Certificate Policy
Version 1.0.11

1

1

INTRODUCTION ......................................................................................................................................................... 12
1.1

Overview ........................................................................................................................................................... 12

1.1.1

Compliance .................................................................................................................................................. 12

1.1.2

Types of Certificates .................................................................................................................................... 12

1.1.2.1

CA-Certificates .................................................................................................................................... 12

1.1.2.1.1

Terminus CA-Certificates................................................................................................................ 13

1.1.2.1.2

Policy CA-Certificates ..................................................................................................................... 13

1.1.2.1.3

Technically Constrained CA-Certificates ........................................................................................ 13

1.1.2.1.4

Unconstrained CA-Certificates ....................................................................................................... 13

1.1.2.1.5

Root CA-Certificates ....................................................................................................................... 13

1.1.2.1.6

Subordinate CA-Certificates ........................................................................................................... 13

1.1.2.2

End-Entity Certificates ........................................................................................................................ 13

1.1.2.2.1

Extended Validation TLS Server Authentication Certificates ......................................................... 13

1.1.2.2.2

Standard Validation TLS Server Authentication Certificates .......................................................... 13

1.1.2.2.3

Extended Validation Code Signing Certificates .............................................................................. 13

1.1.2.2.4

Standard Validation Code Signing Certificates ............................................................................... 13

1.1.2.2.5

Client Certificates (including Augmented Client Certificates) ........................................................ 13

1.1.2.2.6

OCSP Signing Certificate ................................................................................................................. 14

1.1.2.2.7

Time Stamp Authority Certificate .................................................................................................. 14

1.1.2.3

Subscriber Certificates........................................................................................................................ 14

1.2

Document name and identification .................................................................................................................. 14

1.3

PKI participants ................................................................................................................................................. 14

1.3.1

Certification authorities .............................................................................................................................. 14

1.3.2

Registration authorities............................................................................................................................... 15

1.3.3

Subscribers .................................................................................................................................................. 16

1.3.4

Relying parties ............................................................................................................................................. 16

1.3.5

Other participants ....................................................................................................................................... 16

1.4

Certificate usage ............................................................................................................................................... 16

1.4.1

Appropriate certificate uses ........................................................................................................................ 16

1.4.2

Prohibited certificate uses .......................................................................................................................... 16

1.5

Policy administration ........................................................................................................................................ 16

1.5.1

Organization administering the document ................................................................................................. 17

1.5.2

Contact person ............................................................................................................................................ 17

1.5.3

Person determining CPS suitability for the policy ....................................................................................... 17

1.5.4

CPS approval procedures ............................................................................................................................ 17

1.6

Definitions and acronyms ................................................................................................................................. 17
2

2

3

1.6.1

Definitions ................................................................................................................................................... 17

1.6.2

Acronyms .................................................................................................................................................... 24

1.6.3

References................................................................................................................................................... 25

1.6.4

Conventions ................................................................................................................................................ 27

PUBLICATION AND REPOSITORY RESPONSIBILITIES .................................................................................................. 27
2.1

Repositories ...................................................................................................................................................... 27

2.2

Publication of information ................................................................................................................................ 27

2.3Time or frequency of publication ...................................................................................................................... 28

2.4

Access controls on repositories ........................................................................................................................ 28

IDENTIFICATION AND AUTHENTICATION .................................................................................................................. 28
3.1

Naming .............................................................................................................................................................. 28

3.1.1

Types of names ........................................................................................................................................... 28

3.1.2

Need for names to be meaningful .............................................................................................................. 28

3.1.3

Anonymity or pseudonymity of subscribers ............................................................................................... 28

3.1.4

Rules for interpreting various name forms ................................................................................................. 29

3.1.5

Uniqueness of names .................................................................................................................................. 29

3.1.6

Recognition, authentication, and role of trademarks ................................................................................. 29

3.2

Initial identity validation ................................................................................................................................... 29

3.2.1

Method to prove possession of private key ................................................................................................ 29

3.2.2

Authentication of Organization and Domain Identity ................................................................................. 29

3.2.2.1

Identity ............................................................................................................................................... 29

3.2.2.2

DBA/Tradename ................................................................................................................................. 30

3.2.2.3

Verification of Country ....................................................................................................................... 30

3.2.2.4

Validation of Domain Authorization or Control ................................................................................. 30

3.2.2.4.1

Validating the Applicant as a Domain Contact ............................................................................... 31

3.2.2.4.2

Email, Fax, SMS, or Postal Mail to Domain Contact ....................................................................... 31

3.2.2.4.3

Phone Contact with Domain Contact ............................................................................................. 32

3.2.2.4.4

Constructed Email to Domain Contact ........................................................................................... 32

3.2.2.4.5

Domain Authorization Document .................................................................................................. 32

3.2.2.4.6

Agreed-Upon Change to Website .................................................................................................. 32

3.2.2.4.7

DNS Change .................................................................................................................................... 33

3.2.2.4.8

IP Address....................................................................................................................................... 33

3.2.2.4.9

Test Certificate ............................................................................................................................... 34

3.2.2.4.10

TLS Using a Random Number ....................................................................................................... 34

3.2.2.4.11

Any Other Method ........................................................................................................................ 34

3.2.2.4.12

Validating Applicant as a Domain Contact.................................................................................... 343

3.2.2.4.13

Email to DNS CAA Contact ............................................................................................................ 34

3.2.2.4.14

Email to DNS TXT Contact ............................................................................................................. 34

3.2.2.4.15

Phone Contact with Domain Contact ........................................................................................... 35

3.2.2.4.16

Phone Contact with DNS TXT Record Phone Contact ................................................................... 35

3.2.2.4.17

Phone Contact with DNS CAA Phone Contact .............................................................................. 36

3.2.2.4.18

Agreed‑Upon Change to Website v2 ............................................................................................ 36

3.2.2.4.19

Agreed‑Upon Change to Website ‑ ACME .................................................................................... 37

3.2.2.4.20
3.2.2.5

Authentication for an IP Address ....................................................................................................... 38

3.2.2.5.1

Agreed-Upon Change to Website .................................................................................................. 38

3.2.2.5.2

Email, Fax, SMS, or Postal Mail to IP Address Contact ................................................................... 39

3.2.2.5.3

Reverse Address Lookup ................................................................................................................ 39

3.2.2.5.4

Any Other Method ......................................................................................................................... 39

3.2.2.5.5

Phone Contact with IP Address Contact ........................................................................................ 39

3.2.2.5.6

ACME “http-01” method for IP Addresses ..................................................................................... 40

3.2.2.5.7

ACME “tls-alpn-01” method for IP Addresses ................................................................................ 40

3.2.2.6

Wildcard Domain Validation............................................................................................................... 40

3.2.2.7

Data Source Accuracy ......................................................................................................................... 40

3.2.2.8

CAA Records ....................................................................................................................................... 41

3.2.3

Authentication of individual identity .......................................................................................................... 42

3.2.4

Non-verified subscriber information ........................................................................................................... 42

3.2.5

Validation of authority ................................................................................................................................ 42

3.2.6

Criteria for interoperation........................................................................................................................... 42

3.3

Identification and authentication for re-key requests ...................................................................................... 42

3.3.1

Identification and authentication for routine re-key .................................................................................. 42

3.3.2

Identification and authentication for re-key after revocation .................................................................... 42

3.4
4

TLS Using ALPN ............................................................................................................................. 38

Identification and authentication for revocation request ................................................................................ 43

CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS ......................................................................................... 43
4.1

Certificate Application....................................................................................................................................... 43

4.1.1

Who can submit a certificate application ................................................................................................... 43

4.1.2

Enrollment process and responsibilities ..................................................................................................... 43

4.2

Certificate application processing ..................................................................................................................... 43

4.2.1

Performing identification and authentication functions............................................................................. 43

4.2.2

Approval or rejection of certificate applications......................................................................................... 44

4.2.3

Time to process certificate applications ..................................................................................................... 44

4.3

Certificate issuance ........................................................................................................................................... 444

4.3.1

CA actions during certificate issuance......................................................................................................... 44

4.3.2

Notification to subscriber by the CA of issuance of certificate ................................................................... 44

4.4

Certificate acceptance....................................................................................................................................... 44

4.4.1

Conduct constituting certificate acceptance............................................................................................... 44

4.4.2

Publication of the certificate by the CA ...................................................................................................... 44

4.4.3

Notification of certificate issuance by the CA to other entities .................................................................. 45

4.5

Key pair and certificate usage ........................................................................................................................... 45

4.5.1

Subscriber private key and certificate usage .............................................................................................. 45

4.5.2

Relying party public key and certificate usage ............................................................................................ 45

4.6

Certificate renewal ............................................................................................................................................ 45

4.6.1

Circumstance for certificate renewal .......................................................................................................... 45

4.6.2

Who may request renewal .......................................................................................................................... 45

4.6.3

Processing certificate renewal requests ..................................................................................................... 45

4.6.4

Notification of new certificate issuance to subscriber ................................................................................ 45

4.6.5

Conduct constituting acceptance of a renewal certificate.......................................................................... 45

4.6.6

Publication of the renewal certificate by the CA ........................................................................................ 45

4.6.7

Notification of certificate issuance by the CA to other entities .................................................................. 45

4.7

Certificate re-key ............................................................................................................................................... 45

4.7.1

Circumstance for certificate re-key ............................................................................................................. 45

4.7.2

Who may request certification of a new public key.................................................................................... 45

4.7.3

Processing certificate re-keying requests ................................................................................................... 45

4.7.4

Notification of new certificate issuance to subscriber ................................................................................ 45

4.7.5

Conduct constituting acceptance of a re-keyed certificate ........................................................................ 46

4.7.6

Publication of the re-keyed certificate by the CA ....................................................................................... 46

4.7.7

Notification of certificate issuance by the CA to other entities .................................................................. 46

4.8

Certificate modification .................................................................................................................................... 46

4.8.1

Circumstance for certificate modification................................................................................................... 46

4.8.2

Who may request certificate modification ................................................................................................. 46

4.8.3

Processing certificate modification requests .............................................................................................. 46

4.8.4

Notification of new certificate issuance to subscriber ................................................................................ 46

4.8.5

Conduct constituting acceptance of modified certificate ........................................................................... 46

4.8.6

Publication of the modified certificate by the CA ....................................................................................... 46

4.8.7

Notification of certificate issuance by the CA to other entities .................................................................. 46

4.9

Certificate revocation and suspension .............................................................................................................. 46

4.9.1

Circumstances for revocation ..................................................................................................................... 46

4.9.1.1

Reasons for Revoking a Subscriber Certificate ................................................................................... 46
5

4.9.1.2
4.9.2

Who can request revocation ....................................................................................................................... 48

4.9.3

Procedure for revocation request ............................................................................................................... 48

4.9.4

Revocation request grace period ................................................................................................................ 48

4.9.5

Time within which CA must process the revocation request ...................................................................... 48

4.9.6

Revocation checking requirement for relying parties ................................................................................. 49

4.9.7

CRL issuance frequency (if applicable) ........................................................................................................ 49

4.9.8

Maximum latency for CRLs (if applicable) ................................................................................................... 49

4.9.9

On-line revocation/status checking availability .......................................................................................... 49

4.9.10On-line revocation checking requirements ............................................................................................ 50

4.9.11Other forms of revocation advertisements available ............................................................................. 51

4.9.12

Special requirements re key compromise .............................................................................................. 51

4.9.13Circumstances for suspension ................................................................................................................ 51

4.9.14

Who can request suspension .................................................................................................................. 51

4.9.15

Procedure for suspension request .......................................................................................................... 51

4.9.16

Limits on suspension period ................................................................................................................... 51

4.10

5

Reasons for Revoking a Subordinate CA Certificate ........................................................................... 47

Certificate status services ................................................................................................................................. 51

4.10.1

Operational characteristics ..................................................................................................................... 51

4.10.2Service availability .................................................................................................................................. 51

4.10.3

Optional features .................................................................................................................................... 51

4.11

End of subscription............................................................................................................................................ 51

4.12

Key escrow and recovery .................................................................................................................................. 52

4.12.1Key escrow and recovery policy and practices ....................................................................................... 52

4.12.2

Session key encapsulation and recovery policy and practices ............................................................... 52

FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS ...................................................................................... 52
5.1

Physical controls................................................................................................................................................ 53

5.1.1

Site location and construction .................................................................................................................... 53

5.1.2

Physical access ............................................................................................................................................ 53

5.1.3

Power and air conditioning ......................................................................................................................... 53

5.1.4

Water exposures ......................................................................................................................................... 53

5.1.5Fire prevention and protection ................................................................................................................... 53

5.1.6

Media storage ............................................................................................................................................. 53

5.1.7

Waste disposal ............................................................................................................................................ 53

5.1.8

Oﬀ-site backup ............................................................................................................................................ 53

5.2

Procedural controls ........................................................................................................................................... 53

5.2.1

Trusted roles ............................................................................................................................................... 53
6

5.2.2

Number of persons required per task ......................................................................................................... 54

5.2.3

Identification and authentication for each role .......................................................................................... 54

5.2.4

Roles requiring separation of duties ........................................................................................................... 54

5.3

Personnel controls ............................................................................................................................................ 54

5.3.1

Qualifications, experience, and clearance requirements............................................................................ 54

5.3.2

Background check procedures .................................................................................................................... 54

5.3.3

Training requirements and procedures ...................................................................................................... 54

5.3.4

Retraining frequency and requirements ..................................................................................................... 54

5.3.5

Job rotation frequency and sequence......................................................................................................... 55

5.3.6

Sanctions for unauthorized actions............................................................................................................. 55

5.3.7

Independent contractor requirements ....................................................................................................... 55

5.3.8

Documentation supplied to personnel ....................................................................................................... 55

5.4

Audit logging procedures .................................................................................................................................. 55

5.4.1

Types of events recorded ............................................................................................................................ 55

5.4.2

Frequency of processing log and archiving audit logs................................................................................. 56

5.4.3

Retention period for audit logs ................................................................................................................... 56

5.4.4

Protection of audit log ................................................................................................................................ 56

5.4.5

Audit log backup procedures ...................................................................................................................... 56

5.4.6

Audit log accumulation system (internal vs. external) ................................................................................ 56

5.4.7

Notification to event-causing subject ......................................................................................................... 56

5.4.8

Vulnerability assessments ........................................................................................................................... 57

5.5

Records archival ................................................................................................................................................ 57

5.5.1

Types of records archived ........................................................................................................................... 57

5.5.2

Retention period for archive ....................................................................................................................... 57

5.5.3

Protection of archive ................................................................................................................................... 57

5.5.4

Archive backup procedures ......................................................................................................................... 57

5.5.5

Requirements for time-stamping of records ............................................................................................... 57

5.5.6

Archive collection system (internal or external) ......................................................................................... 57

5.5.7

Procedures to obtain and verify archive information ................................................................................. 57

5.6

Key changeover ................................................................................................................................................. 57

5.7

Compromise and disaster recovery .................................................................................................................. 57

5.7.1

Incident and compromise handling procedures ......................................................................................... 57

5.7.2

Computing resources, software, and/or data are corrupted ...................................................................... 58

5.7.3

Entity private key compromise procedures ................................................................................................ 58

5.7.4

Business continuity capabilities after a disaster ......................................................................................... 58

5.8

CA or RA termination ........................................................................................................................................ 58
7

6

TECHNICAL SECURITY CONTROLS.............................................................................................................................. 59
6.1

Key pair generation and installation ................................................................................................................. 59

6.1.1

Key pair generation ..................................................................................................................................... 59

6.1.1.1

CA Key Pair Generation ...................................................................................................................... 59

6.1.1.2

RA Key Pair Generation ...................................................................................................................... 59

6.1.1.3

Subscriber Key Pair Generation .......................................................................................................... 60

6.1.2

Private key delivery to subscriber ............................................................................................................... 60

6.1.3

Public key delivery to certificate issuer ....................................................................................................... 60

6.1.4

CA public key delivery to relying parties ..................................................................................................... 60

6.1.5

Key sizes ...................................................................................................................................................... 60

6.1.6

Public key parameters generation and quality checking ............................................................................ 60

6.1.7

Key usage purposes (as per X.509 v3 key usage field) ................................................................................ 61

6.2

Private Key Protection and Cryptographic Module Engineering Controls ........................................................ 61

6.2.1

Cryptographic module standards and controls ........................................................................................... 61

6.2.2

Private key (n out of m) multi-person control............................................................................................. 61

6.2.3

Private key escrow ...................................................................................................................................... 61

6.2.4

Private key backup ...................................................................................................................................... 61

6.2.5

Private key archival ..................................................................................................................................... 61

6.2.6

Private key transfer into or from a cryptographic module ......................................................................... 61

6.2.7

Private key storage on cryptographic module ............................................................................................ 62

6.2.8

Method of activating private key ................................................................................................................ 62

6.2.9

Method of deactivating private key ............................................................................................................ 62

6.2.10

Method of destroying private key .......................................................................................................... 62

6.2.11

Cryptographic Module Rating ................................................................................................................. 62

6.3

Other aspects of key pair management ............................................................................................................ 62

6.3.1

Public key archival ....................................................................................................................................... 62

6.3.2

Certificate operational periods and key pair usage periods ....................................................................... 62

6.4

Activation data .................................................................................................................................................. 62

6.4.1

Activation data generation and installation ................................................................................................ 62

6.4.2

Activation data protection .......................................................................................................................... 62

6.4.3

Other aspects of activation data ................................................................................................................. 63

6.5

Computer security controls............................................................................................................................... 63

6.5.1

Specific computer security technical requirements .................................................................................... 63

6.5.2

Computer security rating ............................................................................................................................ 63

6.6Life cycle technical controls .............................................................................................................................. 63

6.6.1

System development controls .................................................................................................................... 63
8

7

6.6.2

Security management controls ................................................................................................................... 63

6.6.3

Life cycle security controls .......................................................................................................................... 63

6.7

Network security controls ................................................................................................................................. 63

6.8

Time-stamping .................................................................................................................................................. 63

CERTIFICATE, CRL, AND OCSP PROFILES .................................................................................................................... 63
7.1

Certificate profile .............................................................................................................................................. 63

7.1.1

Version number(s) ....................................................................................................................................... 64

7.1.2

Certificate extensions.................................................................................................................................. 64

7.1.2.1

Root CA Certificate ............................................................................................................................. 64

7.1.2.2

Subordinate CA Certificate ................................................................................................................. 64

7.1.2.3

Subscriber Certificate ......................................................................................................................... 66

7.1.2.4

All Certificates .................................................................................................................................... 66

7.1.2.5

Application of RFC 5280 ..................................................................................................................... 67

7.1.3

Algorithm object identifiers ........................................................................................................................ 67

7.1.3.1

SubjectPublicKeyInfo .......................................................................................................................... 67

7.1.3.1.1

RSA ................................................................................................................................................. 67

7.1.3.1.2

ECDSA ............................................................................................................................................. 67

7.1.3.2

Signature AlgorithmIdentifier............................................................................................................. 68

7.1.3.2.1

RSA ................................................................................................................................................. 68

7.1.3.2.2

ECDSA ............................................................................................................................................. 69

7.1.4

Name forms ................................................................................................................................................. 70

7.1.4.1

Name Encoding................................................................................................................................... 70

7.1.4.2
7.1.4.2.1

Subject Information ‑ Subscriber Certificates .................................................................................... 70

7.1.4.2.2

Subject Distinguished Name Fields ................................................................................................ 71

7.1.4.3
7.1.4.3.1

Subject Alternative Name Extension .............................................................................................. 70

Subject Information - Root Certificates and Subordinate CA Certificates .......................................... 73
Subject Distinguished Name Fields ................................................................................................ 73

7.1.5

Name constraints ........................................................................................................................................ 73

7.1.6

Certificate policy object identifier ............................................................................................................... 74

7.1.6.1

Reserved Certificate Policy Identifiers................................................................................................ 74

7.1.6.2

Root CA Certificates ............................................................................................................................ 75

7.1.6.3

Subordinate CA Certificates................................................................................................................ 75

7.1.6.4

Subscriber Certificates........................................................................................................................ 75

7.1.7

Usage of Policy Constraints extension ........................................................................................................ 76

7.1.8

Policy qualifiers syntax and semantics ........................................................................................................ 77

7.1.9

Processing semantics for the critical Certificate Policies extension............................................................ 77
9

7.2

7.2.1

Version number(s) ....................................................................................................................................... 77

7.2.2

CRL and CRL entry extensions ..................................................................................................................... 77

7.3

8

9

CRL profile ......................................................................................................................................................... 77

OCSP profile ...................................................................................................................................................... 77

7.3.1

Version number(s) ....................................................................................................................................... 77

7.3.2

OCSP extensions .......................................................................................................................................... 77

COMPLIANCE AUDIT AND OTHER ASSESSMENTS ..................................................................................................... 78
8.1

Frequency or circumstances of assessment...................................................................................................... 78

8.2

Identity/qualifications of assessor .................................................................................................................... 78

8.3

Assessor’s relationship to assessed entity ........................................................................................................ 79

8.4

Topics covered by assessment .......................................................................................................................... 79

8.5

Actions taken as a result of deficiency .............................................................................................................. 80

8.6

Communication of results ................................................................................................................................. 80

8.7

Self-Audits ......................................................................................................................................................... 81

OTHER BUSINESS AND LEGAL MATTERS ................................................................................................................... 81
9.1

Fees ................................................................................................................................................................... 81

9.1.1

Certificate issuance or renewal fees ........................................................................................................... 81

9.1.2

Certificate access fees ................................................................................................................................. 81

9.1.3

Revocation or status information access fees............................................................................................. 81

9.1.4

Fees for other services ................................................................................................................................ 81

9.1.5

Refund policy............................................................................................................................................... 81

9.2

Financial responsibility ...................................................................................................................................... 82

9.2.1

Insurance coverage ..................................................................................................................................... 82

9.2.2

Other assets ................................................................................................................................................ 82

9.2.3

Insurance or warranty coverage for end-entities ....................................................................................... 82

9.3

Confidentiality of business information ............................................................................................................ 82

9.3.1

Scope of confidential information............................................................................................................... 82

9.3.2

Information not within the scope of confidential information ................................................................... 82

9.3.3

Responsibility to protect confidential information ..................................................................................... 82

9.4

Privacy of personal information ........................................................................................................................ 82

9.4.1

Privacy plan ................................................................................................................................................. 82

9.4.2

Information treated as private .................................................................................................................... 82

9.4.3

Information not deemed private ................................................................................................................ 83

9.4.4

Responsibility to protect private information ............................................................................................. 83

9.4.5

Notice and consent to use private information .......................................................................................... 83

9.4.6

Disclosure pursuant to judicial or administrative process .......................................................................... 83
10

9.4.7

Other information disclosure circumstances .............................................................................................. 83

9.5Intellectual property rights ............................................................................................................................... 83

9.6

Representations and warranties ....................................................................................................................... 83

9.6.1

CA representations and warranties ............................................................................................................ 83

9.6.2

RA representations and warranties ............................................................................................................ 84

9.6.3

Subscriber representations and warranties ................................................................................................ 85

9.6.4

Relying party representations and warranties ............................................................................................ 86

9.6.5

Representations and warranties of other participants ............................................................................... 86

9.7

Disclaimers of warranties .................................................................................................................................. 86

9.8

Limitations of liability ........................................................................................................................................ 86

9.9

Indemnities ....................................................................................................................................................... 86

9.10

Term and termination ....................................................................................................................................... 87

9.10.1

Term ........................................................................................................................................................ 87

9.10.2

Termination ............................................................................................................................................ 87

9.10.3

Eﬀect of termination and survival .......................................................................................................... 87

9.11

Individual notices and communications with participants ............................................................................... 87

9.12

Amendments ..................................................................................................................................................... 87

9.12.1

Procedure for amendment ..................................................................................................................... 87

9.12.2

Notification mechanism and period ....................................................................................................... 87

9.12.3Circumstances under which OID must be changed ................................................................................ 87

9.13

Dispute resolution provisions ........................................................................................................................... 87

9.14

Governing law ................................................................................................................................................... 87

9.15

Compliance with applicable law........................................................................................................................ 87

9.16

Miscellaneous provisions .................................................................................................................................. 87

9.16.1

Entire agreement .................................................................................................................................... 87

9.16.2

Assignment ............................................................................................................................................. 88

9.16.3Severability ............................................................................................................................................. 88

9.16.4

Enforcement (attorneys’ fees and waiver of rights) ............................................................................... 88

9.16.5Force Majeure ......................................................................................................................................... 88

9.17

Other provisions ................................................................................................................................................ 88

APPENDIX A – CAA Contact Tag ........................................................................................................................................ 88
APPENDIX B – Issuance of Certificates for .onion Domain Names.................................................................................... 89

11

1 INTRODUCTION
1.1 Overview

This Certificate Policy is intended to communicate the minimum operating requirements for CAs in the Amazon PKI. By
design, it closely follows the CA/Browser Forum Guidelines and Requirements and only deviates when an Application
Software Supplier has requirements that are stricter than those published by the CA/Browser Forum.
This CP also includes the principles and criteria that CAs are required to follow according to the Trust Service Principles
and Criteria for Certification Authorities Version 2.0.
This CP does not attempt to paraphrase or alter the requirements, rather the focus is to bring all of them into one
document to enable Relying Parties and auditors to have a comprehensive view of the policies which the CA commits
to follow.
Certificate Authorities following this CP may have practices which exceed the minimum requirements set forth bythese policies. CAs may also describe practices that cover topics for which there is no stipulation in this CP.
This work is licensed under the Creative Commons Attribution-NoDerivatives 4.0 International License. To view a copyof this license, visit http://creativecommons.org/licenses/by-nd/4.0/ or send a letter to Creative Commons, PO Box
1866, Mountain View, CA 94042, USA.

1.1.1 ComplianceThis Certificate Policy conforms to the current version of the Baseline Requirements for the Issuance and Managementof Publicly-Trusted Certificates published at http://www.cabforum.org (http:// www.cabforum.org). In the event of
any inconsistency between this document and those Requirements, those Requirements take precedence over thisdocument.
This Certificate Policy conforms to the current version of the CA/Browser Forum Guidelines for Issuance andManagement of Extended Validation Certificates published at http://www.cabforum.org. In the event of any
inconsistency between this document and those Guidelines, those Guidelines take precedence over this document.
This CP conforms to the current version of the CA/Browser Forum Guidelines for Issuance and Management ofExtended Validation Code Signing Certificates published at http://www.cabforum.org. In the event of any
inconsistency between this document and those Guidelines, those Guidelines take precedence over this document.
This CP conforms to the current version of the CA/Browser Forum Baseline Requirements for the Issuance andManagement of Publicly Trusted Code Signing Certificates published at http:// www.cabforum.org. In the event of any
inconsistency between this document and those Guidelines, those Guidelines take precedence over this document.

1.1.2 Types of Certificates

This Certificate Policy defines several different types of certificates. Each certificate issued under this policy is
categorized as either a CA-certificate or an End-Entity Certificate.
All certificates issued under this policy MUST be X.509 v3 certificates.

1.1.2.1

CA-Certificates

A certificate is a CA-certificate if basicConstraints extension is present and has cA:TRUE.
CA-certificates are grouped into two categories: self-issued certificates and cross-certificates.
A self-issued certificate is a CA certificate where the subject and issuer DNs of the certificate match. Under this policy,
all self-issued certificates must be self-signed certificates. A self-signed certificate is a self-issued certificate where theprivate key used by the CA to sign the certificate corresponds to the public key that is certified within the certificate.
A cross-certificate is a CA certificate that is not a self-issued certificate.

121.1.2.1.1

Terminus CA-Certificates

A certificate is a Terminus CA-certificate if it is a cross-certificate and the basicConstraints extension is present and thepathLenConstraint is present and set to 0 (zero).

1.1.2.1.2

Policy CA-Certificates

A certificate is a Policy CA-certificate if it is a cross-certificate and is not a Terminus CA-certificate.

1.1.2.1.3

Technically Constrained CA-Certificates

A certificate is a Technically Constrained CA-certificate if it is a CA-certificate and it meets the requirements in section
7.1.5.

1.1.2.1.4

Unconstrained CA-Certificates

A certificate is an Unconstrained CA-certificate if it is a CA-certificate and is not a Technically Constrained CAcertificate.

1.1.2.1.5

Root CA-Certificates

A certificate is a Root CA-certificate if the subject is designated by the CA as a Root CA in the CA’s CPS and it is either aself-issued certificate or Policy CA-certificate.

1.1.2.1.6

Subordinate CA-Certificates

A certificate is a Subordinate CA-certificate if it is a cross-certificate and the subject DN of the certificate does notmatch the issuer name of any Root CA in the CA’s CPS.

1.1.2.2

End-Entity Certificates

A certificate is an End-Entity Certificate if it is not a CA certificate.
End-Entity Certificates can be further broken down into the following categories. CAs must not issue End- Entity
Certificates that simultaneously meet the criteria of multiple of the following categories.

1.1.2.2.1

Extended Validation TLS Server Authentication Certificates

An End-Entity Certificate is an Extended Validation TLS Server Authentication Certificate if it (i) has a Relative
Distinguished Name of type jurisdictionOfIncorporationCountryName (1.3.6.1.4.1.311.60.2.1.3) in the Subject
Distinguished Name and (ii) has a key purpose of id-kp-serverAuth (1.3.6.1.5.5.7.3.1) in the Extended Key Usage
certificate extension.

1.1.2.2.2

Standard Validation TLS Server Authentication Certificates

An End-Entity Certificate is a Standard Validation TLS Server Authentication Certificate if it (i) does not have a Relative
Distinguished Name of type jurisdictionOfIncorporationCountryName (1.3.6.1.4.1.311.60.2.1.3) in the Subject
Distinguished Name and (ii) has a key purpose of id-kp-serverAuth (1.3.6.1.5.5.7.3.1) in the Extended Key Usage
certificate extension.

1.1.2.2.3

Extended Validation Code Signing Certificates

An End-Entity Certificate is an Extended Validation Code Signing Certificate if it (i) has a Relative Distinguished Name oftype jurisdictionOfIncorporationCountryName (1.3.6.1.4.1.311.60.2.1.3) in the Subject Distinguished Name and (ii) has
a key purpose of id-kp-codeSigning (1.3.6.1.5.5.7.3.3) in the Extended Key Usage certificate extension.

1.1.2.2.4

Standard Validation Code Signing Certificates

An End-Entity Certificate is a Standard Validation Code Signing Certificate if it (i) does not have a Relative Distinguished
Name of type jurisdictionOfIncorporationCountryName (1.3.6.1.4.1.311.60.2.1.3) in the Subject Distinguished Nameand (ii) has a key purpose of id-kp-codeSigning (1.3.6.1.5.5.7.3.3) in the Extended Key Usage certificate extension.

1.1.2.2.5

Client Certificates (including Augmented Client Certificates)

An End-Entity Certificate is a Client Certificate if it has at least one of id-kp-clientAuth (1.3.6.1.5.5.7.3.2), id- kpemailProtection (1.3.6.1.5.5.7.3.4), Document Signing (1.3.6.1.4.1.311.10.3.12), or Encrypting Filesystem Crypto13

(1.3.6.1.4.1.311.10.3.4) key purposes in the Extended Key Usage certificate extension and does not have the id-kpserverAuth (1.3.6.1.5.5.7.3.1) key purpose in the Extended Key Usage certificate extension.
Under this policy, an Augmented Client Certificate is identical to a Client Certificate.

1.1.2.2.6

OCSP Signing Certificate

An End-Entity Certificate is an OCSP Signing Certificate if it has a key purpose of id-kp-OCSPSigning (1.3.6.1.5.5.7.3.9) inthe Extended Key Usage certificate extension.

1.1.2.2.7

Time Stamp Authority Certificate

An End-Entity Certificate is a Time Stamping Authority Certificate if it has a key purpose of id-kp- timeStamping(1.3.6.1.5.5.7.3.8) in the Extended Key Usage certificate extension.

1.1.2.3

Subscriber Certificates

All Extended Validation TLS Server Authentication Certificates, Standard Validation TLS Server Authentication
Certificates, and Extended Validation Code Signing Certificates are Subscriber Certificates.

1.2 Document name and identification

This is the Amazon Public Key Infrastructure (PKI) Certificate Policy. It was approved for publication by the Amazon PKI
Policy Management Authority (APPMA). Amendments are made only after the APPMA has reviewed and approved
such amendment. This document is identified by the Object Identifier 1.3.187.16385.1.
This CP is updated at least annually to ensure that it incorporates the latest version of the CA/Browser Forum Baseline
Requirements.
Date

Changes

VersionJanuary 12,2017Yearly update

1.0.4

January 15,
2018Yearly update

1.0.5

April 13,
2018

Updated 3.2.2.4 Validation of Domain Authorization or Control, BR 1.5.6

1.0.6

December18, 2019

Updated to add Code Signing Baseline Requirements

1.0.7

March 30,
2020

Updated with latest Baseline Requirements

1.0.8

April 23,
2021

Yearly update

1.0.9

July 23, 2021

Updated with latest Baseline Requirements

1.0.10August 18,
2021

Changed the date format for this table to match the CPS.

1.0.11

1.3 PKI participants
1.3.1 Certification authorities

The Certification Authority (CA) provides services in accordance with its disclosed practices.

141.3.2 Registration authorities

With the exception of Section 3.2.2.4 and Section 3.2.2.5, the CA MAY delegate the performance of all, or any part, of
Section 3.2 requirements to a Delegated Third Party, provided that the process as a whole fulfills all of therequirements of Section 3.2.
Before the CA authorizes a Delegated Third Party to perform a delegated function, the CA SHALL contractually require
the Delegated Third Party to:1.

Meet the qualification requirements of Section 5.3.1, when applicable to the delegated function;

2.

Retain documentation in accordance with Section 5.5.2;

3.

Abide by the other provisions of these Requirements that are applicable to the delegated function; and4.

Comply with a. the CA's Certificate Policy/Certification Practice Statement or b. the Delegated Third Party's
practice statement that the CA has verified complies with these Requirements.

The CA MAY designate an Enterprise RA to verify certificate requests from the Enterprise RA's own organization. The
CA SHALL NOT accept certificate requests authorized by an Enterprise RA unless the following requirements are
satisfied:
1.

The CA SHALL confirm that the requested Fully-Qualified Domain Name(s) are within the Enterprise RA's
verified Domain Namespace.

2.

If the certificate request includes a Subject name of a type other than a Fully-Qualified Domain Name, the CA
SHALL confirm that the name is either that of the delegated enterprise, or an Affiliate of the delegatedenterprise, or that the delegated enterprise is an agent of the named Subject. For example, the CA SHALL NOT
issue a Certificate containing the Subject name "XYZ Co." on the authority of Enterprise RA "ABC Co.", unlessthe two companies are affiliated (see Section 3.2) or "ABC Co." is the agent of "XYZ Co". This requirement
applies regardless of whether the accompanying requested Subject FQDN falls within the Domain Namespaceof ABC Co.'s Registered Domain Name.

The CA SHALL impose these limitations as a contractual requirement on the Enterprise RA and monitor compliance by
the Enterprise RA.
The CA MAY contractually authorize the Subject of a specified Valid EV Certificate to perform the RA function andauthorize the CA to issue additional EV Certificates at third and higher domain levels that are contained within thedomain of the original EV Certificate (also known as an Enterprise EV Certificate). In such case, the Subject SHALL beconsidered an Enterprise RA, and the following requirements SHALL apply:
1.

2.
3.
4.
5.

An Enterprise RA SHALL NOT authorize the CA to issue an Enterprise EV Certificate at the third or higher
domain levels to any Subject other than the Enterprise RA or a business that is owned or directly controlled
by the Enterprise RA;
In all cases, the Subject of an Enterprise EV Certificate MUST be an organization verified by the CA in
accordance with these Guidelines;
The CA MUST impose these limitations as a contractual requirement with the Enterprise RA and monitor
compliance by the Enterprise RA;
The Final Cross-Correlation and Due Diligence requirements of Section 11.13 MAY be performed by a single
person representing the Enterprise RA; andThe audit requirements of Section 17.1 SHALL apply to the Enterprise RA, except in the case where the CA
maintains control over the Root CA Private Key or Subordinate CA Private Key used to issue the Enterprise EV
Certificates, in which case, the Enterprise RA MAY be exempted from the audit requirements.

The CA MAY NOT contractually authorize the Subject of a specified Valid EV Code Signing Certificate to perform the RA
function and authorize the CA to issue additional EV Code Signing Certificates.
15

1.3.3 Subscribers
No stipulation.

1.3.4 Relying parties
No stipulation.

1.3.5 Other participants

The CA MUST include (directly or by reference) the applicable requirements of the EV Guidelines in all contracts with
Subordinate CAs, RAs, Enterprise RAs, and subcontractors that involve or relate to the issuance or maintenance of EV
Certificates. The CA MUST enforce compliance with such terms.
In all cases, the CA MUST contractually obligate each Affiliate, RA, subcontractor, and Enterprise RA to comply with allapplicable requirements in this CP and to perform them as required of the CA itself. The CA SHALL enforce theseobligations and internally audit each Affiliate’s, RA’s, subcontractor’s, and Enterprise RA’s compliance with these
Requirements on an annual basis.
The CA MUST include (directly or by reference) the applicable requirements of this Certificate Policy in all contracts
that involve or relate to the issuance or maintenance of EV Code Signing Certificates. The Issuer MUST enforce
compliance with such terms.
In all cases, the CA MUST contractually obligate each RA and subcontractor to comply with all applicable requirementsin this Certificate Policy and to perform them as required of the CA itself. The CA SHALL enforce these obligations andinternally audit each Affiliate’s, RA’s, and subcontractor’s compliance with these Requirements on an annual basis.

1.4 Certificate usage
1.4.1 Appropriate certificate uses
No stipulation.

1.4.2 Prohibited certificate uses
No stipulation.

1.5 Policy administration

The CA must disclose its business practices including but not limited to the topics listed in RFC 3647, RFC 2527, or
WebTrust for Certification Authorities v1 CA Business Practices Disclosure Criteria in its Certification PracticeStatement.
The CA must maintain controls to provide reasonable assurance that its Certification Practice Statement management
processes are effective.
Each CA MUST develop, implement, enforce, display prominently on its Web site, and periodically update as necessary
its own auditable EV Certificate practices, policies and procedures that:
1.
2.
3.

Implements this policy;
Implements the requirements of (i) the then-current WebTrust Program for CAs, and (ii) the then- current
WebTrust EV Program or ETSI TS 102 042; andSpecifies the CA’s and its Root CA’s entire root certificate hierarchy including all roots that its EV Certificatesdepend on for proof of those EV Certificates’ authenticity.

Each Issuer MUST develop, implement, enforce, display prominently on its Web site, and periodically update asnecessary its own auditable EV Code Signing Object practices, policies and procedures, such as a Certification PracticeStatement and Certificate Policy that:
A. Implement the requirements of this Certificate Policy as they are revised from time-to-time;
B. Implement the requirements of (i) the then-current WebTrust Program for CAs, and (ii) the then- current
WebTrust EV Program or ETSI TS 102 042 V2.1.1; and16

C.

Specify the Issuer’s (and applicable Root CA’s) entire root certificate hierarchy including all roots that its EV
Code Signing Certificates depend on for proof of those EV Code Signing Certificates’ authenticity.

With the exception of revocation checking for time-stamped and expired certificates, platforms are expected tovalidate signed code in accordance with RFC 5280. When a platform encounters a certificate that fails to validate due
to revocation, the platform should reject the code. When a platform encounters a certificate that fails to validate forreasons other than revocation, the platform should treat the code as it would if it had been unsigned.
Ordinarily, a code signature created by a Subscriber may be considered valid for a period of up to thirty-nine months.
However, a code signature may be treated as valid for a period of up to one hundred and twenty three months bymeans of one of the following methods: the “Timestamp” Method or the “Signing Authority” Method.
A. Timestamp Method: In this method, the Subscriber signs the code, appends its EV Code Signing Certificate(whose expiration time is less than thirty-nine months in the future) and submits it to an EV Timestamp
Authority to be time-stamped. The resulting package can be considered valid up to the expiration time of thetimestamp certificate (which may be up to one hundred and twenty three months in the future).
B. Signing Authority Method: In this method, the Subscriber submits the code, or a digest of the code, to an EV
Signing Authority for signature. The resulting signature is valid up to the expiration time of the Signing
Authority certificate (which may be up to one hundred and twenty three months in the future).

1.5.1 Organization administering the document
No stipulation.

1.5.2 Contact person
No stipulation.

1.5.3 Person determining CPS suitability for the policy
The CA must maintain controls to provide reasonable assurance that its Certification Practice Statement addresses
the topics included in its Certificate Policy.

1.5.4 CPS approval procedures
No stipulation.

1.6 Definitions and acronyms
1.6.1 Definitions

Affiliate: A corporation, partnership, joint venture or other entity controlling, controlled by, or under common control
with another entity, or an agency, department, political subdivision, or any entity operating under the direct control ofa Government Entity.
Applicant: The natural person or Legal Entity that applies for (or seeks renewal of) a Certificate. Once the Certificate
issues, the Applicant is referred to as the Subscriber. For Certificates issued to devices, the Applicant is the entity that
controls or operates the device named in the Certificate, even if the device is sending the actual certificate request.
Applicant Representative: A natural person or human sponsor who is either the Applicant, employed by the Applicant,or an authorized agent who has express authority to represent the Applicant:
i.
ii.
iii.

who signs and submits, or approves a certificate request on behalf of the Applicant, and/or
who signs and submits a Subscriber Agreement on behalf of the Applicant, and/or
who acknowledges the Terms of Use on behalf of the Applicant when the Applicant is an Affiliate of the CA oris the CA.

Application Software Supplier: A supplier of Internet browser software or other relying‐party application softwarethat displays or uses Certificates and incorporates
17

Root Certificates.
Attestation Letter: A letter attesting that Subject Information is correct written by an accountant, lawyer, government
official, or other reliable third party customarily relied upon for such information.
Audit Period: In a period‐of‐time audit, the period between the first day (start) and the last day of operations (end)covered by the auditors in their engagement. (This is not the same as the period of time when the auditors are on‐siteat the CA.) The coverage rules and maximum length of audit periods are defined in Section 8.1.
Audit Report: A report from a Qualified Auditor stating the Qualified Auditor’s opinion on whether an entity’s
processes and controls comply with the mandatory provisions of these Requirements.
Authorization Domain Name: The Domain Name used to obtain authorization for certificate issuance for a given
FQDN. The CA may use the FQDN returned from a DNS CNAME lookup as the FQDN for the purposes of domain
validation. If the FQDN contains a wildcard character, then the CA MUST remove all wildcard labels from the left most
portion of requested FQDN. The CA may prune zero or more labels from left to right until encountering a Base Domain
Name and may use any one of the intermediate values for the purpose of domain validation.
Authorized Ports: One of the following ports: 80 (http), 443 (https), 25 (smtp), 22 (ssh).
Base Domain Name: The portion of an applied‐for FQDN that is the first domain name node left of a registry‐
controlled or public suffix plus the registry‐controlled or public suffix (e.g. “example.co.uk” or “example.com”). For
FQDNs where the right‐most domain name node is a gTLD having ICANN Specification 13 in its registry agreement, thegTLD itself may be used as the Base Domain Name.
CAA: From RFC 8659 (http://tools.ietf.org/html/rfc8659): “The Certification Authority Authorization (CAA) DNS
Resource Record allows a DNS domain name holder to specify one or more Certification Authorities (CAs) authorized
to issue certificates for that domain name. CAA Resource Records allow a public CA to implement additional controls
to reduce the risk of unintended certificate mis‐issue.”
CA Key Pair: A Key Pair where the Public Key appears as the Subject Public Key Info in one or more Root CA
Certificate(s) and/or Subordinate CA Certificate(s).
Certificate: An electronic document that uses a digital signature to bind a public key and an identity.
Certificate Data: Certificate requests and data related thereto (whether obtained from the Applicant or otherwise) in
the CA’s possession or control or to which the CA has access.
Certificate Management Process: Processes, practices, and procedures associated with the use of keys, software, andhardware, by which the CA verifies Certificate Data, issues Certificates, maintains a Repository, and revokes
Certificates.

18

Certificate Policy: A set of rules that indicates the applicability of a named Certificate to a particular community
and/or PKI implementation with common security requirements.
Certificate Problem Report: Complaint of suspected Key Compromise, Certificate misuse, or other types of fraud,
compromise, misuse, or inappropriate conduct related to Certificates.
Certificate Revocation List: A regularly updated time‐stamped list of revoked Certificates that is created and digitally
signed by the CA that issued the Certificates.
Certification Authority: An organization that is responsible for the creation, issuance, revocation, and management ofCertificates. The term applies equally to both Roots CAs and Subordinate CAs.
Certification Practice Statement: One of several documents forming the governance framework in which Certificatesare created, issued, managed, and used.
Certificate Profile: A set of documents or files that defines requirements for Certificate content and Certificate
extensions in accordance with Section 7. e.g. a Section in a CA’s CPS or a certificate template file used by CA software.
Control: “Control” (and its correlative meanings, “controlled by” and “under common control with”) meanspossession, directly or indirectly, of the power to: (1) direct the management, personnel, finances, or plans of such
entity; (2) control the election of a majority of the directors ; or (3) vote that portion of voting shares required for“control” under the law of the entity’s Jurisdiction of Incorporation or Registration but in no case less than 10%.
Country: Either a member of the United Nations OR a geographic region recognized as a Sovereign State by at least
two UN member nations.
Cross Certificate: A certificate that is used to establish a trust relationship between two Root CAs.
CSPRNG: A random number generator intended for use in cryptographic system.
Delegated Third Party: A natural person or Legal Entity that is not the CA but is authorized by the CA, and whose
activities are not within the scope of the appropriate CA audits, to assist in the Certificate Management Process byperforming or fulfilling one or more of the CA requirements found herein.
DNS CAA Email Contact: The email address defined in Appendix A.1.1.
DNS CAA Phone Contact: The phone number defined in Appendix A.1.2.
DNS TXT Record Email Contact: The email address defined in Appendix A.2.1.
DNS TXT Record Phone Contact: The phone number defined in Appendix A.2.2.
Domain Authorization Document: Documentation provided by, or a CA’s documentation of a communication with, aDomain Name Registrar, the Domain Name

19

Registrant, or the person or entity listed in WHOIS as the Domain Name Registrant (including any private, anonymous,or proxy registration service) attesting to the authority of an Applicant to request a Certificate for a specific Domain
Namespace.
Domain Contact: The Domain Name Registrant, technical contact, or administrative contact (or the equivalent under a
ccTLD) as listed in the WHOIS record of the Base Domain Name or in a DNS SOA record, or as obtained through directcontact with the Domain Name Registrar.
Domain Name: The label assigned to a node in the Domain Name System.
Domain Namespace: The set of all possible Domain Names that are subordinate to a single node in the Domain Name
System.
Domain Name Registrant: Sometimes referred to as the “owner” of a Domain Name, but more properly the person(s)or entity(ies) registered with a Domain Name Registrar as having the right to control how a Domain Name is used, suchas the natural person or Legal Entity that is listed as the “Registrant” by WHOIS or the Domain Name Registrar.
Domain Name Registrar: A person or entity that registers Domain Names under the auspices of or by agreement with:i. the Internet Corporation for Assigned Names and Numbers (ICANN),ii. a national Domain Name authority/registry, oriii.a Network Information Center (including their affiliates, contractors, delegates, successors, or assignees).
Enterprise RA: An employee or agent of an organization unaffiliated with the CA who authorizes issuance ofCertificates to that organization.
Expiry Date: The “Not After” date in a Certificate that defines the end of a Certificate’s validity period.
Fully‐Qualified Domain Name: A Domain Name that includes the labels of all superior nodes in the Internet Domain
Name System.
Government Entity: A government‐operated legal entity, agency, department, ministry, branch, or similar element of
the government of a country, or political subdivision within such country (such as a state, province, city, county, etc.).
High Risk Certificate Request: A Request that the CA flags for additional scrutiny by reference to internal criteria anddatabases maintained by the CA, which may include names at higher risk for phishing or other fraudulent usage,
names contained in previously rejected certificate requests or revoked Certificates, names listed on the Miller Smiles
phishing list or the Google Safe Browsing list, or names that the CA identifies using its own risk‐mitigation criteria.
Internal Name: A string of characters (not an IP address) in a Common Name or Subject Alternative Name field of a
Certificate that cannot be verified as globally unique within the public DNS at the time of certificate issuance because
it does not end with a Top Level Domain registered in IANA’s Root Zone Database.

20

IP Address: A 32‐bit or 128‐bit label assigned to a device that uses the Internet Protocol for communication.
IP Address Contact: The person(s) or entity(ies) registered with an IP Address Registration Authority as having theright to control how one or more IP Addresses are used.
IP Address Registration Authority: The Internet Assigned Numbers Authority (IANA) or a Regional Internet Registry(RIPE, APNIC, ARIN, AfriNIC, LACNIC).
Issuing CA: In relation to a particular Certificate, the CA that issued the Certificate. This could be either a Root CA or a
Subordinate CA.
Key Compromise: A Private Key is said to be compromised if its value has been disclosed to an unauthorized person,or an unauthorized person has had access to it.
Key Generation Script: A documented plan of procedures for the generation of a CA Key Pair.
Key Pair: The Private Key and its associated Public Key.
Legal Entity: An association, corporation, partnership, proprietorship, trust, government entity or other entity withlegal standing in a country’s legal system.
Object Identifier: A unique alphanumeric or numeric identifier registered under the International Organization forStandardization’s applicable standard for a specific object or object class.
OCSP Responder: An online server operated under the authority of the CA and connected to its Repository forprocessing Certificate status requests. See also, Online Certificate Status Protocol.
Online Certificate Status Protocol: An online Certificate‐checking protocol that enables relying‐party application
software to determine the status of an identified Certificate.See also OCSP Responder.
Parent Company: A company that Controls a Subsidiary Company.
Private Key: The key of a Key Pair that is kept secret by the holder of the Key Pair, and that is used to create Digital
Signatures and/or to decrypt electronic records or files that were encrypted with the corresponding Public Key.
Public Key: The key of a Key Pair that may be publicly disclosed by the holder of the corresponding Private Key andthat is used by a Relying Party to verify Digital Signatures created with the holder’s corresponding Private Key and/or
to encrypt messages so that they can be decrypted only with the holder’s corresponding Private Key.
Public Key Infrastructure: A set of hardware, software, people, procedures, rules, policies, and obligations used tofacilitate the trustworthy creation, issuance, management, and use of Certificates and keys based on Public Key
Cryptography.

21

Publicly‐Trusted Certificate: A Certificate that is trusted by virtue of the fact that its corresponding Root Certificate is
distributed as a trust anchor in widely‐available application software.
Qualified Auditor: A natural person or Legal Entity that meets the requirements of Section 8.2.
Random Value: A value specified by a CA to the Applicant that exhibits at least 112 bits of entropy.
Registered Domain Name: A Domain Name that has been registered with a Domain Name Registrar.
Registration Authority (RA): Any Legal Entity that is responsible for identification and authentication of subjects ofCertificates, but is not a CA, and hence does not sign or issue Certificates. An RA may assist in the certificate
application process or revocation process or both. When “RA” is used as an adjective to describe a role or function, it
does not necessarily imply a separate body, but can be part of the CA.
Reliable Data Source: An identification document or source of data used to verify Subject Identity Information that is
generally recognized among commercial enterprises and governments as reliable, and which was created by a third
party for a purpose other than the Applicant obtaining a Certificate.
Reliable Method of Communication: A method of communication, such as a postal/courier delivery address,
telephone number, or email address, that was verified using a source other than the Applicant Representative.
Relying Party: Any natural person or Legal Entity that relies on a Valid Certificate. An Application Software Supplier is
not considered a Relying Party when software distributed by such Supplier merely displays information relating to a
Certificate.
Repository: An online database containing publicly‐disclosed PKI governance documents (such as Certificate Policies
and Certification Practice Statements) and Certificate status information, either in the form of a CRL or an OCSP
response.
Request Token: A value, derived in a method specified by the CA which binds this demonstration of control to thecertificate request. The CA SHOULD define within its CPS (or a document clearly referenced by the CPS) the format andmethod of Request Tokens it accepts.
The Request Token SHALL incorporate the key used in the certificate request. A Request Token MAY include atimestamp to indicate when it was created.
A Request Token MAY include other information to ensure its uniqueness.
A Request Token that includes a timestamp SHALL remain valid for no more than 30 days from the time of creation.
A Request Token that includes a timestamp SHALL be treated as invalid if its timestamp is in the future.

22

A Request Token that does not include a timestamp is valid for a single use and the CA SHALL NOT re‐use it for asubsequent validation.
The binding SHALL use a digital signature algorithm or a cryptographic hash algorithm at least as strong as that to be
used in signing the certificate request.
Note: Examples of Request Tokens include, but are not limited to:i. a hash of the public key; orii. a hash of the Subject Public Key Info [X.509]; oriii.a hash of a PKCS#10 CSR.
A Request Token may also be concatenated with a timestamp or other data. If a CA wanted to always use a hash of a
PKCS#10 CSR as a Request Token and did not want to incorporate a timestamp and did want to allow certificate key re‐use then the applicant might use the challenge password in the creation of a CSR with OpenSSL to ensure uniquenesseven if the subject and key are identical between subsequent requests.
Note: This simplistic shell command produces a Request Token which has a timestamp and a hash of a CSR. echo `date-u +%Y%m%d%H%M` `sha256sum <r2.csr` \| sed "s/[ -]//g" The script outputs:
201602251811c9c863405fe7675a3988b97664ea6baf442019e4e52fa335f406f7c5f26cf14f
Required Website Content: Either a Random Value or a Request Token, together with additional information thatuniquely identifies the Subscriber, as specified by the CA.
Requirements: The Baseline Requirements found in this document.
Reserved IP Address: An IPv4 or IPv6 address that the IANA has marked as reserved:
http://www.iana.org/assignments/ipv4‐address‐space/ipv4‐address‐space.xml
http://www.iana.org/assignments/ipv6‐address‐space/ipv6‐address‐space.xml
Root CA: The top level Certification Authority whose Root Certificate is distributed by Application Software Suppliers
and that issues Subordinate CA Certificates.
Root Certificate: The self‐signed Certificate issued by the Root CA to identify itself and to facilitate verification of
Certificates issued to its Subordinate CAs.
Sovereign State: A state or country that administers its own government, and is not dependent upon, or subject to,another power.
Subject: The natural person, device, system, unit, or Legal Entity identified in a Certificate as the Subject. The Subject iseither the Subscriber or a device under the control and operation of the Subscriber.
Subject Identity Information: Information that identifies the Certificate Subject. Subject Identity Information does notinclude a domain name listed in the subjectAltName extension or the Subject commonName field.
Subordinate CA: A Certification Authority whose Certificate is signed by the Root CA, or another Subordinate CA.

23

Subscriber: A natural person or Legal Entity to whom a Certificate is issued and who is legally bound by a
Subscriber Agreement or Terms of Use.
Subscriber Agreement: An agreement between the CA and the Applicant/Subscriber that specifies the rights andresponsibilities of the parties.
Subsidiary Company: A company that is controlled by a Parent Company.
Technically Constrained Subordinate CA Certificate: A Subordinate CA certificate which uses a combination ofExtended Key Usage settings and Name Constraint settings to limit the scope within which the Subordinate CA
Certificate may issue Subscriber or additional Subordinate CA Certificates.
Terms of Use: Provisions regarding the safekeeping and acceptable uses of a Certificate issued in accordance withthese Requirements when the Applicant/Subscriber is an Affiliate of the CA or is the CA.
Test Certificate: This term is no longer used in these Baseline Requirements.
Trustworthy System: Computer hardware, software, and procedures that are: reasonably secure from intrusion
and misuse; provide a reasonable level of availability, reliability, and correct operation; are reasonably suited toperforming their intended functions; and enforce the applicable security policy.
Unregistered Domain Name: A Domain Name that is not a Registered Domain Name.
Valid Certificate: A Certificate that passes the validation procedure specified in RFC 5280.
Validation Specialists: Someone who performs the information verification duties specified by these
Requirements.
Validity Period: Prior to 2020‐09‐01, the period of time measured from the date when the Certificate is issued until
the Expiry Date. For Certificates issued on or after 2020‐09‐01, the validity period is as defined within RFC 5280,
Section 4.1.2.5: the period of time from notBefore through notAfter, inclusive.
WHOIS: Information retrieved directly from the Domain Name Registrar or registry operator via the protocol
defined in RFC 3912, the Registry Data Access Protocol defined in RFC 7482, or an HTTPS website.
Wildcard Certificate: A Certificate containing an asterisk (*) in the left‐most position of any of the Subject Fully‐
Qualified Domain Names contained in the Certificate.
Wildcard Domain Name: A Domain Name consisting of a single asterisk character followed by a single full stop
character (“*.”) followed by a Fully‐Qualified Domain Name.

1.6.2 Acronyms
Acronym

Meaning

AICPA

American Institute of Certified Public Accountants

ADN

Authorization Domain Name
24

CA

Certification Authority

CAA

Certification Authority Authorization

ccTLD

Country Code Top-Level Domain

CICA

Canadian Institute of Chartered AccountantsCP

Certificate Policy

CPS

Certification Practice Statement

CRL

Certificate Revocation List

DBA

Doing Business As

DNS

Domain Name System

FIPS(US Government) Federal Information Processing Standard

FQDN

Fully Qualified Domain Name

IM

Instant Messaging

IANA

Internet Assigned Numbers Authority

ICANN Internet Corporation for Assigned Names and Numbers
ISO

International Organization for Standardization

NIST(US Government) National Institute of Standards and Technology

OCSP

Online Certificate Status Protocol

OID

Object Identifier

PKI

Public Key Infrastructure

RA

Registration Authority

S/MIME Secure MIME (Multipurpose Internet Mail Extensions)
SSL

Secure Sockets Layer

TLS

Transport Layer Security

VoIP

Voice Over Internet Protocol

1.6.3 References

ETSI EN 319 403, Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment ‐Requirements for conformity assessment bodies assessing Trust Service Providers

25

ETSI EN 319 411‐1, Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust
Service Providers issuing certificates; Part 1: General requirementsETSI TS 102 042, Electronic Signatures and Infrastructures (ESI); Policy requirements for certification authorities
issuing public key certificates.
FIPS 140‐2, Federal Information Processing Standards Publication ‐ Security Requirements For Cryptographic
Modules, Information Technology Laboratory, National Institute of Standards and Technology, May 25, 2001.
FIPS 186‐4, Federal Information Processing Standards Publication ‐ Digital Signature Standard (DSS), Information
Technology Laboratory, National Institute of Standards and Technology, July 2013.
ISO 21188:2006, Public key infrastructure for financial services – Practices and policy framework.
Network and Certificate System Security Requirements, v.1.0, 1/1/2013.
NIST SP 800‐89, Recommendation for Obtaining Assurances for Digital Signature Applications,
http://csrc.nist.gov/publications/nistpubs/800‐89/SP‐800‐89_November2006.pdf.
RFC2119, Request for Comments: 2119, Key words for use in RFCs to Indicate Requirement Levels, Bradner, March
1997.
RFC2527, Request for Comments: 2527, Internet X.509 Public Key Infrastructure: Certificate Policy and Certification
Practices Framework, Chokhani, et al, March 1999.
RFC3647, Request for Comments: 3647, Internet X.509 Public Key Infrastructure: Certificate Policy and Certification
Practices Framework, Chokhani, et al, November 2003.
RFC3912, Request for Comments: 3912, WHOIS Protocol Specification, Daigle, September 2004.
RFC4366, Request for Comments: 4366, Transport Layer Security (TLS) Extensions, Blake‐Wilson, et al, April 2006.
RFC5019, Request for Comments: 5019, The Lightweight Online Certificate Status Protocol (OCSP) Profile for High‐
Volume Environments, A. Deacon, et al, September 2007.
RFC5280, Request for Comments: 5280, Internet X.509 Public Key Infrastructure: Certificate and Certificate
Revocation List (CRL) Profile, Cooper et al, May 2008.
RFC8659, Request for Comments: 8659, DNS Certification Authority Authorization (CAA) Resource Record, Hallam‐
Baker, Stradling, Hoffman‐Andrews, November 2019.
RFC6960, Request for Comments: 6960, X.509 Internet Public Key Infrastructure Online Certificate Status Protocol ‐OCSP. Santesson, Myers, Ankney, Malpani, Galperin, Adams, June 2013.
RFC6962, Request for Comments: 6962, Certificate Transparency. B. Laurie, A. Langley, E. Kasper. June 2013.
RFC7231, Request For Comments: 7231, Hypertext Transfer Protocol (HTTP/1.1): Semantics and Content, R.
Fielding, J. Reschke. June 2014.
26

RFC7538, Request For Comments: 7538, The Hypertext Transfer Protocol Status Code 308 (Permanent Redirect), J.
Reschke. April 2015.
RFC7482, Request for Comments: 7482, Registration Data Access Protocol (RDAP) Query Format, Newton, et al,
March 2015.
WebTrust for Certification Authorities, SSL Baseline with Network Security, Version 2.3, available athttps://www.cpacanada.ca/‐/media/site/ business‐and‐accounting‐resources/docs/webtrust/wt‐pcca‐ss‐lbns2‐
3.pdf.
X.509, Recommendation ITU‐T X.509 (10/2012) | ISO/IEC 9594‐8:2014 (E), Information technology – Open Systems
Interconnection – The Directory: Public‐key and attribute certificate frameworks.

1.6.4 Conventions

The key words “MUST”, “MUST NOT”, “REQUIRED”, “SHALL”, “SHALL NOT”, “SHOULD”,“SHOULD NOT”, “RECOMMENDED”, “MAY”, and “OPTIONAL” in these Requirements shall be interpreted inaccordance with RFC 2119.
By convention, this document omits time and timezones when listing effective requirements such as dates. Except
when explicitly specified, the associated time with a date shall be 00:00:00 UTC.

2 PUBLICATION AND REPOSITORY RESPONSIBILITIESThe CA SHALL develop, implement, enforce, and annually update a Certification Practice Statement that describes
in detail how the CA implements the latest version of these Requirements.

2.1 Repositories

The CA SHALL make revocation information for Subordinate Certificates and Subscriber Certificates available inaccordance with this Policy.

2.2 Publication of information

The Parent CA maintains controls to provide reasonable assurance that timely, complete and accurate certificate
status information (including CRLs and other certificate status mechanisms) is made available to any entity inaccordance with the CA’s disclosed business practices.
The CA SHALL publicly disclose its Certificate Policy and/or Certification Practice Statement through an appropriate
and readily accessible online means that is available on a 24x7 basis. The CA SHALL publicly disclose its CA businesspractices to the extent required by the CA’s selected audit scheme (see Section 8.4).
The Certificate Policy and/or Certification Practice Statement MUST be structured in accordance with RFC 3647
and MUST include all material required by RFC 3647.
Section 4.2 of a CA’s Certificate Policy and/or Certification Practice Statement SHALL state the CA’s policy orpractice on processing CAA Records for Fully Qualified Domain Names; that policy shall be consistent with these27Requirements. It shall clearly specify the set of Issuer Domain Names that the CA recognizes in CAA “issue” or“issuewild” records as permitting it to issue. The CA SHALL log all actions taken, if any, consistent with its
processing practice.
The CA SHALL host test Web pages that allow Application Software Suppliers to test their software with Subscriber
Certificates that chain up to each publicly trusted Root Certificate. At a minimum, the CA SHALL host separate Web
pages using Subscriber Certificates that are
i.
ii.
iii.

valid,
revoked, andexpired.

The CA MUST host test Web pages that allow Application Software Suppliers to test their software with EV
Certificates that chain up to each EV Root Certificate. At a minimum, the CA MUST host separate Web pages using
certificates that are (i) valid (ii) revoked and (iii) expired.
Each CA MUST publicly disclose their EV Policies through an appropriate and readily accessible online means that isavailable on a 24x7 basis. The CA is also REQUIRED to publicly disclose its CA business practices as required by both
WebTrust for CAs and ETSI TS 102 042. The disclosures MUST be structured in accordance with either RFC 2527 or
RFC 3647.

2.3 Time or frequency of publication

The CA SHALL develop, implement, enforce, and annually update a Certificate Policy and/or Certification PracticeStatement that describes in detail how the CA implements the latest version of these Requirements. The CA SHALL
indicate conformance with this requirement by incrementing the version number and adding a dated changelog
entry, even if no other changes are made to the document.

2.4 Access controls on repositories

The CA shall make its Repository publicly available in a read‐only manner.

3 IDENTIFICATION AND AUTHENTICATION
3.1 Naming
3.1.1 Types of names
No stipulation.

3.1.2 Need for names to be meaningful
No stipulation.

3.1.3 Anonymity or pseudonymity of subscribers
No stipulation.

28

3.1.4 Rules for interpreting various name forms
No stipulation.

3.1.5 Uniqueness of names
No stipulation.

3.1.6 Recognition, authentication, and role of trademarks
No stipulation.

3.2 Initial identity validation

An Issuer CA may use any legal means of communication or investigation to ascertain the identity of anorganizational or individual Applicant. The Issuer CA may refuse to issue a Certificate in its sole discretion.
The Issuer of EV Certificates is responsible for taking all verification steps reasonably necessary to satisfy each of
the Verification Requirements set forth in the EV Guidelines. In all cases, however, the Issuer is responsible fortaking any additional verification steps that may be reasonably necessary under the circumstances to satisfy theapplicable Verification Requirement.
The Issuer of EV Code Signing Certificates is responsible for taking all verification steps reasonably necessary tosatisfy each of the Verification Requirements set forth in the EV Code Signing Guidelines. In all cases, however, theIssuer is responsible for taking any additional verification steps that may be reasonably necessary under thecircumstances to satisfy the applicable Verification Requirement.

3.2.1 Method to prove possession of private key
No stipulation.

3.2.2 Authentication of Organization and Domain Identity

If the Applicant requests a Certificate that will contain Subject Identity Information comprised only of thecountryName field, then the CA SHALL verify the country associated with the Subject using a verification process
meeting the requirements of Section 3.2.2.3 and that is described in the CA’s Certificate Policy and/or Certification
Practice Statement. If the Applicant requests a Certificate that will contain the countryName field and other
Subject Identity Information, then the CA SHALL verify the identity of the Applicant, and the authenticity of the
Applicant Representative’s certificate request using a verification process meeting the requirements of this Section
3.2.2.1 and that is described in the CA’s Certificate Policy and/or Certification Practice Statement. The CA SHALL
inspect any document relied upon under this Section for alteration or falsification.
If the Applicant requests an Extended Validation Certificate, then the CA shall follow the EV Guidelines.

3.2.2.1

Identity

If the Subject Identity Information is to include the name or address of an organization, the CA SHALL verify theidentity and address of the organization and that the address is the Applicant’s address of existence or operation.
29

The CA SHALL verify the identity and address of the Applicant using documentation provided by, or throughcommunication with, at least one of the following:
1.
2.
3.
4.

A Government Agency in the Applicant’s Jurisdiction of Incorporation or Jurisdiction of Registration;
A third party database that is periodically updated and considered a Reliable Data Source;
A site visit by the CA or a third party who is acting as an agent for the CA; or
An Attestation Letter.

The CA MAY use the same documentation or communication described in 1 through 4 above to verify both theApplicant’s identity and address.
Alternatively, the CA MAY verify the address of the Applicant (but not the identity of the Applicant) using a utility
bill, bank statement, credit card statement, government-issued tax document, or other form of identification that
the CA determines to be reliable.

3.2.2.2

DBA/Tradename

If the Subject Identity Information is to include a DBA or tradename, the CA SHALL verify the Applicant’s right touse the DBA/tradename using at least one of the following:
1.
2.
3.
4.
5.

3.2.2.3

Documentation provided by, or communication with, a government agency in the jurisdiction of the
Applicant’s legal creation, existence, or recognition;
A Reliable Data Source;
Communication with a government agency responsible for the management of such DBAs or tradenames;
An Attestation Letter accompanied by documentary support; orA utility bill, bank statement, credit card statement, government-issued tax document, or other form ofidentification that the CA determines to be reliable.

Verification of Country

If the subject:countryName field is present, then the CA SHALL verify the country associated with the Subject using
one of the following:
a.

b.
c.
d.

the IP Address range assignment by country for either
i.
the web site’s IP address, as indicated by the DNS record for the web site orii.
the Applicant’s IP address;
the ccTLD of the requested Domain Name;
information provided by the Domain Name Registrar; ora method identified in Section 3.2.2.1.

The CA SHOULD implement a process to screen proxy servers in order to prevent reliance upon IP addresses
assigned in countries other than where the Applicant is actually located.

3.2.2.4

Validation of Domain Authorization or Control

This section defines the permitted processes and procedures for validating the Applicant’s ownership or control ofthe domain.
30

The CA SHALL confirm that prior to issuance, the CA has validated each Fully‐Qualified Domain Name (FQDN) listed
in the Certificate as follows:1.
2.

When the FQDN does not contain “onion” as the rightmost label, the CA SHALL validate the FQDN using atleast one of the methods listed below; andWhen the FQDN contains “onion” as the rightmost label, the CA SHALL validate the FQDN in accordancewith Appendix B.

Completed validations of Applicant authority may be valid for the issuance of multiple Certificates over time. In allcases, the validation must have been initiated within the time period specified in the relevant requirement (such as
Section 4.2.1 of this document) prior to Certificate issuance. For purposes of domain validation, the term Applicant
includes the Applicant’s Parent Company, Subsidiary Company, or Affiliate.
CAs SHALL maintain a record of which domain validation method, including relevant BR version number, they used
to validate every domain.
Note: FQDNs may be listed in Subscriber Certificates using dNSNames in the subjectAltName extension or in
Subordinate CA Certificates via dNSNames in permittedSubtrees within the Name Constraints extension.

3.2.2.4.1

Validating the Applicant as a Domain Contact

This method has been retired and MUST NOT be used. Prior validations using this method and validation data
gathered according to this method SHALL NOT be used to issue certificates.

3.2.2.4.2

Email, Fax, SMS, or Postal Mail to Domain Contact

Confirming the Applicant’s control over the FQDN by sending a Random Value via email, fax, SMS, or postal mailand then receiving a confirming response utilizing the Random Value. The Random Value MUST be sent to an email
address, fax/SMS number, or postal mail address identified as a Domain Contact.
Each email, fax, SMS, or postal mail MAY confirm control of multiple Authorization Domain Names.
The CA MAY send the email, fax, SMS, or postal mail identified under this section to more than one recipient
provided that every recipient is identified by the Domain Name Registrar as representing the Domain Name
Registrant for every FQDN being verified using the email, fax, SMS, or postal mail.
The Random Value SHALL be unique in each email, fax, SMS, or postal mail.
The CA MAY resend the email, fax, SMS, or postal mail in its entirety, including re‐use of the Random Value,
provided that the communication’s entire contents and recipient(s) remain unchanged.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values, in which case the CA MUST follow its CPS.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

31

3.2.2.4.3

Phone Contact with Domain Contact

Confirming the Applicant’s control over the FQDN by calling the Domain Name Registrant’s phone number andobtaining a response confirming the Applicant’s request for validation of the FQDN. The CA MUST place the call toa phone number identified by the Domain Name Registrar as the Domain Contact.
Each phone call SHALL be made to a single number and MAY confirm control of multiple FQDNs, provided that thephone number is identified by the Domain Registrar as a valid contact method for every Base Domain Name being
verified using the phone call.
CAs SHALL NOT perform validations using this method after May 31, 2019. Completed validations using thismethod SHALL continue to be valid for subsequent issuance per the applicable certificate data reuse periods.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.4

Constructed Email to Domain Contact

Confirm the Applicant’s control over the FQDN by
1.

2.
3.

Sending an email to one or more addresses created by using ‘admin’, ‘administrator’, ‘webmaster’,‘hostmaster’, or ‘postmaster’ as the local part, followed by the at‐sign (“@”), followed by an Authorization
Domain Name; andincluding a Random Value in the email; andreceiving a confirming response utilizing the Random Value.

Each email MAY confirm control of multiple FQDNs, provided the Authorization Domain Name used in the email is
an Authorization Domain Name for each FQDN being confirmed
The Random Value SHALL be unique in each email.
The email MAY be re‐sent in its entirety, including the re‐use of the Random Value, provided that its entire
contents and recipient SHALL remain unchanged.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.5

Domain Authorization Document

This method has been retired and MUST NOT be used. Prior validations using this method and validation data
gathered according to this method SHALL NOT be used to issue certificates.

3.2.2.4.6

Agreed-Upon Change to Website

Confirming the Applicant’s control over the FQDN by confirming one of the following under the “/.well‐known/pki‐
validation” directory, or another path registered with IANA for the purpose of Domain Validation, on the
Authorization Domain Name that is accessible by the CA via HTTP/HTTPS over an Authorized Port:
32

1.
2.

The presence of Required Website Content contained in the content of a file. The entire Required Website
Content MUST NOT appear in the request used to retrieve the file or web page, or
The presence of the Request Token or Random Value contained in the content of a file where the Request
Token or Random Value MUST NOT appear in the request.

If a Random Value is used, the CA SHALL provide a Random Value unique to the Certificate request and SHALL not
use the Random Value after the longer ofi.
ii.

30 days orif the Applicant submitted the Certificate request, the timeframe permitted for reuse of validated
information relevant to the certificate (such as in Section 4.2.1 of these Guidelines or Section 11.14.3 ofthe EV Guidelines).

CAs SHALL NOT perform validations using this method after June 3, 2020. CAs MAY continue to re‐use informationand validations for domains validated under this method per the applicable certificate data reuse periods.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.7

DNS Change

Confirming the Applicant’s control over the FQDN by confirming the presence of a Random Value or Request Tokenfor either in a DNS CNAME, TXT or CAA record for either 1) an Authorization Domain Name; or 2) an Authorization
Domain Name that is prefixed with a label that begins with an underscore character.
If a Random Value is used, the CA SHALL provide a Random Value unique to the Certificate request and SHALL not
use the Random Value afteri.
ii.

30 days orif the Applicant submitted the Certificate request, the timeframe permitted for reuse of validated
information relevant to the Certificate (such as in Section 4.2.1 of these Guidelines or Section 11.14.3 ofthe EV Guidelines).

Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.8

IP Address

Confirming the Applicant’s control over the FQDN by confirming that the Applicant controls an IP address returned
from a DNS lookup for A or AAAA records for the FQDN in accordance with Section 3.2.2.5.
Note: Once the FQDN has been validated using this method, the CA MUST NOT issue Certificates for other FQDNs
that end with all the labels of the validated FQDN unless the CA performs a separate validation for that FQDN using
an authorized method. This method is NOT suitable for validating Wildcard Domain Names.

33

3.2.2.4.9

Test Certificate

This method has been retired and MUST NOT be used. Prior validations using this method and validation data
gathered according to this method SHALL NOT be used to issue certificates.

3.2.2.4.10 TLS Using a Random NumberThis method has been retired and MUST NOT be used. Prior validations using this method and validation data
gathered according to this method SHALL NOT be used to issue certificates.

3.2.2.4.11 Any Other Method
This method has been retired and MUST NOT be used.

3.2.2.4.12 Validating Applicant as a Domain Contact
Confirming the Applicant’s control over the FQDN by validating the Applicant is the Domain Contact. This method
may only be used if the CA is also the Domain Name Registrar, or an Affiliate of the Registrar, of the Base Domain
Name.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.13 Email to DNS CAA Contact
Confirming the Applicant’s control over the FQDN by sending a Random Value via email and then receiving a
confirming response utilizing the Random Value. The Random Value MUST be sent to a DNS CAA Email Contact.
The relevant CAA Resource Record Set MUST be found using the search algorithm defined in RFC 8659, Section 3.
Each email MAY confirm control of multiple FQDNs, provided that each email address is a DNS CAA Email Contact
for each Authorization Domain Name being validated. The same email MAY be sent to multiple recipients as longas all recipients are DNS CAA Email Contacts for each Authorization Domain Name being validated.
The Random Value SHALL be unique in each email. The email MAY be re‐sent in its entirety, including the re‐use of
the Random Value, provided that its entire contents andrecipient(s) SHALL remain unchanged. The Random Value SHALL remain valid for use in a confirming response forno more than 30 days from its creation. The CPS MAY specify a shorter validity period for Random Values.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.14 Email to DNS TXT Contact
Confirming the Applicant’s control over the FQDN by sending a Random Value via email and then receiving a
confirming response utilizing the Random Value. The Random Value MUST be sent to a DNS TXT Record EmailContact for the Authorization Domain Name selected to validate the FQDN.
Each email MAY confirm control of multiple FQDNs, provided that each email address is DNS TXT Record EmailContact for each Authorization Domain Name being validated.

34

The same email MAY be sent to multiple recipients as long as all recipients are DNS TXT Record Email Contacts foreach Authorization Domain Name being validated.
The Random Value SHALL be unique in each email. The email MAY be re‐sent in its entirety, including the re‐use of
the Random Value, provided that its entire contents and recipient(s) SHALL remain unchanged. The Random Value
SHALL remain valid for use in a confirming response for no more than 30 days from its creation. The CPS MAY
specify a shorter validity period for Random Values.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.15 Phone Contact with Domain Contact
Confirm the Applicant’s control over the FQDN by calling the Domain Contact’s phone number and obtain aconfirming response to validate the ADN. Each phone call MAY confirm control of multiple ADNs provided that thesame Domain Contact phone number is listed for each ADN being verified and they provide a confirming response
for each ADN.
In the event that someone other than a Domain Contact is reached, the CA MAY request to be transferred to theDomain Contact.
In the event of reaching voicemail, the CA may leave the Random Value and the ADN(s) being validated. The
Random Value MUST be returned to the CA to approve the request.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.16 Phone Contact with DNS TXT Record Phone Contact
Confirm the Applicant’s control over the FQDN by calling the DNS TXT Record Phone Contact’s phone number andobtain a confirming response to validate the ADN. Each phone call MAY confirm control of multiple ADNs provided
that the same DNS TXT Record Phone Contact phone number is listed for each ADN being verified and they provide
a confirming response for each ADN.
The CA MAY NOT knowingly be transferred or request to be transferred as this phone number has been specificallylisted for the purposes of Domain Validation.
In the event of reaching voicemail, the CA may leave the Random Value and the ADN(s) being validated. The
Random Value MUST be returned to the CA to approve the request.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.
35

3.2.2.4.17 Phone Contact with DNS CAA Phone Contact
Confirm the Applicant’s control over the FQDN by calling the DNS CAA Phone Contact’s phone number and obtaina confirming response to validate the ADN. Each phone call MAY confirm control of multiple ADNs provided thatthe same DNS CAA Phone Contact phone number is listed for each ADN being verified and they provide a
confirming response for each ADN. The relevant CAA Resource Record Set MUST be found using the searchalgorithm defined in RFC 8659 Section 3.
The CA MUST NOT be transferred or request to be transferred as this phone number has been specifically listed forthe purposes of Domain Validation.
In the event of reaching voicemail, the CA may leave the Random Value and the ADN(s) being validated. The
Random Value MUST be returned to the CA to approve the request.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values.
Note: Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs
that end with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.

3.2.2.4.18 Agreed‑Upon Change to Website v2
Confirming the Applicant’s control over the FQDN by verifying that the Request Token or Random Value iscontained in the contents of a file.
1.
2.

The entire Request Token or Random Value MUST NOT appear in the request used to retrieve the file, andthe CA MUST receive a successful HTTP response from the request (meaning a 2xx HTTP status code must
be received).

The file containing the Request Token or Random Number:
1.
2.
3.
4.

MUST be located on the Authorization Domain Name, and
MUST be located under the “/.well‐known/pki‐validation” directory, and
MUST be retrieved via either the “http” or “https” scheme, and
MUST be accessed over an Authorized Port.

If the CA follows redirects, the following apply:
1.

2.

Redirects MUST be initiated at the HTTP protocol layer.
a. For validations performed on or after July 1, 2021, redirects MUST be the result of a 301, 302, or
307 HTTP status code response, as defined in RFC 7231, Section 6.4, or a 308 HTTP status code
response, as defined in RFC 7538, Section 3. Redirects MUST be to the final value of the Location
HTTP response header, as defined in RFC 7231, Section 7.1.2.
b. For validations performed prior to July 1, 2021, redirects MUST be the result of an HTTP status
code result within the 3xx Redirection class of status codes, as defined in RFC 7231, Section 6.4.
CAs SHOULD limit the accepted status codes and resource URLs to those defined within 1.a.
Redirects MUST be to resource URLs with either the “http” or “https” scheme.
36

3.

Redirects MUST be to resource URLs accessed via Authorized Ports.

If a Random Value is used, then:
1.
2.

The CA MUST provide a Random Value unique to the certificate request.
The Random Value MUST remain valid for use in a confirming response for no more than 30 days from its
creation. The CPS MAY specify a shorter validity period for Random Values, in which case the CA MUST
follow its CPS.

Note: * For Certificates issued prior to 2021‐12‐01, the CA MAY also issue Certificates for other FQDNs that end
with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names. * For
Certificates issued on or after 2021‐12‐01, the CA MUST NOT issue Certificates for other FQDNs that end with all
the labels of the validated FQDN unless the CA performs a separate validation for that FQDN using an authorized
method. This method is NOT suitable for validating Wildcard Domain Names.

3.2.2.4.19 Agreed‑Upon Change to Website ‑ ACME

Confirming the Applicant’s control over a FQDN by validating domain control of the FQDN using the ACME HTTP
Challenge method defined in Section 8.3 of RFC 8555. The following are additive requirements to RFC 8555.
The CA MUST receive a successful HTTP response from the request (meaning a 2xx HTTP status code must be
received).
The token (as defined in RFC 8555, Section 8.3) MUST NOT be used for more than 30 days from its creation. The
CPS MAY specify a shorter validity period for Random Values, in which case the CA MUST follow its CPS.
If the CA follows redirects, the following apply:
1.

2.
3.

Redirects MUST be initiated at the HTTP protocol layer.
a. For validations performed on or after July 1, 2021, redirects MUST be the result of a 301, 302, or
307 HTTP status code response, as defined in RFC 7231, Section 6.4, or a 308 HTTP status code
response, as defined in RFC 7538, Section 3. Redirects MUST be to the final value of the Location
HTTP response header, as defined in RFC 7231, Section 7.1.2.
b. For validations performed prior to July 1, 2021, redirects MUST be the result of an HTTP status
code result within the 3xx Redirection class of status codes, as defined in RFC 7231, Section 6.4.
CAs SHOULD limit the accepted status codes and resource URLs to those defined within 1.a.
Redirects MUST be to resource URLs with either the “http” or “https” scheme.
Redirects MUST be to resource URLs accessed via Authorized Ports.

Note: * For Certificates issued prior to 2021‐12‐01, the CA MAY also issue Certificates for other FQDNs that end
with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names. * For
Certificates issued on or after 2021‐12‐01, the CA MUST NOT issue Certificates for other FQDNs that end with all
the labels of the validated FQDN unless the CA performs a separate validation for that FQDN using an authorized
method. This method is NOT suitable for validating Wildcard Domain Names.
373.2.2.4.20 TLS Using ALPN
Confirming the Applicant’s control over a FQDN by validating domain control of the FQDN by negotiating a new
application layer protocol using the TLS Application‐Layer Protocol Negotiation (ALPN) Extension [RFC7301] asdefined in RFC 8737. The following are additive requirements to RFC 8737.
The token (as defined in RFC 8737, Section 3) MUST NOT be used for more than 30 days from its creation. The CPS
MAY specify a shorter validity period for the token, in which case the CA MUST follow its CPS.
Note: Once the FQDN has been validated using this method, the CA MUST NOT issue Certificates for other FQDNs
that end with all the labels of the validated FQDN unless the CA performs a separate validation for that FQDN using
an authorized method. This method is NOT suitable for validating Wildcard Domain Names.

3.2.2.5

Authentication for an IP AddressThis section defines the permitted processes and procedures for validating the Applicant’s ownership or control ofan IP Address listed in a Certificate.
The CA SHALL confirm that prior to issuance, the CA has validated each IP Address listed in the Certificate using atleast one of the methods specified in this section.
Completed validations of Applicant authority may be valid for the issuance of multiple Certificates over time. In allcases, the validation must have been initiated within the time period specified in the relevant requirement (such as
Section 4.2.1 of this document) prior to Certificate issuance. For purposes of IP Address validation, the term
Applicant includes the Applicant’s Parent Company, Subsidiary Company, or Affiliate.
After July 31, 2019, CAs SHALL maintain a record of which IP validation method, including the relevant BR version
number, was used to validate every IP Address.
Note: IP Addresses verified in accordance with this Section 3.2.2.5 may be listed in Subscriber Certificates as
defined in Section 7.1.4.2 or in Subordinate CA Certificates via iPAddress in permittedSubtrees within the Name
Constraints extension. CAs are not required to verify IP Addresses listed in Subordinate CA Certificates via
iPAddress in excludedSubtrees in the Name Constraints extension prior to inclusion in the Subordinate CA
Certificate

3.2.2.5.1

Agreed-Upon Change to Website

Confirming the Applicant’s control over the requested IP Address by confirming the presence of a Request Tokenor Random Value contained in the content of a file or webpage in the form of a meta tag under the “/.well‐known/pki‐validation” directory, or another path registered with IANA for the purpose of validating control of IP
Addresses, on the IP Address that is accessible by the CA via HTTP/HTTPS over an Authorized Port. The Request
Token or Random Value MUST NOT appear in the request.
If a Random Value is used, the CA SHALL provide a Random Value unique to the certificate request and SHALL not
use the Random Value after the longer ofi.

30 days or
38

ii.

if the Applicant submitted the certificate request, the timeframe permitted for reuse of validated
information relevant to the certificate (such as in Section 4.2.1 of this document).

3.2.2.5.2

Email, Fax, SMS, or Postal Mail to IP Address Contact

Confirming the Applicant’s control over the IP Address by sending a Random Value via email, fax, SMS, or postal
mail and then receiving a confirming response utilizing the Random Value. The Random Value MUST be sent to an
email address, fax/SMS number, or postal mail address identified as an IP Address Contact.
Each email, fax, SMS, or postal mail MAY confirm control of multiple IP Addresses.
The CA MAY send the email, fax, SMS, or postal mail identified under this section to more than one recipient
provided that every recipient is identified by the IP Address.
Registration Authority as representing the IP Address Contact for every IP Address being verified using the email,fax, SMS, or postal mail.
The Random Value SHALL be unique in each email, fax, SMS, or postal mail.
The CA MAY resend the email, fax, SMS, or postal mail in its entirety, including re‐use of the Random Value,
provided that the communication’s entire contents and recipient(s) remain unchanged.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values, in which case the CA MUST follow its CPS.

3.2.2.5.3

Reverse Address Lookup

Confirming the Applicant’s control over the IP Address by obtaining a Domain Name associated with the IP Address
through a reverse-IP lookup on the IP Address and then verifying control over the FQDN using a method permitted
under BR Section 3.2.2.4.

3.2.2.5.4

Any Other Method

Using any other method of confirmation, including variations of the methods defined in BR Section 3.2.2.5,
provided that the CA maintains documented evidence that the method of confirmation establishes that the
Applicant has control over the IP Address to at least the same level of assurance as the methods previously
described in version 1.6.2 of these Requirements.
CAs SHALL NOT perform validations using this method after July 31, 2019. Completed validations using this method
SHALL NOT be re-used for certificate issuance after July 31, 2019. Any certificate issued prior to August 1, 2019containing an IP Address that was validated using any method that was permitted under the prior version of thissection 3.2.2.5 MAY continue to be used without revalidation until such certificate naturally expires.

3.2.2.5.5

Phone Contact with IP Address Contact

Confirming the Applicant’s control over the IP Address by calling the IP Address Contact’s phone number andobtaining a response confirming the Applicant’s request for validation of the IP Address. The CA MUST place thecall to a phone number identified by the IP Address Registration Authority as the IP Address Contact. Each phone
call SHALL be made to a single number.
39

In the event that someone other than an IP Address Contact is reached, the CA MAY request to be transferred to
the IP Address Contact.
In the event of reaching voicemail, the CA may leave the Random Value and the IP Address(es) being validated. The
Random Value MUST be returned to the CA to approve the request.
The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values.

3.2.2.5.6

ACME “http-01” method for IP Addresses

Confirming the Applicant’s control over the IP Address by performing the procedure documented for an “http‐01”
challenge in draft 04 of “ACME IP Identifier Validation Extension,” available at https://tools.ietf.org/html/draft‐ietf‐
acme‐ip‐04#section‐4.

3.2.2.5.7

ACME “tls-alpn-01” method for IP Addresses

Confirming the Applicant’s control over the IP Address by performing the procedure documented for a “tls‐alpn‐
01” challenge in draft 04 of “ACME IP Identifier Validation Extension,” available at https://tools.ietf.org/html/draft‐
ietf‐acme‐ip‐04#section‐4.

3.2.2.6

Wildcard Domain Validation

Before issuing a certificate with a wildcard character (*) in a CN or subjectAltName of type DNS‐ID, the CA MUST
establish and follow a documented procedure that determines if the wildcard character occurs in the first label
position to the left of a “registry‐controlled” label or “public suffix” (e.g. “*.com”, “*.co.uk”, see RFC 6454 Section
8.2 for further explanation).
If a wildcard would fall within the label immediately to the left of a registry‐controlled or public suffix, CAs MUST
refuse issuance unless the applicant proves its rightful control of the entire Domain Namespace. (e.g. CAs MUSTNOT issue “*.co.uk” or “*.local”, but MAY issue “*.example.com” to Example Co.).
Determination of what is “registry‐controlled” versus the registerable portion of a Country Code Top‐Level Domain
Namespace is not standardized at the time of writing and is not a property of the DNS itself. Current best practiceis to consult a “public suffix list” such as the Public Suffix List (PSL), and to retrieve a fresh copy regularly.
If using the PSL, a CA SHOULD consult the “ICANN DOMAINS” section only, not the “PRIVATE DOMAINS” section.
The PSL is updated regularly to contain new gTLDs delegated by ICANN, which are listed in the “ICANN DOMAINS”
section. A CA is not prohibited from issuing a Wildcard Certificate to the Registrant of an entire gTLD, provided that
control of the entire namespace is demonstrated in an appropriate way.

3.2.2.7

Data Source Accuracy

Prior to using any data source as a Reliable Data Source, the CA SHALL evaluate the source for its reliability,
accuracy, and resistance to alteration or falsification. The CA SHOULD consider the following during its evaluation:
1.
2.
3.

The age of the information provided,
The frequency of updates to the information source,
The data provider and purpose of the data collection,
40

4.
5.

The public accessibility of the data availability, andThe relative difficulty in falsifying or altering the data.

Databases maintained by the CA, its owner, or its affiliated companies do not qualify as a Reliable Data Source if
the primary purpose of the database is to collect information for the purpose of fulfilling the validation
requirements under this Section 3.2.

3.2.2.8

CAA Records

As part of the issuance process, the CA MUST check for CAA records and follow the processing instructions found,for each dNSName in the subjectAltName extension of the certificate to be issued, as specified in RFC 8659. If the
CA issues, they MUST do so within the TTL of the CAA record, or 8 hours, whichever is greater.
This stipulation does not prevent the CA from checking CAA records at any other time.
When processing CAA records, CAs MUST process the issue, issuewild, and iodef property tags as specified in RFC
8659, although they are not required to act on the contents of the iodef property tag. Additional property tags
MAY be supported, but MUST NOT conflict with or supersede the mandatory property tags set out in thisdocument. CAs MUST respect the critical flag and not issue a certificate if they encounter an unrecognizedproperty tag with this flag set.
RFC 8659 requires that CAs “MUST NOT issue a certificate unless the CA determines that either (1) the certificate
request is consistent with the applicable CAA RRset or (2) an exception specified in the relevant CP or CPS applies.”
For issuances conforming to these Baseline Requirements, CAs MUST NOT rely on any exceptions specified in their
CP or CPS unless they are one of the following:•••

CAA checking is optional for certificates for which a Certificate Transparency pre‐certificate was created
and logged in at least two public logs, and for which CAA was checked.
CAA checking is optional for certificates issued by a Technically Constrained Subordinate CA Certificate as
set out in Section 7.1.5, where the lack of CAA checking is an explicit contractual provision in the contract
with the Applicant.
For certificates issued prior to July 1, 2021, CAA checking is optional if the CA or an Affiliate of the CA is
the DNS Operator (as defined in RFC 7719) of the domain’s DNS.

CAs are permitted to treat a record lookup failure as permission to issue if:•••

the failure is outside the CA’s infrastructure; andthe lookup has been retried at least once; andthe domain’s zone does not have a DNSSEC validation chain to the ICANN root.

CAs MUST document potential issuances that were prevented by a CAA record in sufficient detail to provide
feedback to the CAB Forum on the circumstances, and SHOULD dispatch reports of such issuance requests to thecontact(s) stipulated in the CAA iodef record(s), if present. CAs are not expected to support URL schemes in theiodef record other than mailto: or https:.
413.2.3 Authentication of individual identity

If an Applicant subject to this Section 3.2.3 is a natural person, then the CA SHALL verify the Applicant’s name,Applicant’s address, and the authenticity of the certificate request.
The CA SHALL verify the Applicant’s name using a legible copy, which discernibly shows the Applicant’s face, of atleast one currently valid government‐issued photo ID (passport, drivers license, military ID, national ID, orequivalent document type). The CA SHALL inspect the copy for any indication of alteration or falsification.
The CA SHALL verify the Applicant’s address using a form of identification that the CA determines to be reliable,
such as a government ID, utility bill, or bank or credit card statement. The CA MAY rely on the same government‐
issued ID that was used to verify the Applicant’s name.
The CA SHALL verify the certificate request with the Applicant using a Reliable Method of Communication.
The CA SHALL verify the certificate request with the Applicant using a Reliable Method of Communication. If the
Applicant requests an Extended Validation Certificate, then the CA shall follow the EV Guidelines.

3.2.4 Non-verified subscriber information
No stipulation.

3.2.5 Validation of authority

If the Applicant for a Certificate containing Subject Identity Information is an organization, the CA SHALL use a
Reliable Method of Communication to verify the authenticity of the Applicant Representative’s certificate request.
The CA MAY use the sources listed in Section 3.2.2.1 to verify the Reliable Method of Communication. Provided
that the CA uses a Reliable Method of Communication, the CA MAY establish the authenticity of the certificate
request directly with the Applicant Representative or with an authoritative source within the Applicant’sorganization, such as the Applicant’s main business offices, corporate offices, human resource offices, information
technology offices, or other department that the CA deems appropriate.
In addition, the CA SHALL establish a process that allows an Applicant to specify the individuals who may request
Certificates. If an Applicant specifies, in writing, the individuals who may request a Certificate, then the CA SHALL
NOT accept any certificate requests that are outside this specification. The CA SHALL provide an Applicant with alist of its authorized certificate requesters upon the Applicant’s verified written request.

3.2.6 Criteria for interoperation

The CA SHALL disclose all Cross Certificates that identify the CA as the Subject, provided that the CA arranged foror accepted the establishment of the trust relationship (i.e. the Cross Certificate at issue).

3.3 Identification and authentication for re-key requests
3.3.1 Identification and authentication for routine re-key
No stipulation.

3.3.2 Identification and authentication for re-key after revocation
No stipulation.

42

3.4 Identification and authentication for revocation request
No stipulation.

4 CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS
4.1 Certificate Application
4.1.1 Who can submit a certificate application

In accordance with Section 5.5.2, the CA SHALL maintain an internal database of all previously revoked Certificatesand previously rejected certificate requests due to suspected phishing or other fraudulent usage or concerns. The
CA SHALL use this information to identify subsequent suspicious certificate requests.

4.1.2 Enrollment process and responsibilities

Prior to the issuance of a Certificate, the CA SHALL obtain the following documentation from the Applicant:1.
2.

A certificate request, which may be electronic; andAn executed Subscriber Agreement or Terms of Use, which may be electronic.

The CA SHOULD obtain any additional documentation the CA determines necessary to meet these Requirements.
Prior to the issuance of a Certificate, the CA SHALL obtain from the Applicant a certificate request in a form
prescribed by the CA and that complies with these Requirements. One certificate request MAY suffice for multiple
Certificates to be issued to the same Applicant, subject to the aging and updating requirement in Section 4.2.1,
provided that each Certificate is supported by a valid, current certificate request signed by the appropriate
Applicant Representative on behalf of the Applicant. The certificate request MAY be made, submitted and/or
signed electronically.
The certificate request MUST contain a request from, or on behalf of, the Applicant for the issuance of a
Certificate, and a certification by, or on behalf of, the Applicant that all of the information contained therein iscorrect.

4.2 Certificate application processing
4.2.1 Performing identification and authentication functions

The certificate request MAY include all factual information about the Applicant to be included in the Certificate,and such additional information as is necessary for the CA to obtain from the Applicant in order to comply withthese Requirements and the CA’s Certificate Policy and/or Certification Practice Statement. In cases where thecertificate request does not contain all the necessary information about the Applicant, the CA SHALL obtain theremaining information from the Applicant or, having obtained it from a reliable, independent, third‐party data
source, confirm it with the Applicant. The CA SHALL establish and follow a documented procedure for verifying alldata requested for inclusion in the Certificate by the Applicant.
Applicant information MUST include, but not be limited to, at least one Fully‐Qualified Domain Name or IP address
to be included in the Certificate’s subjectAltName extension.
43Section 6.3.2 limits the validity period of Subscriber Certificates. The CA MAY use the documents and data
provided in Section 3.2 to verify certificate information, or may reuse previous validations themselves, provided
that the CA obtained the data or document from a source specified under Section 3.2 or completed the validation
itself no more than 825 days prior to issuing the Certificate. Effective 2021‐10‐01, for validation of Domain Names
and IP Addresses according to Section 3.2.2.4 and 3.2.2.5, any reused data, document, or completed validation
MUST be obtained no more than 398 days prior to issuing the Certificate.
In no case may a prior validation be reused if any data or document used in the prior validation was obtained morethan the maximum time permitted for reuse of the data or document prior to issuing the Certificate.
After the change to any validation method specified in the Baseline Requirements or EV Guidelines, a CA may
continue to reuse validation data or documents collected prior to the change, or the validation itself, for the period
stated in this BR 4.2.1 unless otherwise specifically provided in a ballot.
The CA SHALL develop, maintain, and implement documented procedures that identify and require additionalverification activity for High Risk Certificate Requests prior to the Certificate’s approval, as reasonably necessary toensure that such requests are properly verified under these Requirements.
If a Delegated Third Party fulfills any of the CA’s obligations under this section, the CA SHALL verify that the processused by the Delegated Third Party to identify and further verify High Risk Certificate Requests provides at least thesame level of assurance as the CA’s own processes.

4.2.2 Approval or rejection of certificate applications

CAs SHALL NOT issue certificates containing Internal Names (see section 7.1.4.2.1).

4.2.3 Time to process certificate applications
No stipulation.

4.3 Certificate issuance
4.3.1 CA actions during certificate issuance

Certificate issuance by the Root CA SHALL require an individual authorized by the CA (i.e. the CA system operator,
system officer, or PKI administrator) to deliberately issue a direct command in order for the Root CA to perform acertificate signing operation.

4.3.2 Notification to subscriber by the CA of issuance of certificate
No stipulation.

4.4 Certificate acceptance
4.4.1 Conduct constituting certificate acceptanceNo stipulation.

4.4.2 Publication of the certificate by the CA
No stipulation.

44

4.4.3 Notification of certificate issuance by the CA to other entities
No stipulation.

4.5 Key pair and certificate usage
4.5.1 Subscriber private key and certificate usage
See Section 9.6.3, provisions 2. and 4.

4.5.2 Relying party public key and certificate usage
No stipulation.

4.6 Certificate renewal
4.6.1 Circumstance for certificate renewal
No stipulation.

4.6.2 Who may request renewal
No stipulation.

4.6.3 Processing certificate renewal requests
No stipulation.

4.6.4 Notification of new certificate issuance to subscriber
No stipulation.

4.6.5 Conduct constituting acceptance of a renewal certificate
No stipulation.

4.6.6 Publication of the renewal certificate by the CA
No stipulation.

4.6.7 Notification of certificate issuance by the CA to other entities
No stipulation.

4.7 Certificate re-key
4.7.1 Circumstance for certificate re-key
No stipulation.

4.7.2 Who may request certification of a new public key
No stipulation.

4.7.3 Processing certificate re-keying requests
No stipulation.

4.7.4 Notification of new certificate issuance to subscriber
No stipulation.

45

4.7.5 Conduct constituting acceptance of a re-keyed certificate
No stipulation.

4.7.6 Publication of the re-keyed certificate by the CA
No stipulation.

4.7.7 Notification of certificate issuance by the CA to other entities
No stipulation.

4.8 Certificate modification
4.8.1 Circumstance for certificate modification
No stipulation.

4.8.2 Who may request certificate modification
No stipulation.

4.8.3 Processing certificate modification requests
No stipulation.

4.8.4 Notification of new certificate issuance to subscriber
No stipulation.

4.8.5 Conduct constituting acceptance of modified certificate
No stipulation.

4.8.6 Publication of the modified certificate by the CA
No stipulation.

4.8.7 Notification of certificate issuance by the CA to other entities
No stipulation.

4.9 Certificate revocation and suspension
4.9.1 Circumstances for revocation
4.9.1.1

Reasons for Revoking a Subscriber Certificate

The CA SHALL revoke a Certificate within 24 hours if one or more of the following occurs:
1.
2.
3.

The Subscriber requests in writing that the CA revoke the Certificate;
The Subscriber notifies the CA that the original certificate request was not authorized and does not
retroactively grant authorization;
The CA obtains evidence that the Subscriber’s Private Key corresponding to the Public Key in theCertificate suffered a Key Compromise;
46

4.

5.

The CA is made aware of a demonstrated or proven method that can easily compute the Subscriber’s
Private Key based on the Public Key in the Certificate (such as a Debian weak key, see
https://wiki.debian.org/SSLkeys);
The CA obtains evidence that the validation of domain authorization or control for any Fully‐Qualified
Domain Name or IP address in the Certificate should not be relied upon.

The CA SHOULD revoke a certificate within 24 hours and MUST revoke a Certificate within 5 days if one or more of
the following occurs:
1.
2.
3.

The Certificate no longer complies with the requirements of Section 6.1.5 and Section 6.1.6;
The CA obtains evidence that the Certificate was misused;
The CA is made aware that a Subscriber has violated one or more of its material obligations under the
Subscriber Agreement or Terms of Use;
4. The CA is made aware of any circumstance indicating that use of a Fully‐Qualified Domain Name or IP
address in the Certificate is no longer legally permitted (e.g. a court or arbitrator has revoked a Domain
Name Registrant’s right to use the Domain Name, a relevant licensing or services agreement between the
Domain Name Registrant and the Applicant has terminated, or the Domain Name Registrant has failed torenew the Domain Name);
5. The CA is made aware that a Wildcard Certificate has been used to authenticate a fraudulently misleading
subordinate Fully‐Qualified Domain Name;
6. The CA is made aware of a material change in the information contained in the Certificate;
7. The CA is made aware that the Certificate was not issued in accordance with these Requirements or the
CA’s Certificate Policy or Certification Practice Statement;
8. The CA determines or is made aware that any of the information appearing in the Certificate is inaccurate;
9. The CA’s right to issue Certificates under these Requirements expires or is revoked or terminated, unlessthe CA has made arrangements to continue maintaining the CRL/OCSP Repository;
10. Revocation is required by the CA’s Certificate Policy and/or Certification Practice Statement; or
11. The CA is made aware of a demonstrated or proven method that exposes the Subscriber’s Private Key tocompromise or if there is clear evidence that the specific method used to generate the Private Key was
flawed.

4.9.1.2

Reasons for Revoking a Subordinate CA Certificate

The Issuing CA SHALL revoke a Subordinate CA Certificate within seven (7) days if one or more of the following
occurs:
1.
2.
3.

4.

The Subordinate CA requests revocation in writing;
The Subordinate CA notifies the Issuing CA that the original certificate request was not authorized anddoes not retroactively grant authorization;
The Issuing CA obtains evidence that the Subordinate CA’s Private Key corresponding to the Public Key in
the Certificate suffered a Key Compromise or no longer complies with the requirements of Section 6.1.5
and Section 6.1.6;
The Issuing CA obtains evidence that the Certificate was misused;
47

5.

6.
7.
8.

9.

The Issuing CA is made aware that the Certificate was not issued in accordance with or that Subordinate
CA has not complied with this document or the applicable Certificate Policy or Certification PracticeStatement;
The Issuing CA determines that any of the information appearing in the Certificate is inaccurate or
misleading;
The Issuing CA or Subordinate CA ceases operations for any reason and has not made arrangements foranother CA to provide revocation support for the Certificate;
The Issuing CA’s or Subordinate CA’s right to issue Certificates under these Requirements expires or isrevoked or terminated, unless the Issuing CA has made arrangements to continue maintaining the
CRL/OCSP Repository; or
Revocation is required by the Issuing CA’s Certificate Policy and/or Certification Practice Statement.

4.9.2 Who can request revocation

The Subscriber, RA, or Issuing CA can initiate revocation. Additionally, Subscribers, Relying Parties, Application
Software Suppliers, and other third parties may submit Certificate Problem Reports informing the issuing CA of
reasonable cause to revoke the certificate.

4.9.3 Procedure for revocation request

The CA SHALL provide a process for Subscribers to request revocation of their own Certificates. The process MUST
be described in the CA’s Certificate Policy or Certification Practice Statement. The CA SHALL maintain a continuous
24x7 ability to accept and respond to revocation requests and Certificate Problem Reports.
The CA SHALL provide Subscribers, Relying Parties, Application Software Suppliers, and other third parties withclear instructions for reporting suspected Private Key Compromise, Certificate misuse, or other types of fraud,
compromise, misuse, inappropriate conduct, or any other matter related to Certificates. The CA SHALL publicly
disclose the instructions through a readily accessible online means and in Section 1.5.2 of their CPS.

4.9.4 Revocation request grace period
No stipulation.

4.9.5 Time within which CA must process the revocation request

Within 24 hours after receiving a Certificate Problem Report, the CA SHALL investigate the facts and circumstances
related to a Certificate Problem Report and provide a preliminary report on its findings to both the Subscriber andthe entity who filed the Certificate Problem Report. After reviewing the facts and circumstances, the CA SHALL
work with the Subscriber and any entity reporting the Certificate Problem Report or other revocation‐related
notice to establish whether or not the certificate will be revoked, and if so, a date which the CA will revoke thecertificate. The period from receipt of the Certificate Problem Report or revocation‐related notice to publishedrevocation MUST NOT exceed the time frame set forth in Section 4.9.1.1. The date selected by the CA SHOULD
consider the following criteria:
1.

The nature of the alleged problem (scope, context, severity, magnitude, risk of harm);
48

2.
3.
4.

5.

The consequences of revocation (direct and collateral impacts to Subscribers and Relying Parties);
The number of Certificate Problem Reports received about a particular Certificate or Subscriber;
The entity making the complaint (for example, a complaint from a law enforcement official that a Website is engaged in illegal activities should carry more weight than a complaint from a consumer alleging
that they didn’t receive the goods they ordered); andRelevant legislation.

4.9.6 Revocation checking requirement for relying parties
No stipulation.

Note: Following certificate issuance, a certificate may be revoked for reasons stated in Section 4.9. Therefore,
relying parties should check the revocation status of all certificates that contain a CDP or OCSP pointer.

4.9.7 CRL issuance frequency (if applicable)
For the status of Subscriber Certificates

If the CA publishes a CRL, then the CA SHALL update and reissue CRLs at least once every seven days, and the valueof the nextUpdate field MUST NOT be more than ten days beyond the value of the thisUpdate field.
For the status of Subordinate CA Certificates:
The CA SHALL update and reissue CRLs at least:i.
ii.

once every twelve months; andwithin 24 hours after revoking a Subordinate CA Certificate.

The value of the nextUpdate field MUST NOT be more than twelve months beyond the value of the thisUpdate
field.

4.9.8 Maximum latency for CRLs (if applicable)
No stipulation.

4.9.9 On-line revocation/status checking availability

OCSP responses MUST conform to RFC6960 and/or RFC5019. OCSP responses MUST either:1.
2.

Be signed by the CA that issued the Certificates whose revocation status is being checked, orBe signed by an OCSP Responder whose Certificate is signed by the CA that issued the Certificate whose
revocation status is being checked.

In the latter case, the OCSP signing Certificate MUST contain an extension of type id-pkix-ocsp-nocheck, as definedby RFC6960.

49

4.9.10 On-line revocation checking requirements

OCSP responders operated by the CA SHALL support the HTTP GET method, as described in RFC 6960 and/or RFC
5019.
The validity interval of an OCSP response is the difference in time between the thisUpdate and nextUpdate field,
inclusive. For purposes of computing differences, a difference of 3,600 seconds shall be equal to one hour, and adifference of 86,400 seconds shall be equal to one day, ignoring leap‐seconds.
For the status of Subscriber Certificates:
Prior to 2020‐09‐30: The CA SHALL update information provided via an Online Certificate Status Protocol at least
every four days. OCSP responses from this service MUST have a maximum expiration time of ten days.
Effective 2020‐09‐30:
1.
2.
3.

4.

OCSP responses MUST have a validity interval greater than or equal to eight hours;
OCSP responses MUST have a validity interval less than or equal to ten days;
For OCSP responses with validity intervals less than sixteen hours, then the CA SHALL update theinformation provided via an Online Certificate Status Protocol prior to one‐half of the validity period
before the nextUpdate.
For OCSP responses with validity intervals greater than or equal to sixteen hours, then the CA SHALL
update the information provided via an Online Certificate Status Protocol at least eight hours prior to the
nextUpdate, and no later than four days after the thisUpdate.

For the status of Subordinate CA Certificates:
The CA SHALL update information provided via an Online Certificate Status Protocol
at least every twelve months; andwithin 24 hours after revoking a Subordinate CA Certificate.
If the OCSP responder receives a request for the status of a certificate serial number that is “unused”, then the
responder SHOULD NOT respond with a “good” status. If the OCSP responder is for a CA that is not TechnicallyConstrained in line with Section 7.1.5, the responder MUST NOT respond with a “good” status for such requests.
The CA SHOULD monitor the OCSP responder for requests for “unused” serial numbers as part of its security
response procedures.
The OCSP responder MAY provide definitive responses about “reserved” certificate serial numbers, as if there wasa corresponding Certificate that matches the Precertificate [RFC6962].
A certificate serial number within an OCSP request is one of the following three options:1.
2.

“assigned” if a Certificate with that serial number has been issued by the Issuing CA, using any current or
previous key associated with that CA subject; or“reserved” if a Precertificate [RFC6962] with that serial number has been issued by50

3.

a. the Issuing CA; or
b. a Precertificate Signing Certificate [RFC6962] associated with the Issuing CA; or“unused” if neither of the previous conditions are met.

4.9.11 Other forms of revocation advertisements available
No Stipulation.

4.9.12 Special requirements re key compromise
See Section 4.9.1.

4.9.13 Circumstances for suspension

The Repository MUST NOT include entries that indicate that a Certificate is suspended.

4.9.14 Who can request suspension
Not applicable.

4.9.15 Procedure for suspension request
Not applicable.

4.9.16 Limits on suspension period
Not applicable.

4.10 Certificate status services
4.10.1 Operational characteristics

Revocation entries on a CRL or OCSP Response MUST NOT be removed until after the Expiry Date of the revoked
Certificate

4.10.2 Service availability

The CA SHALL operate and maintain its CRL and OCSP capability with resources sufficient to provide a responsetime of ten seconds or less under normal operating conditions.
The CA SHALL maintain an online 24x7 Repository that application software can use to automatically check thecurrent status of all unexpired Certificates issued by the CA.
The CA SHALL maintain a continuous 24x7 ability to respond internally to a high‐priority Certificate Problem
Report, and where appropriate, forward such a complaint to law enforcement authorities, and/or revoke a
Certificate that is the subject of such a complaint.

4.10.3 Optional features
No stipulation.

4.11 End of subscription
No stipulation.

51

4.12 Key escrow and recovery
4.12.1 Key escrow and recovery policy and practices
No stipulation.

4.12.2 Session key encapsulation and recovery policy and practices
Not applicable.

5 FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLSThe CA/Browser Forum’s Network and Certificate System Security Requirements are incorporated by reference as
if fully set forth herein.
The CA SHALL develop, implement, and maintain a comprehensive security program designed to:
1.
2.
3.
4.
5.

Protect the confidentiality, integrity, and availability of Certificate Data and Certificate Management
Processes;
Protect against anticipated threats or hazards to the confidentiality, integrity, and availability of theCertificate Data and Certificate Management Processes;
Protect against unauthorized or unlawful access, use, disclosure, alteration, or destruction of any
Certificate Data or Certificate Management Processes;
Protect against accidental loss or destruction of, or damage to, any Certificate Data or Certificate
Management Processes; andComply with all other security requirements applicable to the CA by law.

The Certificate Management Process MUST include:
1.
2.
3.
4.
5.

physical security and environmental controls;
system integrity controls, including configuration management, integrity maintenance of trusted code,and malware detection/prevention;
network security and firewall management, including port restrictions and IP address filtering;user management, separate trusted‐role assignments, education, awareness, and training; andlogical access controls, activity logging, and inactivity time‐outs to provide individual accountability.

The CA’s security program MUST include an annual Risk Assessment that:
1.
2.
3.

Identifies foreseeable internal and external threats that could result in unauthorized access, disclosure,misuse, alteration, or destruction of any Certificate Data or Certificate Management Processes;
Assesses the likelihood and potential damage of these threats, taking into consideration the sensitivity of
the Certificate Data and Certificate Management Processes; andAssesses the sufficiency of the policies, procedures, information systems, technology, and otherarrangements that the CA has in place to counter such threats.

Based on the Risk Assessment, the CA SHALL develop, implement, and maintain a security plan consisting of
security procedures, measures, and products designed to achieve the objectives set forth above and to manage
52

and control the risks identified during the Risk Assessment, commensurate with the sensitivity of the Certificate
Data and Certificate Management Processes. The security plan MUST include administrative, organizational,
technical, and physical safeguards appropriate to the sensitivity of the Certificate Data and Certificate
Management Processes. The security plan MUST also take into account then‐available technology and the cost of
implementing the specific measures, and SHALL implement a reasonable level of security appropriate to the harmthat might result from a breach of security and the nature of the data to be protected.

5.1 Physical controls

The CA maintains controls to provide reasonable assurance that CA facilities and equipment are protected fromenvironmental hazards.

5.1.1 Site location and construction
No stipulation.

5.1.2 Physical accessNo stipulation.

5.1.3 Power and air conditioning
No stipulation.

5.1.4 Water exposures
No stipulation.

5.1.5 Fire prevention and protection
No stipulation.

5.1.6 Media storage
No stipulation.

5.1.7 Waste disposal
No stipulation.

5.1.8 Oﬀ-site backup
No stipulation.

5.2 Procedural controls
5.2.1 Trusted roles

Each CA or Delegated Third Party SHALL document the responsibilities and tasks assigned to Trusted Roles andimplement “separation of duties” for such Trusted Roles based on the security-related concerns of the functions tobe performed
Each CA or Delegated Third Party SHALL follow a documented procedure for appointing individuals to Trusted
Roles and assigning responsibilities to them53

Each CA or Delegated Third Party SHALL grant administration access to Certificate Systems only to persons acting inTrusted Roles and require their accountability for the Certificate System’s security

5.2.2 Number of persons required per task

The Private Key SHALL be backed up, stored, and recovered only by personnel in trusted roles using, at least, dual
control in a physically secured environment.

5.2.3 Identification and authentication for each role

Each CA or Delegated Third Party SHALL require that each individual in a Trusted Role use a unique credential
created by or assigned to that person in order to authenticate to Certificate Systems.

5.2.4 Roles requiring separation of duties

Each CA or Delegated Third Party SHALL document the responsibilities and tasks assigned to Trusted Roles andimplement “separation of duties” for such Trusted Roles based on the security-related concerns of the functions tobe performed.

5.3 Personnel controls

The CA must maintain controls to provide reasonable assurance that personnel and employment practices
enhance and support the trustworthiness of the CA’s operations.

5.3.1 Qualifications, experience, and clearance requirements

Prior to the engagement of any person in the Certificate Management Process, whether as an employee, agent, oran independent contractor of the CA, the CA SHALL verify the identity and trustworthiness of such person.

5.3.2 Background check procedures
No stipulation.

5.3.3 Training requirements and procedures

The CA SHALL provide all personnel performing information verification duties with skills-training that covers basic
Public Key Infrastructure knowledge, authentication and vetting policies and procedures (including the CA’s
Certificate Policy and/or Certification Practice Statement), common threats to the information verification process(including phishing and other social engineering tactics), and these Requirements.
The CA SHALL maintain records of such training and ensure that personnel entrusted with Validation Specialist
duties maintain a skill level that enables them to perform such duties satisfactorily.
The CA SHALL document that each Validation Specialist possesses the skills required by a task before allowing the
Validation Specialist to perform that task.
The CA SHALL require all Validation Specialists to pass an examination provided by the CA on the information
verification requirements outlined in these Requirements.

5.3.4 Retraining frequency and requirements

All personnel in Trusted roles SHALL maintain skill levels consistent with the CA's training and performance
programs.
54

5.3.5 Job rotation frequency and sequence
No stipulation.

5.3.6 Sanctions for unauthorized actions

The CA must maintain controls to provide reasonable assurance that compliance with the CA’s security policies andprocedures is ensured.
Each CA or Delegated Third Party SHALL ensure that an individual in a Trusted Role acts only within the scope ofsuch role when performing administrative tasks assigned to that role.

5.3.7 Independent contractor requirements

The CA SHALL verify that the Delegated Third Party’s personnel involved in the issuance of a Certificate meet thetraining and skills requirements of Section 5.3.3 and the document retention and event logging requirements ofSection 5.4.1.

5.3.8 Documentation supplied to personnel
No stipulation.

5.4 Audit logging procedures
5.4.1 Types of events recorded

The CA and each Delegated Third Party SHALL record details of the actions taken to process a certificate request
and to issue a Certificate, including all information generated and documentation received in connection with thecertificate request; the time and date; and the personnel involved. The CA SHALL make these records available toits Qualified Auditor as proof of the CA’s compliance with these Requirements.
The CA SHALL record at least the following events:
1.

2.

3.

CA certificate and key lifecycle events, including:
1. Key generation, backup, storage, recovery, archival, and destruction;
2. Certificate requests, renewal, and re‐key requests, and revocation;
3. Approval and rejection of certificate requests;
4. Cryptographic device lifecycle management events;
5. Generation of Certificate Revocation Lists and OCSP entries;
6. Introduction of new Certificate Profiles and retirement of existing Certificate Profiles.
Subscriber Certificate lifecycle management events, including:
1. Certificate requests, renewal, and re‐key requests, and revocation;
2. All verification activities stipulated in these Requirements and the CA’s Certification PracticeStatement;
3. Approval and rejection of certificate requests;
4. Issuance of Certificates; and5. Generation of Certificate Revocation Lists and OCSP entries.
Security events, including:
55

1.
2.
3.
4.
5.
6.
7.

Successful and unsuccessful PKI system access attempts;
PKI and security system actions performed;
Security profile changes;
Installation, update and removal of software on a Certificate System;
System crashes, hardware failures, and other anomalies;
Firewall and router activities; andEntries to and exits from the CA facility.

Log records MUST include the following elements:
1.
2.
3.

Date and time of record;
Identity of the person making the journal record; andDescription of the record.

5.4.2 Frequency of processing log and archiving audit logs
No stipulation.

5.4.3 Retention period for audit logs
The CA SHALL retain, for at least two years:
1.

2.
3.

CA certificate and key lifecycle management event records (as set forth in Section 5.4.1 (1)) after the lateroccurrence of:
1. the destruction of the CA Private Key; or
2. the revocation or expiration of the final CA Certificate in that set of Certificates that have an
X.509v3 basicConstraints extension with the cA field set to true and which share a common
Public Key corresponding to the CA Private Key;
Subscriber Certificate lifecycle management event records (as set forth in Section 5.4.1 (2)) after the
revocation or expiration of the Subscriber Certificate;
Any security event records (as set forth in Section 5.4.1 (3)) after the event occurred.

5.4.4 Protection of audit log
No stipulation.

5.4.5 Audit log backup procedures
No stipulation.

5.4.6 Audit log accumulation system (internal vs. external)
No stipulation.

5.4.7 Notification to event-causing subject
No stipulation.

56

5.4.8 Vulnerability assessments

Additionally, the CA’s security program MUST include an annual Risk Assessment that:
1.
2.
3.

Identifies foreseeable internal and external threats that could result in unauthorized access, disclosure,misuse, alteration, or destruction of any Certificate Data or Certificate Management Processes;
Assesses the likelihood and potential damage of these threats, taking into consideration the sensitivity of
the Certificate Data and Certificate Management Processes; andAssesses the sufficiency of the policies, procedures, information systems, technology, and otherarrangements that the CA has in place to counter such threats.

5.5 Records archival
5.5.1 Types of records archived
No stipulation.

5.5.2 Retention period for archive

The CA SHALL retain all documentation relating to certificate requests and the verification thereof, and all
Certificates and revocation thereof, for at least seven years after any Certificate based on that documentationceases to be valid.

5.5.3 Protection of archive
No stipulation.

5.5.4 Archive backup procedures
No stipulation.

5.5.5 Requirements for time-stamping of records
No stipulation.

5.5.6 Archive collection system (internal or external)
No stipulation.

5.5.7 Procedures to obtain and verify archive information
No stipulation.

5.6 Key changeoverNo stipulation.

5.7 Compromise and disaster recovery
5.7.1 Incident and compromise handling procedures

CA organizations shall have an Incident Response Plan and a Disaster Recovery Plan.
The CA SHALL document a business continuity and disaster recovery procedures designed to notify and reasonably
protect Application Software Suppliers, Subscribers, and Relying Parties in the event of a disaster, security
compromise, or business failure. The CA is not required to publicly disclose its business continuity plans but SHALL
57

make its business continuity plan and security plans available to the CA’s auditors upon request. The CA SHALL
annually test, review, and update these procedures.
The business continuity plan MUST include:
1. The conditions for activating the plan,
2. Emergency procedures,
3. Fallback procedures,
4. Resumption procedures,
5. A maintenance schedule for the plan;
6. Awareness and education requirements;
7. The responsibilities of the individuals;
8. Recovery time objective (RTO);
9. Regular testing of contingency plans.
10. The CA’s plan to maintain or restore the CA’s business operations in a timely manner followinginterruption to or failure of critical business processes
11. A requirement to store critical cryptographic materials (i.e., secure cryptographic device and activationmaterials) at an alternate location;
12. What constitutes an acceptable system outage and recovery time
13. How frequently backup copies of essential business information and software are taken;
14. The distance of recovery facilities to the CA’s main site; and15. Procedures for securing its facility to the extent possible during the period of time following a disaster andprior to restoring a secure environment either at the original or a remote site.

5.7.2 Computing resources, software, and/or data are corrupted
No stipulation.

5.7.3 Entity private key compromise procedures
No stipulation.

5.7.4 Business continuity capabilities after a disasterNo stipulation.

5.8 CA or RA termination
No stipulation.

58

6 TECHNICAL SECURITY CONTROLS
6.1 Key pair generation and installation
6.1.1 Key pair generation
6.1.1.1

CA Key Pair Generation

For CA Key Pairs that are eitheri.
ii.

used as a CA Key Pair for a Root Certificate orused as a CA Key Pair for a Subordinate CA Certificate, where the Subordinate CA is not the operator of
the Root CA or an Affiliate of the Root CA,

the CA SHALL:
1.
2.
3.

prepare and follow a Key Generation Script,
have a Qualified Auditor witness the CA Key Pair generation process or record a video of the entire CA Key
Pair generation process, andhave a Qualified Auditor issue a report opining that the CA followed its key ceremony during its Key andCertificate generation process and the controls used to ensure the integrity and confidentiality of the KeyPair.

For other CA Key Pairs that are for the operator of the Root CA or an Affiliate of the Root CA, the CA SHOULD:
1.
2.

prepare and follow a Key Generation Script andhave a Qualified Auditor witness the CA Key Pair generation process or record a video of the entire CA Key
Pair generation process.

In all cases, the CA SHALL:
generate the CA Key Pair in a physically secured environment as described in the CA’s Certificate Policy and/or
Certification Practice Statement;
1.
2.
3.
4.

6.1.1.2

generate the CA Key Pair using personnel in Trusted Roles under the principles of multiple person control
and split knowledge;
generate the CA Key Pair within cryptographic modules meeting the applicable technical and business
requirements as disclosed in the CA’s Certificate Policy and/or Certification Practice Statement;
log its CA Key Pair generation activities; andmaintain effective controls to provide reasonable assurance that the Private Key was generated andprotected in conformance with the procedures described in its Certificate Policy and/or Certification
Practice Statement and (if applicable) its Key Generation Script.

RA Key Pair Generation

No stipulation.
596.1.1.3

Subscriber Key Pair Generation

The CA SHALL reject a certificate request if one or more of the following conditions are met:
1.
2.
3.
4.
5.

The Key Pair does not meet the requirements set forth in Section 6.1.5 and/or Section 6.1.6;
There is clear evidence that the specific method used to generate the Private Key was flawed;
The CA is aware of a demonstrated or proven method that exposes the Applicant’s Private Key tocompromise;
The CA has previously been made aware that the Applicant’s Private Key has suffered a Key Compromise,such as through the provisions of Section 4.9.1.1;
The CA is aware of a demonstrated or proven method to easily compute the Applicant’s Private Key basedon the Public Key (such as a Debian weak key, see https://wiki.debian.org/SSLkeys).

If the Subscriber Certificate will contain an extKeyUsage extension containing either the values id-kp-serverAuth[RFC5280] or anyExtendedKeyUsage [RFC5280], the CA SHALL NOT generate a Key Pair on behalf of a Subscriber,
and SHALL NOT accept a certificate request using a Key Pair previously generated by the CA.

6.1.2 Private key delivery to subscriber

Parties other than the Subscriber SHALL NOT archive the Subscriber Private Key without authorization by the
Subscriber.
If the CA or any of its designated RAs become aware that a Subscriber’s Private Key has been communicated to an
unauthorized person or an organization not affiliated with the Subscriber, then the CA SHALL revoke all certificatesthat include the Public Key corresponding to the communicated Private Key.

6.1.3 Public key delivery to certificate issuer
No stipulation.

6.1.4 CA public key delivery to relying parties
No stipulation.

6.1.5 Key sizes

For RSA key pairs the CA SHALL:••

Ensure that the modulus size, when encoded, is at least 2048 bits, and;
Ensure that the modulus size, in bits, is evenly divisible by 8.

For ECDSA key pairs, the CA SHALL:•

Ensure that the key represents a valid point on the NIST P‐256, NIST P‐384 or NIST P‐521 elliptic curve.

No other algorithms or key sizes are permitted.

6.1.6 Public key parameters generation and quality checking

RSA: The CA SHALL confirm that the value of the public exponent is an odd number equal to 3 or more.
Additionally, the public exponent SHOULD be in the range between 2^16 + 1 and 2^256 ‐ 1. The modulus SHOULD
60

also have the following characteristics: an odd number, not the power of a prime, and have no factors smaller than752. [Source: Section 5.3.3, NIST SP 800‐89]
ECDSA: The CA SHOULD confirm the validity of all keys using either the ECC Full Public Key Validation Routine or
the ECC Partial Public Key Validation Routine. [Source: Sections 5.6.2.3.2 and 5.6.2.3.3, respectively, of NIST SP
800‐56A: Revision 2]

6.1.7 Key usage purposes (as per X.509 v3 key usage field)

Private Keys corresponding to Root Certificates MUST NOT be used to sign Certificates except in the following
cases:
1.
2.
3.
4.

Self‐signed Certificates to represent the Root CA itself;
Certificates for Subordinate CAs and Cross Certificates;
Certificates for infrastructure purposes (administrative role certificates, internal CA operational device
certificates); andCertificates for OCSP Response verification.

6.2 Private Key Protection and Cryptographic Module Engineering Controls

The CA SHALL implement physical and logical safeguards to prevent unauthorized certificate issuance. Protectionof the CA Private Key outside the validated system or device specified above MUST consist of physical security,
encryption, or a combination of both, implemented in a manner that prevents disclosure of the Private Key. The CA
SHALL encrypt its Private Key with an algorithm and key‐length that, according to the state of the art, are capableof withstanding cryptanalytic attacks for the residual life of the encrypted key or key part.

6.2.1 Cryptographic module standards and controls
No stipulation.

6.2.2 Private key (n out of m) multi-person control
No stipulation.

6.2.3 Private key escrow
No stipulation.

6.2.4 Private key backup
See Section 5.2.2.

6.2.5 Private key archival

Parties other than the Subordinate CA SHALL NOT archive the Subordinate CA Private Keys without authorizationby the Subordinate CA.

6.2.6 Private key transfer into or from a cryptographic module

If the Issuing CA generated the Private Key on behalf of the Subordinate CA, then the Issuing CA SHALL encrypt thePrivate Key for transport to the Subordinate CA. If the Issuing CA becomes aware that a Subordinate CA’s Private
Key has been communicated to an unauthorized person or an organization not affiliated with the Subordinate CA,
61then the Issuing CA SHALL revoke all certificates that include the Public Key corresponding to the communicatedPrivate Key.

6.2.7 Private key storage on cryptographic module

The CA SHALL protect its Private Key in a system or device that has been validated as meeting at least FIPS 140
level 3 or an appropriate Common Criteria Protection Profile or Security Target, EAL 4 (or higher), which includes
requirements to protect the Private Key and other assets against known threats.

6.2.8 Method of activating private key
No stipulation.

6.2.9 Method of deactivating private key
No stipulation.

6.2.10 Method of destroying private key
No stipulation.

6.2.11 Cryptographic Module Rating
No stipulation.

6.3 Other aspects of key pair management
6.3.1 Public key archival
No stipulation.

6.3.2 Certificate operational periods and key pair usage periods

Subscriber Certificates issued on or after 1 September 2020 SHOULD NOT have a Validity Period greater than 397
days and MUST NOT have a Validity Period greater than 398 days. Subscriber Certificates issued after 1 March
2018, but prior to 1 September 2020, MUST NOT have a Validity Period greater than 825 days. Subscriber
Certificates issued after 1 July 2016 but prior to 1 March 2018 MUST NOT have a Validity Period greater than 39
months.
For the purpose of calculations, a day is measured as 86,400 seconds. Any amount of time greater than this,including fractional seconds and/or leap seconds, shall represent an additional day. For this reason, Subscriber
Certificates SHOULD NOT be issued for the maximum permissible time by default, in order to account for suchadjustments.

6.4 Activation data
6.4.1 Activation data generation and installation
No stipulation.

6.4.2 Activation data protection
No stipulation.

62

6.4.3 Other aspects of activation data
No stipulation.

6.5 Computer security controls

The CA must maintain controls to provide reasonable assurance that compromise of information and information
processing facilities is prevented.
The CA must maintain controls to provide reasonable assurance that CA system access is limited to authorizedindividuals.
The CA must maintain controls to provide reasonable assurance that the risk of CA systems failure is minimized.
The CA maintains controls to provide reasonable assurance that operating system and database access is limited toauthorized individuals with predetermined task privileges.

6.5.1 Specific computer security technical requirements

The CA SHALL enforce multi-factor authentication for all accounts capable of directly causing certificate issuance.

6.5.2 Computer security rating
No stipulation.

6.6 Life cycle technical controls
6.6.1 System development controls
No stipulation.

6.6.2 Security management controls
No stipulation.

6.6.3 Life cycle security controls
No stipulation.

6.7 Network security controls
No stipulation.

6.8 Time-stamping
No stipulation.

7

CERTIFICATE, CRL, AND OCSP PROFILES

7.1 Certificate profile

The CA SHALL meet the technical requirements set forth in Section 2.2 – Publication of Information, Section 6.1.5Key Sizes, and Section 6.1.6 - Public Key Parameters Generation and Quality Checking.

63

CAs SHALL generate non‐sequential Certificate serial numbers greater than zero (0) containing at least 64 bits of
output from a CSPRNG.

7.1.1 Version number(s)Certificates MUST be of type X.509 v3.

7.1.2 Certificate extensions

This section specifies the additional requirements for Certificate content and extensions for Certificates.

7.1.2.1
a.

b.

c.
d.

7.1.2.2a.

Root CA Certificate
basicConstraints
This extension MUST appear as a critical extension. The cA field MUST be set true. The pathLenConstraint
field SHOULD NOT be present.
keyUsageThis extension MUST be present and MUST be marked critical. Bit positions for keyCertSign and cRLSign
MUST be set. If the Root CA Private Key is used for signing OCSP responses, then the digitalSignature bit
MUST be set.
certificatePolicies
This extension SHOULD NOT be present.
extKeyUsage
This extension MUST NOT be present

Subordinate CA Certificate
certificatePolicies
This extension MUST be present and SHOULD NOT be marked critical.
certificatePolicies:policyIdentifier (Required)
The following fields MAY be present if the Subordinate CA is not an Affiliate of the entity that controls the
Root CA.
certificatePolicies:policyQualifiers:policyQualifierId(Optional)
id-qt 1 [RFC5280].
o certificatePolicies:policyQualifiers:qualifier:cPSuri(Optional)
HTTP URL for the Root CA’s Certificate Policies, Certification Practice Statement, Relying Party
Agreement, or other pointer to online policy information provided by the CA.
cRLDistributionPoints
This extension MUST be present and MUST NOT be marked critical. It MUST contain the HTTP URL of the
CA’s CRL service.
authorityInformationAccessThis extension SHOULD be present. It MUST NOT be marked critical.
It SHOULD contain the HTTP URL of the Issuing CA’s certificate (accessMethod = 1.3.6.1.5.5.7.48.2). It MAY
contain the HTTP URL of the Issuing CA’s OCSP responder (accessMethod = 1.3.6.1.5.5.7.48.1).
o

b.

c.

64

d.

e.

f.
g.

basicConstraints
This extension MUST be present and MUST be marked critical. The cA field MUST be set true. The
pathLenConstraint field MAY be present.
keyUsageThis extension MUST be present and MUST be marked critical. Bit positions for keyCertSign and cRLSign
MUST be set. If the Subordinate CA Private Key is used for signing OCSP responses, then thedigitalSignature bit MUST be set.
nameConstraints (optional)
If present, this extension SHOULD be marked critical 1.
extKeyUsage (optional/required)
For Cross Certificates that share a Subject Distinguished Name and Subject Public Key with a Root
Certificate operated in accordance with these Requirements, this extension MAY be present. If present,
this extension SHOULD NOT be marked critical. This extension MUST only contain usages for which theissuing CA has verified the Cross Certificate is authorized to assert. This extension MAY contain the
anyExtendedKeyUsage [RFC5280] usage, if the Root Certificate(s) associated with this Cross Certificate areoperated by the same organization as the issuing Root Certificate.
For all other Subordinate CA Certificates, including Technically Constrained Subordinate CA Certificates:
This extension MUST be present and SHOULD NOT be marked critical 2.
For Subordinate CA Certificates that will be used to issue TLS certificates, the value id-kp-serverAuth[RFC5280] MUST be present. The value id-kp-clientAuth [RFC5280] MAY be present. The values id-kpemailProtection [RFC5280], id-kp-codeSigning [RFC5280], id-kp-timeStamping [RFC5280], andanyExtendedKeyUsage [RFC5280] MUST NOT be present. Other values SHOULD NOT be present.

h.

For Subordinate CA Certificates that are not used to issue TLS certificates, then the value id-kp-serverAuth[RFC5280] MUST NOT be present. Other values MAY be present, but SHOULD NOT combine multiple
independent key purposes (e.g. including id-kp-timeStamping [RFC5280] with id-kp-codeSigning[RFC5280]).
authorityKeyIdentifier (required)This extension MUST be present and MUST NOT be marked critical. It MUST contain a keyIdentifier field
and it MUST NOT contain a authorityCertIssuer or authorityCertSerialNumber field.

Non‐critical Name Constraints are an exception to RFC 5280 (4.2.1.10), however, they MAY be used untilthe
Name Constraints extension is supported by Application Software Suppliers whose software is used bya substantial
portion of Relying Parties worldwide.
2
While RFC 5280, Section 4.2.1.12, notes that this extension will generally only appear within end‐entity
certificates, these Requirements make use of this extension to further protect relying parties by limiting the scopeof subordinate certificates, as implemented by a number of Application Software Suppliers.
651

7.1.2.3
a.

b.

c.

d.
e.
f.

g.

7.1.2.4

Subscriber Certificate
certificatePolicies
This extension MUST be present and SHOULD NOT be marked critical.
o certificatePolicies:policyIdentifier (Required)
A Policy Identifier, defined by the issuing CA, that indicates a Certificate Policy asserting the issuing
CA’s adherence to and compliance with these Requirements.
The following extensions MAY be present:o certificatePolicies:policyQualifiers:policyQualifierId (Recommended)
id-qt 1 [RFC 5280].
o certificatePolicies:policyQualifiers:qualifier:cPSuri(Optional)
HTTP URL for the Subordinate CA’s Certification Practice Statement, Relying Party Agreement orother pointer to online information provided by the CA.
cRLDistributionPoints
This extension MAY be present. If present, it MUST NOT be marked critical, and it MUST contain the HTTP
URL of the CA’s CRL service.
authorityInformationAccessThis extension MUST be present. It MUST NOT be marked critical, and it MUST contain the HTTP URL of
the Issuing CA’s OCSP responder (accessMethod = 1.3.6.1.5.5.7.48.1). It SHOULD also contain the HTTP
URL of the Issuing CA’s certificate (accessMethod = 1.3.6.1.5.5.7.48.2).
basicConstraints (optional)
The cA field MUST NOT be true.
keyUsage (optional)
If present, bit positions for keyCertSign and cRLSign MUST NOT be set.
extKeyUsage (required)
Either the value id-kp-serverAuth [RFC5280] or id-kp-clientAuth [RFC5280] or both values MUST bepresent. id-kp-emailProtection [RFC5280] MAY be present. Other values SHOULD NOT be present. The
value anyExtendedKeyUsage MUST NOT be present.
authorityKeyIdentifier (required)This extension MUST be present and MUST NOT be marked critical. It MUST contain a keyIdentifier field
and it MUST NOT contain a authorityCertIssuer or authorityCertSerialNumber field.

All Certificates

All other fields and extensions MUST be set in accordance with RFC 5280. The CA SHALL NOT issue a Certificatethat contains a keyUsage flag, extKeyUsage value, Certificate extension, or other data not specified in Section
7.1.2.1, Section 7.1.2.2, or Section 7.1.2.3 unless the CA is aware of a reason for including the data in theCertificate.

66

CAs SHALL NOT issue a Certificate with:a.

b.

Extensions that do not apply in the context of the public Internet (such as an extKeyUsage value for aservice that is only valid in the context of a privately managed network), unless:i.
such value falls within an OID arc for which the Applicant demonstrates ownership, orii.
the Applicant can otherwise demonstrate the right to assert the data in a public context; orsemantics that, if included, will mislead a Relying Party about the certificate information verified by the
CA (such as including an extKeyUsage value for a smart card, where the CA is not able to verify that thecorresponding Private Key is confined to such hardware due to remote issuance).

7.1.2.5

Application of RFC 5280

For purposes of clarification, a Precertificate, as described in RFC 6962 - Certificate Transparency, shall not be
considered to be a “certificate” subject to the requirements of RFC 5280 - Internet X.509 Public Key Infrastructure
Certificate and Certificate Revocation List (CRL) Profile under these Requirements.

7.1.3 Algorithm object identifiers

CAs MUST NOT issue any Subscriber certificates or Subordinate CA certificates using the SHA-1 hash algorithm. CAs
MAY issue Root CA Certificates or Subordinate CA Certificates that are Cross Certificates using the SHA-1 hashalgorithm.
CAs MAY continue to use their existing SHA-1 Root Certificates.
Subscriber certificates SHOULD NOT chain up to a SHA-1 Subordinate CA Certificate.

7.1.3.1

SubjectPublicKeyInfo

The following requirements apply to the subjectPublicKeyInfo field within a Certificate or Precertificate. No otherencodings are permitted.

7.1.3.1.1

RSA

The CA SHALL indicate an RSA key using the rsaEncryption (OID: 1.2.840.113549.1.1.1) algorithm identifier. The
parameters MUST be present, and MUST be an explicit NULL. The CA SHALL NOT use a different algorithm, such as
the id‐RSASSA‐PSS (OID: 1.2.840.113549.1.1.10) algorithm identifier, to indicate an RSA key.
When encoded, the AlgorithmIdentifier for RSA keys MUST be byte‐for‐byte identical with the following hex‐
encoded bytes: 300d06092a864886f70d0101010500

7.1.3.1.2

ECDSA

The CA SHALL indicate an ECDSA key using the id‐ecPublicKey (OID: 1.2.840.10045.2.1) algorithm identifier. The
parameters MUST use the namedCurve encoding.
•••

For P‐256 keys, the namedCurve MUST be secp256r1 (OID: 1.2.840.10045.3.1.7).
For P‐384 keys, the namedCurve MUST be secp384r1 (OID: 1.3.132.0.34).
For P‐521 keys, the namedCurve MUST be secp521r1 (OID: 1.3.132.0.35).
67

When encoded, the AlgorithmIdentifier for ECDSA keys MUST be byte‐for‐byte identical with the following hex‐
encoded bytes:•••

For P‐256 keys, 301306072a8648ce3d020106082a8648ce3d030107.
For P‐384 keys, 301006072a8648ce3d020106052b81040022.
For P‐521 keys, 301006072a8648ce3d020106052b81040023.

7.1.3.2

Signature AlgorithmIdentifier

All objects signed by a CA Private Key MUST conform to these requirements on the use of the AlgorithmIdentifieror AlgorithmIdentifier‐derived type in the context of signatures.
In particular, it applies to all of the following objects and fields:
•
•
•
•
•

The signatureAlgorithm field of a Certificate or Precertificate.
The signature field of a TBSCertificate (for example, as used by either a Certificate or Precertificate).
The signatureAlgorithm field of a CertificateList
The signature field of a TBSCertList
The signatureAlgorithm field of a BasicOCSPResponse.

No other encodings are permitted for these fields.

7.1.3.2.1

RSA

The CA SHALL use one of the following signature algorithms and encodings. When encoded, theAlgorithmIdentifier MUST be byte‐for‐byte identical with the specified hex‐encoded bytes.
•
•
•
•

•

•

RSASSA‐PKCS1‐v1_5 with SHA‐256:
Encoding: 300d06092a864886f70d01010b0500.
RSASSA‐PKCS1‐v1_5 with SHA‐384:
Encoding: 300d06092a864886f70d01010c0500.
RSASSA‐PKCS1‐v1_5 with SHA‐512:
Encoding: 300d06092a864886f70d01010d0500.
RSASSA‐PSS with SHA‐256, MGF‐1 with SHA‐256, and a salt length of 32 bytes:
Encoding:
304106092a864886f70d01010a3034a00f300d06096086480165030402010500a11c301a06092a864886f7
0d010108300d06096086480165030402010500a203020120
RSASSA‐PSS with SHA‐384, MGF‐1 with SHA‐384, and a salt length of 48 bytes:
Encoding:
304106092a864886f70d01010a3034a00f300d06096086480165030402020500a11c301a06092a864886f7
0d010108300d06096086480165030402020500a203020130
RSASSA‐PSS with SHA‐512, MGF‐1 with SHA‐512, and a salt length of 64 bytes:
Encoding:
304106092a864886f70d01010a3034a00f300d06096086480165030402030500a11c301a06092a864886f7
0d010108300d06096086480165030402030500a203020140
68

In addition, the CA MAY use the following signature algorithm and encoding if all of the following conditions are
met:
•

•

•

If used within a Certificate, such as the signatureAlgorithm field of a Certificate or the signature field of a
TBSCertificate:o The new Certificate is a Root CA Certificate or Subordinate CA Certificate that is a Cross‐
Certificate; and,o There is an existing Certificate, issued by the same issuing CA Certificate, using the following
encoding for the signature algorithm; and,o The existing Certificate has a serialNumber that is at least 64‐bits long; and,o The only differences between the new Certificate and existing Certificate are one of thefollowing: A new subjectPublicKey within the subjectPublicKeyInfo, using the same algorithm andkey size; and/or, A new serialNumber, of the same encoded length as the existing Certificate; and/or The new Certificate’s extKeyUsage extension is present, has at least one key purpose
specified, and none of the key purposes specified are the id‐kp‐serverAuth (OID:
1.3.6.1.5.5.7.3.1) or the anyExtendedKeyUsage (OID: 2.5.2937.0) key purposes; and/or The new Certificate’s basicConstraints extension has a pathLenConstraint that is zero.
If used within an OCSP response, such as the signatureAlgorithm of a BasicOCSPResponse:o All unexpired, un‐revoked Certificates that contain the Public Key of the CA Key Pair and thathave the same Subject Name MUST also contain an extKeyUsage extension with the only key
usage present being the id‐kp‐ocspSigning (OID: 1.3.6.1.5.5.7.3.9) key usage.
If used within a CRL, such as the signatureAlgorithm field of a CertificateList or the signature field of a
TBSCertList:o The CRL is referenced by one or more Root CA or Subordinate CA Certificates; and,o The Root CA or Subordinate CA Certificate has issued one or more Certificates using the following
encoding for the signature algorithm.

Note: The above requirements do not permit a CA to sign a Precertificate with this encoding.
•

RSASSA‐PKCS1‐v1_5 with SHA‐1:

Encoding: 300d06092a864886f70d0101050500

7.1.3.2.2

ECDSA

The CA SHALL use the appropriate signature algorithm and encoding based upon the signing key used.
If the signing key is P‐256, the signature MUST use ECDSA with SHA‐256. When
encoded, the AlgorithmIdentifier MUST be byte‐for‐byte identical with the following hex‐encoded bytes:
300a06082a8648ce3d040302.
69

If the signing key is P‐384, the signature MUST use ECDSA with SHA‐384. When encoded, the AlgorithmIdentifier
MUST be byte‐for‐byte identical with the following hex‐encoded bytes: 300a06082a8648ce3d040303.
If the signing key is P‐521, the signature MUST use ECDSA with SHA‐512. When encoded, the AlgorithmIdentifier
MUST be byte‐for‐byte identical with the following hex‐encoded bytes: 300a06082a8648ce3d040304.

7.1.4 Name forms
7.1.4.1

Name Encoding

Prior to 2020‐09‐30, the content of the Certificate Issuer Distinguished Name field MUST match the Subject DN of
the Issuing CA to support Name chaining as specified in RFC 5280, Section 4.1.2.4.
Effective 2020‐09‐30, the following requirements SHOULD be met by all newly‐issued Subordinate CA Certificatesthat are not used to issue TLS certificates, as defined in Section 7.1.2.2, and MUST be met for all other Certificates,
regardless of whether the Certificate is a CA Certificate or a Subscriber Certificate.
For every valid Certification Path (as defined by RFC 5280, Section 6):••

For each Certificate in the Certification Path, the encoded content of the Issuer Distinguished Name fieldof a Certificate SHALL be byte‐for‐byte identical with the encoded form of the Subject Distinguished Name
field of the Issuing CA certificate.
For each CA Certificate in the Certification Path, the encoded content of the Subject Distinguished Name
field of a Certificate SHALL be byte‐for‐byte identical among all Certificates whose Subject DistinguishedNames can be compared as equal according to RFC 5280, Section 7.1, and including expired and revoked
Certificates.

7.1.4.2

Subject Information ‑ Subscriber Certificates

By issuing the Certificate, the CA represents that it followed the procedure set forth in its Certificate Policy and/or
Certification Practice Statement to verify that, as of the Certificate’s issuance date, all of the Subject Information
was accurate. CAs SHALL NOT include a Domain Name or IP Address in a Subject attribute except as specified in
Section 3.2.2.4 or Section 3.2.2.5.
Subject attributes MUST NOT contain only metadata such as ‘.’, ‘‐’, and ’ ’ (i.e. space) characters, and/or any otherindication that the value is absent, incomplete, or not applicable.

7.1.4.2.1

Subject Alternative Name Extension

Certificate Field: extensions:subjectAltName
Required/Optional: RequiredContents: This extension MUST contain at least one entry. Each entry MUST be either a dNSName containing the
Fully‐Qualified Domain Name or an iPAddress containing the IP address of a server. The CA MUST confirm that the
Applicant controls the Fully‐Qualified Domain Name or IP address or has been granted the right to use it by theDomain Name Registrant or IP address assignee, as appropriate.
Wildcard FQDNs are permitted.
70

CAs SHALL NOT issue certificates with a subjectAltName extension or
subject:commonName field containing a Reserved IP Address or Internal Name.
Entries in the dNSName MUST be in the “preferred name syntax”, as specified in RFC 5280, and thus MUST NOT
contain underscore characters (”_”).

7.1.4.2.2
a.

b.

c.

d.

e.

Subject Distinguished Name Fields

Certificate Field: subject:commonName (OID 2.5.4.3)
Required/Optional: Deprecated (Discouraged, but not prohibited)
Contents: If present, this field MUST contain a single IP address or Fully‐Qualified Domain Name that is
one of the values contained in the Certificate’s subjectAltName extension (see Section 7.1.4.2.1).
Certificate Field: subject:organizationName (OID 2.5.4.10)
Required/Optional: Optional.
Contents: If present, the subject:organizationName field MUST contain either the Subject’s name or DBA
as verified under Section 3.2.2.2. The CA may include information in this field that differs slightly from theverified name, such as common variations or abbreviations, provided that the CA documents thedifference and any abbreviations used are locally accepted abbreviations; e.g., if the official record shows“Company Name Incorporated”, the CA MAY use “Company Name Inc.” or “Company Name”. Because
Subject name attributes for individuals (e.g. givenName (2.5.4.42) and surname (2.5.4.4)) are not broadly
supported by application software, the CA MAY use the subject:organizationName field to convey anatural person Subject’s name or DBA.
Certificate Field: subject:givenName (2.5.4.42) and subject:surname (2.5.4.4)
Required/Optional: Optional.
Contents: If present, the subject:givenName field and subject:surname field MUST contain a natural
person Subject’s name as verified under Section 3.2.3. A Certificate containing a subject:givenName fieldor subject:surname field MUST contain the (2.23.140.1.2.3) Certificate Policy OID.
Certificate Field: Number and street: subject:streetAddress (OID: 2.5.4.9)
Required/Optional:
Optional if the subject:organizationName field, subject:givenName field, or subject:surname field arepresent.
Prohibited if the subject:organizationName field, subject:givenName, and subject:surname field areabsent.
Contents: If present, the subject:streetAddress field MUST contain the Subject’s street address
information as verified under Section 3.2.2.1.
Certificate Field: subject:localityName (OID: 2.5.4.7)
Required/Optional:
Required if the subject:organizationName field, subject:givenName field, or subject:surname field arepresent and the subject:stateOrProvinceName field is absent.
Optional if the subject:stateOrProvinceName field and the subject:organizationName field,
subject:givenName field, or subject:surname field are present.
71

f.

g.

h.

i.

Prohibited if the subject:organizationName field, subject:givenName, and subject:surname field areabsent.
Contents: If present, the subject:localityName field MUST contain the Subject’s locality information as
verified under Section 3.2.2.1. If the subject:countryName field specifies the ISO 3166‐1 user‐assigned
code of XX in accordance with Section 7.1.4.2.2 (g), the localityName field MAY contain the Subject’s
locality and/or state or province information as verified under Section 3.2.2.1.
Certificate Field: subject:stateOrProvinceName (OID: 2.5.4.8)
Required/Optional:
Required if the subject:organizationName field, subject:givenName field, or subject:surname field arepresent and subject:localityName field is absent.
Optional if the subject:localityName field and the subject:organizationName field, the subject:givenName
field, or the subject:surname field are present.
Prohibited if the subject:organizationName field, the subject:givenName field, or subject:surname field
are absent.
Contents: If present, the subject:stateOrProvinceName field MUST contain the Subject’s state or province
information as verified under Section 3.2.2.1. If the subject:countryName field specifies the ISO 3166‐1
user‐assigned code of XX in accordance with Section 7.1.4.2.2 (g), the subject:stateOrProvinceName field
MAY contain the full name of the Subject’s country information as verified under Section 3.2.2.1.
Certificate Field: subject:postalCode (OID: 2.5.4.17)
Required/Optional:
Optional if the subject:organizationName, subject:givenName field, or subject:surname fields are present.
Prohibited if the subject:organizationName field, subject:givenName field, or subject:surname field areabsent.
Contents: If present, the subject:postalCode field MUST contain the Subject’s zip or postal information as
verified under Section 3.2.2.1.
Certificate Field: subject:countryName (OID: 2.5.4.6)
Required/Optional:
Required if the subject:organizationName field, subject:givenName, or subject:surname field are present.
Optional if the subject:organizationName field, subject:givenName field, and subject:surname field areabsent.
Contents: If the subject:organizationName field is present, the subject:countryName MUST contain the
two‐letter ISO 3166‐1 country code associated with the location of the Subject verified under Section
3.2.2.1. If the subject:organizationName field is absent, the subject:countryName field MAY contain the
two‐letter ISO 3166‐1 country code associated with the Subject as verified in accordance with Section
3.2.2.3. If a Country is not represented by an official ISO 3166‐1 country code, the CA MAY specify the ISO
3166‐1 user‐assigned code of XX indicating that an official ISO 3166‐1 alpha‐2 code has not been assigned.
Certificate Field: subject:organizationalUnitName (OID: 2.5.4.11)
Required/Optional: Optional.

72

j.

Contents: The CA SHALL implement a process that prevents an OU attribute from including a name, DBA,
tradename, trademark, address, location, or other text that refers to a specific natural person or Legal
Entity unless the CA has verified this information in accordance with Section 3.2 and the Certificate also
contains subject:organizationName, subject:givenName, subject:surname, subject:localityName, andsubject:countryName attributes, also verified in accordance with Section 3.2.2.1.
Other Subject Attributes
Other attributes MAY be present within the subject field. If present, other attributes MUST contain
information that has been verified by the CA.

7.1.4.3

Subject Information - Root Certificates and Subordinate CA Certificates

By issuing a Subordinate CA Certificate, the CA represents that it followed the procedure set forth in its Certificate
Policy and/or Certification Practice Statement to verify that, as of the Certificate’s issuance date, all of the Subject
Information was accurate.

7.1.4.3.1
a.

b.

c.

Subject Distinguished Name Fields

Certificate Field: subject:commonName (OID 2.5.4.3)
Required/Optional: RequiredContents: This field MUST be present and the contents SHOULD be an identifier for the certificate suchthat the certificate’s Name is unique across all certificates issued by the issuing certificate.
Certificate Field: subject:organizationName (OID 2.5.4.10)
Required/Optional: RequiredContents: This field MUST be present and the contents MUST contain either the Subject CA’s name or DBA
as verified under Section 3.2.2.2. The CA may include information in this field that differs slightly from theverified name, such as common variations or abbreviations, provided that the CA documents thedifference and any abbreviations used are locally accepted abbreviations; e.g., if the official record shows“Company Name Incorporated”, the CA MAY use “Company Name Inc.” or “Company Name”.
Certificate Field: subject:countryName (OID: 2.5.4.6)
Required/Optional: RequiredContents: This field MUST contain the two‐letter ISO 3166‐1 country code for the country in which theCA’s place of business is located.

7.1.5 Name constraints

For a Subordinate CA Certificate to be considered Technically Constrained, the certificate MUST include an
Extended Key Usage (EKU) extension specifying all extended key usages that the Subordinate CA Certificate is
authorized to issue certificates for. The anyExtendedKeyUsage KeyPurposeId MUST NOT appear within thisextension.
If the Subordinate CA Certificate includes the id‐kp‐serverAuth extended key usage, then the Subordinate CA
Certificate MUST include the Name Constraints X.509v3 extension with constraints on dNSName, iPAddress andDirectoryName as follows:
73

a.

b.
c.

For each dNSName in permittedSubtrees, the CA MUST confirm that the Applicant has registered the
dNSName or has been authorized by the domain registrant to act on the registrant’s behalf in line withthe verification practices of Section 3.2.2.4.
For each iPAddress range in permittedSubtrees, the CA MUST confirm that the Applicant has been
assigned the IP Address range or has been authorized by the assigner to act on the assignee’s behalf.
For each DirectoryName in permittedSubtrees, the CA MUST confirm the Applicant’s and/or Subsidiary’s
Organizational name and location such that end entity certificates issued from the subordinate CA
Certificate will be in compliance with Section 7.1.2.4 and Section 7.1.2.5.

If the Subordinate CA Certificate is not allowed to issue certificates with an IP Address, then the Subordinate CA
Certificate MUST specify the entire IPv4 and IPv6 address ranges in excludedSubtrees. The Subordinate CA
Certificate MUST include within excludedSubtrees an iPAddress GeneralName of 8 zero octets (covering the IPv4
address range of 0.0.0.0/0). The Subordinate CA Certificate MUST also include within excludedSubtrees an
iPAddress GeneralName of 32 zero octets (covering the IPv6 address range of ::0/0). Otherwise, the Subordinate
CA Certificate MUST include at least one iPAddress in permittedSubtrees.
A decoded example for issuance to the domain and sub domains of example.com byorganization Example LLC, Boston, Massachusetts, US would be:
X509v3 Name Constraints:
Permitted:
DNS:example.com
DirName: C=US, ST=MA, L=Boston, O=Example LLC
Excluded:
IP:0.0.0.0/0.0.0.0
IP:0:0:0:0:0:0:0:0/0:0:0:0:0:0:0:0
If the Subordinate CA is not allowed to issue certificates with dNSNames, then the Subordinate CA Certificate
MUST include a zero‐length dNSName in excludedSubtrees. Otherwise, the Subordinate CA Certificate MUST
include at least one dNSName in permittedSubtrees.

7.1.6 Certificate policy object identifierThis section describes the content requirements for the Root CA, Subordinate CA, and Subscriber Certificates, as
they relate to the identification of Certificate Policy.

7.1.6.1

Reserved Certificate Policy Identifiers

The following Certificate Policy identifiers are reserved for use by CAs as an optional means of asserting that a
Certificate complies with these Requirements.
{joint-iso-itu-t(2) international-organizations(23) ca-browser-forum(140) certificate-policies(1)74baseline-requirements(2) domain-validated(1)} (2.23.140.1.2.1){joint-iso-itu-t(2) international-organizations(23) ca-browser-forum(140) certificate-policies(1) baselinerequirements(2) organization-validated(2)} (2.23.140.1.2.2){joint-iso-itu-t(2) international-organizations(23) ca-browser-forum(140) certificate-policies(1) baselinerequirements(2) individual-validated(3)} (2.23.140.1.2.3){joint‐iso‐itu‐t(2) international‐organizations(23) ca‐browser‐forum(140) certificate‐policies(1) ev-guidelines(1)}(2.23.140.1.1)

7.1.6.2

Root CA Certificates

A Root CA Certificate SHOULD NOT contain the certificatePolicies extension. If present, the extension MUST
conform to the requirements set forth for Certificates issued to Subordinate CAs in Section 7.1.6.3.

7.1.6.3

Subordinate CA Certificates

A Certificate issued to a Subordinate CA that is not an Affiliate of the Issuing CA:
1.

2.
3.

MUST include one or more explicit policy identifiers that indicate the Subordinate CA’s adherence to andcompliance with these Requirements (i.e. either the CA/Browser Forum Reserved Certificate Policy
Identifiers or identifiers documented by the Subordinate CA in its Certificate Policy and/or Certification
Practice Statement) andMAY contain one or more identifiers documented by the Subordinate CA in its Certificate Policy and/or
Certification Practice Statement and
MUST NOT contain the anyPolicy identifier (2.5.29.32.0).

A Certificate issued to a Subordinate CA that is an affiliate of the Issuing CA:
1.

2.
3.

MAY include one or more explicit policy identifiers that indicate the Subordinate CA’s adherence to andcompliance with these Requirements (i.e. either the CA/Browser Forum Reserved Certificate Policy
Identifiers or identifiers documented by the Subordinate CA in its Certificate Policy and/or Certification
Practice Statement) andMAY contain one or more identifiers documented by the Subordinate CA in its Certificate Policy and/or
Certification Practice Statement andMAY contain the anyPolicy identifier (2.5.29.32.0) in place of an explicit policy identifier.

The Subordinate CA and the Issuing CA SHALL represent, in their Certificate Policy and/or Certification PracticeStatement, that all Certificates containing a policy identifier indicating compliance with these Requirements
are issued and managed in accordance with these Requirements.

7.1.6.4

Subscriber Certificates

Effective 2020‐09‐30, a Certificate issued to a Subscriber MUST contain, within the Certificate’s certificatePolicies
extension, one or more policy identifier(s) that are specified beneath the CA/Browser Forum’s reserved policy OID
arc of {joint-iso-itu-t(2) international-organizations(23) ca-browser-forum(140) certificate-policies(1)} (2.23.140.1).
75

The certificate MAY also contain additional policy identifier(s) defined by the Issuing CA. The issuing CA SHALL
document in its Certificate Policy or Certification Practice Statement that the Certificates it issues containing thespecified policy identifier(s) are managed in accordance with these requirements.
For certificates issued prior to 2020‐09‐30, a Certificate issued to a Subscriber MUST contain a certificatePolicies
extension. The extension MUST contain one or more policy identifiers that indicate adherence to and compliancewith these Requirements. CAs MUST either use a CA/Browser Forum identifier reserved for this purpose or MUST
use a policy identifier documented by the CA in its Certificate Policy and/or Certification Practice Statement toindicate the Certificate’s compliance with these Requirements.
Prior to including a Reserved Certificate Policy Identifier, the CA MUST ensure the following requirements are met:
•

•

•

•

Certificate Policy Identifier: 2.23.140.1.2.1
If the Certificate complies with these requirements and lacks Subject identity information that has beenverified in accordance with Section 3.2.2.1 or Section 3.2.3.
Such Certificates MUST NOT include organizationName, givenName, surname, streetAddress,
localityName, stateOrProvinceName, or postalCode in the Subject field.
Certificate Policy Identifier: 2.23.140.1.2.2
If the Certificate complies with these Requirements and includes Subject Identity Information that isverified in accordance with Section 3.2.2.1.
Such Certificates MUST also include organizationName, localityName (to the extent such field is required
under Section 7.1.4.2.2), stateOrProvinceName (to the extent such field is required under Section
7.1.4.2.2), and countryName in the Subject field.
Certificate Policy Identifier: 2.23.140.1.2.3
If the Certificate complies with these Requirements and includes Subject Identity Information that isverified in accordance with Section 3.2.3.
Such Certificates MUST also include either organizationName or both givenName and surname,localityName (to the extent such field is required under Section 7.1.4.2.2), stateOrProvinceName (to theextent required under Section 7.1.4.2.2), and countryName in the Subject field.
Certificate Policy Identifier: 2.23.140.1.1
If the Certificate complies with these Requirements and has been issued and operated in accordance with
the CA/Browser Forum Guidelines for the Issuance and Management of Extended Validation Certificates(“EV Guidelines”).
Such Certificates MUST also include Subject Identity Information as required and verified according to the
EV Guidelines.

7.1.7 Usage of Policy Constraints extension
No stipulation.

767.1.8 Policy qualifiers syntax and semantics
No stipulation.

7.1.9 Processing semantics for the critical Certificate Policies extension
No stipulation.

7.2 CRL profile
7.2.1 Version number(s)No stipulation.

7.2.2 CRL and CRL entry extensions
1.

reasonCode (OID 2.5.29.21)

Effective 2020‐09‐30, all of the following requirements MUST be met: If present, this extension MUST NOT bemarked critical.
If a CRL entry is for a Root CA or Subordinate CA Certificate, including Cross Certificates, this CRL entry
extension MUST be present. If a CRL entry is for a Certificate not technically capable of causing issuance, thisCRL entry extension SHOULD be present, but MAY be omitted, subject to the following requirements.
The CRLReason indicated MUST NOT be unspecified (0). If the reason for revocation is unspecified, CAs MUST
omit reasonCode entry extension, if allowed by the previous requirements. If a CRL entry is for a Certificate
not subject to these Requirements and was either issued on‐or‐after 2020‐09‐30 or has a notBefore on‐or‐
after 2020‐09‐30, the CRLReason MUST NOT be certificateHold (6). If a CRL entry is for a Certificate subject tothese Requirements, the CRLReason MUST NOT be certificateHold (6).
If a reasonCode CRL entry extension is present, the CRLReason MUST indicate the most appropriate reason forrevocation of the certificate, as defined by the CA within its CP/CPS.

7.3 OCSP profile

Effective 2020‐09‐30, if an OCSP response is for a Root CA or Subordinate CA Certificate, including Cross
Certificates, and that certificate has been revoked, then the revocationReason field within the RevokedInfo of the
CertStatus MUST be present.
Effective 2020‐09‐30, the CRLReason indicated MUST contain a value permitted for CRLs, as specified in Section
7.2.2.

7.3.1 Version number(s)No stipulation.

7.3.2 OCSP extensions

The singleExtensions of an OCSP response MUST NOT contain the reasonCode(OID 2.5.29.21) CRL entry extension.
77

8 COMPLIANCE AUDIT AND OTHER ASSESSMENTS
The CA SHALL at all times:
1.
2.
3.
4.

Issue Certificates and operate its PKI in accordance with all law applicable to its business and theCertificates it issues in every jurisdiction in which it operates;
Comply with these Requirements;
Comply with the audit requirements set forth in this section; andBe licensed as a CA in each jurisdiction where it operates, if licensing is required by the law of suchjurisdiction for the issuance of Certificates.

8.1 Frequency or circumstances of assessment

Certificates that are capable of being used to issue new certificates MUST either be Technically Constrained in linewith Section 7.1.5 and audited in line with Section 8.7 only, or Unconstrained and fully audited in line with allremaining requirements from this section. A Certificate is deemed as capable of being used to issue newcertificates if it contains an X.509v3 basicConstraints extension, with the cA boolean set to true and is therefore bydefinition a Root CA Certificate or a Subordinate CA Certificate.
The period during which the CA issues Certificates SHALL be divided into an unbroken sequence of audit periods.
An audit period MUST NOT exceed one year in duration.
If the CA has a currently valid Audit Report indicating compliance with an audit scheme listed in Section 8.4, thenno pre‐issuance readiness assessment is necessary.
If the CA does not have a currently valid Audit Report indicating compliance with one of the audit schemes listed in
Section 8.4, then, before issuing Publicly‐Trusted Certificates, the CA SHALL successfully complete a point‐in‐timereadiness assessment performed in accordance with applicable standards under one of the audit schemes listed in
Section 8.4. The point‐in‐time readiness assessment SHALL be completed no earlier than twelve (12) months prior
to issuing Publicly‐Trusted Certificates and SHALL be followed by a complete audit under such scheme within
ninety (90) days of issuing the first Publicly‐Trusted Certificate.

8.2 Identity/qualifications of assessor

The CA’s audit SHALL be performed by a Qualified Auditor. A Qualified Auditor means a natural person, Legal
Entity, or group of natural persons or Legal Entities that collectively possess the following qualifications and skills:
1.
2.
3.

Independence from the subject of the audit;
The ability to conduct an audit that addresses the criteria specified in an Eligible Audit Scheme (seeSection 8.4);
Employs individuals who have proficiency in examining Public Key Infrastructure technology, information
security tools and techniques, information technology and security auditing, and the third‐party
attestation function;
78

4.
5.
6.
7.

(For audits conducted in accordance with any one of the ETSI standards) accredited in accordance with
ISO 17065 applying the requirements specified in ETSI EN 319 403;
(For audits conducted in accordance with the WebTrust standard) licensed by WebTrust;Bound by law, government regulation, or professional code of ethics; andExcept in the case of an Internal Government Auditing Agency, maintains Professional Liability/Errors &Omissions insurance with policy limits of at least one million US dollars in coverage

8.3 Assessor’s relationship to assessed entity
No stipulation.

8.4 Topics covered by assessment

The CA SHALL undergo an audit in accordance with one of the following schemes:
1.
2.
3.

“WebTrust for CAs v2.1 or newer” AND “WebTrust for CAs SSL Baseline with Network Security v2.3 ornewer”; or
ETSI EN 319 411‐1 v1.2.2, which includes normative references to ETSI EN 319 401 (the latest version of
the referenced ETSI documents should be applied); or
If a Government CA is required by its Certificate Policy to use a different internal audit scheme, it MAY use
such scheme provided that the audit eithera. encompasses all requirements of one of the above schemes orb. consists of comparable criteria that are available for public review.

Whichever scheme is chosen, it MUST incorporate periodic monitoring and/or accountability procedures to ensurethat its audits continue to be conducted in accordance with the requirements of the scheme.
The audit MUST be conducted by a Qualified Auditor, as specified in Section 8.2.
For Delegated Third Parties which are not Enterprise RAs, then the CA SHALL obtain an audit report, issued under
the auditing standards that underlie the accepted audit schemes found in Section 8.4, that provides an opinion
whether the Delegated Third Party’s performance complies with either the Delegated Third Party’s practicestatement or the CA’s Certificate Policy and/or Certification Practice Statement. If the opinion is that the DelegatedThird Party does not comply, then the CA SHALL not allow the Delegated Third Party to continue performing
delegated functions.
The audit period for the Delegated Third Party SHALL NOT exceed one year (ideally aligned with the CA’s audit).
However, if the CA or Delegated Third Party is under the operation, control, or supervision of a Government Entity
and the audit scheme is completed over multiple years, then the annual audit MUST cover at least the core
controls that are required to be audited annually by such scheme plus that portion of all non‐core controls that areallowed to be conducted less frequently, but in no case may any non‐core control be audited less often than once
every three years.

798.5 Actions taken as a result of deficiency
No stipulation.

8.6 Communication of results

The Audit Report SHALL state explicitly that it covers the relevant systems and processes used in the issuance of all
Certificates that assert one or more of the policy identifiers listed in Section 7.1.6.1. The CA SHALL make the Audit
Report publicly available.
The CA MUST make its Audit Report publicly available no later than three months after the end of the audit period.
In the event of a delay greater than three months, the CA SHALL provide an explanatory letter signed by the
Qualified Auditor.
For Audit Reports in which the Audit Period includes a date later than 2020‐08‐01, then the requirements set forthin the remainder of this Section 8.6 SHALL be met. Audit Reports for Audit Periods that conclude prior to 2020‐08‐
01 SHOULD meet these requirements.
The Audit Report MUST contain at least the following clearly‐labelled information:
1.
2.
3.

name of the organization being audited;name and address of the organization performing the audit;
the SHA‐256 fingerprint of all Roots and Subordinate CA Certificates, including Cross Certificates, thatwere in‐scope of the audit;
4. audit criteria, with version number(s), that were used to audit each of the certificates (and associatedkeys);
5. a list of the CA policy documents, with version numbers, referenced during the audit;
6. whether the audit assessed a period of time or a point in time;
7. the start date and end date of the Audit Period, for those that cover a period of time;
8. the point in time date, for those that are for a point in time;
9. the date the report was issued, which will necessarily be after the end date or point in time date; and10. (for audits conducted in accordance with any of the ETSI standards) a statement to indicate if the audit
was a full audit or a surveillance audit, and which portions of the criteria were applied and evaluated, e.g.
DVCP, OVCP, NCP, NCP+, LCP, EVCP, EVCP+, QCP‐w, Part 1 (General Requirements), and/or Part 2(Requirements for Trust Service Providers).
11. (for audits conducted in accordance with any of the ETSI standards) a statement to indicate that theauditor referenced the applicable CA/Browser Forum criteria, such as this document, and the version
used.
An authoritative English language version of the publicly available audit information MUST be provided by the
Qualified Auditor and the CA SHALL ensure it is publicly available.
The Audit Report MUST be available as a PDF, and SHALL be text searchable for all information required. Each SHA‐
256 fingerprint within the Audit Report MUST be uppercase letters and MUST NOT contain colons, spaces, or line
feeds.
80

8.7 Self-Audits

During the period in which the CA issues Certificates, the CA SHALL monitor adherence to its Certificate Policy,
Certification Practice Statement and these Requirements and strictly control its service quality by performing self
audits on at least a quarterly basis against a randomly selected sample of the greater of one certificate or at least
three percent of the Certificates issued by it during the period commencing immediately after the previous self‐
audit sample was taken. Except for Delegated Third Parties that undergo an annual audit that meets the criteria
specified in Section 8.4, the CA SHALL strictly control the service quality of Certificates issued or containing
information verified by a Delegated Third Party by having a Validation Specialist employed by the CA performongoing quarterly audits against a randomly selected sample of at least the greater of one certificate or three
percent of the Certificates verified by the Delegated Third Party in the period beginning immediately after the last
sample was taken. The CA SHALL review each Delegated Third Party’s practices and procedures to ensure that theDelegated Third Party is in compliance with these Requirements and the relevant Certificate Policy and/or
Certification Practice Statement.
The CA SHALL internally audit each Delegated Third Party’s compliance with these Requirements on an annual
basis.
During the period in which a Technically Constrained Subordinate CA issues Certificates, the CA which signed theSubordinate CA SHALL monitor adherence to the CA’s Certificate Policy and the Subordinate CA’s Certification
Practice Statement. On at least a quarterly basis, against a randomly selected sample of the greater of one
certificate or at least three percent of the Certificates issued by the Subordinate CA, during the period
commencing immediately after the previous audit sample was taken, the CA shall ensure all applicable CP are met.

9 OTHER BUSINESS AND LEGAL MATTERS
9.1 Fees
9.1.1 Certificate issuance or renewal fees
No stipulation.

9.1.2 Certificate access fees
No stipulation.

9.1.3 Revocation or status information access fees
No stipulation.

9.1.4 Fees for other services
No stipulation.

9.1.5 Refund policy
No stipulation.

819.2 Financial responsibility
9.2.1 Insurance coverage

Each CA SHALL maintain the following insurance related to their respective performance and obligations under thisCertificate Policy:••

Commercial General Liability insurance (occurrence form) with policy limits of at least two million US
dollars in coverage; andProfessional Liability/Errors and Omissions insurance, with policy limits of at least five million US dollars incoverage, and including coverage for (i) claims for damages arising out of an act, error, or omission,
unintentional breach of contract, or neglect in issuing or maintaining EV Certificates, and (ii) claims fordamages arising out of infringement of the proprietary rights of any third party (excluding copyright, andtrademark infringement), and invasion of privacy and advertising injury.

Such insurance MUST be with a company rated no less than A- as to Policy Holder’s Rating in the current edition ofBest’s Insurance Guide (or with an association of companies each of the members of which are so rated).
A CA MAY self-insure for liabilities that arise from such party’s performance and obligations under this Certificate
Policy provided that it has at least five hundred million US dollars in liquid assets based on audited financial
statements in the past twelve months, and a quick ratio (ratio of liquid assets to current liabilities) of not less than
1.0.

9.2.2 Other assets
No stipulation.

9.2.3 Insurance or warranty coverage for end-entities
No stipulation.

9.3 Confidentiality of business information
9.3.1 Scope of confidential information
No stipulation.

9.3.2 Information not within the scope of confidential information
No stipulation.

9.3.3 Responsibility to protect confidential information
No stipulation.

9.4 Privacy of personal information
9.4.1 Privacy planNo stipulation.

9.4.2 Information treated as private
No stipulation.

82

9.4.3 Information not deemed private
No stipulation.

9.4.4 Responsibility to protect private information
No stipulation.

9.4.5 Notice and consent to use private information
No stipulation.

9.4.6 Disclosure pursuant to judicial or administrative process
No stipulation.

9.4.7 Other information disclosure circumstances
No stipulation.

9.5 Intellectual property rights
No stipulation.

9.6 Representations and warranties
9.6.1 CA representations and warranties

By issuing a Certificate, the CA makes the certificate warranties listed herein to the following Certificate
Beneficiaries:
1.
2.
3.

The Subscriber that is a party to the Subscriber Agreement or Terms of Use for the Certificate;
All Application Software Suppliers with whom the Root CA has entered into a contract for inclusion of its
Root Certificate in software distributed by such Application Software Supplier; andAll Relying Parties who reasonably rely on a Valid Certificate. The CA represents and warrants to theCertificate Beneficiaries that, during the period when the Certificate is valid, the CA has complied withthese Requirements and its Certificate Policy and/or Certification Practice Statement in issuing andmanaging the Certificate.

The Certificate Warranties specifically include, but are not limited to, the following:
1.

2.

Right to Use Domain Name or IP Address: That, at the time of issuance, the CAi.
implemented a procedure for verifying that the Applicant either had the right to use, or had
control of, the Domain Name(s) and IP address(es) listed in the Certificate’s subject field andsubjectAltName extension (or, only in the case of Domain Names, was delegated such right orcontrol by someone who had such right to use or control);ii.
followed the procedure when issuing the Certificate; andiii.
accurately described the procedure in the CA’s Certificate Policy and/or Certification PracticeStatement;
Authorization for Certificate: That, at the time of issuance, the CA
83

i.

3.

4.

5.

6.

7.
8.

implemented a procedure for verifying that the Subject authorized the issuance of the Certificate
and that the Applicant Representative is authorized to request the Certificate on behalf of the
Subject;ii.
followed the procedure when issuing the Certificate; andiii.
accurately described the procedure in the CA’s Certificate Policy and/or Certification PracticeStatement;
Accuracy of Information: That, at the time of issuance, the CAi.
implemented a procedure for verifying the accuracy of all of the information contained in theCertificate (with the exception of the subject:organizationalUnitName attribute);ii.
followed the procedure when issuing the Certificate; andiii.
accurately described the procedure in the CA’s Certificate Policy and/or Certification PracticeStatement;
No Misleading Information: That, at the time of issuance, the CAi.
implemented a procedure for reducing the likelihood that the information contained in theCertificate’s subject:organizationalUnitName attribute would be misleading;ii.
followed the procedure when issuing the Certificate; andiii.
accurately described the procedure in the CA’s Certificate Policy and/or Certification PracticeStatement;
Identity of Applicant: That, if the Certificate contains Subject Identity Information, the CAi.
implemented a procedure to verify the identity of the Applicant in accordance with Section 3.2
and Section 7.1.4.2.2;
ii.
followed the procedure when issuing the Certificate; andiii.
accurately described the procedure in the CA’s Certificate Policy and/or Certification PracticeStatement;
Subscriber Agreement: That, if the CA and Subscriber are not Affiliated, the Subscriber and CA are parties
to a legally valid and enforceable Subscriber Agreement that satisfies these Requirements, or, if the CA
and Subscriber are the same entity or are Affiliated, the Applicant Representative acknowledged theTerms of Use;
Status: That the CA maintains a 24 x 7 publicly‐accessible Repository with current information regarding
the status (valid or revoked) of all unexpired Certificates; andRevocation: That the CA will revoke the Certificate for any of the reasons specified in these Requirements.

The Root CA SHALL be responsible for the performance and warranties of the Subordinate CA, for the Subordinate
CA’s compliance with these Requirements, and for all liabilities and indemnification obligations of the Subordinate
CA under these Requirements, as if the Root CA were the Subordinate CA issuing the Certificates9.6.2 RA representations and warranties
No stipulation.

849.6.3 Subscriber representations and warranties

The CA SHALL require, as part of the Subscriber Agreement or Terms of Use, that the Applicant make thecommitments and warranties in this section for the benefit of the CA and the Certificate Beneficiaries.
Prior to the issuance of a Certificate, the CA SHALL obtain, for the express benefit of the CA and the Certificate
Beneficiaries, either:
1.
2.

The Applicant’s agreement to the Subscriber Agreement with the CA, or
The Applicant’s acknowledgement of the Terms of Use.

The CA SHALL implement a process to ensure that each Subscriber Agreement or Terms of Use is legally
enforceable against the Applicant. In either case, the Agreement MUST apply to the Certificate to be issued
pursuant to the certificate request. The CA MAY use an electronic or “click‐through” Agreement provided that the
CA has determined that such agreements are legally enforceable. A separate Agreement MAY be used for eachcertificate request, or a single Agreement MAY be used to cover multiple future certificate requests and theresulting Certificates, so long as each Certificate that the CA issues to the Applicant is clearly covered by that
Subscriber Agreement or Terms of Use.
The Subscriber Agreement or Terms of Use MUST contain provisions imposing on the Applicant itself (or made by
the Applicant on behalf of its principal or agent under a subcontractor or hosting service relationship) the following
obligations and warranties:
1.

2.

3.
4.

5.

Accuracy of Information: An obligation and warranty to provide accurate and complete information at all
times to the CA, both in the certificate request and as otherwise requested by the CA in connection with
the issuance of the Certificate(s) to be supplied by the CA;
Protection of Private Key: An obligation and warranty by the Applicant to take all reasonable measures toassure control of, keep confidential, and properly protect at all times the Private Key that corresponds to
the Public Key to be included in the requested Certificate(s) (and any associated activation data or device,e.g. password or token);Acceptance of Certificate: An obligation and warranty that the Subscriber will review and verify the
Certificate contents for accuracy;
Use of Certificate: An obligation and warranty to install the Certificate only on servers that are accessibleat the subjectAltName(s) listed in the Certificate, and to use the Certificate solely in compliance with allapplicable laws and solely in accordance with the Subscriber Agreement or Terms of Use;
Reporting and Revocation: An obligation and warranty to:a. promptly request revocation of the Certificate, and cease using it and its associated Private Key,
if there is any actual or suspected misuse or compromise of the Subscriber’s Private Key
associated with the Public Key included in the Certificate, andb. promptly request revocation of the Certificate, and cease using it, if any information in theCertificate is or becomes incorrect or inaccurate;

85

6.

7.
8.

Termination of Use of Certificate: An obligation and warranty to promptly cease all use of the Private Key
corresponding to the Public Key included in the Certificate upon revocation of that Certificate for reasonsof Key Compromise.
Responsiveness: An obligation to respond to the CA’s instructions concerning Key Compromise or
Certificate misuse within a specified time period.
Acknowledgment and Acceptance: An acknowledgment and acceptance that the CA is entitled to revoke
the certificate immediately if the Applicant were to violate the terms of the Subscriber Agreement or
Terms of Use or if revocation is required by the CA’s CP, CPS, or these Baseline Requirements.

9.6.4 Relying party representations and warranties
No stipulation.

9.6.5 Representations and warranties of other participants
No stipulation.

9.7 Disclaimers of warranties
No stipulation.

9.8 Limitations of liability

For delegated tasks, the CA and any Delegated Third Party MAY allocate liability between themselves contractuallyas they determine, but the CA SHALL remain fully responsible for the performance of all parties in accordance withthese Requirements, as if the tasks had not been delegated.
If the CA has issued and managed the Certificate in compliance with these Requirements and its Certificate Policy
and/or Certification Practice Statement, the CA MAY disclaim liability to the Certificate Beneficiaries or any otherthird parties for any losses suffered as a result of use or reliance on such Certificate beyond those specified in the
CA’s Certificate Policy and/or Certification Practice Statement. If the CA has not issued or managed the Certificate
in compliance with these Requirements and its Certificate Policy and/or Certification Practice Statement, the CA
MAY seek to limit its liability to the Subscriber and to Relying Parties, regardless of the cause of action or legal
theory involved, for any and all claims, losses or damages suffered as a result of the use or reliance on such
Certificate by any appropriate means that the CA desires. If the CA chooses to limit its liability for Certificates thatare not issued or managed in compliance with these Requirements or its Certificate Policy and/or Certification
Practice Statement, then the CA SHALL include the limitations on liability in the CA’s Certificate Policy and/or
Certification Practice Statement.

9.9 Indemnities

Notwithstanding any limitations on its liability to Subscribers and Relying Parties, the CA understands andacknowledges that the Application Software Suppliers who have a Root Certificate distribution agreement in placewith the Root CA do not assume any obligation or potential liability of the CA under these Requirements or that
otherwise might exist because of the issuance or maintenance of Certificates or reliance thereon by Relying Parties
or others. Thus, except in the case where the CA is a government entity, the CA SHALL defend, indemnify, and holdharmless each Application Software Supplier for any and all claims, damages, and losses suffered by such86Application Software Supplier related to a Certificate issued by the CA, regardless of the cause of action or legal
theory involved. This does not apply, however, to any claim, damages, or loss suffered by such Application
Software Supplier related to a Certificate issued by the CA where such claim, damage, or loss was directly causedby such Application Software Supplier’s software displaying as not trustworthy a Certificate that is still valid, or
displaying as trustworthy: (1) a Certificate that has expired, or (2) a Certificate that has been revoked (but only incases where the revocation status is currently available from the CA online, and the application software either
failed to check such status or ignored an indication of revoked status).

9.10 Term and termination
9.10.1 Term
No stipulation.

9.10.2 Termination
No stipulation.

9.10.3 Eﬀect of termination and survival
No stipulation.

9.11 Individual notices and communications with participants
No stipulation.

9.12 Amendments
9.12.1 Procedure for amendment
No stipulation.

9.12.2 Notification mechanism and period
No stipulation.

9.12.3 Circumstances under which OID must be changed
No stipulation.

9.13 Dispute resolution provisions
No stipulation.

9.14 Governing law
No stipulation.

9.15 Compliance with applicable law
No stipulation.

9.16 Miscellaneous provisions
9.16.1 Entire agreement
No stipulation.

879.16.2 Assignment
No stipulation.

9.16.3 Severability

In the event of a conflict between these Requirements and a law, regulation or government order (hereinafter‘Law’) of any jurisdiction in which a CA operates or issues certificates, a CA MAY modify any conflicting
requirement to the minimum extent necessary to make the requirement valid and legal in the jurisdiction. Thisapplies only to operations or certificate issuances that are subject to that Law. In such event, the CA SHALL
immediately (and prior to issuing a certificate under the modified requirement) include in Section 9.16.3 of the
CA’s CPS a detailed reference to the Law requiring a modification of these Requirements under this section, andthe specific modification to these Requirements implemented by the CA.
The CA MUST also (prior to issuing a certificate under the modified requirement) notify the CA/Browser Forum of
the relevant information newly added to its CPS by sending a message to questions@cabforum.org and receiving
confirmation that it has been posted to the Public Mailing List and is indexed in the Public Mail Archives available
at https://cabforum.org/pipermail/public/ (or such other email addresses and links as the Forum may designate),so that the CA/Browser Forum may consider possible revisions to these Requirements accordingly.
Any modification to CA practice enabled under this section MUST be discontinued if and when the Law no longer
applies, or these Requirements are modified to make it possible to comply with both them and the Law
simultaneously. An appropriate change in practice, modification to the CA’s CPS and a notice to the CA/Browser
Forum, as outlined above, MUST be made within 90 days.

9.16.4 Enforcement (attorneys’ fees and waiver of rights)
No stipulation.

9.16.5 Force Majeure
No stipulation.

9.17 Other provisions
No stipulation.

APPENDIX A – CAA Contact Tag

These methods allow domain owners to publish contact information in DNS for the purpose of validating domain
control.
A.1.

CAA Methods

A.1.1.

CAA contactemail Property

SYNTAX: contactemail <rfc6532emailaddress>

88

The CAA contactemail property takes an email address as its parameter. The entire parameter value MUST be avalid email address as defined in RFC 6532, Section 3.2, with no additional padding or structure, or it cannot be
used.
The following is an example where the holder of the domain specified the contact property using an email address.
DNS Zone $ORIGIN example.com. CAA 0 contactemail "domainowner@example.com"
The contactemail property MAY be critical, if the domain owner does not want CAs who do not understand it toissue certificates for the domain.
A.1.2.

CAA contactphone Property

SYNTAX: contactphone <rfc3966 Global Number>
The CAA contactphone property takes a phone number as its parameter. The entire parameter value MUST be avalid Global Number as defined in RFC 3966, Section 5.1.4, or it cannot be used. Global Numbers MUST have a
preceding + and a country code and MAY contain visual separators.
The following is an example where the holder of the domain specified the contact property using a phone number.
DNS Zone $ORIGIN example.com. CAA 0 contactphone "+1 (555) 123-4567"
The contactphone property MAY be critical if the domain owner does not want CAs who do not understand it toissue certificates for the domain.
A.2.

DNS TXT Methods

A.2.1.

DNS TXT Record Email Contact

The DNS TXT record MUST be placed on the “_validation-contactemail” subdomain of the domain being validated.
The entire RDATA value of this TXT record MUST be a valid email address as defined in RFC 6532, Section 3.2, withno additional padding or structure, or it cannot be used.
A.2.2.

DNS TXT Record Phone Contact

The DNS TXT record MUST be placed on the “_validation-contactphone” subdomain of the domain being validated.
The entire RDATA value of this TXT record MUST be a valid Global Number as defined in RFC 3966, Section 5.1.4, orit cannot be used.

APPENDIX B – Issuance of Certificates for .onion Domain Names

This appendix defines permissible verification procedures for including one or more RFC 7686 “.onion” special‐use
Domain Names in a Certificate.

89

1.
The Domain Name MUST contain at least two labels, where the right‐most label is “onion”, and the label
immediately preceding the right‐most “onion” label is a valid Version 3 Onion Address, as defined in Section 6 of
the Tor Rendezvous Specification ‐ Version 3 located at https://spec.torproject.org/rend‐spec‐v3.
2.
The CA MUST verify the Applicant’s control over the .onion Domain Name using at least one of themethods listed below:a.
The CA MAY verify the Applicant’s control over the .onion service by using one of the following methods
from Section 3.2.2.4:
i.
ii.
iii.

Section 3.2.2.4.6 ‐ Agreed‐Upon Change to Website
Section 3.2.2.4.18 ‐ Agreed‐Upon Change to Website v2
Section 3.2.2.4.19 ‐ Agreed‐Upon Change to Website ‐ ACME

When these methods are used to verify the Applicant’s control over the .onion service, the CA MUST use Tor
protocol to establish a connection to the .onion hidden service. The CA MUST NOT delegate or rely on a third‐party
to establish the connection, such as by using Tor2Web.
Note: This section does not override or supersede any provisions specified within the respective methods. The CA
MUST only use a method if it is still permitted within that section and MUST NOT issue Wildcard Certificates or use
it as an Authorization Domain Name, except as specified by that method.
b.
The CA MAY verify the Applicant’s control over the .onion service by having the Applicant provide a
Certificate Request signed using the .onion public key if the Attributes section of the certificationRequestInfo
contains:i.
ii.

A caSigningNonce attribute that contains a Random Value that is generated by the CA; andAn applicantSigningNonce attribute that contains a single value with at least 64‐bits of entropy that is
generated by the Applicant.

The signing nonce attributes have the following format:
caSigningNonce ATTRIBUTE ::= {WITH SYNTAXOCTET STRINGEQUALITY MATCHING RULE
ID

octetStringMatch SINGLE VALUE

TRUE{ cabf-caSigningNonce }8}cabf-caSigningNonce OBJECT IDENTIFIER ::= { cabf 41 }applicantSigningNonce ATTRIBUTE ::= { WITH SYNTAXEQUALITY MATCHING RULEID

OCTET STRING

octetStringMatch SINGLE VALUE

TRUE{ cabf-applicantSigningNonce }90

}cabf-applicantSigningNonce OBJECT IDENTIFIER ::= { cabf 42 }The Random Value SHALL remain valid for use in a confirming response for no more than 30 days from its creation.
The CPS MAY specify a shorter validity period for Random Values.
Once the FQDN has been validated using this method, the CA MAY also issue Certificates for other FQDNs that end
with all the labels of the validated FQDN. This method is suitable for validating Wildcard Domain Names.
3.
When a Certificate includes an FQDN where “onion” is in the right‐most label of the Domain Name, theDomain Name shall not be considered an Internal Name provided that the Certificate was issued in compliancewith this Appendix B.

91