic algorithms hashing and signature can be trusted. The technological validity period of signature is similar to the expected evidence duration of preservation evidence based on digital signature techniques.
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4.5 Preservation period
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In the case of a preservation service with storage [WST], the preservation period is the duration during which the preservation service preserves the preservation objects (POs). The POs may consist of the submitted data objects (SubDO) and POs derived from the submitted data objects by augmentation or by building a POC including the associated evidences. This preservation period can be defined using a duration period (e.g. in years) from the time of the submission, from legally required retention periods, by a criterion, or by a date. During that period, the preservation service creates and augments preservation evidences as needed to achieve the preservation goal. The way evidences are created may change during this period because for example certificates expire or because a cryptographic algorithm is not trustworthy anymore. The preservation service can use external sources of information to appreciate which cryptographic algorithms, key sizes or hash functions are not likely to be trustworthy anymore, e.g. ETSI TS 119 312 [i.5], and when necessary issue a new (version of a) preservation profile.
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5 Risk assessment
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OVR-5-01: The requirements specified in ETSI EN 319 401 [1], clause 5 shall apply.
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6 Policies and practices
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6.1 Preservation service practice statement
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OVR-6.1-01: The requirements specified in ETSI EN 319 401 [1], clause 6.1 shall apply. In addition, the following particular requirements apply: OVR-6.1-02: The preservation service provider (PSP) should list or make reference to (e.g. through OIDs), and briefly describe the supported preservation service policies in its preservation service practice statement. OVR-6.1-03: The PSP shall list in its preservation service practice statement the supported preservation profiles. OVR-6.1-04: The PSP shall state in its preservation service practice statement how the preservation goals are achieved. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 22 OVR-6.1-05: The PSP shall define in its preservation service practice statement how the availability of the submitted data objects (SubDO) and the associated preservation evidences is achieved. OVR-6.1-06: The PSP shall identify in its preservation service practice statement the obligations of all external organizations supporting the preservation service services including the applicable policies and practices. OVR-6.1-07 [WST]: The PSP shall state in its preservation service practice statement the details on the process of requesting export-import package(s). OVR-6.1-08 [WST]: The PSP shall specify in its preservation service practice statement the production methods of the export-import package(s), see clause 7.16. EXAMPLE 1: Whether the package is encrypted or not. OVR-6.1-09 [WST]: The PSP shall specify in its preservation service practice statement what happens to the data at the end of the preservation period. EXAMPLE 2: Whether the data is deleted or transferred to another place.
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6.2 Terms and Conditions
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OVR-6.2-01: The requirements specified in ETSI EN 319 401 [1], clause 6.2 shall apply. In addition, the following particular requirements apply for the PSP: OVR-6.2-02: The PSP shall list in the terms and conditions all the preservation service policies it supports. OVR-6.2-03: The PSP shall state where to find information on the supported preservation profiles. OVR-6.2-04 [CONDITIONAL]: When the preservation submitter is allowed to take a role in the preservation process (e.g. providing needed validation data), the PSP shall describe in its terms and conditions under which conditions this can be done, and specify in particular which are the responsibilities taken by the preservation service and the ones that shall be taken by the submitter. OVR-6.2-05 [WST]: The PSP shall state in its terms and conditions how the request for an export-import package can be done. EXAMPLE 1: The request can be done via email or a registered mail. OVR-6.2-06 [PDS]: The PSP shall state in its terms and conditions the strategy that it will follow when it is unable to collect and verify all the validation data. EXAMPLE 2: Whether to send a failure indication or not. EXAMPLE 3: Whether to abort the preservation request or to continue with the incomplete validation information. OVR-6.2-07 [CONDITIONAL]: When the preservation submitter is allowed to provide hash values which might be used in a hash-tree-renewal, the PSP shall state in its terms and conditions that the PSP is not liable for guaranteeing that the new hash values correspond to the original hash values of the hash tree. NOTE: The PSP has no way of knowing to which document the hash values correspond and even if it really corresponds to a hash value of a concrete hash computation. OVR-6.2-08 [CONDITIONAL]: When the preservation submitter is allowed to provide hash values of objects to preserve, and not the object itself, the PSP shall state in its terms and conditions that the preservation is only on the submitted objects and that this allows a proof of the existence of the hashed object only as long as the hash algorithm is strong enough.
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6.3 Information security policy
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OVR-6.3-01: The requirements specified in ETSI EN 319 401 [1], clause 6.3 shall apply. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 23
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6.4 Preservation profiles
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OVR-6.4-01: A preservation service shall support at least one preservation profile. OVR-6.4-02: A preservation service may support more than one preservation profile. OVR-6.4-03: A preservation profile shall be uniquely identified. OVR-6.4-04: A preservation profile: a) Shall contain the identifier which uniquely identifies the preservation profile. b) Shall contain the supported operations of the preservation protocol. For each operation it: - Shall contain the supported input formats. EXAMPLE 1: In case the hash of data can be provided, the list of accepted hash functions. EXAMPLE 2: In case of [PDS], the supported digital signature formats. - [CONDITIONAL] Shall contain additional output formats, in case other output is supported that is different from the supported input format and preservation evidence format. c) Shall contain a set of applicable technical policies. The set of policies: NOTE 1: The preservation service policy is not covered here. - Shall contain the reference to the preservation evidence policy as defined in clause 6.5. NOTE 2: While the current version of the present document assumes that a human-readable policy document is present, future versions of the present document may refer to machine-readable policy specifications, if available. - [PDS][PDS +PGD] [CONDITIONAL] Shall contain the reference to the signature validation policy as defined in clause 6.6, in case the client does not provide the validation data. d) Shall contain the validity period of the profile. The validity period: - Shall contain the point in time from which on the preservation profile has become or will become active. - May contain a point in time until which the preservation profile is active. e) Shall contain the preservation storage model (WST, WTS or WOS). f) Shall contain the preservation goals (PDS, PGD, AUG or a combination of them). g) Shall contain all supported evidence formats. h) May contain a specification which can be used to refer to a publicly available specification in which the preservation profile is described. i) Shall contain or refer to a description of the preservation profile in a human understandable language. The description may be in more than one language. EXAMPLE 3: Some countries could mandate the use of more than one language. j) May contain an identifier which can be used to refer to a publicly available specification in which the preservation scheme related to the profile is described. OVR-6.4-05 [WTS]: For a preservation service with temporary storage, the preservation profile shall contain the preservation evidence retention period, i.e. the time period during which the asynchronously produced can be retrieved from the preservation service by the preservation client. OVR-6.4-06 [WTS][WOS]: For a preservation service with temporary storage or without storage, the preservation profile should contain the expected evidence duration. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 24 OVR-6.4-07 [WTS][WOS]: The expected evidence duration shall be based on the estimation of the suitability of cryptographic algorithms. OVR-6.4-08 [WTS][WOS]: The expected evidence duration should be based on ETSI TS 119 312 [i.5]. NOTE: 3 Cryptographic suites recommendations defined in ETSI TS 119 312 [i.5] can be superseded by national recommendations. OVR-6.4-09: The supported preservation profiles shall be available online. OVR-6.4-10: A preservation service shall make publicly available all the preservation profiles it supports or that it has supported. OVR-6.4-11 [WST]: The same preservation profile shall apply during the whole preservation period. OVR-6.4-12 [WTS]: The same preservation profile shall apply during the whole preservation evidence retention period. OVR-6.4-13: The preservation profile should not change over time, thus all dynamic aspects should be specified outside the preservation profile (e.g. the preservation evidence policy or signature validation policy). OVR-6.4-14: The preservation evidence policies or signature validation policies referenced by the preservation profile may change over time. However, all versions related to a specific preservation profile shall be publicly available, and it shall be clear which version applied at which time. EXAMPLE 4: The preservation evidence policy can change if the used TSA changes or when the applied cryptographic algorithms change.
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6.5 Preservation evidence policy
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OVR-6.5-01: The preservation evidence policy which is referenced by the preservation profile (see OVR-6.4-04) may be in human readable form. OVR-6.5-02 [CONDITIONAL]: If there are different formats or languages of the preservation evidence policy, the PSP shall state which version takes precedence. OVR-6.5-03: The preservation evidence policy shall contain the description of how the preservation evidence is created including which cryptographic algorithms are used. OVR-6.5-04: The cryptographic algorithms used should be chosen according to ETSI TS 119 312 [i.5]. NOTE 1: Cryptographic suites recommendations defined in ETSI TS 119 312 [i.5] can be superseded by national recommendations. OVR-6.5-05: The preservation evidence policy shall contain the description of which trust service providers (e.g. digital signature creation service or time stamping authorities, certificate status authorities) may be used by the preservation service. OVR-6.5-06: The preservation evidence policy shall contain how the preservation evidence can be validated, including: 1) Which trust anchors can be used to validate digital signatures within the preservation evidence. 2) Which trust anchors can be used to validate time-stamps within the preservation evidence. OVR-6.5-07 [WST][WTS]: The preservation service evidence policy shall state how evidence is augmented. NOTE 2: See clause 7.15 on requirements on preservation evidence augmentation. OVR-6.5-08: The preservation evidence policy shall describe the format of the preservation evidence. OVR-6.5-09: The preservation evidence policy shall state if and, in this case, how, the evidence contains explicit information of the applicable: a) Preservation service; b) Preservation evidence policy; or ETSI ETSI TS 119 511 V1.1.1 (2019-06) 25 c) Preservation profile.
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6.6 Signature validation policy
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OVR-6.6-01: The signature validation policy contained in the preservation profile (see OVR-6.4-04) may be in human readable form. OVR-6.6-02 [CONDITIONAL]: If there are different formats or languages of the signature validation policy, the PSP shall state which version takes precedence. OVR-6.6-03 [CONDITIONAL]: If present in the preservation profile, the signature validation policy shall state the strategy to how the validation material is selected, e.g. trust anchors, validation model (chain/shell), etc.
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6.7 Subscriber agreement
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OVR-6.7-01: The PSP shall provide a subscriber agreement which shall include an acceptance of the terms and conditions. OVR-6.7-02 [CONDITIONAL]: If the preservation service provides a notification protocol, the PSP shall state in the subscriber agreement whether and how the subscriber would like to be notified. OVR-6.7-03 [CONDITIONAL]: If the preservation service provides a notification protocol, the PSP shall update the subscriber agreement each time a way to notify the subscriber is removed or added. OVR-6.7-04 [WTS][WST]: The PSP shall state in the subscriber agreement who has the right to access to POs including the SubDOs and preservation evidences. OVR-6.7-05 [WTS][WST]: The PSP shall state in the subscriber agreement who has the right to request traces on the actions related to the POs.
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7 PSP management and operation
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7.1 Internal organization
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OVR-7.1-01: The requirements specified in ETSI EN 319 401 [1], clause 7.1 shall apply.
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119 511
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7.2 Human resources
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OVR-7.2-01: The requirements specified in ETSI EN 319 401 [1], clause 7.2 shall apply.
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7.3 Asset management
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OVR-7.3-01: The requirements specified in ETSI EN 319 401 [1], clause 7.3 shall apply.
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119 511
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7.4 Access control
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OVR-7.4-01: The requirements specified in ETSI EN 319 401 [1], clause 7.4 shall apply.
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119 511
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7.5 Cryptographic controls
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OVR-7.5-01: The requirements specified in ETSI EN 319 401 [1], clause 7.5 shall apply. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 26 In addition, the following particular requirements apply for the management of the keys used to generate and to validate the evidences: OVR-7.5-02: The PSP shall insure that the time-stamps used in preservation process come from a TSA that follows state-of-the-art practices for policy and security requirements for trust service providers issuing time-stamps. In particular the TSA should conform to ETSI EN 319 421 [i.11]. NOTE: In the EU context, one or more preservation profiles may use Qualified TSAs. OVR-7.5-03: The PSP should only use in preservation process time-stamps that are verifiable using CRLs or OCSP responses which include a 'reason code' in case of the revocation of a public key certificate. OVR-7.5-04 [CONDITIONAL]: When PSP signs (part of) a preservation evidence, the PSP should select a signing certificate issued by a trustworthy CA that implements ETSI EN 319 411-1 [i.9] or ETSI EN 319 411-2 [i.10]. OVR-7.5-05 [CONDITIONAL]: When PSP signs (part of) a preservation evidence, the PSP private signing key shall be held and used within a cryptographic module which: a) is a trustworthy system which is assured to EAL 4 or higher in accordance with ISO/IEC 15408 [3], or equivalent national or internationally recognized evaluation criteria for IT security. This shall be to a security target or protection profile which meets the requirements of the present document, based on a risk analysis and taking into account physical and other non-technical security measures; or b) meets the requirements identified in ISO/IEC 19790 [4] or FIPS PUB 140-2 [5], level 3. OVR-7.5-06 [CONDITIONAL]: When PSP signs (part of) a preservation evidence, the secure cryptographic device required by OVR-7.5-05 should be as per OVR-7.5-05 a). OVR-7.5-07 [CONDITIONAL]: When PSP signs (part of) a preservation evidence, any backup copies of the PSP private signing keys shall be protected to ensure its integrity and confidentiality by the cryptographic module before being stored outside that device.
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7.6 Physical and environmental security
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OVR-7.6-01: The requirements specified in ETSI EN 319 401 [1], clause 7.6 shall apply.
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119 511
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7.7 Operation security
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OVR-7.7-01: The requirements specified in ETSI EN 319 401 [1], clause 7.7 shall apply.
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119 511
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7.8 Network security
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OVR-7.8-01: The requirements specified in ETSI EN 319 401 [1], clause 7.8 shall apply. OVR-7.8-02 [WST]: The preservation service shall be integrated in the IT environment implemented in such a way that all storage access by the preservation client changing the content of the storage shall only be done by the preservation service.
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7.9 Incident management
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OVR-7.9-01: The requirements specified in ETSI EN 319 401 [1], clause 7.9 shall apply.
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119 511
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7.10 Collection of evidence
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OVR-7.10-01: The requirements specified in ETSI EN 319 401 [1], clause 7.10 shall apply. OVR-7.10-02: The preservation service shall implement event logs to establish information needed for later proofs. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 27
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119 511
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7.11 Business continuity management
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OVR-7.11-01: The requirements specified in ETSI EN 319 401 [1], clause 7.11 shall apply.
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119 511
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7.12 TSP termination and termination plans
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OVR-7.12-01: The requirements specified in ETSI EN 319 401 [1], clause 7.12 shall apply. In addition, the following particular requirements apply: OVR-7.12-02 [WST]: The termination plan shall include what happens with the stored POs at the termination of the preservation service.
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119 511
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7.13 Compliance
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OVR-7.13-01: The requirements specified in ETSI EN 319 401 [1], clause 7.13 shall apply.
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119 511
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7.14 Cryptographic monitoring
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OVR-7.14-01: For every supported active preservation profile, the TSP shall monitor the strength of every cryptographic algorithm that was used in connection with this profile. In case, one of the used algorithms or parameters is thought to become less secure or the validity of a relevant certificate is going to expire, it shall either update the related preservation evidence policy or create a new preservation profile to handle newly submitted POs. OVR-7.14-02 [WST] [CONDITIONAL]: If one of the algorithms or parameters which were used in a preservation evidence, is thought to become less secure or the validity of a relevant certificate is going to expire, the preservation evidence shall be augmented by the preservation service according to a new version of the preservation evidence policy during the preservation period. OVR-7.14-03: For the evaluation of the cryptographic algorithms in OVR-7.14.01 and OVR-7.14.02, ETSI TS 119 312 [i.5] should be considered. NOTE: Cryptographic suites recommendations defined in ETSI TS 119 312 [i.5] can be superseded by national recommendations.
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119 511
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7.15 Augmentation of preservation evidences
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OVR-7.15-01 [WST]: During the preservation period, the preservation service shall make sure that the preservation evidence can be used to achieve the corresponding preservation goal. OVR-7.15-02 [WTS]: During the preservation evidence retention period, the preservation service shall make sure that the preservation evidence can be used to achieve the corresponding preservation goal. NOTE 1: This can be jeopardized in case a cryptographic algorithm cannot be trusted anymore or revocation information cannot be received anymore. OVR-7.15-03 [WST] [WTS]: The preservation service shall augment the preservation evidences before they cannot be used anymore to achieve the corresponding preservation goal, to make sure that OVR-7.15-01 or OVR-7.15-02 is fulfilled. NOTE 2: In case of a digital signature, augmentation can be done by incorporating to a digital signature information to maintain the validity of that signature as there are e.g. time stamps, validation data, etc. NOTE 3: In case of an evidence record, augmentation can be done by time stamp renewal or hash tree renewal according to IETF RFC 4998 [i.20] or IETF RFC 6283 [i.23]. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 28
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7.16 Export-import package
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OVR-7.16-01 [WST]: The PSP shall allow the preservation client or another authorized preservation service to request the export-import package(s), containing the preserved data, the evidences and all information needed to validate the evidences. NOTE 1: The export-import package(s) can be used to move the preserved data from one preservation service to another preservation service. NOTE 2: The present document does not give any information on the exact format of the export-import package. See ETSI TS 119 512 [i.13] for a possible structure. OVR-7.16-02 [WST]: The PSP should use standardized format for the export-import package(s). EXAMPLE 1: The export-import package(s) as described in ETSI TS 119 512 [i.13]. EXAMPLE 2: The export-import package(s) according to TR-ESOR-M.3 [i.27], clause 2.5. OVR-7.16-03 [WST]: The export-import package(s) shall only be delivered to an authorized legal or natural person. OVR-7.16-04 [WST]: The PSP shall keep records of all released export-import packages including: 1) The date of the event. 2) The criteria that has been used to select the set of preservation objects to be included in the export-import package.
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4968c07ddf31b0134f1264dc69e760bd
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119 511
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8 Operational and notification protocols
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4968c07ddf31b0134f1264dc69e760bd
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119 511
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8.1 Preservation protocol
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PRP-8.1-01: The communication channel between the preservation client and the PSP shall be secured; i.e. the PSP shall offer a way to be authenticated by the client and the confidentiality of the data shall be ensured. PRP-8.1-02: The preservation protocol as defined in ETSI TS 119 512 [i.13] should be used. PRP-8.1-03: The protocols shall be protected against unauthorized usage. General case PRP-8.1-04: A preservation service shall allow to retrieve information about the currently and previously supported preservation profiles. EXAMPLE 1: RetrieveInfo as defined in ETSI TS 119 512 [i.13] to retrieve information on preservation profiles. PRP-8.1-05: A preservation service shall allow one or more submission data objects (SubDO) to be preserved under a specific preservation profile, and to receive back either a preservation object identifier or to receive back immediately a preservation evidence (synchronous mode). EXAMPLE 2: The preservation object identifier can later be used to retrieve preservation object(s) (PO(s)) and/or traces or to delete PO(s) or to update preservation object containers (asynchronous mode). EXAMPLE 3: PreservePO as defined in ETSI TS 119 512 [i.13]. PRP-8.1-06: A preservation service may allow to get the traces of all operations related to a specific preservation object identifier. EXAMPLE 4: RetrieveTrace as defined in ETSI TS 119 512 [i.13]. ETSI ETSI TS 119 511 V1.1.1 (2019-06) 29 PRP-8.1-07: A preservation service may allow to search for specific preservation objects and retrieve a set of preservation object identifiers, which can be used in other operations, like for example PRP-8.1-05. EXAMPLE 5: Search as defined in ETSI TS 119 512 [i.13]. PRP-8.1-08: A preservation service may allow to submit to the preservation service a preservation evidence and a sequence of POs to which the evidence corresponds, in order to validate the evidence and to receive back a preservation evidence validation report. EXAMPLE 6: ValidateEvidence as defined in ETSI TS 119 512 [i.13]. PRP-8.1-09 [CONDITIONAL]: If the preservation service allows to search for specific preservation objects, it may include a filter functionality to which the preservation object (identifiers) shall correspond. Preservation service with storage PRP-8.1-10 [WST]: A preservation service with storage shall allow to retrieve evidences and/or preservation objects (POs). NOTE 1: POs can also contain evidences. EXAMPLE 7: RetrievePO as defined in ETSI TS 119 512 [i.13]. PRP-8.1-11 [WST]: A preservation service with storage shall allow to delete stored POs. In case the deletion of the preservation evidence the corresponding SubDO shall be deleted as well. PRP-8.1-12 [WST]: The preservation service shall assure that stored POs can only be deleted before the end of the preservation period when the delete request will be submitted together with a justification. Any submitted justification shall be logged together with the information of the deletion request. EXAMPLE 8: DeletePO as defined in ETSI TS 119 512 [i.13]. PRP-8.1-13 [WST]: A preservation service with storage should allow to request a set of preservation object identifiers, which can be used to retrieve or delete POs as in PRP-8.1-05 and PRP-8.1-06. EXAMPLE 9: Search as defined in ETSI TS 119 512 [i.13]. PRP-8.1-14 [WST]: A preservation service with storage may allow to provide a new version of an already submitted POC. The newly provided version may be specified only by the difference to the previous version. EXAMPLE 10: UpdatePOC as defined in ETSI TS 119 512 [i.13]. NOTE 2: An update functionality allows to provide a new version of a SubDO. It can completely or partly replace the original version. All versions are kept, but one is marked as the latest one. Preservation service with temporary storage PRP-8.1-15 [WTS]: A preservation service with a temporary storage shall allow to retrieve preservation evidences that have been asynchronously produced by the preservation service. NOTE 3: Since the evidences are produced asynchronously and can be used for a number of SubDOs, they are available during a time period as specified in the preservation profile. EXAMPLE 11: RetrievePO as defined in ETSI TS 119 512 [i.13].
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