Security Communication RootCA
Certification Practice Statement

May 24, 2019

Version 5.12

SECOM Trust Systems Co., Ltd.

© 2003 SECOM Trust Systems Co., Ltd.

Version History
VersionDate

Description

Number
V1.00

2003.09.29

Publication of the first version

V2.00

2004.11.08

Major version upgrade
Separation

of

the

Security

Communication

RootCA1

Certificate Policy (CP)/Certification Practice Statement(CPS) document into the independent CP and CPS
documents,

with

new

publication

of

the

Security

Communication RootCA1 CPS
Revision of the descriptions
V3.00

2006.05.22"SECOM TrustNet" was renamed to "SECOM Trust
Systems" after the merger.
"SECOM TrustNet Security Policy Committee “renamedas"Certification

ServiceswasImprovement

Committee."V4.00

2009.05.29

Major version upgrade
Renaming of "Security Communication RootCA1 CPS" to"Security Communication RootCA CPS" and addition of the
CA Private Key "Security Communication RootCA2"

V4.10

2012.02.15"5.6 Key Changeover"- Addition of Certificate Renewal

V4.20

2012.11.09

Amendment associated with commencement of the OCSP
server operations

V5.00

2016.06.01

Major version upgrade
Addition of the CA Private Key "Security Communication
RootCA3"
Addition of the CA Private Key "Security Communication
ECC RootCA1"

V5.10

2017.05.23

Overall revision of the descriptions and styles

V5.11

2018.11.28

Overall revision of the descriptions and styles

V5.12

2019.05.24

Overall revision of the descriptions and styles© 2003 SECOM Trust Systems Co., Ltd.

Table of Contents
1. Introduction ....................................................................................................................... 1
1.1 Overview ...................................................................................................................... 1
1.2 Document Name and Identification ........................................................................... 1
1.3 PKI Participants.......................................................................................................... 2
1.3.1 Certification Authorities ...................................................................................... 2
1.3.2 Registration Authorities....................................................................................... 3
1.3.3 Subscribers ............................................................................................................ 3
1.3.4 Relying Parties ..................................................................................................... 3
1.3.5 Other Participants ................................................................................................ 3
1.4 Certificate Usage ......................................................................................................... 3
1.4.1 Appropriate Certificate Uses ............................................................................... 3
1.4.2 Prohibited Certificate Uses .................................................................................. 3
1.5 Policy Administration ................................................................................................. 3
1.5.1 Organization Administering the Document ....................................................... 3
1.5.2 Contact Information ............................................................................................. 3
1.5.3 Person Determining CP Suitability for the Policy ............................................. 4
1.5.4 Approval Procedure .............................................................................................. 4
1.6 Definitions and Acronyms........................................................................................... 4
2. Publication and Repository Responsibilities................................................................... 9
2.1 Repository .................................................................................................................... 9
2.2 Publication of Certificate Information ....................................................................... 9
2.3 Time or Frequency of Publication .............................................................................. 9
2.4 Access Controls on Repositories ................................................................................. 9
3. Identification and Authentication.................................................................................. 10
3.1 Naming....................................................................................................................... 10
3.2 Initial Identity Validation ......................................................................................... 10
3.3 Identification and Authentication for Re-Key Requests......................................... 10
3.4 Identification and Authentication for Revocation Requests .................................. 10
4. Certificate Life-Cycle Operational Requirements ......................................................... 11
4.1 Certificate Application ............................................................................................... 11
4.2 Certificate Application Processing ............................................................................11
4.3 Certificate Issuance....................................................................................................11
4.4 Certificate Acceptance ................................................................................................ 11
4.5 Key Pair and Certificate Usage.................................................................................11
4.6 Certificate Renewal ....................................................................................................11
4.7 Certificate Re-Key ......................................................................................................11
4.8 Certificate Modification ............................................................................................. 11
4.9 Certificate Revocation and Suspension ....................................................................11
4.10 Certificate Status Services ...................................................................................... 11© 2003 SECOM Trust Systems Co., Ltd.

4.11 End of Subscription (Registry) ................................................................................11
4.12 Key Escrow and Recovery ........................................................................................ 11
5. Facility, Management, and Operational Controls ........................................................ 12
5.1 Physical Controls....................................................................................................... 125.1.1 Site Location and Construction ......................................................................... 125.1.2 Physical Access ................................................................................................... 125.1.3 Power and Air Conditioning............................................................................... 125.1.4 Water Exposures ................................................................................................. 125.1.5 Fire Prevention and Protection ......................................................................... 125.1.6 Earthquake ......................................................................................................... 125.1.7 Media Storage ..................................................................................................... 125.1.8 Waste Disposal .................................................................................................... 13
5.1.9 Off-Site Backup ................................................................................................... 13
5.2 Procedural Controls .................................................................................................. 13
5.2.1 Trusted Roles ...................................................................................................... 13
5.2.2 Number of Persons Required per Task ............................................................. 13
5.2.3 Identification and Authentication for Each Role.............................................. 14
5.2.4 Roles Requiring Separation of Duties ............................................................... 14
5.3 Personnel Controls .................................................................................................... 14
5.3.1 Qualifications, Experience, and Clearance Requirements .............................. 14
5.3.2 Background Check Procedures .......................................................................... 14
5.3.3 Training Requirements ...................................................................................... 14
5.3.4 Retraining Frequency and Requirements ........................................................ 14
5.3.5 Job Rotation Frequency and Sequence ............................................................. 14
5.3.6 Sanctions for Unauthorized Actions .................................................................. 15
5.3.7 Independent Contractor Requirements ............................................................ 15
5.3.8 Documentation Supplied to Personnel .............................................................. 15
5.4 Audit Logging Procedures......................................................................................... 15
5.4.1 Types of Events Recorded .................................................................................. 15
5.4.2 Frequency of Processing Audit Log ................................................................... 15
5.4.3 Retention Period for Audit Log .......................................................................... 15
5.4.4 Protection of Audit Log....................................................................................... 15
5.4.5 Audit Log Backup Procedure ............................................................................. 15
5.4.6 Audit Log Collection System .............................................................................. 15
5.4.7 Notification to Event-Causing Subject.............................................................. 15
5.4.8 Vulnerability Assessments ................................................................................. 16
5.5 Records Archival ........................................................................................................ 16
5.5.1 Types of Records Archived ................................................................................. 16
5.5.2 Retention Period for Archive.............................................................................. 16
5.5.3 Protection of Archive .......................................................................................... 16© 2003 SECOM Trust Systems Co., Ltd.

5.5.4 Archive Backup Procedures ............................................................................... 16
5.5.5 Requirements for Time-Stamping of Records................................................... 16
5.5.6 Archive Collection System ................................................................................. 16
5.5.7 Procedures to Obtain and Verify Archive Information .................................... 17
5.6 Key Changeover ........................................................................................................ 17
5.7 Compromise and Disaster Recovery ........................................................................ 17
5.7.1 Incident and Compromise Handling Procedures ............................................. 17
5.7.2 Computing Resources, Software, and/or Data are Corrupted ......................... 17
5.7.3 Entity Private Key Compromise Procedures .................................................... 17
5.7.4 Business Continuity Capabilities after a Disaster .......................................... 17
5.8 CA or RA Termination ............................................................................................... 18
6. Technical Security Controls ........................................................................................... 19
6.1 Key Pair Generation and Installation ..................................................................... 19
6.1.1 Key Pair Generation ........................................................................................... 19
6.1.2 Private Key Delivery to Subscriber ................................................................... 19
6.1.3 Public Key Delivery to Certificate Issuer ......................................................... 19
6.1.4 CA Public Key Delivery to Relying Parties....................................................... 19
6.1.5 Key Sizes ............................................................................................................. 19
6.1.6 Public Key Parameters Generation and Quality Checking............................. 19
6.1.7 Key Usage Purposes ........................................................................................... 19
6.2 Private Key Protection and Cryptographic Module Engineering Controls .......... 20
6.2.1 Cryptographic Module Standards and Controls .............................................. 20
6.2.2 Private Key Multi-Person Control..................................................................... 20
6.2.3 Private Key Escrow ............................................................................................ 20
6.2.4 Private Key Backup ............................................................................................ 20
6.2.5 Private Key Archival .......................................................................................... 20
6.2.6 Private Key Transfer into or from a Cryptographic Module ........................... 20
6.2.7 Private Key Storage on Cryptographic Module................................................ 20
6.2.8 Method of Activating Private Key ..................................................................... 20
6.2.9 Method of Deactivating Private Key ................................................................. 20
6.2.10 Method of Destroying Private Key .................................................................. 21
6.2.11 Cryptographic Module Rating.......................................................................... 21
6.3 Other Aspects of Key Pair Management ................................................................. 21
6.3.1 Public Key Archival ............................................................................................ 21
6.3.2 Certificate Operational Periods and Key Pair Usage Periods ........................ 21
6.4 Activation Data .......................................................................................................... 21
6.4.1 Activation Data Generation and Installation ................................................... 21
6.4.2 Activation Data Protection ................................................................................. 21
6.4.3 Other Aspects of Activation Data ...................................................................... 21
6.5 Computer Security Controls ..................................................................................... 21© 2003 SECOM Trust Systems Co., Ltd.

6.5.1 Specific Computer Security Technical Requirements ...................................... 21
6.5.2 Computer Security Rating ................................................................................. 21
6.6 Life-Cycle Technical Controls ................................................................................... 22
6.6.1 System Development Controls........................................................................... 22
6.6.2 Security Management Controls ......................................................................... 22
6.6.3 Life-Cycle Security Controls .............................................................................. 22
6.7 Network Security Controls ....................................................................................... 22
6.8 Time-Stamping .......................................................................................................... 22
7. Certificate, CRL, and OCSP Profiles ............................................................................. 23
7.1 Certificate Profile ...................................................................................................... 23
7.2 CRL Profile ................................................................................................................ 23
7.3 OCSP Profile .............................................................................................................. 23
8 Compliance Audit and Other Assessments .................................................................... 24
8.1 Frequency and Circumstances of Assessment ........................................................ 24
8.2 Identity/Qualifications of Assessor .......................................................................... 24
8.3 Assessor’s Relationship to Assessed Entity ............................................................. 24
8.4 Topics Covered by Assessment ................................................................................. 24
8.5 Actions Taken as a Result of Deficiency .................................................................. 24
8.6 Communication of Results ........................................................................................ 24
9. Other Business and Legal Matters................................................................................ 25
9.1 Fees ............................................................................................................................ 25
9.2 Financial Responsibility ........................................................................................... 25
9.3 Confidentiality of Business Information ................................................................. 25
9.4 Privacy of Personal Information .............................................................................. 25
9.5 Intellectual Property Rights ..................................................................................... 25
9.6 Representations and Warranties ............................................................................. 25
9.7 Disclaimers of Warranties ........................................................................................ 25
9.8 Limitations of Liability ............................................................................................. 25
9.9 Indemnities ................................................................................................................ 25
9.10 Term and Termination ............................................................................................ 25
9.11 Individual Notices and Communications with Participants ................................ 25
9.12 Amendments ............................................................................................................ 25
9.12.1 Procedure for Amendment ............................................................................... 25
9.12.2 Notification Mechanism and Period ................................................................ 26
9.13 Dispute Resolution Provisions ............................................................................... 26
9.14 Governing Law ........................................................................................................ 26
9.15 Compliance with Applicable Law ........................................................................... 26
9.16 Miscellaneous Provisions ........................................................................................ 26
9.17 Other Provisions ...................................................................................................... 26© 2003 SECOM Trust Systems Co., Ltd.

1. Introduction
1.1 Overview
Security Communication RootCA Certification Practice Statement (hereinafter, "thisCPS") is a document that defines operational policies for Security Communication
RootCA1, Security Communication RootCA2, Security Communication RootCA3 as wellas Security Communication ECC RootCA1 (hereinafter collectively, "the CAs") that are
all operated by SECOM Trust Systems Co., Ltd. (hereinafter, "SECOM"), including theissuance/revocation (hereinafter, "the Services") of the digital certificates (hereinafter,"Certificates") to the subscribers, the administration of the CA Keys, the operation andmaintenance procedures for the Public Key Infrastructure (hereinafter, "PKI") based on
the Certificates.
The Certificates issued by the CAs prove and certify the unique correspondence between
the subjects of the issuance and their public keys. The qualifications (identification andauthentication), registrations, and issuance procedures of the CA Certificates aredefined in each Certificate Policy (hereinafter, "CP") for each type of the Certificatesused by the subscribers.
The

CAs

conform

tothe

CA/Browser

Forumprovisions

disclosedathttps://www.cabforum.org/.
Any provisions in the CP inconsistent with this CPS shall prevail and any provisions ina separate agreement or the like between the subscribers and SECOM inconsistent withthis CPS or the relevant CP shall prevail.
This CPS shall be revised as necessary in order to reflect any technical or service
developments or improvements pertaining to the CA operations.
This CPS conforms to the RFC3647 "Internet X.509 Public Key Infrastructure
Certificate Policy and Certification Practices Framework" advocated by the IETF as a
CA practice framework.
1.2 Document Name and Identification
The official name of this CPS is "Security Communication RootCA Certification PracticeStatement". SECOM, which is the provider and operational body of the Services, uses
the Object IDentifier (hereinafter, "OID") assigned by ISO, given in the Table "1.2-1 OID(SECOM)" below.
Table 1.2-1 OID (SECOM)
Name of organization
SECOM Trust Systems Co., Ltd.

OID
1.2.392.200091© 2003 SECOM Trust Systems Co., Ltd.
P-1

This CPS is identified with the Object IDentifier (hereinafter, "OID") given in "Table
1.2-2 OID (This CPS)".
Table 1.2-2 OID (This CPS)
CPS

OID

Security Communication RootCA Certification PracticeStatement

1.2.392.200091.100.901.3

This CPS is applied to the CPs indicated in the "Table 1.2-3 OID (CPs)".
Table 1.2-3 OID (CPs)CP

OID
1.2.392.200091.100.901.1(Security Communication RootCA1)
1.2.392.200091.100.901.4

Security Communication RootCA(Security Communication RootCA2)

Subordinate CA Certificate Policy

1.2.392.200091.100.901.6(Security Communication RootCA3)
1.2.392.200091.100.902.1(Security Communication ECC RootCA1)
1.2.392.200091.100.901.2(Security Communication RootCA1)
1.2.392.200091.100.901.5

Security Communication RootCA(Security Communication RootCA2)

Time-Stamp Service Certificate Policy

1.2.392.200091.100.901.7(Security Communication RootCA3)
1.2.392.200091.100.902.2(Security Communication ECC RootCA1)

The Services may add a new CP in the future, which shall accompany addition of thecorrespondence between the new CP and the OID in this CPS.

1.3 PKI Participants
1.3.1 Certification Authorities
A CA mainly issues or revokes Certificates, publishes CRLs (Certificate Revocation
Lists), and stores and provides information on Certificate status using the OCSP server.

© 2003 SECOM Trust Systems Co., Ltd.
P-2

1.3.2 Registration Authorities
An RA mainly performs identification, authentication, as well as assessment of theoperation rules of the Certificate applicant organizations or institutions when such a
Certificate application as issuance or revocation is submitted.
1.3.3 Subscribers
Subscribers are organizations or institutions that generate Key Pairs in their own
rights, to which Certificates are issued by the CAs. They are qualified as Subscribers
upon accepting the issued Certificates after submitting the Certificate applications to
the CAs.
1.3.4 Relying Parties
Relying Parties are the entities that authenticate the validity of Certificates issued by
the CAs. Relying Parts are assumed to be performing the authentication and placing
trust upon assessing the contents of this CPS and the relevant CP in light of the Relying
Parties' own purposes of use.
1.3.5 Other Participants
No stipulation
1.4 Certificate Usage
1.4.1 Appropriate Certificate Uses
The CAs are the Root CAs functioning as top of the subordinate CAs and issue
Certificates conforming to the CPs described in "1.2 Document Name and Identification"
hereof. Relying Parties may authenticate the reliability of such Certificates using the
CA Certificates.
1.4.2 Prohibited Certificate Uses
Stipulated in the relevant CP.
1.5 Policy Administration
1.5.1 Organization Administering the Document
This CPS is maintained and administered by SECOM.
1.5.2 Contact Information
Inquiries concerning this CPS should be directed to:
CA Support Center, SECOM Trust Systems Co., Ltd.
Address:

8-10-16 Shimorenjaku, Mitaka-shi, Tokyo 181-8528© 2003 SECOM Trust Systems Co., Ltd.
P-3

E-mail Address

ca-support@secom.co.jp

1.5.3 Person Determining CP Suitability for the Policy
Suitability of this CPS as the CAs' practice policy is determined by SECOM'sCertification Services Improvement Committee.
1.5.4 Approval Procedure
This CPS shall be published in the repository as developed and revised under approvalof the SECOM Certification Services Improvement Committee.
1.6 Definitions and Acronyms
Audit Log
Behavioral, access and other histories pertaining to the CA systems which arerecorded for inspection of access to and unauthorized operation of the CA systems.
CA
CA stands for Certification Authority, an entity that mainly issues, renews andrevokes Certificates, generates and protects CA Private Keys, and registers
Subscribers.
CA/Browser Forum
An NPO organized by CAs and Internet browser vendors that works to define andstandardize the Certificate issuance requirements.
Certificate
The word "Certificate" is simply used to indicate a digital certificate in this CPS,
which is the electronic data certifying that a Public Key is owned by the party
specified therein. The validity of a Certificate is certified by the digital signature of
the relevant CA affixed thereto.
CP
CP stands for Certificate Policy, a document that sets forth the policy regarding theCertificates.
CPS
CPS stands for Certification Practice Statement, which sets forth provisions to befollowed in providing and subscribing to the Services, including Certificate
applications, application reviews, and issuance/revocation/storage/publication of
Certificates by the CAs.
© 2003 SECOM Trust Systems Co., Ltd.
P-4

CRL
CRL stands for Certificate Revocation List, which records the list of Certificates
revoked by the CAs.
CSR
CSR stands for Certificate Signing Request, a data file on which the Certificate
issuance is based. A CSR contains the public key of the entity requesting theCertificate signing, to which the issuer's digital signature is affixed upon the issuancethereof.
Digital Signature/Signing
A digital data to prove that a specific individual is the author of a specific digital
documentation. It is a signature representing that the reliability of the information
contained in such documentation is certified by the author.
Escrow
Escrow means the placement (entrustment) of an asset in the control of an
independent third party.
HSM (Hardware Security Module)
The hardware that works as a protecting safe to store private keys used forencryption and digital signing. An HSM computes encryption and digital signing aswell as generates private keys and random digits.
Key Pair
A Key Pair consists of a private key and a public key in the public key cryptosystem.
Major Version Number
A number to be given to a CPS revision (e.g., the underlined digit [1] of Version 1.02)
whose magnitude of the amendment(s) is considered to have an obvious impact on theuse of the Certificates and the CRLs by Subscribers and Relying Parties.
Minor Version Number
A number to be given to a CPS revision (e.g., the underlined digit [02] of Version 1.02)
whose magnitude of the amendment(s) is considered to have no or less impact on theuse of the Certificates and the CRLs by Subscribers and Relying Parties.
OCSP
OCSP stands for Online Certificate Status Protocol, the protocol used to provide the© 2003 SECOM Trust Systems Co., Ltd.
P-5

real-time Certificates status.
OID
OID stands for Object IDentifier. OIDs are registered in the registration institutions(ISO and ITU) as globally unique IDs. The IDs registered as OIDs are used for suchparameters as algorithms used in the PKI, types (attributes like [Country name]) of
the names (subjects) to be included in the Certificates.
PKI (Public Key Infrastructure)
An infrastructure for use of the encryption technology known as the public key
cryptosystem to realize such security technologies as digital signature, encryption
and certification.
Private Key
A key comprising a Key Pair used in the public key cryptosystem, which corresponds
to a public key and is possessed only by the relevant Subscriber.
Public Key
A key of a Key Pair used in the Public Key cryptosystem. A Public Key corresponds to
the Private Key and is published.
RA
RA stands for Registration Authority, an entity that conducts qualifications(identification and authentication) among the CA operations in the Services.
Repository
The storage for such data as Certificates issued by the CAs. The Repository is amechanism to allow access by the users or applications to the Certificates from any
point in the network. CRLs as well as this CPS are also stored in the Repository.
RFC3647 (Request for Comments 3647)
A document defining the framework for CP and CPS published by the IETF (TheInternet Engineering Task Force), an industry group which establishes technicalstandards for the Internet.
RSA
One of the most standard encryption technologies widely used in the Public Key
cryptosystem.
Root CA© 2003 SECOM Trust Systems Co., Ltd.
P-6

The Security Communication RootCA described in this CPS is an institute owned andrun by SECOM as a Root CA that issues the subordinate CA Certificates andfunctions as top of the subordinate CAs.
SHA-1 (Secure Hash Algorithm 1)
A hash function used in digital signing. A hash function is a computation techniquefor generating a fixed-length string from a given text. The hash length is 160 bits.
The algorithm works to detect any alterations in the original message during thetransmission by comparing the hash values transmitted and received.
SHA-2
A Secure Hash Algorithm family function used in digital signing and the improved
version of SHA-1. The size of the SHA-256 and SHA-384 described in this CP arerespectively 256 and 384 bits. The algorithm works to detect any alterations in theoriginal message during the transmission by comparing the hash values transmitted
and received.
Subordinate CA
A CA trusted and signed by the CAs.
Time-Stamp
Information containing digital data and the clock time information that may be usedas the instrument of proof or the information leading to the evidence that the data
existed before that time (proof of existence) and that the data have not been modified
or falsified between the stamped time and the authenticated time (proof of
authenticity).
In the Services, Certificates are issued to TSA (Time-Stamping Authority), and to TA(Time Authority) that conducts delivery of standard time and time audits to TSA.
WebTrust for CA
Standards of internal control and a certification framework based thereon establishedby the American Institute of Certified Public Accountants (AICPA) and the Canadian
Institute of Chartered Accountants (CICA) regarding the reliability of CAs, thesecurity of electronic commerce transactions, and other relevant matters.
X.500
X.500 is a series of directory standards that was developed by ITU-T in order toprovide a range of services from the name and address lookup to the query by
attribute value. The X.500 Distinguished Names (DN) will be used for the names of© 2003 SECOM Trust Systems Co., Ltd.
P-7

the X.509 Issuers and Subjects.
X.509
The Certificate and CRL formats set forth by X.509 ITU-T. With [X.509 v3 (Version 3)],extension fields were additionally defined for storage of optional data.

© 2003 SECOM Trust Systems Co., Ltd.
P-8

2. Publication and Repository Responsibilities
2.1 Repository
The CAs maintain and administer the Repository to allow access by the Subscribers andRelying Parties to the CRL information. The CAs also maintain and administer the
OCSP server to allow 24x7 online access by the Subscribers and Relying Parties to theCertificates status. The protocol employed for the Repository access shall be HTTP
(HyperText Transfer Protocol) and HTTPS (HTTP + SSL/TLS data encryption function).
Information in the repository may be accessed via any commonly used Web interface.
2.2 Publication of Certificate Information
The CAs store the following contents in the Repository to allow online access by the
Subscribers and Relying Parties:
・ CRLs that contain all revocation records based on this CPS and the relevant CP.
・ The self-signed Certificate of the CAs
・ The latest version of this CPS and the relevant CP・ Other information pertaining to Certificates issued by the CAs
SECOM will make the Certificates status available online to Subscribers and Relying
Parties for browsing on the OCSP server.
2.3 Time or Frequency of Publication
This CPS and the relevant CP are published in the Repository as revised. A CRL
containing all information of revocation processed conforming to this CPS and therelevant CP is published in the Repository as issued.
2.4 Access Controls on Repositories
Subscribers and Relying Parties may browse the Repository anytime. However, theRepository may not be available temporarily at times due to maintenance or for any
other reason.

© 2003 SECOM Trust Systems Co., Ltd.
P-9

3. Identification and Authentication
3.1 Naming
Stipulated in the relevant CP.
3.2 Initial Identity Validation
Stipulated in the relevant CP.
3.3 Identification and Authentication for Re-Key Requests
Stipulated in the relevant CP.
3.4 Identification and Authentication for Revocation Requests
Stipulated in the relevant CP.

© 2003 SECOM Trust Systems Co., Ltd.
P-10

4. Certificate Life-Cycle Operational Requirements
4.1 Certificate Application
Stipulated in the relevant CP.
4.2 Certificate Application Processing
Stipulated in the relevant CP.
4.3 Certificate Issuance
Stipulated in the relevant CP.
4.4 Certificate Acceptance
Stipulated in the relevant CP.
4.5 Key Pair and Certificate Usage
Stipulated in the relevant CP.
4.6 Certificate Renewal
Stipulated in the relevant CP.
4.7 Certificate Re-Key
Stipulated in the relevant CP.
4.8 Certificate Modification
Stipulated in the relevant CP.
4.9 Certificate Revocation and Suspension
Stipulated in the relevant CP.
4.10 Certificate Status Services
Stipulated in the relevant CP.
4.11 End of Subscription (Registry)
Stipulated in the relevant CP.
4.12 Key Escrow and Recovery
Stipulated in the relevant CP.

© 2003 SECOM Trust Systems Co., Ltd.
P-11

5. Facility, Management, and Operational Controls
5.1 Physical Controls
5.1.1 Site Location and Construction
The systems of the CAs (hereinafter, "CA Systems") are located where they will not beeasily damaged by water exposures, earthquakes, fires or any other disasters, andstructural measures have been implemented to prevent and protect against suchdisasters. In addition, the equipment and instruments used in the facility shall be
installed in secure locations implementing the anti-disaster/hacking/breaking &entering measures.
5.1.2 Physical Access
The hardware and software used by the CAs employ an appropriate security control
combining physical and electronic access controls. Access to the hardware and thesoftware providing the CA Services are continuously monitored and requires permission
by the Service Operation Manager(s).
5.1.3 Power and Air Conditioning
The installation room for the CA Systems secure the power source with sufficient
capacity to operate the CA Systems and is protected through the power supply from the
backup generators during long-lasting power outages. Further, the CA Systems are
installed in an air conditioned environment where optimum temperature and humidity
can be maintained constantly using air conditioners.
5.1.4 Water Exposures
The installation room for the CA Systems implement the protection against the water
exposures, including deployment of the leakage sensors.
5.1.5 Fire Prevention and Protection
The installation rooms for CA Systems are in a fireproof compartment partitioned off by
firewalls and equipped with fire alarms as well as fire extinguishing equipment.
5.1.6 Earthquake
The installation room for the CA Systems shall implement anti-seismic measures forprotection against tumbling and falling of the machines and fixtures.
5.1.7 Media Storage
Critical storage media containing the archive or backup data are stored in secure
locations.
© 2003 SECOM Trust Systems Co., Ltd.
P-12

5.1.8 Waste Disposal
Disposal of Private Keys of the CAs (hereinafter, "CA Private Keys") and paper andelectronic media containing confidential information shall be conducted with CA Private
Keys and the backup media completely initialized or physically destroyed, and with thepaper-based media as documents shredded, incinerated, or dissolved.
5.1.9 Off-Site Backup
Measures for remote storage and retrieval of the data, equipment, and any other items
required to operate the Services shall be implemented.
5.2 Procedural Controls
5.2.1 Trusted Roles
Individuals involved in the registration, issuance, and revocation practices are acting in
the capacity of a trusted role conforming to this CPS and the relevant CP. The CAs do
not centrally assign operational roles to a specific individual, but allocate authorities tomultiple personnel. The roles in the CAs are listed in "Table 5.2-1 Trusted Roles".
Table 5.2.1 Trusted Roles
Name of role

Primary responsibilities

Certification Services- Approves development/amendment/termination of this

Improvement Committee

CPS and the relevant CP.
- Directs actions taken as a result of audit deficiency.

Person Responsible for- Supervises the CA management organization.

Services- Approves CA Systems/operational procedure changes

Service Operation- Gives work instructions to person(s) in charge ofManager

operation and observes the operations.
- Observes CA Systems and CA Private Key operations onsite.
- Generally manages other service operations.

CA Administrator- Registers and issues Certificates- Issues CRLs

Person in Charge of RA- Accepts Certificate applications- Qualifies (identifies and authenticates) Subscribers

Log Examiner (Log- Checks room access, system and other logs.

Checker)
5.2.2 Number of Persons Required per Task
The CA Systems are designed to physically refuse single-person accesses, which
requires operations by at least two persons.

© 2003 SECOM Trust Systems Co., Ltd.
P-13

5.2.3 Identification and Authentication for Each RoleThe biometric identification control is deployed for entry to the CA Systems installation
room, while multiple-person control is deployed for access to CA Private Keys.
5.2.4 Roles Requiring Separation of Duties
The CAs intend to prevent such unwanted actions as misconducts, which can happen
through the single-person operations made possible by authority centralization,
through decentralization of the authority by not granting authorities/permissions to a
specific person. Authorities for system operations, acts of approving, and audits are
separated.
5.3 Personnel Controls
Personnel who perform the Trusted Roles bear responsibility for operations andadministration of the Services. In providing the Services, personnel management thatassures reliability and suitability of these roles as well as the reasonable skills toperform these roles shall be conducted, by which the security is established.
5.3.1 Qualifications, Experience, and Clearance Requirements
Individuals responsible for the Trusted Roles for the Services shall be regular employees
hired by SECOM's hiring criteria. Individuals who have undergone specialized training
with understanding of the PKI outline and how to operate the PKI systems shall be
appointed as the persons in charge of the direct operation of the CA Systems.
5.3.2 Background Check Procedures
Reliability and suitability of the individuals responsible for the Trusted Roles areassessed at the appointment and periodically, conforming to the provisions in this CPS
and the relevant CP.
5.3.3 Training Requirements
Individuals responsible for the Trusted Roles have to be properly trained for the jobs
upon appointment, and retrained as necessary from then on.
5.3.4 Retraining Frequency and Requirements
SECOM provides the individuals performing the roles listed in "5.2.1 Trusted Roles"
hereof with refresher training as needed.
5.3.5 Job Rotation Frequency and Sequence
The CAs conduct job rotations of the personnel for the purpose of securing service
quality consistency and improvement as well as prevention of misconducts.
© 2003 SECOM Trust Systems Co., Ltd.
P-14

5.3.6 Sanctions for Unauthorized Actions
The provisions concerning penalties in SECOM's Rules of Employment apply.
5.3.7 Independent Contractor Requirements
When the CAs may employ independent contractors for operations of the CA systems inwhole or in part, appropriate performance of the operational duties by the contractors
shall be ensured through the agreements therewith.
5.3.8 Documentation Supplied to Personnel
The CAs permit the personnel's access only to the documents necessary for the
performance of relevant duties.
5.4 Audit Logging Procedures
5.4.1 Types of Events Recorded
The CAs manually or automatically retrieve audit trails and event logs of the CA
Systems, Repository system, and the network devices related to the CAs.
5.4.2 Frequency of Processing Audit Log
The CAs probe the Audit Log on a regular basis.
5.4.3 Retention Period for Audit Log
Audit Logs are retained for at least ten (10) years.
5.4.4 Protection of Audit Log
The CAs implement appropriate controls on Audit Log access to secure sole access by
the authorized personnel and to keep the log from the eyes of those unauthorized.
5.4.5 Audit Log Backup Procedure
Audit Logs are backed up onto offline recording media, which are stored in a secure
location.
5.4.6 Audit Log Collection System
The Audit Log collection system is included as a function of the CA Systems, collecting
Audit Log automatically or manually.
5.4.7 Notification to Event-Causing Subject
The CAs collect Audit Log without notifying the person, system or application that hascaused the corresponding event.
© 2003 SECOM Trust Systems Co., Ltd.
P-15

5.4.8 Vulnerability Assessments
The CAs conduct assessment addressing the security vulnerabilities in the operationaland system behavior aspects as well as review and revision of the security measures asneeded, including introduction of the latest security technologies available for
implementation.
5.5 Records Archival
5.5.1 Types of Records Archived
The archive of the CAs includes the following records:- Certificate issuance and revocation histories- Processing history relating to CRL issuance- The self-signed Certificate of the CAs- Subscriber Certificates- CRL- OCSP server access log
5.5.2 Retention Period for Archive
Archived records are retained for at least ten (10) years.
5.5.3 Protection of Archive
The media containing the archived records are physically protected and are retained ina facility, to which access is restricted to the authorized personnel. Inspections of thearchived records are conducted once a year to ensure no failure or loss of the data.
5.5.4 Archive Backup Procedures
The primary and secondary backup data are taken whenever a change is made in such
critical data as may affect the CA operations, including issuance/revocation of
Certificates or CRL issuance, while the secondary backup shall be stored in a remotelocation.
5.5.5 Requirements for Time-Stamping of Records
The CAs properly time synchronize the CA Systems and Time-Stamp the criticalinformation recorded therein.
5.5.6 Archive Collection System
The Archive collection system is included as a function of the CA Systems.

© 2003 SECOM Trust Systems Co., Ltd.
P-16

5.5.7 Procedures to Obtain and Verify Archive Information
Storage condition of the archived records is periodically checked and the records shallbe copied to fresh media as necessary.
5.6 Key Changeover
Re-Keying of the CAs' own Key Pairs or renewal of Certificates thereof shall be
performed basically when their usage periods become shorter than the maximum
validity periods of the Certificates issued to Subscribers. When the remaining validity
periods of the CAs become shorter than the maximum validity periods of theCertificates issued to Subscribers, the validity periods of the renewed Certificatesissued thereto shall be so changed to be within the validity period of the CAs.
The validity period of CA Private Keys is assumed to be twenty (20) years.
5.7 Compromise and Disaster Recovery
5.7.1 Incident and Compromise Handling Procedures
Should it be determined that CA Private Keys have been or may be compromised orshould a disaster or any other unexpected incidents result in a situation that may leadto interruptions or suspensions of the Services, the predetermined plans and proceduresare followed to securely resume the Services.
5.7.2 Computing Resources, Software, and/or Data are Corrupted
In the event of damage to any hardware, software or data, the CAs promptly engage inthe system recovery efforts using the relevant hardware, software or data that are
retained as backup.
5.7.3 Entity Private Key Compromise Procedures
Should a Subscriber determine that a Private Key has or could have been compromised,
the Subscriber must promptly make a revocation request to the relevant CA. Following
receipt of a revocation request, the relevant CA processes the revocation according to
the procedure set forth in "4.9 Certificate Revocation and Suspension" hereof.
5.7.4 Business Continuity Capabilities after a Disaster
Based on SECOM's business continuity policy, the contingency plans to continue theServices by the CAs in the event of situations forcing suspension or significant
reliability compromise of the Services have been developed and put in place. In addition,
to minimize the suspension length, SECOM implements the contingency plan toprocure resources required to recover the Services.

© 2003 SECOM Trust Systems Co., Ltd.
P-17

5.8 CA or RA Termination
In the event of termination of the Services by SECOM, the company shall so notify
Subscribers and other affected participants three (3) months prior to the termination.
All Certificates issued by the CAs are revoked prior to the termination thereof.

© 2003 SECOM Trust Systems Co., Ltd.
P-18

6. Technical Security Controls
6.1 Key Pair Generation and Installation
6.1.1 Key Pair Generation
In the Services, the CA Key Pairs are generated on an FIPS140-1 Level 3 conformant
HSM. The Key Pair generation operation is jointly performed by at least two authorizedindividuals under observation by the Service Operation Manager(s).
6.1.2 Private Key Delivery to Subscriber
Being generated by the Subscribers themselves, the Subscriber Key Pairs are possessed
only by the Subscribers.
6.1.3 Public Key Delivery to Certificate Issuer
Subscriber Public Keys are verified according to the procedure set forth in "3.2.1
Method to Prove Possession of Private Key" hereof, and are delivered online.
6.1.4 CA Public Key Delivery to Relying Parties
Relying Parties may obtain CA Public Keys by accessing the CA Repository or through acommonly used web browser.
6.1.5 Key Sizes
The Digital Signature scheme of the CA Key Pairs is described in "Table 6.1-1 Digital
Signature Scheme".
Table 6.1-1 Digital Signature Scheme
Public Key algorithm

Signature algorithm

CA Key2048 bit RSA

SHA1Security Communication RootCA1

2048 bit RSA

SHA256

Security Communication RootCA24096 bit RSA

SHA384

Security Communication RootCA3

384 bit ECC

SHA384

Security Communication ECC RootCA1

6.1.6 Public Key Parameters Generation and Quality Checking
The HSM used in the CA systems has the capability to check the quality of theencryption function. Public Key parameters are generated using the encryption function
qualified by the quality checking.
6.1.7 Key Usage Purposes
Stipulated in the relevant CP.

© 2003 SECOM Trust Systems Co., Ltd.
P-19

6.2 Private Key Protection and Cryptographic Module Engineering Controls
6.2.1 Cryptographic Module Standards and Controls
The generation, storage and signing operations of the CA Private Keys are performed
using an HSM that has obtained the FIPS140-2 Level 3 conformance.
6.2.2 Private Key Multi-Person Control
Generation of CA Private Keys requires operation by the Service Operation Manager(s)and at least two authorized individuals, who are also required for the post-generation
administration of the Private Keys including transfer and disposal of the cryptographic
module.
6.2.3 Private Key Escrow
The CAs do not Escrow CA Private Keys.
6.2.4 Private Key Backup
CA Private Keys are backed up onto an HSM that has obtained the FIPS140-2 Level 3
conformance. The same control scheme as in "6.2.2 Private Key Multi-Person Control"
hereof applies to the backup operation. The backup files and media are securely
controlled as well.
6.2.5 Private Key Archival
The CAs do not archive CA Private Keys.
6.2.6 Private Key Transfer into or from a Cryptographic Module
CA Private Keys are generated inside an HSM and will never be retrieved by otherhardware or software.
6.2.7 Private Key Storage on Cryptographic Module
CA Private Keys are stored in an HSM that has obtained the FIPS140-2 Level 3
conformance.
6.2.8 Method of Activating Private Key
Activation of CA Private Keys is jointly performed by at least two authorizedindividuals as in "6.2.2 Private Key Multi-Person Control" hereof, in the CA rooms.
6.2.9 Method of Deactivating Private Key
CA Private Keys are automatically deactivated after completion of a successful accessthereto.
© 2003 SECOM Trust Systems Co., Ltd.
P-20

6.2.10 Method of Destroying Private Key
In a situation that requires disposal of CA Private Keys, the HSM storing them arecompletely initialized or physically destroyed by at least two authorized individuals as
in "6.2.2 Private Key Multi-Person Control" hereof, in the CA rooms, while the backup
Private Keys are also disposed of, following the same procedure.
6.2.11 Cryptographic Module Rating
An HSM that has obtained the FIPS140-2 Level 3 conformance is used for control of CA
Private Keys.
6.3 Other Aspects of Key Pair Management
6.3.1 Public Key Archival
Archival of CA Public Keys is covered by "5.5.1 Types of Archives" hereof.
6.3.2 Certificate Operational Periods and Key Pair Usage Periods
The validity period of CA Key Pairs is assumed to be twenty (20) years, which will not
be modified.
6.4 Activation Data
6.4.1 Activation Data Generation and Installation
At least two digital keys are used for activation of CA Private Keys.
6.4.2 Activation Data Protection
The keys required for activation are stored in different locations.
6.4.3 Other Aspects of Activation Data
No stipulation
6.5 Computer Security Controls
6.5.1 Specific Computer Security Technical Requirements
Hardware used by the CAs is protected by the scheme described in "5.1 PhysicalControls" hereof and the user authentication is required to log in thereto. Protections
against different threats are implemented, including the anti-virus protection.
6.5.2 Computer Security Rating
The CAs conduct the preproduction system tests of all software and hardware to be© 2003 SECOM Trust Systems Co., Ltd.
P-21

employed by the CA Systems in an effort to secure the system reliability. In addition,
the CAs constantly collect information on the security vulnerabilities and perform
assessments to be able to promptly take proper actions should any vulnerability be
detected.
6.6 Life-Cycle Technical Controls
For hardware and software used by the CAs, the latest security technologies areassessed at an appropriate cycle while reviews of this CPS and the relevant CP as well
as security checks are conducted as required.
6.6.1 System Development Controls
The CA Systems are configured and maintained in a secure environment. Security isthoroughly assessed and verified when modifying the CA Systems. Further, security
checks are performed in order to ensure the security by implementing the latest
security technologies at an appropriate cycle.
6.6.2 Security Management Controls
The

CAs

ensuresecuritybyconducting

suchoperational

managementasadministration of the information asset, personnel and permissions, as well as timely
updates of the security software such as anti-hacking and anti-virus applications.
6.6.3 Life-Cycle Security Controls
The CAs perform assessments as appropriate to ensure that the CA Systems aredeveloped, operated and maintained properly, to make improvements as needed.
6.7 Network Security Controls
The CA Systems are not connected to any internal or external systems. The Repository
system is protected against unauthorized accesses through such implementations asfirewalls and unauthorized access detection systems.
6.8 Time-Stamping
Requirements concerning Time-Stamping shall be as stipulated in "5.5.5 Requirements
for Time-stamping of Records" hereof.

© 2003 SECOM Trust Systems Co., Ltd.
P-22

7. Certificate, CRL, and OCSP Profiles
7.1 Certificate Profile
Stipulated in the relevant CP.
7.2 CRL Profile
Stipulated in the relevant CP.
7.3 OCSP Profile
Stipulated in the relevant CP.

© 2003 SECOM Trust Systems Co., Ltd.
P-23

8 Compliance Audit and Other Assessments
8.1 Frequency and Circumstances of Assessment
SECOM

performs

audits

once

a

year

or

as

auditors

set

forth

in

"8.2

Identity/Qualifications of Assessor" hereof determine to be necessary to verify whether
or not the operation of the Services is in compliance with this CPS and the relevant CP.
8.2 Identity/Qualifications of Assessor
The compliance audits shall be performed by the auditors demonstrating appropriate
proficiency with solid and adequate auditing experience.
8.3 Assessor’s Relationship to Assessed Entity
Auditors shall be operationally and organizationally independent of the assessed entity,
except for the audit-related aspects. In conducting the audits, the assessed entity shallprovide appropriate support to the effort.
8.4 Topics Covered by Assessment
Audits are performed, conforming to the WebTrust for CA standards with respect to thebusiness activities for operation of the CAs.
8.5 Actions Taken as a Result of Deficiency
SECOM promptly implements corrective measures with respect to the deficiencies
identified in the audit report.
8.6 Communication of Results
The audit results are communicated to SECOM by the auditors. If SECOM Trust
Systems is required to disclose the audit results, the company will not externallydisclose the audit results unless the requirement is in accordance with relevant laws ormade by an associated party based on the agreement therewith, or the disclosure isapproved by the Certification Services Improvement Committee.

© 2003 SECOM Trust Systems Co., Ltd.
P-24

9. Other Business and Legal Matters
9.1 Fees
Stipulated in the relevant CP.
9.2 Financial Responsibility
Stipulated in the relevant CP.
9.3 Confidentiality of Business Information
Stipulated in the relevant CP.
9.4 Privacy of Personal Information
Stipulated in the relevant CP.
9.5 Intellectual Property Rights
Stipulated in the relevant CP.
9.6 Representations and Warranties
Stipulated in the relevant CP.
9.7 Disclaimers of Warranties
Stipulated in the relevant CP.
9.8 Limitations of Liability
Stipulated in the relevant CP.
9.9 Indemnities
Stipulated in the relevant CP.
9.10 Term and Termination
Stipulated in the relevant CP.
9.11 Individual Notices and Communications with Participants
Stipulated in the relevant CP.
9.12 Amendments
9.12.1 Procedure for Amendment(1) Critical revisions/amendments© 2003 SECOM Trust Systems Co., Ltd.
P-25

SECOM notifies Subscribers and Relying Parties of amendments of this CPS if theamendments thereof are determined to have an obvious impact on the activities for use
of Certificates or CRLs by the Subscribers and Relying Parties, by publishing thepost-amendment version of this CPS (including the Version History/Description/Date)in the Repository, while refreshing the Major Version Number.
(2) Non-critical revisions/amendments
SECOM notifies Subscribers and Relying Parties of amendments of this CPS if theamendments thereof are determined to have no or less impact on the activities for use of
Certificates or CRLs by the Subscribers and Relying Parties, by publishing thepost-amendment version of this CPS (including the Version History/Description/Date)in the Repository, while refreshing the Minor Version Number.
9.12.2 Notification Mechanism and Period
If this CPS is revised/amended, the prompt publication of the post-amendment versionof this CPS (including the Version History/Description/Date) in the Repository isdeemed to be the notification thereof to Subscribers and Relying Parties. Subscribers
may make claims within a week of such notification, while the post-amendment versionof this CPS is deemed to be approved by the Subscribers unless any claim is madewithin the said period.
9.13 Dispute Resolution Provisions
Stipulated in the relevant CP.
9.14 Governing Law
Stipulated in the relevant CP.
9.15 Compliance with Applicable Law
Stipulated in the relevant CP.
9.16 Miscellaneous Provisions
Stipulated in the relevant CP.
9.17 Other Provisions
Stipulated in the relevant CP.

© 2003 SECOM Trust Systems Co., Ltd.
P-26