Secure Inter-Domain Routing (sidr) Kent, S. Internet Draft Kong, D. Expires: April 13, 2007 Seo, K. BBN Technologies October 13, 2006 Template for an Internet Registry's Certification Practice Statement (CPS) for the Internet IP Address and AS Number (PKI) draft-ietf-sidr-cps-irs-00.txt Status of this Memo By submitting this Internet-Draft, each author represents that any applicable patent or other IPR claims of which he or she is aware have been or will be disclosed, and any of which he or she becomes aware will be disclosed, in accordance with Section 6 of BCP 79. Internet-Drafts are working documents of the Internet Engineering Task Force (IETF), its areas, and its working groups. Note that other groups may also distribute working documents as Internet- Drafts. Internet-Drafts are draft documents valid for a maximum of six months and may be updated, replaced, or obsoleted by other documents at any time. It is inappropriate to use Internet-Drafts as reference material or to cite them other than as "work in progress." The list of current Internet-Drafts can be accessed at http://www.ietf.org/ietf/1id-abstracts.txt The list of Internet-Draft Shadow Directories can be accessed at http://www.ietf.org/shadow.html This Internet-Draft will expire on April 13, 2006. Abstract This document contains a template to be used for creating a Certification Practice Statement (CPS) for an Internet Registry Kent,Kong & Seo Expires April 13, 2007 [Page 1]
Internet-Draft Template for CPS for RIRs October 13, 2006 (e.g., NIR or RIR) that is part of the Internet IP Address and AS Number Public Key Infrastructure (PKI). Conventions used in this document The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in RFC-2119 [RFC2119]. Table of Contents Preface...........................................................8 1. Introduction...................................................9 1.1. Overview.................................................10 1.2. Document name and identification.........................11 1.3. PKI participants.........................................11 1.3.1. Certification authorities...........................11 1.3.2. Registration authorities............................11 1.3.3. Subscribers.........................................11 1.3.4. Relying parties.....................................12 1.3.5. Other participants..................................12 1.4. Certificate usage........................................12 1.4.1. Appropriate certificate uses........................12 1.4.2. Prohibited certificate uses.........................12 1.5. Policy administration....................................12 1.5.1. Organization administering the document.............12 1.5.2. Contact person......................................12 1.5.3. Person determining CPS suitability for the policy...13 1.5.4. CPS approval procedures.............................13 1.6. Definitions and acronyms.................................13 2. Publication And Repository Responsibilities...................14 2.1. Repositories.............................................14 2.2. Publication of certification information.................14 2.3. Time or Frequency of Publication.........................14 2.4. Access controls on repositories..........................14 3. Identification And Authentication.............................15 3.1. Naming...................................................15 3.1.1. Types of names......................................15 3.1.2. Need for names to be meaningful.....................15 3.1.3. Anonymity or pseudonymity of subscribers............15 3.1.4. Rules for interpreting various name forms...........15 3.1.5. Uniqueness of names.................................15 3.1.6. Recognition, authentication, and role of trademarks.16 3.2. Initial identity validation..............................16 3.2.1. Method to prove possession of private key...........16 3.2.2. Authentication of organization identity.............16 3.2.3. Authentication of individual identity...............16 Kent, Kong & Seo Expires April 13, 2007 [Page 2]
Internet-Draft Template for CPS for RIRs October 13, 2006 3.2.4. Non-verified subscriber information.................17 3.2.5. Validation of authority.............................17 3.2.6. Criteria for interoperation.........................17 3.3. Identification and authentication for re-key requests....17 3.3.1. Identification and authentication for routine re-key17 3.3.2. Identification and authentication for re-key after revocation.................................................17 3.4. Identification and authentication for revocation request.18 4. Certificate Life-Cycle Operational Requirements...............19 4.1. Certificate Application..................................19 4.1.1. Who can submit a certificate application............19 4.1.2. Enrollment process and responsibilities.............19 4.2. Certificate application processing.......................19 4.2.1. Performing identification and authentication functions ...........................................................19 4.2.2. Approval or rejection of certificate applications...20 4.2.3. Time to process certificate applications............20 4.3. Certificate issuance.....................................20 4.3.1. CA actions during certificate issuance..............20 4.3.2. Notification to subscriber by the CA of issuance of certificate................................................20 4.4. Certificate acceptance...................................21 4.4.1. Conduct constituting certificate acceptance.........21 4.4.2. Publication of the certificate by the CA............21 4.5. Key pair and certificate usage...........................21 4.5.1. Subscriber private key and certificate usage........21 4.5.2. Relying party public key and certificate usage......21 4.6. Certificate renewal......................................22 4.6.1. Circumstance for certificate renewal................22 4.6.2. Who may request renewal.............................22 4.6.3. Processing certificate renewal requests.............22 4.6.4. Notification of new certificate issuance to subscriber ...........................................................22 4.6.5. Conduct constituting acceptance of a renewal certificate................................................23 4.6.6. Publication of the renewal certificate by the CA....23 4.6.7. Notification of certificate issuance by the CA to other entities [OMITTED].........................................23 4.7. Certificate re-key.......................................23 4.7.1. Circumstance for certificate re-key.................23 4.7.2. Who may request certification of a new public key...23 4.7.3. Processing certificate re-keying requests...........24 4.7.4. Notification of new certificate issuance to subscriber ...........................................................24 4.7.5. Conduct constituting acceptance of a re-keyed certificate................................................24 4.7.6. Publication of the re-keyed certificate by the CA...24 Kent, Kong & Seo Expires April 13, 2007 [Page 3]
Internet-Draft Template for CPS for RIRs October 13, 2006 4.7.7. Notification of certificate issuance by the CA to other entities [OMITTED].........................................24 4.8. Certificate modification.................................24 4.8.1. Circumstance for certificate modification...........24 4.8.2. Who may request certificate modification............25 4.8.3. Processing certificate modification requests........25 4.8.4. Notification of modified certificate issuance to subscriber.................................................25 4.8.5. Conduct constituting acceptance of modified certificate ...........................................................25 4.8.6. Publication of the modified certificate by the CA...25 4.8.7. Notification of certificate issuance by the CA to other entities [OMITTED].........................................25 4.9. Certificate revocation and suspension....................25 4.9.1. Circumstances for revocation........................25 4.9.2. Who can request revocation..........................26 4.9.3. Procedure for revocation request....................26 4.9.4. Revocation request grace period.....................26 4.9.5. Time within which CA must process the revocation request....................................................26 4.9.6. Revocation checking requirement for relying parties.26 4.9.7. CRL issuance frequency..............................26 4.9.8. Maximum latency for CRLs............................27 4.9.9. On-line revocation/status checking availability [OMITTED]..................................................27 4.9.10. On-line revocation checking requirements [OMITTED].27 4.9.11. Other forms of revocation advertisements available [OMITTED]..................................................27 4.9.12. Special requirements re key compromise [OMITTED]...27 4.9.13. Circumstances for suspension [OMITTED].............27 4.9.14. Who can request suspension [OMITTED]...............27 4.9.15. Procedure for suspension request [OMITTED].........27 4.9.16. Limits on suspension period [OMITTED]..............27 4.10. Certificate status services.............................27 4.10.1. Operational characteristics [OMITTED]..............27 4.10.2. Service availability [OMITTED].....................27 4.10.3. Optional features [OMITTED]........................27 4.11. End of subscription [OMITTED]...........................27 4.12. Key escrow and recovery [OMITTED].......................27 4.12.1. Key escrow and recovery policy and practices [OMITTED] ...........................................................27 4.12.2. Session key encapsulation and recovery policy and practices [OMITTED]........................................27 5. Facility, Management, And Operational Controls................28 5.1. Physical controls........................................28 5.1.1. Site location and construction......................28 5.1.2. Physical access.....................................28 5.1.3. Power and air conditioning..........................28 Kent, Kong & Seo Expires April 13, 2007 [Page 4]
Internet-Draft Template for CPS for RIRs October 13, 2006 5.1.4. Water exposures.....................................28 5.1.5. Fire prevention and protection......................28 5.1.6. Media storage.......................................28 5.1.7. Waste disposal......................................28 5.1.8. Off-site backup.....................................28 5.2. Procedural controls......................................28 5.2.1. Trusted roles.......................................28 5.2.2. Number of persons required per task.................28 5.2.3. Identification and authentication for each role.....28 5.2.4. Roles requiring separation of duties................28 5.3. Personnel controls.......................................28 5.3.1. Qualifications, experience, and clearance requirements ...........................................................29 5.3.2. Background check procedures.........................29 5.3.3. Training requirements...............................29 5.3.4. Retraining frequency and requirements...............29 5.3.5. Job rotation frequency and sequence.................29 5.3.6. Sanctions for unauthorized actions..................29 5.3.7. Independent contractor requirements.................29 5.3.8. Documentation supplied to personnel.................29 5.4. Audit logging procedures.................................29 5.4.1. Types of events recorded............................29 5.4.2. Frequency of processing log.........................29 5.4.3. Retention period for audit log......................29 5.4.4. Protection of audit log.............................30 5.4.5. Audit log backup procedures.........................30 5.4.6. Audit collection system (internal vs. external) [OMITTED]..................................................30 5.4.7. Notification to event-causing subject [OMITTED].....30 5.4.8. Vulnerability assessments...........................30 5.5. Records archival [OMITTED]...............................30 5.5.1. Types of records archived [OMITTED].................30 5.5.2. Retention period for archive [OMITTED]..............30 5.5.3. Protection of archive [OMITTED].....................30 5.5.4. Archive backup procedures [OMITTED].................30 5.5.5. Requirements for time-stamping of records [OMITTED].30 5.5.6. Archive collection system (internal or external) [OMITTED]..................................................30 5.5.7. Procedures to obtain and verify archive information [OMITTED]..................................................30 5.6. Key changeover...........................................30 5.7. Compromise and disaster recovery [OMITTED]...............31 5.7.1. Incident and compromise handling procedures [OMITTED]31 5.7.2. Computing resources, software, and/or data are corrupted [OMITTED]........................................31 5.7.3. Entity private key compromise procedures [OMITTED]..31 5.7.4. Business continuity capabilities after a disaster [OMITTED]..................................................31 Kent, Kong & Seo Expires April 13, 2007 [Page 5]
Internet-Draft Template for CPS for RIRs October 13, 2006 5.8. CA or RA termination.....................................31 6. Technical Security Controls...................................32 6.1. Key pair generation and installation.....................32 6.1.1. Key pair generation.................................32 6.1.2. Private key delivery to subscriber..................32 6.1.3. Public key delivery to certificate issuer...........32 6.1.4. CA public key delivery to relying parties...........32 6.1.5. Key sizes...........................................33 6.1.6. Public key parameters generation and quality checking33 6.1.7. Key usage purposes (as per X.509 v3 key usage field)33 6.2. Private Key Protection and Cryptographic Module Engineering Controls......................................................33 6.2.1. Cryptographic module standards and controls.........33 6.2.2. Private key (n out of m) multi-person control.......33 6.2.3. Private key escrow..................................34 6.2.4. Private key backup..................................34 6.2.5. Private key archival................................34 6.2.6. Private key transfer into or from a cryptographic module.....................................................34 6.2.7. Private key storage on cryptographic module.........34 6.2.8. Method of activating private key....................34 6.2.9. Method of deactivating private key..................34 6.2.10. Method of destroying private key...................34 6.2.11. Cryptographic Module Rating........................35 6.3. Other aspects of key pair management.....................35 6.3.1. Public key archival.................................35 6.3.2. Certificate operational periods and key pair usage periods....................................................35 6.4. Activation data..........................................35 6.4.1. Activation data generation and installation.........35 6.4.2. Activation data protection..........................35 6.4.3. Other aspects of activation data....................35 6.5. Computer security controls...............................35 6.5.1. Specific computer security technical requirement....35 6.5.2. Computer security rating [OMITTED]..................36 6.6. Life cycle technical controls............................36 6.6.1. System development controls.........................36 6.6.2. Security management controls........................36 6.6.3. Life cycle security controls........................36 6.7. Network security controls................................36 6.8. Time-stamping............................................36 7. Certificate and CRL Profiles..................................37 7.1. Certificate profile [OMITTED]............................38 7.1.1. Version number(s) [OMITTED].........................38 7.1.2. Certificate extensions [OMITTED]....................38 7.1.3. Algorithm object identifiers [OMITTED]..............38 7.1.4. Name forms [OMITTED]................................38 7.1.5. Name constraints [OMITTED]..........................38 Kent, Kong & Seo Expires April 13, 2007 [Page 6]
Internet-Draft Template for CPS for RIRs October 13, 2006 7.1.6. Certificate policy object identifier [OMITTED]......38 7.1.7. Usage of Policy Constraints extension [OMITTED].....38 7.1.8. Policy qualifiers syntax and semantics [OMITTED]....38 7.1.9. Processing semantics for the critical Certificate Policies extension [OMITTED]...............................38 7.2. CRL profile [OMITTED]....................................38 7.2.1. Version number(s) [OMITTED].........................38 7.2.2. CRL and CRL entry extensions [OMITTED]..............38 7.3. OCSP profile [OMITTED]...................................38 7.3.1. Version number(s) [OMITTED].........................38 7.3.2. OCSP extensions [OMITTED]...........................38 8. Compliance Audit and Other Assessments........................39 8.1. Frequency or circumstances of assessment.................39 8.2. Identity/qualifications of assessor......................39 8.3. Assessor's relationship to assessed entity...............39 8.4. Topics covered by assessment.............................39 8.5. Actions taken as a result of deficiency..................39 8.6. Communication of results.................................39 9. Other Business And Legal Matters..............................40 9.1. Fees.....................................................40 9.1.1. Certificate issuance or renewal fees................40 9.1.2. Fees for other services (if applicable).............40 9.1.3. Refund policy.......................................40 9.2. Financial responsibility.................................40 9.2.1. Insurance coverage..................................40 9.2.2. Other assets........................................40 9.2.3. Insurance or warranty coverage for end-entities.....40 9.3. Confidentiality of business information..................40 9.3.1. Scope of confidential information...................40 9.3.2. Information not within the scope of confidential information................................................40 9.3.3. Responsibility to protect confidential information..40 9.4. Privacy of personal information..........................40 9.4.1. Privacy plan........................................40 9.4.2. Information treated as private......................40 9.4.3. Information not deemed private......................40 9.4.4. Responsibility to protect private information.......40 9.4.5. Notice and consent to use private information.......40 9.4.6. Disclosure pursuant to judicial or administrative process....................................................41 9.4.7. Other information disclosure circumstances..........41 9.5. Intellectual property rights (if applicable).............41 9.6. Representations and warranties...........................41 9.6.1. CA representations and warranties...................41 9.6.2. Subscriber representations and warranties...........41 9.6.3. Relying party representations and warranties........41 9.6.4. Representations and warranties of other participants [OMITTED]..................................................41 Kent, Kong & Seo Expires April 13, 2007 [Page 7]
Internet-Draft Template for CPS for RIRs October 13, 2006 9.7. Disclaimers of warranties................................41 9.8. Limitations of liability.................................41 9.9. Indemnities..............................................41 9.10. Term and termination....................................41 9.10.1. Term...............................................41 9.10.2. Termination........................................41 9.10.3. Effect of termination and survival.................41 9.11. Individual notices and communications with participants.41 9.12. Amendments..............................................41 9.12.1. Procedure for amendment............................41 9.12.2. Notification mechanism and period..................41 9.12.3. Circumstances under which OID must be changed [OMITTED]..................................................41 9.13. Dispute resolution provisions...........................41 9.14. Governing law...........................................41 9.15. Compliance with applicable law..........................41 9.16. Miscellaneous provisions................................41 9.16.1. Entire agreement...................................42 9.16.2. Assignment.........................................42 9.16.3. Severability.......................................42 9.16.4. Enforcement (attorneys' fees and waiver of rights).42 9.16.5. Force Majeure......................................42 9.17. Other provisions [OMITTED]..............................42 10. Security Considerations......................................43 11. IANA Considerations..........................................43 12. Acknowledgments..............................................43 13. References...................................................43 13.1. Normative References....................................43 13.2. Informative References..................................44 Author's Addresses...............................................44 Intellectual Property Statement..................................45 Disclaimer of Validity...........................................45 Copyright Statement..............................................45 Preface This document contains a template to be used for creating a Certification Practice Statement (CPS) for an Internet Registry (e.g., an NIR or RIR) that is part of the Internet IP Address and AS Number Public Key Infrastructure (PKI). The user of this document should 1. substitute a title page for page 1 saying, e.g., "<Name of Registry> Certification Practice Statement for the Internet IP Address and AS Number Public Key Infrastructure (PKI)" with date, author, etc. Kent, Kong & Seo Expires April 13, 2007 [Page 8]
Internet-Draft Template for CPS for RIRs October 13, 2006 2. delete this Preface 3. fill in the information indicated below by <text in angle brackets> 4. delete sections 10, 11, 12, 13.1, Acknowledgments, Author's Addresses, Intellectual Property Statement, Disclaimer of Validity, Copyright Statement, Acknowledgments; leaving a reference section with just the references in 13.2 5. update the table of contents to reflect the deletions and additions above. Note: This template is based on the one specified in RFC 3647. A number of sections contained in the template specified in RFC 3647 were omitted from this template because they did not apply to this PKI. However, in order to maintain the section numbering scheme intact, the relevant section headings are included and marked [OMITTED]. In the Table of Contents the relevant sections are also marked [OMITTED]. There is a note to this effect in the Introduction below. This information should be left in the CPS as an explanation to the user. 1. Introduction This document is the Certification Practice Statement (CPS) of <Name of Registry>. It describes the practices employed by the <Name of Registry> Certification Authority (CA) in the Internet IP Address and AS Number PKI. These practices are defined in accordance with the requirements of the Certificate Policy (CP, [RFCxxxx]) of this PKI. The Internet IP Address and AS Number PKI is aimed at supporting verifiable attestations about resource controls, e.g., for improved routing security. The goal is that each entity that allocates IP addresses or AS numbers to an entity will, in parallel, issue a certificate reflecting this allocation. These certificates will enable verification that the holder of the associated private key has been allocated the resources indicated in the certificate, and is the current, unique holder of these resources. The certificates and CRLs, in conjunction with ancillary digitally signed data structures, will provide critical inputs for routing security mechanisms, e.g., generation of route filters by ISPs. The most important and distinguishing aspect of the PKI for which this CPS was created is that it does not purport to identify an address space holder or AS number holder via the subject name contained in the certificate issued to that entity. Rather, each Kent, Kong & Seo Expires April 13, 2007 [Page 9]
Internet-Draft Template for CPS for RIRs October 13, 2006 certificate issued under this policy is intended to enable an entity to assert in a verifiable fashion, that it is the current holder of an address block or an AS number, based on the current records of the CA responsible for the resources in question. Verification of the assertion is based on the ability of the entity to digitally sign data producing a signature that is verifiable using the public key contained in the corresponding certificate, and validation of that certificate in the context of this PKI. This PKI is designed exclusively for use in support of validation of claims related to address space and AS number holdings, with emphasis on support of routing security mechanisms. Use of the certificates and CRLs managed under this PKI for any other purpose is a violation of this PKI's CP, and relying parties should reject such uses. Note: This CPS is based on the template specified in RFC 3647. A number of sections contained in the template specified in RFC 3647 were omitted from this CPS because they did not apply to this PKI. However, in order to maintain the section numbering scheme intact, the relevant section headings are included and marked [OMITTED]. In the Table of Contents the relevant sections are also marked [OMITTED]. 1.1. Overview This CPS describes: . Participants . Distribution of the certificates and CRLs . How certificates are issued, managed, and revoked . Facility management (physical security, personnel, audit, etc.) . Key management . Audit procedures . Business and legal issues The PKI encompasses several types of certificates: CA certificates for each organization allocating address blocks and AS numbers, and for each address space holder End entity certificates for operations personnel, in support of access control for the repository system Kent, Kong & Seo Expires April 13, 2007 [Page 10]
Internet-Draft Template for CPS for RIRs October 13, 2006 End entity ("shadow") certificates for organizations to use in verifying signatures of Route Origination Authorizations (ROAs) 1.2. Document name and identification The name of this document is "<Name of Registry>'s Certification Practice Statement for the Internet IP Address and AS Number PKI". 1.3. PKI participants Note: In a PKI, the term "subscriber" refers to an individual or organization that is a Subject of a certificate issued by a CA. The term is used in this fashion throughout this document, without qualification, and should not be confused with the networking use of the term to refer to an individual or organization that receives service from an ISP. Thus, in this PKI, the term "subscriber" can refer both to ISPs, which can be subscribers of RIRs, NIRs, LIRs and other ISPs, and also to organizations that are not ISPs, but which are subscribers of ISPs in the networking sense of the term. Also note that, for brevity, this document always refers to subscribers as organizations, even though some subscribers are individuals. When necessary, the phrase "network subscriber" is used to refer to an organization that receives network services from an ISP. 1.3.1. Certification authorities <Name of Registry> will operate a CA, the primary function of which is the issuance of certificates to organizations to which address space or AS numbers are allocated by the registry. 1.3.2. Registration authorities For the majority of certificates issued by this registry, this function is provided by the registry per se. The registry already performs this function -- establishing a relationship with each subscriber and assuming responsibility for allocating and tracking the current allocation of address space and AS numbers. Since the registry operates the CA, there is no distinct RA. 1.3.3. Subscribers Two types of organizations receive allocations of IP addresses and AS numbers from this CA and thus are subscribers in the PKI sense: network subscribers and Internet Service Providers (ISPs). <Additionally, this CA issues certificates to <Local/National> Registries (choose the right term for this RIR, if either applies) who, in turn, issue certificates to network subscribers or ISPs.> Kent, Kong & Seo Expires April 13, 2007 [Page 11]
Internet-Draft Template for CPS for RIRs October 13, 2006 1.3.4. Relying parties Entities that need to validate claims of address space and/or AS number current holdings are relying parties. Thus, for example, entities that make use of address and AS number allocation certificates in support of improved routing security are relying parties. Registries are relying parties because they transfer resources between one another and thus will need to verify (cross) certificates issued in conjunction with such transfers. This includes ISPs, multi-homed organizations exchanging BGP [BGP4] traffic with ISPs, and subscribers who have received an allocation of address space from one ISP or from a registry, but want to authorize an (or another) ISP to originate routes to this space. 1.3.5. Other participants <Name of Registry> will operate a repository that holds certificates, CRLs, and ROAs. 1.4. Certificate usage 1.4.1. Appropriate certificate uses The certificates issued under this hierarchy are for authorization in support of validation of claims of current holdings of address space and/or AS numbers, e.g., for routing security. With regard to routing security, the intent is to allow the holder of a set of address blocks to be able to declare, in a secure fashion, the AS number of each entity that is authorized to originate a route to these addresses, including the context of ISP proxy aggregation. Some of the certificates issued under this hierarchy support operation of this infrastructure, e.g., access control for the repository system. 1.4.2. Prohibited certificate uses Any uses other than those described in Section 1.4.1 are prohibited. 1.5. Policy administration 1.5.1. Organization administering the document This CPS is administered by <Name of Registry> 1.5.2. Contact person <Insert Registry contact info here> Kent, Kong & Seo Expires April 13, 2007 [Page 12]
Internet-Draft Template for CPS for RIRs October 13, 2006 1.5.3. Person determining CPS suitability for the policy Not applicable. Each organization issuing a certificate in this PKI is attesting to the allocation of resources (IP addresses, AS numbers) to the holder of the private key corresponding to the public key in the certificate. The issuing organizations are the same organizations as the ones that perform the allocation hence they are authoritative with respect to the accuracy of this binding. 1.5.4. CPS approval procedures Not applicable. Each organization issuing a certificate in this PKI is attesting to the allocation of resources (IP addresses, AS numbers) to the holder of the private key corresponding to the public key in the certificate. The issuing organizations are the same organizations as the ones that perform the allocation hence they are authoritative with respect to the accuracy of this binding. 1.6. Definitions and acronyms CP - Certificate Policy. A CP is a named set of rules that indicates the applicability of a certificate to a particular community and/or class of applications with common security requirements. CPS - Certification Practice Statement. A CPS is a document that specifies the practices that a Certification Authority employs in issuing certificates. ISP - Internet Service Provider. An ISP is an organization managing and selling Internet services to other organizations. LIR/NIR - Local/National Internet Registry. An LIR or NIR is an organization that manages the assignment of IP address and AS numbers for a portion of the geographic region covered by a Regional rd Registry. These form an optional 3 tier in the tree scheme used to manage IP address and AS number allocation. RIR - Regional Internet Registry. An RIR is an organization that manages the assignment of IP address and AS numbers for a specified geopolitical area. At present, there are five RIRs: ARIN (North America), RIPE NCC (Europe), APNIC (Asia -Pacific), LACNIC (Latin America and Caribbean), and AFRINIC (Africa). Kent, Kong & Seo Expires April 13, 2007 [Page 13]
Internet-Draft Template for CPS for RIRs October 13, 2006 2. Publication And Repository Responsibilities 2.1. Repositories As per the CP, certificates and CRLs, will be made available for downloading by all network operators, to enable them to validate this data for use in support of routing security. <Name of Registry> will upload certificates and CRLs issued by it to a local repository system that it operates as part of a world-wide distributed system of repositories. <Describe here the basic set up of your local repository system.> 2.2. Publication of certification information 2.3. Time or Frequency of Publication <Describe here your procedures for publication (via the repository) of the certificates and CRLs that you issue. If you choose to outsource publication of PKI data, you still need to provide this information for relying parties.> As per the CP, the following standards exist for publication times and frequency: A certificate will be published within 24 hours after a CA has received acknowledgement from the subject of the certificate that the certificate is accurate. The <Name of Registry> CA will publish its CRL prior to the nextScheduledUpdate value in the scheduled CRL previously issued by the CA. Within 24 hours of effecting revocation, the CA will publish a CRL with an entry for the revoked certificate. 2.4. Access controls on repositories Access controls for repositories are TBD. Kent, Kong & Seo Expires April 13, 2007 [Page 14]
Internet-Draft Template for CPS for RIRs October 13, 2006 3. Identification And Authentication 3.1. Naming 3.1.1. Types of names The Subject of each certificate issued by this Registry is identified by an X.500 Distinguished Name (DN). The DN consists of a single attribute of type CommonName. <If the RIR has subordinate (NIR/LIR) registries, insert the appropriate text: "For an NIR/LIR, the value of this attribute is the name of the NIR/LIR.> For <insert "non-registry" if appropriate> subscribers, the value of this attribute is selected by the registry so as to be unique among all certificates issued by this registry, but does not represent a "meaningful" or "legal" name for the Subject. 3.1.2. Need for names to be meaningful The name of the holder of an address block or AS number need not to be "meaningful" in the conventional, human-readable sense, since certificates issued under this hierarchy are used for authorization in support of routing security, not for identification 3.1.3. Anonymity or pseudonymity of subscribers Although Subject names in certificates issued by this registry need not be meaningful, and may appear "random," anonymity is not a function of this PKI, and thus no explicit support for this feature is provided. 3.1.4. Rules for interpreting various name forms None 3.1.5. Uniqueness of names <Name of Registry> certifies Subject names that are unique among the certificates that it issues. It is desirable that these Subject names be unique throughout the PKI, to facilitate certificate path discovery, but such uniqueness is not mandated nor enforced through technical means. Kent, Kong & Seo Expires April 13, 2007 [Page 15]
Internet-Draft Template for CPS for RIRs October 13, 2006 3.1.6. Recognition, authentication, and role of trademarks Because the Subject names are not intended to be meaningful, there is no provision to recognize nor authenticate trademarks, service marks, etc. 3.2. Initial identity validation 3.2.1. Method to prove possession of private key <Describe the method whereby each subscriber will be required to demonstrate proof-of-possession (PoP) of the private key corresponding to the public key in the certificate, prior to issuing the certificate. Standard methods are described in the Certificate Management Protocol (CMP) (RFC 2510) and the Certificate Management Messages over CMS protocol (CMC), RFC 2797.> 3.2.2. Authentication of organization identity Certificates issued under this PKI do not attest to the organizational identity of resource holders, with the exception of registries. However, certificates are issued to resource holders in a fashion that preserves the accuracy of bindings in this registry's records. <Describe the procedures that will be used to ensure that each certificate that is issued accurately reflects your records with regard to the organization to which you have allocated (or sub- allocated) the address space (or AS numbers) identified in the certificate. The specific procedures employed for this purpose should be commensurate with those you already employ as a registry in the maintenance of address (and AS number) allocation.> 3.2.3. Authentication of individual identity Certificates issued under this PKI do not attest to the individual identity of a resource holder. However, this registry maintains contact information for each resource holder in support of certificate renewal, re-key, or revocation. <Describe the procedures that will be used to identify at least one individual as a representative of each organization that is an address space (or AS number) holder. This is done in support of issuance, renewal, and revocation of the certificate issued to the organization. The procedures should be commensurate with those you already employ in authenticating individuals as representatives for address space (or AS number) holders. Note that this individual authentication is solely for use by you in dealing with the Kent, Kong & Seo Expires April 13, 2007 [Page 16]
Internet-Draft Template for CPS for RIRs October 13, 2006 organizations to which you allocate (or sub-allocate) address space (or AS numbers), and thus must not be relied upon outside of this CA-subscriber relationship.> 3.2.4. Non-verified subscriber information No non-verified subscriber data is included in certificates issued under this certificate policy. 3.2.5. Validation of authority <Describe the procedures that will be used to verify that an individual claiming to represent a resource holder to which a certificate is issued, is authorized to represent that resource holder in this context. The procedures should be commensurate with those you already employ as a registry in authenticating individuals as representatives of resource holders.> 3.2.6. Criteria for interoperation This PKI is neither intended nor designed to interoperate with any other PKI. 3.3. Identification and authentication for re-key requests 3.3.1. Identification and authentication for routine re-key <Describe the procedures that will be used to ensure that an organization requesting a re-key is the legitimate holder of the certificate (and associated address space and AS numbers) to be re- keyed. This should also include the method employed for verifying PoP of the private key corresponding to the new public key. With respect to authentication of the holder of the address space and AS numbers, the procedures should be commensurate with those you already employ in the maintenance of address (and AS number) allocation. Note that your organization can choose to require periodic re-keying consistent with contractual agreements with the recipient.> 3.3.2. Identification and authentication for re-key after revocation <Describe the procedures that will be used to ensure that an organization requesting a re-key after revocation is the legitimate holder of the address space and AS numbers in the certificate being re-keyed. This should also include the method employed for verifying PoP of the private key corresponding to the new public key. Note that there may be different procedures for the case where the legitimate subject still possesses the original private key as Kent, Kong & Seo Expires April 13, 2007 [Page 17]
Internet-Draft Template for CPS for RIRs October 13, 2006 opposed to the case when it no longer has access to that key. With respect to authentication of the resource holder, the procedures should be commensurate with those you already employ in the maintenance of resource allocation records.> 3.4. Identification and authentication for revocation request <Describe the procedures that will be used to ensure that the resource holder requesting revocation is the subject of the certificate (or an authorized representative thereof) to be revoked. Note that there may be different procedures for the case where the legitimate subject still possesses the original private key as opposed to the case when the subject no longer has access to that key. These procedures should be commensurate with those you already employ in the maintenance of resource holder records.> Note: If additional IP addresses or AS numbers are being added to an organization's existing allocation, the old certificate need not be revoked. Instead, a new certificate may be issued with both the old and the new resources and the old key. If IP addresses or AS numbers are being removed or if there has been a key compromise, then there will be a revocation and a re-key. A subscriber may request that its resource holdings be spread over a set of certificates, rather than consolidating all resources in one certificate. This may be appropriate if the subscriber wants to manage his resource allocations as distinct allocations within his organization. Kent, Kong & Seo Expires April 13, 2007 [Page 18]
Internet-Draft Template for CPS for RIRs October 13, 2006 4. Certificate Life-Cycle Operational Requirements 4.1. Certificate Application 4.1.1. Who can submit a certificate application The following entities may submit a certificate application to this CA: <Insert if appropriate: "Any LIR/NIR operating in the geopolitical region served by this registry"> Any entity that holds AS numbers or address space assigned by this registry Individuals or roles associated with this registry and that engage in the maintenance of the repository system for this PKI 4.1.2. Enrollment process and responsibilities <Describe your enrollment process for issuing certificates both for initial deployment of the PKI and as an ongoing process. Note that most of the certificates in this PKI are issued as part of registry and ISP normal business practices, as an adjunct to address space and AS number allocation, and thus a separate application to request a certificate may not be necessary. If so, reference should be made to where these practices are documented.> 4.2. Certificate application processing <Describe the certificate request/response standards that you will employ. You should make use of existing standards for certificate application processing. Relevant standards include RFC 4210, Internet X.509 Public Key Infrastructure Certificate Management Protocol (CMP), RFC 2797, Certificate Management Messages over CMS, and RSA Labs standards PKCS #7 and PKCS #10. > 4.2.1. Performing identification and authentication functions <Describe your practices for identification and authentication of certificate applicants. Often, existing practices employed by you to identify and authenticate organizations form the basis for issuance of certificates to these subscribers. Reference can be made to documentation of such existing practices.> Kent, Kong & Seo Expires April 13, 2007 [Page 19]
Internet-Draft Template for CPS for RIRs October 13, 2006 4.2.2. Approval or rejection of certificate applications <Describe your practices for approval or rejection of applications and refer to documentation of existing business practices relevant to this process. Note that according to the CP, certificate applications will be approved based on the normal business practices of the entity operating the CA, based on the CA's records of address space and AS number holders. Also, each CA will verify that the requester holds the corresponding private key for the public key that will be bound to the certificate the CA issues to the requester.> 4.2.3. Time to process certificate applications <You may declare here your expected time frame for processing certificate applications.> 4.3. Certificate issuance 4.3.1. CA actions during certificate issuance <Describe in this section the following (referring to subsequent sections as appropriate): Procedures for generation of a draft certificate and form of the draft. Typically a draft certificate is a complete certificate except for the issuer's signature. Procedure for making the draft available to the applicant for review. For example, you may directly transmit the draft certificate to the subscriber (applying PKCS #7 or other defined syntax). Alternatively, you might establish a repository where draft certificates can be examined. Procedure for subscriber approval/rejection of the draft (Section 4.4.1) If the draft is approved, procedure for finalization of the draft and subsequent publication (Section 4.4.2) If the draft is rejected, procedure for modification of the rejected certificate (Section 4.8 might be useful) or submission of a new certificate request.> 4.3.2. Notification to subscriber by the CA of issuance of certificate <Describe your procedure for notification of a subscriber when a draft certificate is ready for review.> Kent, Kong & Seo Expires April 13, 2007 [Page 20]
Internet-Draft Template for CPS for RIRs October 13, 2006 Notification of certificate issuance by the CA to other entities [OMITTED> 4.4. Certificate acceptance 4.4.1. Conduct constituting certificate acceptance When a draft certificate is generated and the subscriber is notified, it is required that the subscriber review the proposed certificate and either approve or reject it within <X> days. <Describe what constitutes acceptance or rejection from the certificate applicant.> If a certificate remains unprocessed by the requester after <X> days, <Describe your policy for handling certificates that have not been acknowledged (either positively or negatively) after X days. For example, at your option, you may either cancel the certificate or finalize it and place it in the repository.> 4.4.2. Publication of the certificate by the CA Certificates will be published in the Repository system once approved. <Describe your procedures for publication of the approved certificate.> 4.5. Key pair and certificate usage A summary of the use model for the IP Address and AS Number PKI is provided below. 4.5.1. Subscriber private key and certificate usage The certificates issued by this registry to resource holders are CA certificates. The private key associated with each of these certificates is used to sign subordinate (CA or EE) certificates and CRLs. A (non-registry) subscriber will issue certificates to any organizations to which it allocates IP address space and one or more "shadow" certificates for use in verifying signatures on ROAs signed by the subscriber. <If appropriate, add "Subscribers that are registries (LIRs/NIRs) issue certificates to organizations to which they have allocated address space or AS numbers.> Subscribers also will issue certificates to operators in support of repository access control. 4.5.2. Relying party public key and certificate usage The primary relying parties in this PKI are ISPs, who will use shadow certificates to verify ROAs, e.g., in support of generating Kent, Kong & Seo Expires April 13, 2007 [Page 21]
Internet-Draft Template for CPS for RIRs October 13, 2006 route filters. Repositories will use operator certificates to verify the authorization of entities to engage in repository maintenance activities, and thus repositories represent a secondary type of relying party. 4.6. Certificate renewal 4.6.1. Circumstance for certificate renewal As per the CP, a certificate will be processed for renewal based on its expiration date or a renewal request from the certificate Subject. The request may be implicit, a side effect of renewing its resource holding agreement, or may be explicit. If <Name of Registry> initiates the renewal process based on the certificate expiration date, then <Name of Registry> will notify the resource holder <insert the period of advance warning, e.g., "2 weeks in advance of the expiration date", or the general policy, e.g., "in conjunction with notification of service expiration".> The validity interval of the new (renewed) certificate will overlap that of the previous certificate by <insert length of overlap period, e.g., 1 week>, to ensure uninterrupted coverage. Certificate renewal will incorporate the same public key as the previous certificate, unless the private key has been reported as compromised. If a new key pair is being used, the stipulations of Section 4.7 will apply. 4.6.2. Who may request renewal The certificate holder or <Name of Registry> may initiate the renewal process. <For the case of the certificate holder, describe what steps will be taken to verify the identity and authorization of the entity requesting the renewal.> 4.6.3. Processing certificate renewal requests <Describe your procedures for handling certificate renewal requests. This must include verification that the certificate in question has not been revoked.> 4.6.4. Notification of new certificate issuance to subscriber <Describe your procedure for notification of new certificate issuance to the subscriber. This should be consistent with 4.3.2.> Kent, Kong & Seo Expires April 13, 2007 [Page 22]
Internet-Draft Template for CPS for RIRs October 13, 2006 4.6.5. Conduct constituting acceptance of a renewal certificate <Describe your definition of what constitutes acceptance of a renewed certificate. This should be consistent with 4.4.1.> 4.6.6. Publication of the renewal certificate by the CA <Describe your policy and procedures for publication of a renewed certificate. This should be consistent with 4.4.2.> 4.6.7. Notification of certificate issuance by the CA to other entities [OMITTED] 4.7. Certificate re-key 4.7.1. Circumstance for certificate re-key As per the CP, re-key of a certificate will be performed only when requested, based on: (1) knowledge or suspicion of compromise or loss of the associated private key, or (2) the expiration of the cryptographic lifetime of the associated key pair If a certificate is revoked to replace the RFC 3779 extensions, the replacement certificate will incorporate the same public key, not a new key, unless the subscriber requests a re-key at the same time. If the re-key is based on a suspected compromise, then the previous certificate will be revoked. If the re-key is based on the expiration of the key pair, then the certificate does not require revocation, since the certificate should expire on or before the date when the associated key pair expires. 4.7.2. Who may request certification of a new public key The holder of the certificate may request a re-key. In addition, <Name of Registry> may initiate a re-key based on receipt and verification of a compromise report. <Describe what steps will be taken to verify the identity and authorization of a subscriber to request a re-key when the private key has been reported as compromised. Also describe how a compromise report received from other than a subscriber is verified.> Kent, Kong & Seo Expires April 13, 2007 [Page 23]
Internet-Draft Template for CPS for RIRs October 13, 2006 4.7.3. Processing certificate re-keying requests <Describe your process for handling re-keying requests. As per the CP, this should be consistent with the process described in Section 4.3. So reference can be made to that section.> 4.7.4. Notification of new certificate issuance to subscriber <Describe your policy regarding notifying the subscriber re: availability of the new certificate. This should be consistent with the notification process for any new certificate issuance (see section 4.3.2).> 4.7.5. Conduct constituting acceptance of a re-keyed certificate <Describe your policy regarding acceptance of the new certificate by the subscriber. This should be consistent with the acceptance process for any new certificate (see section 4.4.1).> 4.7.6. Publication of the re-keyed certificate by the CA <Describe your policy regarding publication of the new certificate. This should be consistent with the publication process for any new certificate (see section 4.4.2).> 4.7.7. Notification of certificate issuance by the CA to other entities [OMITTED] 4.8. Certificate modification 4.8.1. Circumstance for certificate modification As per the CP, modification of a certificate occurs to implement changes to the RFC 3779 extension values in a certificate. A subscriber can request a certificate modification when this information in a currently valid certificate has changed, as a result of changes in the resource holdings of the subscriber. The request may be implicit, a side effect of the allocation of additional resources, or may be explicit. A subscriber also may request that its existing set of resources be redistributed among multiple certificates. This example of certificate modification is effected through issuance of new certificates, and revocation of the previous certificates. If a subscriber is to be allocated address space or AS numbers in addition to a current allocation, and if the subscriber does not request that a new certificate be issued containing only these Kent, Kong & Seo Expires April 13, 2007 [Page 24]
Internet-Draft Template for CPS for RIRs October 13, 2006 resources, then this is accomplished through a certificate modification. When previously allocated address space or AS numbers are to be removed from a certificate, then the old certificate MUST be revoked and a new certificate (reflecting the new allocation) issued. 4.8.2. Who may request certificate modification The certificate holder or <Name of Registry> may initiate the certificate modification process. <For the case of the certificate holder, state here what steps will be taken to verify the identity and authorization of the entity requesting the modification.> 4.8.3. Processing certificate modification requests <Describe your procedures for verification of the modification request and procedures for the issuance of a new certificate. These should be consistent with the processes described in Sections 4.2 and 4.3.1.> 4.8.4. Notification of modified certificate issuance to subscriber <Describe your procedure for notification of issuance of a modified certificate. This should be consistent with the notification process for any new certificate (see section 4.3.2).> 4.8.5. Conduct constituting acceptance of modified certificate <Describe your criteria for acceptance of a modified certificate. This should be consistent with the acceptance process for any new certificate (see section 4.4.1).> 4.8.6. Publication of the modified certificate by the CA <Describe your procedure for publication of a modified certificate. This should be consistent with the publication process for any new certificate (see section 4.4.2).> 4.8.7. Notification of certificate issuance by the CA to other entities [OMITTED] 4.9. Certificate revocation and suspension 4.9.1. Circumstances for revocation As per the CP, certificates can be revoked for several reasons. Either <Name of Registry> or the subject may choose to end the Kent, Kong & Seo Expires April 13, 2007 [Page 25]
Internet-Draft Template for CPS for RIRs October 13, 2006 relationship expressed in the certificate, thus creating cause to revoke the certificate. If one or more of the resources bound to the public key in the certificate are no longer associated with the subject, that too constitutes a basis for revocation. A certificate also may be revoked due to loss or compromise of the private key corresponding to the public key in the certificate. Finally, a certificate may be revoked in order to invalidate data signed by that certificate. 4.9.2. Who can request revocation The certificate holder or <Name of Registry> may request a revocation. <For the case of the certificate holder, describe what steps will be taken to verify the identity and authorization of the entity requesting the revocation.> 4.9.3. Procedure for revocation request <Describe your process for handling a certificate revocation request. This should include: Procedure to be used by the certificate holder to request a revocation Procedure for notification of the certificate holder when the CRL is published by <Name of Registry>. 4.9.4. Revocation request grace period A subscriber should request revocation as soon as possible after the need for revocation has been identified. 4.9.5. Time within which CA must process the revocation request <Describe your policy on the time period within which you will process a revocation request.> 4.9.6. Revocation checking requirement for relying parties As per the CP, a relying party is responsible for checking the most recent, scheduled CRL whenever it validates a certificate. 4.9.7. CRL issuance frequency <Name of Registry> will publish CRLs approximately every 24 hours. Each CRL will carry a nextScheduledUpdate value and a new CRL will be published at or before that time. <Name of Registry> will modify Kent, Kong & Seo Expires April 13, 2007 [Page 26]
Internet-Draft Template for CPS for RIRs October 13, 2006 the nextScheduledUpdate value when it issues a CRL, to signal when the next scheduled CRL will be issued. 4.9.8. Maximum latency for CRLs A CRL will be posted to the repository system with minimal delay after generation. 4.9.9. On-line revocation/status checking availability [OMITTED] 4.9.10. On-line revocation checking requirements [OMITTED] 4.9.11. Other forms of revocation advertisements available [OMITTED] 4.9.12. Special requirements re key compromise [OMITTED] 4.9.13. Circumstances for suspension [OMITTED] 4.9.14. Who can request suspension [OMITTED] 4.9.15. Procedure for suspension request [OMITTED] 4.9.16. Limits on suspension period [OMITTED] 4.10. Certificate status services <Name of Registry> does <not> support OCSP. 4.10.1. Operational characteristics [OMITTED] 4.10.2. Service availability [OMITTED] 4.10.3. Optional features [OMITTED] 4.11. End of subscription [OMITTED] 4.12. Key escrow and recovery [OMITTED] 4.12.1. Key escrow and recovery policy and practices [OMITTED] 4.12.2. Session key encapsulation and recovery policy and practices [OMITTED] Kent, Kong & Seo Expires April 13, 2007 [Page 27]
Internet-Draft Template for CPS for RIRs October 13, 2006 5. Facility, Management, And Operational Controls 5.1. Physical controls <As per the CP, describe the physical controls that you employ for certificate management. These should be commensurate to those used in the management of address space and AS number allocation.> 5.1.1. Site location and construction 5.1.2. Physical access 5.1.3. Power and air conditioning 5.1.4. Water exposures 5.1.5. Fire prevention and protection 5.1.6. Media storage 5.1.7. Waste disposal 5.1.8. Off-site backup 5.2. Procedural controls <As per the CP, describe the procedural security controls that you employ for certificate management. These should be commensurate to those used in the management of address space and AS number allocation.> 5.2.1. Trusted roles 5.2.2. Number of persons required per task 5.2.3. Identification and authentication for each role 5.2.4. Roles requiring separation of duties 5.3. Personnel controls <As per the CP, describe the personnel security controls that you employ for individuals associated with certificate management. These should be commensurate to those used in the management of address space and AS number allocation.> Kent, Kong & Seo Expires April 13, 2007 [Page 28]
Internet-Draft Template for CPS for RIRs October 13, 2006 5.3.1. Qualifications, experience, and clearance requirements 5.3.2. Background check procedures 5.3.3. Training requirements 5.3.4. Retraining frequency and requirements 5.3.5. Job rotation frequency and sequence 5.3.6. Sanctions for unauthorized actions 5.3.7. Independent contractor requirements 5.3.8. Documentation supplied to personnel 5.4. Audit logging procedures 5.4.1. Types of events recorded Audit records will be generated for the basic operations of the certification authority computing equipment. Audit records will include the date, time, responsible user or process, and summary content data relating to the event. Auditable events include: Access to CA computing equipment (e.g., logon, logout) Messages received requesting CA actions (e.g., certificate requests, certificate revocation requests, compromise notifications) Certificate creation, modification, revocation, or renewal actions Posting of any material to a repository Any attempts to change or delete audit data <List here any additional types of events that will be audited.> 5.4.2. Frequency of processing log <Describe your procedures for review of audit logs.> 5.4.3. Retention period for audit log <Describe your polices for retention of audit logs.> Kent, Kong & Seo Expires April 13, 2007 [Page 29]
Internet-Draft Template for CPS for RIRs October 13, 2006 5.4.4. Protection of audit log <Describe your policies for protection of the audit logs.> 5.4.5. Audit log backup procedures <Describe your policies for backup of the audit logs.> 5.4.6. Audit collection system (internal vs. external) [OMITTED] 5.4.7. Notification to event-causing subject [OMITTED] 5.4.8. Vulnerability assessments <Describe any vulnerability assessments that you will apply (or have already applied) to the PKI subsystems. This should include whether such assessments have taken place and any procedures or plans to perform or repeat/reassess vulnerabilities in the future.> 5.5. Records archival [OMITTED] 5.5.1. Types of records archived [OMITTED] 5.5.2. Retention period for archive [OMITTED] 5.5.3. Protection of archive [OMITTED] 5.5.4. Archive backup procedures [OMITTED] 5.5.5. Requirements for time-stamping of records [OMITTED] 5.5.6. Archive collection system (internal or external) [OMITTED] 5.5.7. Procedures to obtain and verify archive information [OMITTED] 5.6. Key changeover The <Name of Registry> CA certificate will contain a validity period that encompasses that of all certificates verifiable using this CA certificate. To support this, <Name of Registry> will create a new signature key pair, and acquire and publish a new certificate containing the public key of the pair, <specify here the minimum amount of lead time, e.g., "a minimum of 6 months"> in advance of the expiration date of the current signature key pair. Kent, Kong & Seo Expires April 13, 2007 [Page 30]
Internet-Draft Template for CPS for RIRs October 13, 2006 5.7. Compromise and disaster recovery [OMITTED] 5.7.1. Incident and compromise handling procedures [OMITTED] 5.7.2. Computing resources, software, and/or data are corrupted [OMITTED] 5.7.3. Entity private key compromise procedures [OMITTED] 5.7.4. Business continuity capabilities after a disaster [OMITTED] 5.8. CA or RA termination <Describe the fallback policy for management of your CA's IP address space and AS number allocations in case of its own termination.> Kent, Kong & Seo Expires April 13, 2007 [Page 31]
Internet-Draft Template for CPS for RIRs October 13, 2006 6. Technical Security Controls This section describes the security controls used by <Name of Registry>. 6.1. Key pair generation and installation 6.1.1. Key pair generation <Describe the procedures that will be used to generate the CA key pair, and, if applicable, key pairs for subscribers. In most instances, public-key pairs will be generated by the subscriber, i.e., the organization receiving the allocation of address space or AS numbers. However, your procedures may include one for generating key pairs on behalf of your subscribers if they so request. (This might be done for subscribers who do not have the ability to perform key generation in a secure fashion or who want a registry to provide backup for the subscriber private key.) Since the keys used in this PKI are not for non-repudiation purposes, generation of key pairs by CAs does not undermine the security of the PKI. > 6.1.2. Private key delivery to subscriber <If the procedures in 6.1.1 include providing key pair generation services for subscribers, describe the means by which private keys are delivered to subscribers in a secure fashion. Otherwise say this is not applicable.> 6.1.3. Public key delivery to certificate issuer <Describe the means by which the public keys are delivered to you, e.g., electronic submission using a PKCS#10 Certificate Signing Request (CSR). This description should explain how this public key delivery fits in with the process whereby the subscriber requests IP address space (and/or AS numbers), authenticates itself, pays for the resources, etc. The security of the procedures used by a subscriber to deliver its public key to you need only be commensurate with the security of the procedures already employed for management of the IP address space and AS numbers.> 6.1.4. CA public key delivery to relying parties CA public keys for all entities other than RIRs are contained in certificates issued by other CAs. These certificates plus certificates used to represent inter-RIR transfers of address space or AS numbers will be published via a repository system. Relying parties will download these certificates from this system. Public key values and associated data for the trust anchors (RIRs) will be Kent, Kong & Seo Expires April 13, 2007 [Page 32]
Internet-Draft Template for CPS for RIRs October 13, 2006 distributed out of band, embedded in path validation software that will be made available to the Internet community. [Do you (RIRs) want to make provisions for additional mechanisms for distribution of your public keys for use as a cross-check on the downloaded path validation software?] 6.1.5. Key sizes For the <Name of Registry> CA's certificate and shadow CA certificate, the RSA key size will be 2048 bits. For subscriber certificates, the RSA keys will be <insert key size -- e.g., 2048 or 1024 bits. If NIR/LIR key size is larger than ISP/subscriber key size, describe each independently.> 6.1.6. Public key parameters generation and quality checking The RSA algorithm [RSA] is used in this PKI with the public exponent (e) F (65,537). 4 <If the procedures in 6.1.1 include subscriber key pair generation, insert here text specifying that the subscriber is responsible for performing checks on the quality of its key pair and saying that <Name of Registry> is not responsible for performing such checks for subscribers OR describe the procedures used by the CA for checking the quality of these subscriber key pairs.> 6.1.7. Key usage purposes (as per X.509 v3 key usage field) The Key usage extension bit values will be consistent with RFC 3280. For <Name of Registry>'s CA certificates, the keyCertSign and cRLSign bits will be set TRUE. All other bits (including digitalSignature) will be set FALSE, and the extension will be marked critical. 6.2. Private Key Protection and Cryptographic Module Engineering Controls 6.2.1. Cryptographic module standards and controls The <Name of Registry> CA employs a cryptographic module evaluated under FIPS 140-2, at level 3 [FIPS]. 6.2.2. Private key (n out of m) multi-person control There will be private key <insert here n> out of <insert here m> multi-person control. Kent, Kong & Seo Expires April 13, 2007 [Page 33]
Internet-Draft Template for CPS for RIRs October 13, 2006 6.2.3. Private key escrow No private key escrow procedures are required for this PKI. 6.2.4. Private key backup <Describe the procedures used for backing up your CA's private key. The following aspects should be included. (1) The copying should be done under the same multi-party control as is used for controlling the original private key. (2) At least one copy should be kept at an off-site location for disaster recovery purposes.> 6.2.5. Private key archival See sections 6.2.3 and 6.2.4 6.2.6. Private key transfer into or from a cryptographic module The private keys for <Name of Registry>'s CA and shadow CA will be generated by the cryptographic module specified in 6.2.1. The private keys will never leave the module except in encrypted form for backup and/or transfer to a new module. 6.2.7. Private key storage on cryptographic module The private keys for <Name of Registry>'s CA will be stored in the cryptographic module and will be protected from unauthorized use in accordance with the FIPS 140-2 requirements applicable to the module. (See [FIPS]) 6.2.8. Method of activating private key <Describe the mechanisms and data used to activate your CA's private key.> 6.2.9. Method of deactivating private key The cryptographic module, when activated, will not be left unattended. After use, it will be deactivated by <Describe the procedure for deactivation of your CA's private key.> The module will be stored securely when not in use. 6.2.10. Method of destroying private key <Describe the method used for destroying your CA's private key, e.g., when it is superseded. This will depend on the particular module.> Kent, Kong & Seo Expires April 13, 2007 [Page 34]
Internet-Draft Template for CPS for RIRs October 13, 2006 6.2.11. Cryptographic Module Rating The cryptographic module will be certified FIPS 140-2, at level 3 [FIPS]. 6.3. Other aspects of key pair management 6.3.1. Public key archival Because this PKI does not support non-repudiation, there is no need to archive public keys. 6.3.2. Certificate operational periods and key pair usage periods The <Name of Registry> CA's key pair will have a validity interval of <insert number of years - Registry key pairs and certificates should have long validity intervals, e.g., 10 years, to minimize the disruption caused by key changeover for top tier CAs.> 6.4. Activation data 6.4.1. Activation data generation and installation <Describe how activation data for your CA will be generated.> 6.4.2. Activation data protection Activation data for the CA private key will be protected by <Describe your procedures here>. 6.4.3. Other aspects of activation data <Add here any details you wish to provide with regard to the activation data for your CA. If there are none, say "None."> 6.5. Computer security controls 6.5.1. Specific computer security technical requirement <Describe your security requirements for the computers used to support this PKI, e.g., requirements for authenticated logins, audit capabilities, etc. These requirements should be commensurate with those used for the computers used for managing allocation of IP addresses and AS numbers.> Kent, Kong & Seo Expires April 13, 2007 [Page 35]
Internet-Draft Template for CPS for RIRs October 13, 2006 6.5.2. Computer security rating [OMITTED] 6.6. Life cycle technical controls 6.6.1. System development controls <Describe any system development controls that you will apply to the PKI systems, e.g., use of Trusted System Development Methodology (TSDM) Level 2.> 6.6.2. Security management controls <Describe the security management controls that will be used for the software and equipment employed by the CA. These security measures should be commensurate with those used for the systems used by the CAs for managing and allocating IP address and AS number resources.> 6.6.3. Life cycle security controls <Describe how the equipment (hardware and software) used for PKI functions will be procured, installed, maintained, and updated. This should be done in a fashion commensurate with the way in which equipment for the management and allocation of IP address space and AS numbers is handled. > 6.7. Network security controls <Describe the network security controls that will be used for CA operation. These should be commensurate with the network security controls employed for the computers used for managing allocation of IP addresses and AS numbers.> 6.8. Time-stamping The PKI in question does not make use of time stamping. Kent, Kong & Seo Expires April 13, 2007 [Page 36]
Internet-Draft Template for CPS for RIRs October 13, 2006 7. Certificate and CRL Profiles Please refer to the Certificate and CRL Profile [draft-ietf-sidr- res-certs-01] Kent, Kong & Seo Expires April 13, 2007 [Page 37]
Internet-Draft Template for CPS for RIRs October 13, 2006 7.1. Certificate profile [OMITTED] 7.1.1. Version number(s) [OMITTED] 7.1.2. Certificate extensions [OMITTED] 7.1.2.1. Required certificate extensions [OMITTED] 7.1.2.2. Deprecated certificate extensions [OMITTED] 7.1.2.3. Optional certificate extensions [OMITTED] 7.1.3. Algorithm object identifiers [OMITTED] 7.1.4. Name forms [OMITTED] 7.1.5. Name constraints [OMITTED] 7.1.6. Certificate policy object identifier [OMITTED] 7.1.7. Usage of Policy Constraints extension [OMITTED] 7.1.8. Policy qualifiers syntax and semantics [OMITTED] 7.1.9. Processing semantics for the critical Certificate Policies extension [OMITTED] 7.2. CRL profile [OMITTED] 7.2.1. Version number(s) [OMITTED] 7.2.2. CRL and CRL entry extensions [OMITTED] 7.2.2.1. Required CRL extensions [OMITTED] 7.2.2.2. Deprecated CRL extensions [OMITTED] 7.2.2.3. Optional CRL extensions [OMITTED] 7.3. OCSP profile [OMITTED] 7.3.1. Version number(s) [OMITTED] 7.3.2. OCSP extensions [OMITTED] Kent, Kong & Seo Expires April 13, 2007 [Page 38]
Internet-Draft Template for CPS for RIRs October 13, 2006 8. Compliance Audit and Other Assessments <List here any audit and other assessments used to ensure the security of the administration of IP addresses and AS numbers. These are sufficient for the PKI systems.> 8.1. Frequency or circumstances of assessment 8.2. Identity/qualifications of assessor 8.3. Assessor's relationship to assessed entity 8.4. Topics covered by assessment 8.5. Actions taken as a result of deficiency 8.6. Communication of results Kent, Kong & Seo Expires April 13, 2007 [Page 39]
Internet-Draft Template for CPS for RIRs October 13, 2006 9. Other Business And Legal Matters <The sections below are optional. Fill them in as appropriate for your organization. Note that the manner in which you manage your business and legal matters for this PKI should be commensurate with the way in which you manage business and legal matters for the allocation of IP address and AS numbers.> 9.1. Fees 9.1.1. Certificate issuance or renewal fees 9.1.2. Fees for other services (if applicable) 9.1.3. Refund policy 9.2. Financial responsibility 9.2.1. Insurance coverage 9.2.2. Other assets 9.2.3. Insurance or warranty coverage for end-entities 9.3. Confidentiality of business information 9.3.1. Scope of confidential information 9.3.2. Information not within the scope of confidential information 9.3.3. Responsibility to protect confidential information 9.4. Privacy of personal information 9.4.1. Privacy plan 9.4.2. Information treated as private 9.4.3. Information not deemed private 9.4.4. Responsibility to protect private information 9.4.5. Notice and consent to use private information Kent, Kong & Seo Expires April 13, 2007 [Page 40]
Internet-Draft Template for CPS for RIRs October 13, 2006 9.4.6. Disclosure pursuant to judicial or administrative process 9.4.7. Other information disclosure circumstances 9.5. Intellectual property rights (if applicable) 9.6. Representations and warranties 9.6.1. CA representations and warranties 9.6.2. Subscriber representations and warranties 9.6.3. Relying party representations and warranties 9.6.4. Representations and warranties of other participants [OMITTED] 9.7. Disclaimers of warranties 9.8. Limitations of liability 9.9. Indemnities 9.10. Term and termination 9.10.1. Term 9.10.2. Termination 9.10.3. Effect of termination and survival 9.11. Individual notices and communications with participants 9.12. Amendments 9.12.1. Procedure for amendment 9.12.2. Notification mechanism and period 9.12.3. Circumstances under which OID must be changed [OMITTED] 9.13. Dispute resolution provisions 9.14. Governing law 9.15. Compliance with applicable law 9.16. Miscellaneous provisions Kent, Kong & Seo Expires April 13, 2007 [Page 41]
Internet-Draft Template for CPS for RIRs October 13, 2006 9.16.1. Entire agreement 9.16.2. Assignment 9.16.3. Severability 9.16.4. Enforcement (attorneys' fees and waiver of rights) 9.16.5. Force Majeure 9.17. Other provisions [OMITTED] Kent, Kong & Seo Expires April 13, 2007 [Page 42]
Internet-Draft Template for CPS for RIRs October 13, 2006 10. Security Considerations The degree to which a relying party can trust the binding embodied in a certificate depends on several factors. These factors can include the practices followed by the certification authority (CA) in authenticating the subject; the CA's operating policy, procedures, and technical security controls, including the scope of the subscriber's responsibilities (for example, in protecting the private key), and the stated responsibilities and liability terms and conditions of the CA (for example, warranties, disclaimers of warranties, and limitations of liability). This document provides a framework to address the technical, procedural, personnel, and physical security aspects of Certification Authorities, Registration Authorities, repositories, subscribers, and relying party cryptographic modules, in order to ensure that the certificate generation, publication, renewal, re-key, usage, and revocation is done in a secure manner. Specifically, Section 3 Identification and Authentication (I&A); Section 4 Certificate Life-Cycle Operational Requirements; Section 5 Facility Management, and Operational Controls; Section 6 Technical Security Controls; Section 7 Certificate and CRL Profiles; and Section 8 Compliance Audit and Other Assessments are oriented towards ensuring secure operation of the PKI entities such as CA, RA, repository, subscriber systems, and relying party systems. 11. IANA Considerations None. 12. Acknowledgments The authors would like to thank Geoff Huston for reviewing this document. 13. References 13.1. Normative References [RFC2119] Bradner, S., "Key words for use in RFCs to Indicate Requirement Levels", BCP 14, RFC 2119, March 1997. [RFC3280] Housley, R., Polk, W. Ford, W., Solo, D., "Internet X.509 Public Key Infrastructure Certificate and Certificate Revocation List (CRL) Profile", BCP 14, RFC 2119, March 1997. [RFCxxxx] Seo, K., Watro, R., Kong, D., and Kent, S. , "Certificate Policy for the Internet IP Address and AS Number PKI", RFC xxxx. Kent, Kong & Seo Expires April 13, 2007 [Page 43]
Internet-Draft Template for CPS for RIRs October 13, 2006 [draft-ietf-sidr-res-certs-01] Huston, G., Loomans, R., Michaelson, G., "A Profile for X.509 PKIX Resource Certificates", work in progress, June 19, 2006. 13.2. Informative References [BGP4] Y. Rekhter, T. Li (editors), A Border Gateway Protocol 4 (BGP-4). IETF RFC 1771, March 1995. [FIPS] Federal Information Processing Standards Publication 140-2 (FIPS PUB 140-2), "Security Requirements for Cryptographic Modules", Information Technology Laboratory, National Institute of Standards and Technology, May 25, 2001. [RSA] Rivest, R., Shamir, A., and Adelman, L. M. 1978. A method for obtaining digital signatures and public-key cryptosystems. Commun. ACM 21, 2 (Feb.), 120-126. Author's Addresses Stephen Kent BBN Technologies 10 Moulton Street Cambridge MA 02138 USA Phone: +1 (617) 873-3988 Email: skent@bbn.com Derrick Kong BBN Technologies 10 Moulton Street Cambridge MA 02138 USA Phone: +1 (617) 873-1951 Email: dkong@bbn.com Karen Seo BBN Technologies 10 Moulton Street Cambridge MA 02138 USA Phone: +1 (617) 873-3152 Email: kseo@bbn.com Kent, Kong & Seo Expires April 13, 2007 [Page 44]
Internet-Draft Template for CPS for RIRs October 13, 2006 Intellectual Property Statement The IETF takes no position regarding the validity or scope of any Intellectual Property Rights or other rights that might be claimed to pertain to the implementation or use of the technology described in this document or the extent to which any license under such rights might or might not be available; nor does it represent that it has made any independent effort to identify any such rights. Information on the procedures with respect to rights in RFC documents can be found in BCP 78 and BCP 79. Copies of IPR disclosures made to the IETF Secretariat and any assurances of licenses to be made available, or the result of an attempt made to obtain a general license or permission for the use of such proprietary rights by implementers or users of this specification can be obtained from the IETF on-line IPR repository at http://www.ietf.org/ipr. The IETF invites any interested party to bring to its attention any copyrights, patents or patent applications, or other proprietary rights that may cover technology that may be required to implement this standard. Please address the information to the IETF at ietf ipr@ietf.org. Disclaimer of Validity This document and the information contained herein are provided on an "AS IS" basis and THE CONTRIBUTOR, THE ORGANIZATION HE/SHE REPRESENTS OR IS SPONSORED BY (IF ANY), THE INTERNET SOCIETY AND THE INTERNET ENGINEERING TASK FORCE DISCLAIM ALL WARRANTIES, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO ANY WARRANTY THAT THE USE OF THE INFORMATION HEREIN WILL NOT INFRINGE ANY RIGHTS OR ANY IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Copyright Statement Copyright (C) The Internet Society (2006). This document is subject to the rights, licenses and restrictions contained in BCP 78, and except as set forth therein, the authors retain all their rights. Kent, Kong & Seo Expires April 13, 2007 [Page 45]