DigiCert CPS v405-May-2-2013 · DigiCert Certification Practices Statement DigiCert, Inc. Version...

DigiCert

CertificationPracticesStatement

DigiCert,Inc.Version4.05May2,2013

Suite500

2600WestExecutiveParkway

Lehi,UT84043USA

Tel:1‐801‐877‐2100Fax:1‐801‐705‐0481

www.digicert.com

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TABLEOFCONTENTS

1. INTRODUCTION ................................................................................................................................... 1

1.1. Overview ...................................................................................................................................... 1 1.2. Document name and Identification ............................................................................................... 1 1.3. PKI Participants ........................................................................................................................... 3

1.3.1. Certification Authorities ........................................................................................................... 3 1.3.2. Registration Authorities and Other Delegated Third Parties .................................................... 3 1.3.3. Subscribers ............................................................................................................................. 4 1.3.4. Relying Parties ........................................................................................................................ 4 1.3.5. Other Participants ................................................................................................................... 4

1.4. Certificate Usage ......................................................................................................................... 4 1.4.1. Appropriate Certificate Uses ................................................................................................... 4 1.4.2. Prohibited Certificate Uses ...................................................................................................... 6

1.5. Policy administration .................................................................................................................... 6 1.5.1. Organization Administering the Document .............................................................................. 6 1.5.2. Contact Person ....................................................................................................................... 6 1.5.3. Person Determining CPS Suitability for the Policy .................................................................. 6 1.5.4. CPS Approval Procedures ...................................................................................................... 6

1.6. Definitions and acronyms ............................................................................................................. 7 2. PUBLICATION AND REPOSITORY RESPONSIBILITIES .................................................................... 9

2.1. Repositories ................................................................................................................................. 9 2.2. Publication of certification 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

3.1.1. Types of Names .................................................................................................................... 10 3.1.2. Need for Names to be Meaningful ......................................................................................... 10 3.1.3. Anonymity or Pseudonymity of Subscribers .......................................................................... 10 3.1.4. Rules for Interpreting Various Name Forms .......................................................................... 11 3.1.5. Uniqueness of Names ........................................................................................................... 11 3.1.6. Recognition, Authentication, and Role of Trademarks .......................................................... 11

3.2. Initial identity validation .............................................................................................................. 11 3.2.1. Method to Prove Possession of Private Key ......................................................................... 11 3.2.2. Authentication of Organization Identity .................................................................................. 11 3.2.3. Authentication of Individual Identity ....................................................................................... 13 3.2.4. Non-verified Subscriber Information ...................................................................................... 18 3.2.5. Validation of Authority ........................................................................................................... 18

3.3. Identification and authentication for re-key requests .................................................................. 19 3.3.1. Identification and Authentication for Routine Re-key ............................................................. 19 3.3.2. Identification and Authentication for Re-key After Revocation............................................... 20

3.4. Identification and authentication for revocation request ............................................................. 20 4. CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS ....................................................... 20

4.1. Certificate Application ................................................................................................................ 20 4.1.1. Who Can Submit a Certificate Application ............................................................................ 20 4.1.2. Enrollment Process and Responsibilities .............................................................................. 20

4.2. Certificate application processing .............................................................................................. 21 4.2.1. Performing Identification and Authentication Functions ........................................................ 21 4.2.2. Approval or Rejection of Certificate Applications ................................................................... 21 4.2.3. Time to Process Certificate Applications ............................................................................... 21

4.3. Certificate issuance .................................................................................................................... 21 4.3.1. CA Actions during Certificate Issuance ................................................................................. 21 4.3.2. Notification to Subscriber by the CA of Issuance of Certificate ............................................. 22

4.4. Certificate acceptance ............................................................................................................... 22 4.4.1. Conduct Constituting Certificate Acceptance ........................................................................ 22 4.4.2. Publication of the Certificate by the CA ................................................................................. 22 4.4.3. Notification of Certificate Issuance by the CA to Other Entities ............................................. 22

4.5. Key pair and certificate usage .................................................................................................... 22 4.5.1. Subscriber Private Key and Certificate Usage ...................................................................... 22

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4.5.2. Relying Party Public Key and Certificate Usage .................................................................... 22 4.6. Certificate renewal ..................................................................................................................... 23

4.6.1. Circumstance for Certificate Renewal ................................................................................... 23 4.6.2. Who May Request Renewal .................................................................................................. 23 4.6.3. Processing Certificate Renewal Requests ............................................................................ 23 4.6.4. Notification of New Certificate Issuance to Subscriber .......................................................... 23 4.6.5. Conduct Constituting Acceptance of a Renewal Certificate .................................................. 23 4.6.6. Publication of the Renewal Certificate by the CA .................................................................. 23 4.6.7. Notification of Certificate Issuance by the CA to Other Entities ............................................. 23

4.7. Certificate re-key ........................................................................................................................ 23 4.7.1. Circumstance for Certificate Rekey ....................................................................................... 23 4.7.2. Who May Request Certificate Rekey .................................................................................... 24 4.7.3. Processing Certificate Rekey Requests ................................................................................ 24 4.7.4. Notification of Certificate Rekey to Subscriber ...................................................................... 24 4.7.5. Conduct Constituting Acceptance of a Rekeyed Certificate .................................................. 24 4.7.6. Publication of the Issued Certificate by the CA ..................................................................... 24 4.7.7. Notification of Certificate Issuance by the CA to Other Entities ............................................. 24

4.8. Certificate modification ............................................................................................................... 24 4.8.1. Who May Request Certificate Modification............................................................................ 24 4.8.2. Processing Certificate Modification Requests ....................................................................... 24 4.8.3. Notification of Certificate Modification to Subscriber ............................................................. 24 4.8.4. Conduct Constituting Acceptance of a Modified Certificate ................................................... 24 4.8.5. Publication of the Modified Certificate by the CA .................................................................. 24 4.8.6. Notification of Certificate Modification by the CA to Other Entities ........................................ 25

4.9. Certificate revocation and suspension ....................................................................................... 25 4.9.1. Circumstances for Revocation .............................................................................................. 25 4.9.2. Who Can Request Revocation .............................................................................................. 25 4.9.3. Procedure for Revocation Request ....................................................................................... 26 4.9.4. Revocation Request Grace Period ........................................................................................ 26 4.9.5. Time within which CA Must Process the Revocation Request .............................................. 26 4.9.6. Revocation Checking Requirement for Relying Parties ......................................................... 26 4.9.7. CRL Issuance Frequency ...................................................................................................... 27 4.9.8. Maximum Latency for CRLs .................................................................................................. 27 4.9.9. On-line Revocation/Status Checking Availability ................................................................... 27 4.9.10. On-line Revocation Checking Requirements .................................................................... 27 4.9.11. Other Forms of Revocation Advertisements Available ..................................................... 27 4.9.12. Special Requirements Related to Key Compromise ......................................................... 27 4.9.13. Circumstances for Suspension ......................................................................................... 27 4.9.14. Who Can Request Suspension ........................................................................................ 27 4.9.15. Procedure for Suspension Request .................................................................................. 27 4.9.16. Limits on Suspension Period ............................................................................................ 27

4.10. Certificate status services .......................................................................................................... 27 4.10.1. Operational Characteristics .............................................................................................. 27 4.10.2. Service Availability ........................................................................................................... 28 4.10.3. Optional Features ............................................................................................................. 28

4.11. End of subscription .................................................................................................................... 28 4.12. Key escrow and recovery ........................................................................................................... 28

4.12.1. Key Escrow and Recovery Policy Practices ..................................................................... 28 4.12.2. Session Key Encapsulation and Recovery Policy and Practices ...................................... 28

5. FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS ........................................................ 29 5.1. Physical Controls ....................................................................................................................... 29

5.1.1. Site Location and Construction ............................................................................................. 29 5.1.2. Physical Access .................................................................................................................... 29 5.1.3. Power and Air Conditioning ................................................................................................... 29 5.1.4. Water Exposures ................................................................................................................... 30 5.1.5. Fire Prevention and Protection .............................................................................................. 30 5.1.6. Media Storage ....................................................................................................................... 30 5.1.7. Waste Disposal ..................................................................................................................... 30 5.1.8. Off-site Backup ...................................................................................................................... 30 5.1.9. Certificate Status Hosting, CMS and External RA Systems .................................................. 30

5.2. Procedural controls .................................................................................................................... 30 5.2.1. Trusted Roles ........................................................................................................................ 30

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5.2.2. Number of Persons Required per Task ................................................................................. 31 5.2.3. Identification and Authentication for each Role ..................................................................... 31 5.2.4. Roles Requiring Separation of Duties ................................................................................... 31

5.3. Personnel controls ..................................................................................................................... 31 5.3.1. Qualifications, Experience, and Clearance Requirements .................................................... 31 5.3.2. Background Check Procedures ............................................................................................. 32 5.3.3. Training Requirements .......................................................................................................... 32 5.3.4. Retraining Frequency and Requirements .............................................................................. 32 5.3.5. Job Rotation Frequency and Sequence ................................................................................ 32 5.3.6. Sanctions for Unauthorized Actions ...................................................................................... 32 5.3.7. Independent Contractor Requirements ................................................................................. 33 5.3.8. Documentation Supplied to Personnel .................................................................................. 33

5.4. Audit logging procedures ........................................................................................................... 33 5.4.1. Types of Events Recorded .................................................................................................... 33 5.4.2. Frequency of Processing Log ................................................................................................ 35 5.4.3. Retention Period for Audit Log .............................................................................................. 35 5.4.4. Protection of Audit Log .......................................................................................................... 35 5.4.5. Audit Log Backup Procedures ............................................................................................... 35 5.4.6. Audit Collection System (internal vs. external) ...................................................................... 35 5.4.7. Notification to Event-causing Subject .................................................................................... 36 5.4.8. Vulnerability Assessments .................................................................................................... 36

5.5. Records archival ........................................................................................................................ 36 5.5.1. Types of Records Archived ................................................................................................... 36 5.5.2. Retention Period for Archive ................................................................................................. 36 5.5.3. Protection of Archive ............................................................................................................. 37 5.5.4. Archive Backup Procedures .................................................................................................. 37 5.5.5. Requirements for Time-stamping of Records ........................................................................ 37 5.5.6. Archive Collection System (internal or external) .................................................................... 37 5.5.7. Procedures to Obtain and Verify Archive Information ........................................................... 37

5.6. Key changeover ......................................................................................................................... 37 5.7. Compromise and disaster recovery ........................................................................................... 37

5.7.1. Incident and Compromise Handling Procedures ................................................................... 37 5.7.2. Computing Resources, Software, and/or Data Are Corrupted .............................................. 38 5.7.3. Entity Private Key Compromise Procedures ......................................................................... 38 5.7.4. Business Continuity Capabilities after a Disaster .................................................................. 38

5.8. CA or RA termination ................................................................................................................. 38 6. TECHNICAL SECURITY CONTROLS ................................................................................................ 39

6.1. Key pair generation and installation ........................................................................................... 39 6.1.1. Key Pair Generation .............................................................................................................. 39 6.1.2. Private Key Delivery to Subscriber ........................................................................................ 39 6.1.3. Public Key Delivery to Certificate Issuer ............................................................................... 40 6.1.4. CA Public Key Delivery to Relying Parties ............................................................................ 40 6.1.5. Key Sizes .............................................................................................................................. 40 6.1.6. Public Key Parameters Generation and Quality Checking .................................................... 41 6.1.7. Key Usage Purposes (as per X.509 v3 key usage field) ....................................................... 41

6.2. Private Key Protection and Cryptographic Module Engineering Controls .................................. 41 6.2.1. Cryptographic Module Standards and Controls ..................................................................... 41 6.2.2. Private Key (n out of m) Multi-person Control ....................................................................... 42 6.2.3. Private Key Escrow ............................................................................................................... 42 6.2.4. Private Key Backup ............................................................................................................... 42 6.2.5. Private Key Archival .............................................................................................................. 42 6.2.6. Private Key Transfer into or from a Cryptographic Module ................................................... 42 6.2.7. Private Key Storage on Cryptographic Module ..................................................................... 42 6.2.8. Method of Activating Private Keys ......................................................................................... 42 6.2.9. Method of Deactivating Private Keys .................................................................................... 43 6.2.10. Method of Destroying Private Keys .................................................................................. 43 6.2.11. Cryptographic Module Rating ........................................................................................... 43

6.3. Other aspects of key pair management ..................................................................................... 43 6.3.1. Public Key Archival ............................................................................................................... 43 6.3.2. Certificate Operational Periods and Key Pair Usage Periods................................................ 43

6.4. Activation data ........................................................................................................................... 44 6.4.1. Activation Data Generation and Installation .......................................................................... 44

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6.4.2. Activation Data Protection ..................................................................................................... 44 6.4.3. Other Aspects of Activation Data .......................................................................................... 44

6.5. Computer security controls ........................................................................................................ 44 6.5.1. Specific Computer Security Technical Requirements ........................................................... 44 6.5.2. Computer Security Rating ..................................................................................................... 45

6.6. Life cycle technical controls ....................................................................................................... 45 6.6.1. System Development Controls .............................................................................................. 45 6.6.2. Security Management Controls ............................................................................................. 45 6.6.3. Life Cycle Security Controls .................................................................................................. 45

6.7. Network security controls ........................................................................................................... 45 6.8. Time-stamping ........................................................................................................................... 46 6.9. PIV-I Cards ................................................................................................................................ 46

7. CERTIFICATE, CRL, AND OCSP PROFILES .................................................................................... 47 7.1. Certificate profile ........................................................................................................................ 47

7.1.1. Version Number(s) ................................................................................................................ 47 7.1.2. Certificate Extensions ........................................................................................................... 47 7.1.3. Algorithm Object Identifiers ................................................................................................... 48 7.1.4. Name Forms ......................................................................................................................... 48 7.1.5. Name Constraints ................................................................................................................. 48 7.1.6. Certificate Policy Object Identifier ......................................................................................... 48 7.1.7. Usage of Policy Constraints Extension ................................................................................. 48 7.1.8. Policy Qualifiers Syntax and Semantics ................................................................................ 48 7.1.9. Processing Semantics for the Critical Certificate Policies Extension ..................................... 48

7.2. CRL profile ................................................................................................................................. 49 7.2.1. Version number(s) ................................................................................................................. 49 7.2.2. CRL and CRL Entry Extensions ............................................................................................ 49

7.3. OCSP profile .............................................................................................................................. 49 7.3.1. Version Number(s) ................................................................................................................ 49 7.3.2. OCSP Extensions ................................................................................................................. 49

8. COMPLIANCE AUDIT AND OTHER ASSESSMENTS ....................................................................... 49 8.1. Frequency or circumstances of assessment .............................................................................. 49 8.2. Identity/qualifications of assessor .............................................................................................. 49 8.3. Assessor's relationship to assessed entity ................................................................................. 50 8.4. Topics covered by assessment .................................................................................................. 50 8.5. Actions taken as a result of deficiency ....................................................................................... 50 8.6. Communication of results .......................................................................................................... 50 8.7. Self-Audits ................................................................................................................................. 50

9. OTHER BUSINESS AND LEGAL MATTERS ...................................................................................... 50 9.1. Fees ........................................................................................................................................... 50

9.1.1. Certificate Issuance or Renewal Fees ................................................................................... 50 9.1.2. Certificate Access Fees ........................................................................................................ 51 9.1.3. Revocation or Status Information Access Fees ..................................................................... 51 9.1.4. Fees for Other Services ........................................................................................................ 51 9.1.5. Refund Policy ........................................................................................................................ 51

9.2. Financial responsibility ............................................................................................................... 51 9.2.1. Insurance Coverage .............................................................................................................. 51 9.2.2. Other Assets ......................................................................................................................... 51 9.2.3. Insurance or Warranty Coverage for End-Entities ................................................................. 51

9.3. Confidentiality of business information ....................................................................................... 51 9.3.1. Scope of Confidential Information ......................................................................................... 51 9.3.2. Information Not Within the Scope of Confidential Information ............................................... 51 9.3.3. Responsibility to Protect Confidential Information ................................................................. 51

9.4. Privacy of personal information .................................................................................................. 52 9.4.1. Privacy Plan .......................................................................................................................... 52 9.4.2. Information Treated as Private .............................................................................................. 52 9.4.3. Information Not Deemed Private ........................................................................................... 52 9.4.4. Responsibility to Protect Private Information ......................................................................... 52 9.4.5. Notice and Consent to Use Private Information .................................................................... 52 9.4.6. Disclosure Pursuant to Judicial or Administrative Process .................................................... 52 9.4.7. Other Information Disclosure Circumstances ........................................................................ 52

9.5. Intellectual property rights .......................................................................................................... 52 9.6. Representations and warranties ................................................................................................ 52

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9.6.1. CA Representations and Warranties ..................................................................................... 52 9.6.2. RA Representations and Warranties ..................................................................................... 53 9.6.3. Subscriber Representations and Warranties ......................................................................... 53 9.6.4. Relying Party Representations and Warranties ..................................................................... 54 9.6.5. Representations and Warranties of Other Participants ......................................................... 54

9.7. Disclaimers of warranties ........................................................................................................... 54 9.8. Limitations of liability .................................................................................................................. 54 9.9. Indemnities ................................................................................................................................ 55

9.9.1. Indemnification by DigiCert ................................................................................................... 55 9.9.2. Indemnification by Subscribers ............................................................................................. 55 9.9.3. Indemnification by Relying Parties ........................................................................................ 55

9.10. Term and termination ................................................................................................................. 55 9.10.1. Term ................................................................................................................................. 55 9.10.2. Termination ...................................................................................................................... 56 9.10.3. Effect of Termination and Survival .................................................................................... 56

9.11. Individual notices and communications with participants ........................................................... 56 9.12. Amendments .............................................................................................................................. 56

9.12.1. Procedure for Amendment ............................................................................................... 56 9.12.2. Notification Mechanism and Period .................................................................................. 56 9.12.3. Circumstances under which OID Must Be Changed ........................................................ 56

9.13. Dispute resolution provisions ..................................................................................................... 56 9.14. Governing law ............................................................................................................................ 56 9.15. Compliance with applicable law ................................................................................................. 56 9.16. Miscellaneous provisions ........................................................................................................... 57

9.16.1. Entire Agreement ............................................................................................................. 57 9.16.2. Assignment ....................................................................................................................... 57 9.16.3. Severability ....................................................................................................................... 57 9.16.4. Enforcement (attorneys' fees and waiver of rights) ........................................................... 57 9.16.5. Force Majeure .................................................................................................................. 57

9.17. Other provisions ......................................................................................................................... 57 Appendix A: Sample Opinion LETTER ......................................................................................................... 58

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1. INTRODUCTION

1.1. OVERVIEWThisdocumentistheDigiCert,Inc.(“DigiCert”)CertificationPracticesStatement(CPS)thatoutlinestheprinciplesandpracticesrelatedtoDigiCert’scertificationandtime‐stampingservices.ThisCPSappliestoallentitiesparticipatinginorusingDigiCert’scertificateandtime‐stampingservices.ThisCPSdescribesthepracticesusedtocomplywiththeDigiCertCertificatePolicy(the“CP”),theAdobeSystemsInc.(“Adobe”)AATLCertificatePolicy,theFederalBridgeCertificationAuthority(“FBCA”)CertificatePolicy,andotherapplicablepolicies.DigiCertconformstothecurrentversionoftheguidelinesadoptedbytheCertificationAuthority/BrowserForum(“CABForum”)whenissuingpubliclytrustedcertificates,includingtheBaselineRequirementsfortheIssuanceandManagementofPublicly‐TrustedCertificates(“BaselineRequirements”)andtheGuidelinesforExtendedValidationCertificates(“EVGuidelines”)bothofwhicharepublishedathttps://www.cabforum.org.IfanyinconsistencyexistsbetweenthisCPSandtheBaselineRequirementsortheEVGuidelines,thentheEVGuidelinestakeprecedenceforEVCertificatesandtheBaselineRequirementstakeprecedenceforpubliclytrustedSSLcertificates.Time‐stampingservicesareprovidedaccordingtoIETFRFC3161andothertechnicalstandards.ThisCPSisonlyoneofseveraldocumentsthatcontrolDigiCert’scertificationservices.Otherimportantdocumentsincludebothprivateandpublicdocuments,suchastheCP,DigiCert’sagreementswithitscustomers,RelyingPartyagreements,andDigiCert’sprivacypolicy.DigiCertmayprovideadditionalcertificatepoliciesorcertificationpracticestatements.Thesesupplementalpoliciesandstatementsareavailabletoapplicableusersorrelyingparties.PursuanttotheIETFPKIXRFC3647CP/CPSframework,thisCPSisdividedintoninepartsthatcoverthesecuritycontrolsandpracticesandproceduresforcertificateandtime‐stampingserviceswithintheDigiCertPKI.TopreservetheoutlinespecifiedbyRFC3647,sectionheadingsthatdonotapplyhavethestatement"Notapplicable"or"Nostipulation."

1.2. DOCUMENTNAMEANDIDENTIFICATIONThisdocumentistheDigiCertCertificationPracticesStatementandwasapprovedforpublicationon9August2010bytheDigiCertPolicyAuthority(DCPA).Thefollowingrevisionsweremadetotheoriginaldocument:

Date Changes Version2‐May‐2013 Updatedmailingaddress. Also updatedpracticestocomplywith

newpolicyrequirements,theDirectTrustCP,changestotheAdobeprogram,andCABForumguidelines.

4.05

10‐May‐2012 UpdatedtoincludepracticessetforthintheBaselineRequirements,thecurrentMozillaCAPolicy,EVCodeSigning,theIGTF,andotherpolicybodies.

4.04

3‐May‐2011 IGTFCertificatesaddedandminorupdatesmadetoseveralsections.

4.03

29‐October‐2010 ChangesmadeinresponsetocommentsfromtheFPKICPWGregardingcertificatestatusservices,trustedroles,andoff‐sitebackupofarchive.

4.02

26‐August‐2010 Updatedtheprocessusedtoauthenticatethecertificaterequester’sauthorityundersection3.2.5forcodesigningcertificatesissuedtoorganizations

4.01

9‐August‐2010 Thisversion4.0replacestheDigiCertCertificatePolicyandCertificationPracticesStatement,Version3.08,datedMay29,2009,andtheDigiCertCertificationPracticeStatementforExtendedValidationCertificates,Version1.0.4,May29,2009.

4.0

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TheOIDforDigiCertisjoint‐iso‐ccitt(2)country(16)USA(840)US‐company(1)DigiCert(114412).TheOID‐arcforthisversion4oftheCPSis2.16.840.1.114412.0.2.4.SubsequentrevisionstothisCPSmighthavenewOIDassignments.DigiCertissuescertificatesandtime‐stamptokenscontainingthefollowingOIDs/OIDarcs:

DigitallySignedObject ObjectIdentifier(OID)DomainVettedSSLCertificatesandpertheBaselineRequirements

2.16.840.1.114412.1.2and/or2.23.140.1.2.1(CABForumBaselineReqs.)

OrganizationVettedSSLCertificatesandpertheBaselineRequirements

2.16.840.1.114412.1.1and/or2.23.140.1.2.2(CABForumBaselineReqs.)

IssuerCA(whereallowedbypolicy) 2.5.29.32.0 (anyPolicy)ExtendedValidationSSLCertificates 2.16.840.1.114412.2 and/or

2.23.140.1.1.X(CABForumEVGuidelines)ObjectSigningCertificates 2.16.840.1.114412.3 CodeSigningCertificates 2.16.840.1.114412.3.1 ExtendedValidationCodeSigning 2.16.840.1.114412.3.2 WindowsKernelDriverSigning 2.16.840.1.114412.3.11 AdobeSigningCertificate 2.16.840.1.114412.3.21ClientCertificateOIDArc 2.16.840.1.114412.4 Level1Certificates‐Personal 2.16.840.1.114412.4.1.1 Level1Certificates‐Enterprise 2.16.840.1.114412.4.1.2 Level2Certificates 2.16.840.1.114412.4.2 Level3Certificates‐US 2.16.840.1.114412.4.3.1 Level3Certificates‐CBP 2.16.840.1.114412.4.3.2 Level4Certificates‐US 2.16.840.1.114412.4.4.1 Level4Certificates‐CBP 2.16.840.1.114412.4.4.2PIV‐IOIDArc 2.16.840.1.114412.4.5

PIV‐IHardware‐keysrequireactivationbythePIV‐ICardholder(PIVAuth,DigSigandKeyManagement)

2.16.840.1.114412.4.5.1

PIV‐ICardAuthentication‐keysdonotrequirePIV‐ICardholderactivation

2.16.840.1.114412.4.5.2

PIV‐IContentSigning–usebyPIV‐I‐compliantCMS

2.16.840.1.114412.4.5.3

GridCertificateOIDArcs 2.16.840.1.114412.4.31 or2.16.840.1.114412.31(Grid‐onlyarc)

IGTFClassicX.509Authoritieswithsecuredinfrastructure

2.16.840.1.114412.4.31.1(Clientw/Public),2.16.840.1.114412.31.4.1.1(ClientGridOnly),and/or1.2.840.113612.5.2.2.1.x(IGTF)

IGTFMemberIntegratedX.509CredentialServiceswithSecuredInfrastructureCertificates

2.16.840.1.114412.4.31.5and/or1.2.840.113612.5.2.2.5.x(IGTF)

IGTFGridHost‐PublicTrust 2.16.840.1.114412.1.31.1IGTFGrid‐OnlyHostCertificate 2.16.840.1.114412.31.1.1.1,

1.2.840.113612.5.2.2.1.x(IGTF),and/or1.2.840.113612.5.2.2.5.x(IGTF)

Authentication‐OnlyCertificates 2.16.840.1.114412.6TrustedTime‐stamping 2.16.840.1.114412.7.1Legacyarc 2.16.840.1.114412.81Testarc 2.16.840.1.114412.99EUOIDs

EUQualifiedCertificates 0.4.0.1456.1.2

3

ETSITS101456EUQConSecureSignatureCreationDeviceETSITS101456

0.4.0.1456.1.1

ETSITS101862‐QualifiedCertificateStatements

0.4.0.1862.1.x

EUQualifiedTime‐stampingETSITS102023

0.4.0.2023.1.x

AllOIDsmentionedabovebelongtotheirrespectiveowners.ThespecificOIDsusedwhenobjectsaresignedpursuanttothisCPSareindicatedintheapplicableCertificateProfilesdocument.WhenDigiCertissuesanSSLcertificatecontainingoneoftheabove‐specifiedpolicyidentifiersfor“BaselineRequirements”,itassertsthatthecertificateismanagedinaccordancewiththeBaselineRequirements.CommercialBestPractices(“CBP”)differsfrom“US”inthattherearenotrustedrolecitizenshiprequirementsforanIssuerCAissuingunderaCBPpolicy,whereaspoliciesdesignated“US”mustfollowthecitizenshippracticessetforthinSection5.3.1.TheLegacyarcexiststoidentifycertificatesissuedforpurposeofachievingcompatibilitywithlegacysystemsthatareincapableofprocessingneweralgorithmsthatmightberequiredbycomparableindustrybestpractices,e.g.,toidentifycertificatessignedusingtheSHA‐1algorithmwhenSHA‐256wouldberequiredunderaCPthatDigiCerthascross‐certified.

1.3. PKIPARTICIPANTS

1.3.1. CertificationAuthoritiesDigiCertisacertificationauthority(CA)thatissuesdigitalcertificates.AsaCA,DigiCertperformsfunctionsassociatedwithPublicKeyoperations,includingreceivingcertificaterequests,issuing,revokingandrenewingadigitalcertificate,andmaintaining,issuing,andpublishingCRLsandOCSPresponses.GeneralinformationaboutDigiCert’sproductsandservicesareavailableatwww.digicert.com.DigiCert’sofflineself‐signedRootCAsissueCAcertificatestosubordinateCAsandcrosscertificatestootherRootCAsinaccordancewiththisCPS,applicablecross‐certification/federationpolicies,andDigiCert’smemorandaofagreementwiththoseexternallyoperatedCAs.An“externalsubordinateCA”isanunaffiliatedthirdpartythatisissuedaCACertificatebyDigiCertwherethePrivateKeyassociatedwiththatCACertificateisnotmaintainedunderthephysicalcontrolofDigiCert.InaccordancewithEUDirective99/93,DigiCertdoesnotallowexternalsubordinateCAstoissueEUQualifiedCertificates.InaccordancewithrequirementsoftheU.S.FederalPKIPolicyAuthority(FPKIPA),DigiCertnotifiestheFPKIPApriortoissuingaCAcertificatechainingtotheFederalBridgeCAtoanexternalsubordinateCA.AllexternalsubordinateCAsareprohibited,eithertechnicallyorcontractually,fromissuingcertificatestodomainnamesorIPaddressesthataSubscriberdoesnotlegitimatelyownorcontrol(i.e.issuanceforpurposesof“trafficmanagement”isprohibited),andexternalsubordinateCAsarerequiredtoimplementproceduresthatareatleastasrestrictiveasthosefoundherein.DigiCertisalsoatimestampingauthority(TSA)andprovidesproof‐of‐existencefordataataninstantintimeasdescribedherein.

1.3.2. RegistrationAuthoritiesandOtherDelegatedThirdPartiesDigiCertmaydelegatetheperformanceofcertainfunctionstoRegistrationAuthorities(RA)andotherthirdpartiestorequestcertificatesand/orperformidentificationandauthenticationforend‐usercertificates.ThespecificroleofanRAorDelegatedThirdPartyvariesgreatlybetweenentities,rangingfromsimpletranslationservicestoactualassistanceingatheringandverifyingApplicantinformation.SomeRAsoperateidentitymanagementsystems(IdMs)andmaymanagethecertificatelifecycleforend‐users.ForIGTFcertificates,designatedRAsareresponsibleforvettingtheidentityofeachcertificateapplicant.DigiCertcontractuallyobligateseachDelegatedThirdPartytoabidebythepoliciesandindustrystandardsthatare

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applicabletothatDelegatedThirdParty’sroleincertificateissuance,management,revocationorotherrelatedtaskthattheDelegatedThirdPartyperforms.RApersonnelinvolvedintheissuanceofpublicly‐trustedSSLCertificatesmustundergotheskillsandtrainingrequiredunderSection5.3.AnRAoridentitymanagement(IdM)systemsupportingaparticularcommunityofinterestwithcustomidentity‐vettingpracticesthatdifferfromthosefoundhereinmaysubmitdocumentationtotheDCPAforreviewandapproval.ThedocumentationmustcontainsufficientdetailtoensurethatalltasksrequiredbytheCPwillbeperformed.

1.3.3. SubscribersSubscribersuseDigiCert’sservicesandPKItosupporttransactionsandcommunications.Subscribersarenotalwaysthepartyidentifiedinacertificate,suchaswhencertificatesareissuedtoanorganization’semployees.TheSubjectofacertificateisthepartynamedinthecertificate.ASubscriber,asusedherein,referstoboththeSubjectofthecertificateandtheentitythatcontractedwithDigiCertforthecertificate’sissuance.Priortoverificationofidentityandissuanceofacertificate,aSubscriberisanApplicant.

1.3.4. RelyingPartiesRelyingPartiesareentitiesthatactinrelianceonacertificateand/ordigitalsignatureissuedbyDigiCert.RelyingpartiesmustchecktheappropriateCRLorOCSPresponsepriortorelyingoninformationfeaturedinacertificate.ThelocationoftheCRLdistributionpointisdetailedwithinthecertificate.

1.3.5. OtherParticipantsOtherparticipantsincludeAccreditationAuthorities(suchasPolicyManagementAuthorities,FederationOperators,ApplicationSoftwareVendors,andapplicableCommunity‐of‐Interestsponsors);BridgeCAsandCAsthatcross‐certifyDigiCertCAsastrustanchorsinotherPKIcommunities;CardManagementSystemsandintegrators(CMSs)thatensureproperoperationandprovisioningofPIV‐Icards;andTimeSourceEntities,TimeStampTokenRequesters,andTimeStampVerifiersinvolvedintrustedtimestamping.AccreditationAuthoritiesaregrantedanunlimitedrighttore‐distributeDigiCert’srootcertificatesandrelatedinformationinconnectionwiththeaccreditation.WhenissuingPIV‐Icards,DigiCertusesaCardManagementSystems(CMS)thatmeetstherequirementshereinresponsibleformanagingsmartcardtokencontent.DigiCertdoesnotissuecertificatestoaCMSthatincludeaPIV‐IHardwareorPIV‐ICardAuthenticationpolicyOID.DigiCerthascross‐certifiedwiththeFederalBridgeCertificationAuthority(FBCA)andhasbeenissuedcrosscertificatesbyEntrustandCybertrust.

1.4. CERTIFICATEUSAGEAdigitalcertificate(orcertificate)isformatteddatathatcryptographicallybindsanidentifiedsubscriberwithaPublicKey.Adigitalcertificateallowsanentitytakingpartinanelectronictransactiontoproveitsidentitytootherparticipantsinsuchtransaction.Digitalcertificatesareusedincommercialenvironmentsasadigitalequivalentofanidentificationcard.Atime‐stamptoken(TST)cryptographicallybindsarepresentationofdatatoaparticulartimestamp,thusestablishingevidencethatthedataexistedatacertainpointintime.

1.4.1. AppropriateCertificateUsesCertificatesissuedpursuanttothisCPSmaybeusedforalllegalauthentication,encryption,accesscontrol,anddigitalsignaturepurposes,asdesignatedbythekeyusageandextendedkeyusagefieldsfoundwithinthecertificate.However,thesensitivityoftheinformationprocessedorprotectedbyacertificatevariesgreatly,andeachRelyingPartymustevaluatetheapplicationenvironmentandassociatedrisksbeforedecidingonwhethertouseacertificateissuedunderthisCPS.ThisCPScoversseveraldifferenttypesofendentitycertificates/tokenswithvaryinglevelsofassurance.Thefollowingtableprovidesabriefdescriptionoftheappropriateusesofeach.Thedescriptionsareforguidanceonlyandarenotbinding.

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Certificate AppropriateUse

DVSSLCertificates Usedtosecureonlinecommunicationwheretherisksandconsequencesofdatacompromisearelow,includingnon‐monetarytransactionsortransactionswithlittleriskoffraudormaliciousaccess.

OVSSLCertificates Usedtosecureonlinecommunicationwheretherisksandconsequencesofdatacompromisearemoderate,includingtransactionshavingsubstantialmonetaryvalueorriskoffraudorinvolvingaccesstoprivateinformationwherethelikelihoodofmaliciousaccessissubstantial.

EVSSLCertificates Usedtosecureonlinecommunicationwhererisksandconsequencesofdatacompromisearehigh,includingtransactionshavinghighmonetaryvalue,riskoffraud,orwhereinvolvingaccesstoprivateinformationwherethelikelihoodofmaliciousaccessishigh.

CodeSigningCertificates,includingEVCodeSigning

EstablishestheidentityoftheSubscribernamedinthecertificateandthatthesignedcodehasnotbeenmodifiedsincesigning.

RudimentaryLevel1ClientCertificates‐Personal

Providesthelowestdegreeofassuranceconcerningidentityoftheindividualandisgenerallyusedonlytoprovidedataintegritytotheinformationbeingsigned.Thesecertificatesshouldonlybeusedwheretheriskofmaliciousactivityislowandifanauthenticatedtransactionisnotrequired.

Level1ClientCertificates‐Enterprise

Usedinenvironmentswheretherearerisksandconsequencesofdatacompromise,butsuchrisksarenotofmajorsignificance.Usersareassumednotlikelytobemalicious.

Level2ClientCertificates(FBCAbasicassurancecertificates)

Issuedtoidentity‐vettedindividuals.Certificatesspecifyifthenameisapseudonym.Usedinenvironmentswheretherearerisksandconsequencesofdatacompromise,butsuchrisksarenotofmajorsignificance.Usersareassumednotlikelytobemalicious.

Level3ClientCertificates(FBCAmediumcertificates)

Usedinenvironmentswhererisksandconsequencesofdatacompromisearemoderate,includingtransactionshavingsubstantialmonetaryvalueorriskoffraudorinvolvingaccesstoprivateinformationwherethelikelihoodofmaliciousaccessissubstantial.

Level4ClientCertificates(FBCAmediumhardwarecertificates)

Usedinenvironmentswhererisksandconsequencesofdatacompromisearehigh,includingtransactionshavinghighmonetaryvalueorriskoffraudorinvolvingaccesstoprivateinformationwherethelikelihoodofmaliciousaccessishigh.

DirectCertificates UsedtotransferhealthcareinformationinaccordancewiththeDirectProtocoladoptedbytheONC.DirectCertificatesareissuedasLevel2orLevel3Certificates.

AuthenticationOnly Usedwheretheidentityofthecertificateholderisirrelevantandwheretheriskofunauthorizedaccesstoasecuresiteislow.

IGTFandGrid‐onlyCertificates

SupportidentityassertionsandsystemauthenticationamongstparticipantsintheInternationalGridTrustFederation.IGTFCertificatesincludethoseissuedaspublicly‐trustedclientcertificatesandthoseissuedundertheGrid‐onlyarc.

PIV‐IHardwarePIV‐ICardAuthenticationPIV‐IContentSigningPIV‐IDigitalSignaturePIV‐IKeyManagement

Thislevelisrelevanttoenvironmentswhererisksandconsequencesofdatacompromisearemoderate.ThismayincludecontactlesssmartcardreaderswhereuseofanactivationPINisnotpractical.PersonalIdentityVerification–Interoperable(PIV‐I)cardsareintendedtotechnicallyinteroperatewithFederalPIVCardreadersandapplications.TherequirementsassociatedwithPIV‐IHardwareandPIV‐IContentSigningareidenticaltoLevel4Certificatesexcept

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wherespecificallynotedherein.PIV‐IContentSigningpolicyisreservedforcertificatesusedbytheCardManagementSystem(CMS)tosignthePIV‐Icardsecurityobjects

EUQualifiedCertificateandEUQConSecureSignatureCreationDevice

EUQualifiedCertificatesmayonlybeusedforsigning(ETSITS101456)

AdobeSigningCertificates UsedtosignAdobedocumentsandshowthattheportionofthedocumentsignedbytheauthorhasnotbeenmodifiedsincesigning.

TimeStampToken Usedtoidentifytheexistenceofdataatasetperiodoftime.

1.4.2. ProhibitedCertificateUsesCertificatesdonotguaranteethattheSubjectistrustworthy,honest,reputableinitsbusinessdealings,compliantwithanylaws,orsafetodobusinesswith.Acertificateonlyestablishesthattheinformationinthecertificatewasverifiedasreasonablycorrectwhenthecertificateissued.Codesigningcertificatesdonotindicatethatthesignedcodeissafetoinstallorfreefrommalware,bugs,orvulnerabilities.CertificatesissuedunderthisCPSmaynotbeused(i)foranyapplicationrequiringfail‐safeperformancesuchas(a)theoperationofnuclearpowerfacilities,(b)airtrafficcontrolsystems,(c)aircraftnavigationsystems,(d)weaponscontrolsystems,or(e)anyothersystemwhosefailurecouldleadtoinjury,deathorenvironmentaldamage;or(ii)whereprohibitedbylaw.CertificatesissuedundertheGrid‐onlyarccannotbeusedtoestablishtrustoutsideoftherelevantgridnetwork.

1.5. POLICYADMINISTRATION

1.5.1. OrganizationAdministeringtheDocumentThisCPSandthedocumentsreferencedhereinaremaintainedbytheDCPA,whichcanbecontactedat:

DigiCertPolicyAuthoritySuite5002600WestExecutiveParkwayLehi,UT84043USATel:1‐801‐877‐2100Fax:1‐801‐705‐0481

1.5.2. ContactPersonAttn:LegalCounselDigiCertPolicyAuthoritySuite5002600WestExecutiveParkwayLehi,UT84043USA

1.5.3. PersonDeterminingCPSSuitabilityforthePolicyTheDCPAdeterminesthesuitabilityandapplicabilityofthisCPSbasedontheresultsandrecommendationsreceivedfromanindependentauditor(seeSection8).TheDCPAisalsoresponsibleforevaluatingandactingupontheresultsofcomplianceaudits.

1.5.4. CPSApprovalProceduresTheDCPAapprovestheCPSandanyamendments.AmendmentsaremadeaftertheDCPAhasreviewedtheamendments’consistencywiththeCP,byeitherupdatingtheentireCPSorbypublishinganaddendum.TheDCPAdetermineswhetheranamendmenttothisCPSisconsistentwiththeCP,requiresnotice,oranOIDchange.SeealsoSection9.10andSection9.12below.

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1.6. DEFINITIONSANDACRONYMS“AffiliatedOrganization”meansanorganizationthathasanorganizationalaffiliationwithaSubscriberandthatapprovesorotherwiseallowssuchaffiliationtoberepresentedinacertificate.“Applicant”meansanentityapplyingforacertificate.“ApplicationSoftwareVendor”meansasoftwaredeveloperwhosesoftwaredisplaysorusesDigiCertcertificatesanddistributesDigiCert’srootcertificates.“CABForum”isdefinedinsection1.1.“CertificateApprover”isdefinedintheEVGuidelines.“CertificateRequester”isdefinedintheEVGuidelines.“ContractSigner”isdefinedintheEVGuidelines.“DirectAddress”meansanemailaddressconformingtotheApplicabilityStatementforSecureHealthTransport.“DirectAddressCertificate”meansacertificatecontaininganentireDirectAddress.“DirectDeviceCertificate”meansacertificatecontainingtheFQDNorIPaddressofahostmachine.“DirectOrganizationalCertificate”meansacertificatecontainingonlythedomainnameportionofaDirectAddress.“EUDirective99/93”meanstheEUCouncilDirective1999/93/ECoftheEuropeanParliamentandoftheCouncilof13December1999onaCommunityframeworkforElectronicSignatures,OJL13,19.01.2000,pp.12‐20.“EVGuidelines”isdefinedinsection1.1.“KeyPair”meansaPrivateKeyandassociatedPublicKey.“OCSPResponder”meansanonlinesoftwareapplicationoperatedundertheauthorityofDigiCertandconnectedtoitsrepositoryforprocessingcertificatestatusrequests.“PIV‐IProfile”meanstheX.509CertificateandCertificateRevocationList(CRL)ExtensionsProfileforPersonalIdentityVerificationInteroperable(PIV‐I)Cards,Ver.1.0,Date:April232010.“PrivateKey”meansthekeyofakeypairthatiskeptsecretbytheholderofthekeypair,andthatisusedtocreatedigitalsignaturesand/ortodecryptelectronicrecordsorfilesthatwereencryptedwiththecorrespondingPublicKey.“PublicKey”meansthekeyofakeypairthatmaybepubliclydisclosedbytheholderofthecorrespondingPrivateKeyandthatisusedbyaRelyingPartytoverifydigitalsignaturescreatedwiththeholder'scorrespondingPrivateKeyand/ortoencryptmessagessothattheycanbedecryptedonlywiththeholder'scorrespondingPrivateKey.“QualifiedCertificate”meansacertificatethatmeetstherequirementsinAnnexIofEUDirective99/93andisprovidedbyanIssuerCAmeetingtherequirementsofAnnexIIoftheDirective.

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“RelyingParty”meansanentitythatreliesuponeithertheinformationcontainedwithinacertificateoratime‐stamptoken.“RelyingPartyAgreement”meansanagreementwhichmustbereadandacceptedbytheRelyingPartypriortovalidating,relyingonorusingaCertificateoraccessingorusingDigiCert’sRepository.TheRelyingPartyAgreementisavailableforreferencethroughaDigiCertonlinerepository.“SecureSignatureCreationDevice”meansasignature‐creationdevicethatmeetstherequirementslaiddowninAnnexIIIofEUDirective99/93.“Subscriber”meanseithertheentityidentifiedasthesubjectinthecertificateortheentitythatisreceivingDigiCert’stime‐stampingservices.“SubscriberAgreement”meansanagreementthatgovernstheissuanceanduseofacertificatethattheApplicantmustreadandacceptbeforereceivingacertificate.“WebTrust”meansthecurrentversionoftheAICPA/CICAWebTrustProgramforCertificationAuthorities.“WebTrustEVProgram”meanstheadditionalauditproceduresspecifiedforCAsthatissueEVCertificatesbytheAICPA/CICAtobeusedinconjunctionwithitsWebTrustProgramforCertificationAuthorities.Acronyms:

AATL AdobeApprovedTrustListCA CertificateAuthorityorCertificationAuthorityCAB ”CA/Browser”asin“CABForum”CMS CardManagementSystemCP CertificatePolicyCPS CertificationPracticeStatementCRL CertificateRevocationListCSR CertificateSigningRequestDBA DoingBusinessAs(alsoknownas"TradingAs")DCPA DigiCertPolicyAuthorityETSI EuropeanTelecommunicationsStandardsInstituteEU EuropeanUnionEV ExtendedValidationFIPS (USGovernment)FederalInformationProcessingStandardFQDN FullyQualifiedDomainNameFTP FileTransferProtocolHISP HealthInformationServiceProviderHSM HardwareSecurityModuleHTTP HypertextTransferProtocolIANA InternetAssignedNumbersAuthorityICANN InternetCorporationforAssignedNamesandNumbersIdM IdentityManagementSystemIDN InternationalizedDomainNameISSO InformationSystemSecurityOfficerIETF InternetEngineeringTaskForceIGTF InternationalGridTrustFederationITU InternationalTelecommunicationUnionITU‐T ITUTelecommunicationStandardizationSectorMICS Member‐IntegratedCredentialService(IGTF)OCSP OnlineCertificateStatusProtocolOID ObjectIdentifierONC OfficeoftheNationalCoordinatorforHealthcare(U.S.)PIN PersonalIdentificationNumber(e.g.asecretaccesscode)

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PIV‐I PersonalIdentityVerification‐InteroperablePKI PublicKeyInfrastructurePKIX IETFWorkingGrouponPublicKeyInfrastructurePKCS PublicKeyCryptographyStandardRA RegistrationAuthorityRFC RequestforComments(atIETF.org)SHA SecureHashingAlgorithmSSCD SecureSignatureCreationDeviceSSL SecureSocketsLayerTLD Top‐LevelDomainTLS TransportLayerSecurityTSA TimeStampingAuthorityTST Time‐StampTokenURL UniformResourceLocatorUTC CoordinatedUniversalTimeX.509 TheITU‐TstandardforCertificatesandtheircorrespondingauthentication

framework

2. PUBLICATIONANDREPOSITORYRESPONSIBILITIES

2.1. REPOSITORIESDigiCertmakesitsrootcertificates,revocationdataforissueddigitalcertificates,CPs,CPSs,RelyingPartyAgreements,andstandardSubscriberAgreementsavailableinpublicrepositories.DigiCert’slegalrepositoryformostservicesislocatedathttp://www.digicert.com/ssl‐cps‐repository.htm.DigiCert’srepositoryforInternationalGridTrustislocatedathttp://www.digicert‐grid.com/.DigiCert’spubliclytrustedrootcertificatesanditsCRLsandOCSPresponsesareavailablethroughonlineresources24hoursaday,7daysaweekwithsystemsdescribedinSection5tominimizedowntime.

2.2. PUBLICATIONOFCERTIFICATIONINFORMATIONTheDigiCertcertificateservicesandtherepositoryareaccessiblethroughseveralmeansofcommunication:

1. Ontheweb:www.digicert.com(andviaURIsincludedinthecertificatesthemselves)2. [email protected]. Bymailaddressedto:DigiCert,Inc.,Suite500,2600WestExecutiveParkway,Lehi,Utah840434. BytelephoneTel:1‐801‐877‐21005. Byfax:1‐801‐705‐0481

2.3. TIMEORFREQUENCYOFPUBLICATIONCAcertificatesarepublishedinarepositoryassoonaspossibleafterissuance.CRLsforend‐usercertificatesareissuedatleastonceperday.CRLsforCAcertificatesareissuedatleastevery6months(every31daysforofflineCAschainingtotheFederalBridgeCA),andalsowithin18hoursifaCAcertificateisrevoked.Underspecialcircumstances,DigiCertmaypublishnewCRLspriortothescheduledissuanceofthenextCRL.(SeeSection4.9foradditionaldetails.)NewormodifiedversionsoftheCP,thisCPS,SubscriberAgreements,orRelyingPartyWarrantiesaretypicallypublishedwithinsevendaysaftertheirapproval.

2.4. ACCESSCONTROLSONREPOSITORIESRead‐onlyaccesstotherepositoryisunrestricted.Logicalandphysicalcontrolspreventunauthorizedwriteaccesstorepositories.

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3. IDENTIFICATIONANDAUTHENTICATION

3.1. NAMING

3.1.1. TypesofNamesCertificatesareissuedwithanon‐nullsubjectDistinguishedName(DN)thatcomplieswithITUX.500standards.WhenDNsareused,commonnamesmustrespectnamespaceuniquenessrequirementsandmustnotbemisleading.Thisdoesnotprecludetheuseofpseudonymouscertificates,exceptwherestatedotherwiseunderSection3.1.3.SomeSSL/TLScertificates,includingcertificatesforintranetuseandUnifiedCommunicationsCertificates,maycontainentriesinthesubjectalternativenameextensionthatarenotintendedtoberelieduponbythegeneralpublic(e.g.,theycontainnon‐standardtopleveldomainslike.localortheyareaddressedtoanIPnumberspacethathasbeenallocatedasprivatebyRFC1918).Theissuanceofpublicly‐trustedSSLcertificatestotheselocalIPaddressesorwithnon‐FQDN(DNS‐addressable)servernameshasbeendeprecated.UnlessotherwisemodifiedbytheCA/BrowserForuminitsBaselineRequirements,asofJuly1,2012,DigiCertwillnotissueapubliclytrustedSSLcertificatewithanExpiryDatelaterthanNovember1,2015ifithasasubjectAlternativeNameextensionorSubjectcommonNamefieldcontainingaReservedIPAddressorInternalServerName,andonOctober1,2016,DigiCertwillrevokeanyunexpiredcertificatecontaininganinternalservernameorreservedIPaddress.CertificatesforPIV‐Icardsincludebothanon‐nullsubjectnameandsubjectalternativename.EachPIV‐IHardwarecertificateindicateswhetherornottheSubscriberisassociatedwithanAffiliatedOrganizationbytakingoneofthefollowingforms:

ForcertificateswithanAffiliatedOrganization:cn=Subscriber'sfullname,ou=AffiliatedOrganizationName,{BaseDN}

ForcertificateswithnoAffiliatedOrganization:cn=Subscriber'sfullname,ou=Unaffiliated,ou=EntityCA’sName,{BaseDN}

EachPIV‐IContentSigningcertificatealsoclearlyindicatestheorganizationadministeringtheCMS.PIV‐ICardAuthenticationsubscribercertificatedonotincludeaSubscribercommonname.EachPIV‐ICardAuthenticationcertificateindicateswhetherornottheSubscriberisassociatedwithanAffiliatedOrganizationbytakingoneofthefollowingforms:

ForcertificateswithanAffiliatedOrganization:serialNumber=UUID,ou=AffiliatedOrganizationName,{BaseDN}

ForcertificateswithnoAffiliatedOrganization:serialNumber=UUID,ou=Unaffiliated,ou=EntityCA’sName,{BaseDN}

TheUUIDisencodedwithintheserialNumberattributeusingtheUUIDstringrepresentationdefinedinSection3ofRFC4122(e.g.,"f81d4fae‐7dec‐11d0‐a765‐00a0c91e6bf6").ThesubjectnameineachEUQualifiedCertificatecomplieswithsection3.1.2ofRFC3739

3.1.2. NeedforNamestobeMeaningfulDigiCertusesdistinguishednamesthatidentifyboththesubjectandissuerofthecertificate.DigiCertonlyallowsdirectoryinformationtreesthataccuratelyreflectorganizationstructures.

3.1.3. AnonymityorPseudonymityofSubscribersGenerally,DigiCertdoesnotissueanonymousorpseudonymouscertificates;however,forIDNs,DigiCertmayincludethePunycodeversionoftheIDNasasubjectname.DigiCertmayalsoissueotherpseudonymousend‐entitycertificatesprovidedthattheyarenotprohibitedbypolicyandanyapplicablenamespaceuniquenessrequirementsaremet.

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3.1.4. RulesforInterpretingVariousNameFormsDistinguishedNamesincertificatesareinterpretedusingX.500standardsandASN.1syntax.SeeRFC2253andRFC2616forfurtherinformationonhowX.500distinguishednamesincertificatesareinterpretedasUniformResourceIdentifiersandHTTPreferences.

3.1.5. UniquenessofNamesTheuniquenessofeachsubjectnameinacertificateisenforcedasfollows:SSLServerCertificates Inclusionofthedomainnameinthe Certificate.Domainname

uniquenessiscontrolledbytheInternetCorporationforAssignedNamesandNumbers(ICANN).

ClientCertificates Requiringauniqueemailaddress ora uniqueorganizationnamecombined/associatedwithauniqueserialinteger.

IGTFandGrid‐onlyDeviceCertificates

Fordevicecertificates,anFQDNisincludedintheappropriatefields.Forothercertificates,DigiCertmayappendauniqueIDtoanamelistedinthecertificate.

CodeSigningCertificates(includingCDSCertificates)

Requiringauniqueorganizationnameandaddressorauniqueorganizationnamecombined/associatedwithauniqueserialinteger.

TimeStamping Requiringauniquehashandtimeoruniqueserialintegerassignedtothetimestamp

3.1.6. Recognition,Authentication,andRoleofTrademarksSubscribersmaynotrequestcertificateswithcontentthatinfringesontheintellectualpropertyrightsofanotherentity.UnlessotherwisespecificallystatedinthisCPS,DigiCertdoesnotverifyanApplicant’srighttouseatrademarkanddoesnotresolvetrademarkdisputes.DigiCertmayrejectanyapplicationorrequirerevocationofanycertificatethatispartofatrademarkdispute.

3.2. INITIALIDENTITYVALIDATIONDigiCertmayuseanylegalmeansofcommunicationorinvestigationtoascertaintheidentityofanorganizationalorindividualApplicant.DigiCertmayrefusetoissueaCertificateinitssolediscretion.

3.2.1. MethodtoProvePossessionofPrivateKeyDigiCertestablishesthattheApplicantholdsorcontrolsthePrivateKeycorrespondingtothePublicKeybyperformingsignatureverificationordecryptionondatapurportedtohavebeendigitallysignedorencryptedwiththePrivateKeybyusingthePublicKeyassociatedwiththecertificaterequest.

3.2.2. AuthenticationofOrganizationIdentityDVSSLServerCertificates DigiCertvalidatestheApplicant’srighttouseorcontrolthedomain

namesthatwillbelistedinthecertificateusingoneormoreofthefollowingprocedures:

1. RelyingonpubliclyavailablerecordsfromtheDomainNameRegistrar,suchasWHOISorotherDNSrecordinformation;

2. Communicatingwithoneofthefollowingemailaddresses:[email protected],[email protected],[email protected],hostmaster@domain,postmaster@domain,oranyaddresslistedinthetechnical,registrant,oradministrativecontactfieldofthedomain’sRegistrarrecord;

3. Requiringapracticaldemonstrationofdomaincontrol(e.g.,requiringtheApplicanttomakeaspecifiedchangetoalivepageonthegivendomain);and/or

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4. Adomainauthorizationletter,providedthelettercontains

thesignatureofanauthorizedrepresentativeofthedomainholder,adatethatisonorafterthecertificaterequest,alistoftheapprovedfully‐qualifieddomainname(s),andastatementgrantingtheApplicanttherighttousethedomainnamesinthecertificate.DigiCertalsocontactsthedomainnameholderusingareliablethird‐partydatasourcetoconfirmtheauthenticityofthedomainauthorizationletter;and/or

5. AsimilarprocedurethatoffersanequivalentlevelofassuranceintheApplicant’sownership,control,orrighttousetheDomainName.

DigiCertverifiesanincludedcountrycodeusing(a)theIPAddressrangeassignmentbycountryforeither(i)thewebsite’sIPaddress,asindicatedbytheDNSrecordforthewebsiteor(ii)theApplicant’sIPaddress;(b)theccTLDoftherequestedDomainName;or(c)informationprovidedbytheDomainNameRegistrar.

OVSSLServer,ObjectSigning,andDeviceCertificates(excludingdevicecertificatesissuedundertheGrid‐onlyarc)

DigiCertvalidatestheApplicant’srighttouseorcontroltheDomainName(s)thatwillbelistedintheCertificateusingtheDVSSLServerCertificatevalidationproceduresabove.DigiCertalsoverifiestheidentityandaddressoftheApplicantusing:

1. areliablethirdparty/governmentdatabasesorthroughcommunicationwiththeentityorjurisdictiongoverningtheorganization’slegalcreation,existence,orrecognition;

2. asitevisit;3. anattestationletterthatissignedbyanaccountant,

lawyer,governmentofficial,orotherreliablethirdparty;or

4. foraddressonly,autilitybill,bankstatement,creditcardstatement,taxdocument,orotherreliableformofidentification.

DigiCertverifiesanyDBAincludedinacertificateusingathirdpartyorgovernmentsource,attestationletter,orreliableformofidentification.

DevicecertificatesissuedundertheGrid‐onlyarc

AnRAorTrustedAgentvalidatestheapplicant’sinformationinaccordancewithanRPS(orsimilardocument)applicabletothecommunityofinterest.

EVSSLandEVCodeSigningCertificates

InformationconcerningorganizationidentityrelatedtotheissuanceofEVCertificatesisvalidatedinaccordancewiththeEVGuidelines.

Level1ClientCertificates‐Enterprise

DigiCertverifies organizationalcontrolovertheemaildomainusingauthenticationproceduressimilartothoseusedbyDigiCertwhenestablishingdomainownershipbyanorganizationbeforeissuanceofaDVorOVSSLServerCertificate.

Level2,3,and4ClientCertificates

Ifthecertificatecontainsorganizationinformation,DigiCertobtainsdocumentationfromtheorganizationsufficienttoconfirmthattheindividualhasanaffiliationwiththeorganizationnamedinthecertificate.

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PIV‐I Forcertificatesthatassertanorganizationalaffiliationbetweenahumansubscriberandanorganization,DigiCertverifiestheorganization’sidentityandlegalexistenceandtheorganizationisrequiredtoenterintoanagreementauthorizingorrecognizingthataffiliationandrequiringthattheorganizationrequestrevocationofthecertificatewhenthataffiliationends.

DigiCertmaintainsandutilizesascoringsystemtoflagcertificaterequeststhatpotentiallypresentahigherriskoffraud.Thosecertificaterequeststhatareflagged“highrisk”receiveadditionalscrutinyorverificationpriortoissuance,whichmayincludeobtainingadditionaldocumentationfromoradditionalcommunicationwiththeApplicant.BeforeissuinganSSLcertificatewithadomainnamethathasnotbeenpreviouslyverifiedaswithinthescopeofanRA’sorotherDelegatedThirdParty’salloweddomainnames,DigiCertestablishesthattheRAorDelegatedThirdPartyhastherighttousetheDomainNamebyindependentlyverifyingtheauthorizationwiththedomainowner,asdescribedabove,orbyusingotherreliablemeans,suchasperformingaDNSlookuptodeterminewhetherthereisamatchingDNSrecordthatpointstotheDelegatedThirdParty’sIPaddressordomainnamespace.

3.2.3. AuthenticationofIndividualIdentityIfacertificatewillcontaintheidentityofanindividual,thenDigiCertoranRAvalidatestheidentityoftheindividualusingthefollowingprocedures:

Certificate ValidationOVSSLServerCertificatesandObjectSigningCertificates(issuedtoanindividual)

1. DigiCertortheRAobtainsa legiblecopy,whichdiscerniblyshowstheApplicant’sface,ofatleastonecurrentlyvalidgovernment‐issuedphotoID(passport,driver’slicense,militaryID,nationalID,orequivalentdocumenttype).DigiCertortheRAinspectsthecopyforanyindicationofalterationorfalsification.

2. DigiCertmayadditionallycross‐checktheApplicant’sname

andaddressforconsistencywithavailablethirdpartydatasources.

3. Iffurtherassuranceisrequired,thentheApplicantmust

provideanadditionalformofidentification,suchasrecentutilitybills,financialaccountstatements,creditcard,anadditionalIDcredential,orequivalentdocumenttype.

4. DigiCertortheRAconfirmsthattheApplicantisableto

receivecommunicationbytelephone,postalmail/courier,orfax.

IfDigiCertcannotverifytheApplicant’sidentityusingtheproceduresdescribedabove,thentheApplicantmustsubmitaDeclarationofIdentitythatiswitnessedandsignedbyaRegistrationAuthority,TrustedAgent,notary,lawyer,accountant,postalcarrier,oranyentitycertifiedbyaStateorNationalGovernmentasauthorizedtoconfirmidentities.

DeviceCertificateSponsors

Seesection3.2.3.3

EVCertificatesissuedtoasoleproprietor

AsspecifiedintheEVGuidelines

Grid‐onlyCertificates EithertheRAresponsibleforthegridcommunityoraTrusted

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Agentobtainsan identitydocumentduringaface‐to‐facemeetingwiththeApplicant,oraTrustedAgentatteststhattheApplicantispersonallyknowntotheTrustedAgent.TheRAmustretainsufficientinformationabouttheapplicant’sidentitytoproveuponDigiCert’srequestthattheapplicantwasproperlyidentified.

AuthenticationCertificates Theentitycontrollingthesecurelocationmustrepresentthatthecertificateholderisauthorizedtoaccessthelocation.

Level1ClientCertificates–Personal(emailcertificates)(EquivalenttoNIST800‐63/KantaraLevel1andFBCACPRudimentary)

DigiCertoranRAverifiesApplicant'scontroloftheemailaddressorwebsitelistedinthecertificate.

Level1ClientCertificates‐Enterprise(EquivalenttoNIST800‐63/KantaraLevel1,FBCACPRudimentaryandCitizen&CommerceClassCommonCP(C4)AssuranceLevel‐2.16.840.1.101.3.2.1.14.2)

Anyoneofthefollowing:1. In‐personappearancebeforeapersonperformingidentity

proofingforaRegistrationAuthorityoraTrustedAgentwithpresentmentofanidentitycredential(e.g.,driver'slicenseorbirthcertificate).

2. Usingproceduressimilartothoseusedwhenapplyingforconsumercreditandauthenticatedthroughinformationinconsumercreditdatabasesorgovernmentrecords,suchas:a. theabilitytoplaceorreceivecallsfromagivennumber;orb. theabilitytoobtainmailsenttoaknownphysicaladdress.

3. Throughinformationderivedfromanongoingbusinessrelationshipwiththecredentialproviderorapartnercompany(e.g.,afinancialinstitution,airline,employer,orretailcompany).Acceptableinformationincludes:a. theabilitytoobtainmailatthebillingaddressusedinthe

businessrelationship;b. verificationofinformationestablishedinprevious

transactions(e.g.,previousordernumber);orc. theabilitytoplacecallsfromorreceivephonecallsata

phonenumberusedinpreviousbusinesstransactions.

4. AnymethodusedtoverifytheidentityofanApplicantforaLevel2,3,or4ClientCertificate.

Level2ClientCertificatesandIGTFClassic/MICSCertificates(EquivalenttoNIST800‐63Level2/KantaraLevel2,andFBCACPBasic)

TheCAoranRAconfirms that thefollowingareconsistentwiththeapplicationandsufficienttoidentifyauniqueindividual: (a) thenameonthegovernment‐issuedphoto‐IDreferencedbelow; (b) dateofbirth;and (c) currentaddressorpersonaltelephonenumber.1. In‐personappearancebeforeapersonperformingidentity

proofingforaRegistrationAuthorityoraTrustedAgent(orentitycertifiedbyastate,federal,ornationalentityasauthorizedtoconfirmidentities)withpresentmentofareliableformofcurrentgovernment‐issuedphotoID.

2. TheApplicantmustpossessavalid,current,government‐issued,

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photoID.TheRegistrationAuthorityorTrustedAgentperformingidentityproofingmustobtainandreview,whichmaybethroughremoteverification,thefollowinginformationabouttheApplicant:(i)name,dateofbirth,andcurrentaddressortelephonenumber;(ii)serialnumberassignedtotheprimary,government‐issuedphotoID;and(iii)oneadditionalformofIDsuchasanothergovernment‐issuedID,anemployeeorstudentIDcardnumber,telephonenumber,afinancialaccountnumber(e.g.,checkingaccount,savingsaccount,loanorcreditcard),orautilityserviceaccountnumber(e.g.,electricity,gas,orwater)foranaddressmatchingtheapplicant’sresidence.Identityproofingthroughremoteverificationmayrelyondatabaserecordcheckswithanagent/institutionorthroughcreditbureausorsimilardatabases.

DigiCertoranRAmayconfirmanaddressbyissuingcredentialsinamannerthatconfirmstheaddressofrecordorbyverifyingknowledgeofrecentaccountactivityassociatedwiththeApplicant’saddressandmayconfirmatelephonenumberbysendingachallenge‐responseSMStextmessageorbyrecordingtheapplicant’svoiceduringacommunicationafterassociatingthetelephonenumberwiththeapplicantinrecordsavailabletoDigiCertortheRA.3. WhereDigiCertoranRAhasacurrentandongoingrelationship

withtheApplicant,identitymaybeverifiedthroughtheexchangeofapreviouslyexchangedsharedsecret(e.g.,aPINorpassword)thatmeetsorexceedsNISTSP800‐63Level2entropyrequirements,providedthat:(a)identitywasoriginallyestablishedwiththedegreeofrigorequivalenttothatrequiredin1or2aboveusingagovernment‐issuedphoto‐ID,and(b)anongoingrelationshipexistssufficienttoensuretheApplicant’scontinuedpersonalpossessionofthesharedsecret.

4. Anyofthemethodsusedtoverifytheidentityofanapplicantfor

aDigiCertLevel3or4ClientCertificate.

Level3ClientCertificates(EquivalenttoNIST800‐63/KantaraLevel3andFBCACPMediumandMediumHardware)

In‐personproofingbeforeanRA,TrustedAgent, oranentitycertifiedbyastate,federal,ornationalentitythatisauthorizedtoconfirmidentities.Theinformationmustbecollectedandstoredinasecuremanner.RequiredidentificationconsistsofoneunexpiredFederal/NationalGovernment‐issuedPictureI.D.(e.g.apassport),aREALID,ortwounexpiredNon‐FederalGovernmentI.D.s,oneofwhichmustbeaphotoI.D.(e.g.,driver’slicense).Thepersonperformingidentityproofingexaminesthecredentialsforauthenticityandvalidityandcheckstheprovidedinformation(name,dateofbirth,andcurrentaddress)toensurelegitimacy.TheApplicantsignsaDeclarationofIdentity,definedbelow,towhichthepersonperformingidentityproofingattests.DigiCertortheRAreviewsandkeepsarecordoftheDeclarationofIdentity.AtrustrelationshipbetweenanRAorTrustedAgentandtheapplicantthatisbasedonanin‐personantecedent(asdefinedinFBCASupplementaryAntecedent,In‐PersonDefinition)sufficesas

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meetingthein‐personidentityproofingrequirement providedthat(1)itmeetsthethoroughnessandrigorofin‐personproofingdescribedabove,(2)supportingIDproofingartifactsexisttosubstantiatetheantecedentrelationship,and(3)mechanismsareinplacethatbindtheindividualtotheassertedidentity.TheidentityoftheApplicantmustbeestablishedbyin‐personproofingnoearlierthan30dayspriortoinitialcertificateissuance.

Level4ClientCertificates(BiometricIDcertificates)(EquivalenttoNIST800‐63/KantaraLevel4andFBCACPMediumHardware)

In‐personproofingbeforeanRA,TrustedAgent, oranentitycertifiedbyastate,federal,ornationalentitythatisauthorizedtoconfirmidentities.AcertifiedentitymustforwardthecollectedinformationdirectlytoanRAinasecuremanner.TheApplicantmustsupplyoneunexpiredFederal/NationalGovernment‐issuedPictureI.D.(e.g.apassport),aREALID,ortwounexpiredNon‐FederalGovernmentI.D.s,oneofwhichmustbeaphotoI.D.(e.g.,driver’slicense).Theentitycollectingthecredentialsmustalsoobtainatleastoneformofbiometricdata(e.g.photographorfingerprints)toensurethattheApplicantcannotrepudiatetheapplication.ThepersonperformingidentityverificationforDigiCertortheRAexaminesthecredentialsforauthenticityandvalidity.TheApplicantsignsaDeclarationofIdentity,definedbelow,towhichthepersonperformingidentityproofingattests.DigiCertortheRAreviewsandkeepsarecordoftheDeclarationofIdentity.Useofanin‐personantecedentisnotallowed.TheidentityoftheApplicantmustbeestablishedbyin‐personproofingnoearlierthan30dayspriortoinitialcertificateissuance.Level4ClientCertificatesareissuedinamannerthatconfirmstheApplicant’saddress.

PIV‐ICertificates PIV‐IHardwarecertificatesare onlyissuedtohumansubscribers.ThefollowingbiometricdataiscollectedbyDigiCert,anRA,oraTrustedAgentduringtheidentityproofingandregistrationprocess:1. Anelectronicfacialimageusedforprintingfacialimageonthe

cardandforvisualauthenticationduringcardusage.Anewfacialimageiscollectedeachtimeacardisissued;and

2. Twoelectronicfingerprintsarestoredonthecardforautomatedauthenticationduringcardusage.

TheSubscribermustalsopresenttwoidentitysourcedocumentsinoriginalformthatcomefromthelistofacceptabledocumentsincludedinFormI‐9,OMBNo.1115‐0136,EmploymentEligibilityVerification.AtleastonedocumentmustbeavalidStateorFederalGovernment‐issuedpictureidentification(ID).ForPIV‐I,theuseofanin‐personantecedentisnotapplicable.Identityisestablishednomorethan30dayspriortoinitialcertificateissuance.

EUQualifiedCertificates Usingidentityandattributevalidationproceduresinaccordancewithnationallaw.Evidenceofidentityischeckeddirectlyagainstaphysicalpersonorindirectlyusingmeanswhichprovidesequivalentassurancetophysicalpresence.

AcceptableformsofgovernmentIDincludeadriver'slicense,state‐issuedphotoIDcard,passport,nationalidentitycard,permanentresidentcard,trustedtravelercard,tribalID,militaryID,orsimilarphotoidentificationdocument.Acceptableformsofnon‐governmentIDincludeavoidedcheckfromacurrent

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checkingaccount,recentutilitybillshowingApplicant’sname,address,andutilityaccountnumber,socialsecuritycard,orsimilardocument.ADeclarationofIdentityconsistsof:

1. theidentityofthepersonperformingtheverification,2. asigneddeclarationbytheverifyingpersonstatingthattheyverifiedtheidentityoftheSubscriberas

requiredusingtheformatsetforthat28U.S.C.1746(declarationunderpenaltyofperjury)orcomparableprocedureunderlocallaw,

3. auniqueidentifyingnumberfromtheverifier’sidentification,4. auniqueidentifyingnumberfromtheApplicant’sidentification,5. thedateandtimeoftheverification,and6. adeclarationofidentitybytheApplicantthatissigned(inhandwritingorusingadigitalsignature)

inthepresenceofthepersonperformingtheverificationusingtheformatsetforthat28U.S.C.1746(declarationunderpenaltyofperjury)orcomparableprocedureunderlocallaw.

Ifin‐personidentityverificationisrequiredandtheApplicantcannotparticipateinface‐to‐faceregistrationalone(e.g.becauseApplicantisanetworkdevice,minor,orpersonnotlegallycompetent),thentheApplicantmaybeaccompaniedbyapersonalreadycertifiedbythePKIorwhohastherequiredidentitycredentialsforacertificateofthesametypeappliedforbytheApplicant.ThepersonaccompanyingtheApplicant(i.e.the“Sponsor”)willpresentinformationsufficientforregistrationatthelevelofthecertificatebeingrequested,forhimselforherself,andfortheApplicant.Forin‐personidentityproofingatLevels3and4andforPIV‐I,DigiCertmayrelyonanentitycertifiedbyastate,federal,ornationalentityasauthorizedtoconfirmidentitiesmayperformtheauthenticationonbehalfoftheRA.ThecertifiedentityshouldforwardtheinformationcollectedfromtheapplicantdirectlytotheRAinasecuremanner..

3.2.3.1. Authentication for Role‐based Client Certificates DigiCertmayissuecertificatesthatidentifyaspecificrolethattheSubscriberholds,providedthattheroleidentifiesaspecificindividualwithinanorganization(e.g.,ChiefInformationOfficerisauniqueindividualwhereasProgramAnalystisnot).Theserole‐basedcertificatesareusedwhennon‐repudiationisdesired.DigiCertonlyissuesrole‐basedcertificatestoSubscriberswhofirstobtainanindividualSubscribercertificatethatisatthesameorhigherassurancelevelastherequestedrole‐basedcertificate.DigiCertmayissuecertificateswiththesameroletomultipleSubscribers.However,DigiCertrequiresthateachcertificatehaveauniquekeypair.Individualsmaynotsharetheirissuedrole‐basedcertificatesandarerequiredtoprotecttherole‐basedcertificateinthesamemannerasindividualcertificates.DigiCertverifiestheidentityoftheindividualrequestingarole‐basedcertificate(thesponsor)inaccordancewithSection3.2.3beforeissuingarole‐basedcertificate.ThesponsormustholdaDigiCert‐issuedclientindividualcertificateatthesameorhigherassurancelevelastherole‐basedcertificate.Ifthecertificateisapseudonymouscertificatecross‐certifiedwiththeFBCAthatidentifiessubjectsbytheirorganizationalroles,thenDigiCertoranRAvalidatesthattheindividualeitherholdsthatroleorhastheauthoritytosignonbehalfoftherole.IGTFandEUQualifiedCertificatesarenotissuedasrole‐basedcertificates.

3.2.3.2. Authentication for Group Client Certificates DigiCertissuesgroupcertificates(acertificatethatcorrespondstoaPrivateKeythatissharedbymultipleSubscribers)ifseveralentitiesareactinginonecapacityandifnon‐repudiationisnotrequired.DirectAddressCertificatesandDirectOrganizationalCertificatesmaybeusedasgroupcertificatesconsistentwithapplicablerequirementsoftheDirectProgram.DigiCertortheRArecordstheinformationidentifiedinSection3.2.3forasponsorbeforeissuingagroupcertificate.ThesponsormustbeatleastanInformationSystemsSecurityOfficer(ISSO)oroftheequivalentrankorgreaterwithintheorganization.

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Thesponsorisresponsibleforensuringcontroloftheprivatekey.ThesponsormustmaintainandcontinuouslyupdatealistofSubscriberswithaccesstotheprivatekeyandaccountforthetimeperiodduringwhicheachSubscriberhadcontrolofthekey.GroupcertificatesmaylisttheidentityofanindividualinthesubjectNameDNprovidedthecertificatealsospecifiesinthesubjectthatitisagroupcertificate.Clientcertificatesissuedtoanorganizationarealwaysconsideredagroupclientcertificate.

3.2.3.3. Authentication of Devices with Human Sponsors DigiCertissuesLevel1,2,3or4ClientandFederatedDeviceCertificatesforuseoncomputingornetworkdevices,providedthattheentityowningthedeviceislistedasthesubject.Inallcases,thedevicehasahumansponsorwhoprovides:

1. Equipmentidentification(e.g.,serialnumber)orservicename(e.g.,DNSname),2. Equipmentpublickeys,3. Equipmentauthorizationsandattributes(ifanyaretobeincludedinthecertificate),and4. Contactinformation.

Ifthecertificate’ssponsorchanges,thenewsponsorisrequiredtoreviewthestatusofeachdevicetoensureitisstillauthorizedtoreceivecertificates.Eachsponsorisrequiredtoprovideproofthatthedeviceisstillunderthesponsor’scontrolorresponsibilityonrequest.SponsorsarecontractuallyobligatedtonotifyDigiCertiftheequipmentisnolongerinuse,nolongerundertheircontrolorresponsibility,ornolongerrequiresacertificate.Allregistrationisverifiedcommensuratewiththerequestedcertificatetype.

3.2.4. Non‐verifiedSubscriberInformationLevel1‐PersonalClientCertificatesareverifiedbyemail,andthecommonnameisnotverifiedasthelegalnameoftheSubscriber.DVSSLServerCertificatesdonotincludeaverifiedorganizationalidentity.Bothofthesecertificatetypesincludeanoticeadvisingpotentialrelyingpartiesthatthecertificateholder’sidentitywasnotverified.SubjecttothedeprecationdatelistedinSection3.1.1,OVSSLCertificatesmaycontainapseudo‐domainforusewithintheSubscriber’sinternal,non‐public‐DNSnetworks.DigiCertdoesnotissueSSLcertificatestodomainnamesorIPaddressesthataSubscriberdoesnotlegitimatelyownorcontrol.DigiCertmayrelyontheSubscriber’sindicationofthehostorservernamethatformsthefullyqualifieddomainname.Anyothernon‐verifiedinformationincludedinacertificateisdesignatedassuchinthecertificate.UnverifiedinformationisneverincludedinaLevel2,Level,3,Level4,PIV‐I,ObjectSigning,EVSSL,FederatedDevice,orEUQualifiedCertificate.,

3.2.5. ValidationofAuthorityTheauthorizationofacertificaterequestisverifiedasfollows:

Certificate VerificationDVSSLServerCertificate Therequest isverifiedwithanauthorizedcontactlistedwiththe

DomainNameRegistrar,throughapersonwithcontroloverthedomain,orthroughanout‐of‐bandconfirmationwiththeapplicant.Apersonwithaccesstoonemoreofthefollowingemailaddressesisconsideredtohavecontroloverthedomain:[email protected],[email protected],[email protected],hostmaster@domain,postmaster@domain,oranyaddresslistedasacontactfieldofthedomain’sDomainNameRegistrarrecord.

OVSSLServerandFederatedDeviceCertificates

InadditiontotheprocessstatedforDVSSLServerCertificatesabove,therequestisverifiedinaccordancewithSection11.2.3oftheBaselineRequirementsusingareliablemethodofcommunication.

EVCertificates TherequestisverifiedinaccordancewiththeEVGuidelines.ObjectSigningCertificates Therequester’scontactinformationisverifiedwithanauthoritative

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andAdobeSigningCertificates

sourcewithintheapplicant’sorganization(e.g.corporate,legal,IT,HR,orotherappropriateorganizationalsources)usingareliablemethodofcommunication.Thecontactinformationisthenusedtoconfirmtheauthenticityofthecertificaterequest.

Level1ClientCertificates‐Personal(emailcertificates)

Therequestisverifiedthroughtheemailaddresslistedinthecertificate.

Level1ClientCertificates‐Enterprise(emailcertificates)

Therequestisverifiedwithapersonwhohastechnicaloradministrativecontroloverthedomainandtheemailaddresstobelistedinthecertificate.

ClientCertificatesLevels2,3and4andPIV‐ICertificates

TheorganizationnamedinthecertificateconfirmstoDigiCertoranRAthattheindividualisauthorizedtoobtainthecertificate.Theorganizationisrequiredtorequestrevocationofthecertificatewhenthataffiliationends.

DirectAddressandDirectOrganizationCertificates

Theentitynamedinthecertificatemayauthorize aHISPtoorderthecertificateandusetherelatedprivatekeyontheentity’sbehalf.TheHISPISSOisresponsiblefortrackingaccesstoandensuringproperuseoftheprivatekey.

IGTFCertificates Anauthorizedindividualapprovesthecertificaterequest.Fordevicecertificates,theRAretainscontactinformationforeachdevice’sregisteredowner.ThedeviceownerisrequiredtonotifytheRAandrequestrevocationifthedevicesponsorisnolongerauthorizedtousethedeviceortheFQDNinthecertificate.

EUQualifiedCertificates DigiCertverifies thattheindividualisassociatedwiththeorganizationlistedinthecertificate(ifany)andthattheorganizationconsentedtotheissuanceofthecertificate.

AnorganizationmaylimitwhoisauthorizedtorequestcertificatesbysendingarequesttoDigiCert.ArequesttolimitauthorizedindividualsisnoteffectiveuntilapprovedbyDigiCert.DigiCertwillrespondtoanorganization’sverifiedrequestforDigiCert’slistofitsauthorizedrequesters.

3.3. IDENTIFICATIONANDAUTHENTICATIONFORRE‐KEYREQUESTS

3.3.1. IdentificationandAuthenticationforRoutineRe‐keySubscribersmayrequestre‐keyofacertificatepriortoacertificate’sexpiration.Afterreceivingarequestforre‐key,DigiCertcreatesanewcertificatewiththesamecertificatecontentsexceptforanewPublicKeyand,optionally,anextendedvalidityperiod.Ifthecertificatehasanextendedvalidityperiod,DigiCertmayperformsomerevalidationoftheApplicantbutmayalsorelyoninformationpreviouslyprovidedorobtained.Subscribersre‐establishtheiridentityasfollows:

Certificate RoutineRe‐KeyAuthentication Re‐VerificationRequiredDVandOVSSLServerandDeviceCertificates

Usernameandpassword Atleastevery39months

EVSSLCertificates Usernameandpassword AccordingtotheEVGuidelinesSubscriberEVCodeSigningCertificates


SigningAuthorityEVCodeSigningCertificates


TimestampEVCodeSigningCertificates


ObjectSigningCertificates(includingAdobeSigningCertificates)

Usernameandpassword Atleasteverysixyears

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Level1ClientCertificates Usernameandpassword AtleasteverynineyearsLevel2ClientCertificates Sharedsecret(PIN/password)

meetingNIST800‐63Level2entropyrequirements(TableA.2)

Atleasteverynineyears

Level3and4ClientCertificatesandPIV‐ICertificates

Currentsignaturekey Atleasteverynineyears

IGTFCertificates Usernameandpassword,RAattestationaftercomparisonofidentitydocuments,re‐authenticatethroughanapprovedIdM,orthroughassociatedprivatekey

Atleastevery13months.However,certificatesassociatedwithaprivatekeyrestrictedsolelytoahardwaretokenmayberekeyedorrenewedforaperiodofupto5years

AuthenticationCertificates Usernameandpasswordorwithassociatedprivatekey

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DigiCertdoesnotre‐keyacertificatewithoutadditionalauthenticationifdoingsowouldallowtheSubscribertousethecertificatebeyondthelimitsdescribedabove.

3.3.2. IdentificationandAuthenticationforRe‐keyAfterRevocationIfacertificatewasrevokedforanyreasonotherthanarenewal,update,ormodificationaction,thentheSubscribermustundergotheinitialregistrationprocesspriortorekeyingthecertificate.

3.4. IDENTIFICATIONANDAUTHENTICATIONFORREVOCATIONREQUESTDigiCertoranRAauthenticatesallrevocationrequests.DigiCertmayauthenticaterevocationrequestsbyreferencingtheCertificate’sPublicKey,regardlessofwhethertheassociatedPrivateKeyiscompromised.

4. CERTIFICATELIFE‐CYCLEOPERATIONALREQUIREMENTS

4.1. CERTIFICATEAPPLICATION

4.1.1. WhoCanSubmitaCertificateApplicationEithertheApplicantoranindividualauthorizedtorequestcertificatesonbehalfoftheApplicantmaysubmitcertificaterequests.ApplicantsareresponsibleforanydatathattheApplicantoranagentoftheApplicantsuppliestoDigiCert.EVCertificaterequestsmustbesubmittedbyanauthorizedCertificateRequesterandapprovedbyaCertificateApprover.Thecertificaterequestmustbeaccompaniedbyasigned(inwritingorelectronically)SubscriberAgreementfromaContractSigner.DigiCertdoesnotissuecertificatestoentitiesonagovernmentdeniedlistmaintainedbytheUnitedStatesorthatislocatedinacountrywithwhichthelawsoftheUnitedStatesprohibitdoingbusiness.

4.1.2. EnrollmentProcessandResponsibilitiesInnoparticularorder,theenrollmentprocessincludes:

1. Submittingacertificateapplication,2. Generatingakeypair,3. DeliveringthepublickeyofthekeypairtoDigiCert,4. AgreeingtotheapplicableSubscriberAgreement,and5. Payinganyapplicablefees.

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4.2. CERTIFICATEAPPLICATIONPROCESSING

4.2.1. PerformingIdentificationandAuthenticationFunctionsAfterreceivingacertificateapplication,DigiCertoranRAverifiestheapplicationinformationandotherinformationinaccordancewithSection3.2.IfanRAassistsintheverification,theRAmustcreateandmaintainrecordssufficienttoestablishthatithasperformeditsrequiredverificationtasksandcommunicatethecompletionofsuchperformancetoDigiCert.Afterverificationiscomplete,DigiCertevaluatesthecorpusofinformationanddecideswhetherornottoissuethecertificate.Aspartofthisevaluation,DigiCertchecksthecertificateagainstaninternaldatabaseofpreviouslyrevokedcertificatesandrejectedcertificaterequeststoidentifysuspiciouscertificaterequests.IfsomeorallofthedocumentationusedtosupportanapplicationisinalanguageotherthanEnglish,aDigiCertemployee,RA,oragentskilledinthelanguageperformsthefinalcross‐correlationandduediligence.DigiCertconsidersasource’savailability,purpose,andreputationwhendeterminingwhetherathirdpartysourceisreasonablyreliable.DigiCertdoesnotconsideradatabase,source,orformofidentificationreasonablyreliableifDigiCertortheRAisthesolesourceoftheinformation.

4.2.2. ApprovalorRejectionofCertificateApplicationsDigiCertrejectsanycertificateapplicationthatDigiCertoranRAcannotverify.DigiCertmayalsorejectacertificateapplicationifDigiCertbelievesthatissuingthecertificatecoulddamageordiminishDigiCert’sreputationorbusiness.ExceptforEnterpriseEVCertificates,EVCertificateissuanceapprovalrequirestwoseparateDigiCertvalidationspecialists.ThesecondvalidationspecialistcannotbethesameindividualwhocollectedthedocumentationandoriginallyapprovedtheEVCertificate.Thesecondvalidationspecialistreviewsthecollectedinformationanddocumentsanydiscrepanciesordetailsthatrequirefurtherexplanation.Thesecondvalidationspecialistmayrequireadditionalexplanationsanddocumentspriortoauthorizingthecertificate’sissuance.EnterpriseRAsmayperformthefinalcross‐correlationandduediligencedescribedhereinusingasinglepersonrepresentingtheEnterpriseRA.Ifsatisfactoryexplanationsand/oradditionaldocumentsarenotreceivedwithinareasonabletime,DigiCertwillrejecttheEVCertificaterequestandnotifytheApplicantaccordingly.IfthecertificateapplicationisnotrejectedandissuccessfullyvalidatedinaccordancewiththisCPS,DigiCertwillapprovethecertificateapplicationandissuethecertificate.DigiCertisnotliableforanyrejectedcertificateandisnotobligatedtodisclosethereasonsforarejection.RejectedApplicantsmayre‐apply.Subscribersarerequiredtocheckthecertificate’scontentsforaccuracypriortousingthecertificate.

4.2.3. TimetoProcessCertificateApplicationsUndernormalcircumstances,DigiCertverifiesanApplicant’sinformationandissuesadigitalcertificatewithinareasonabletimeframe.IssuancetimeframesaregreatlydependentonwhentheApplicantprovidesthedetailsanddocumentationnecessarytocompletevalidation.Fornon‐EVSSLcertificates,DigiCertwillusuallycompletethevalidationprocessandissueorrejectacertificateapplicationwithintwoworkingdaysafterreceivingallofthenecessarydetailsanddocumentationfromtheApplicant.Occasionally,eventsoutsideofthecontrolofDigiCertmightdelaytheissuanceprocess.

4.3. CERTIFICATEISSUANCE

4.3.1. CAActionsduringCertificateIssuanceDigiCertdoesnotissueendentitycertificatesdirectlyfromitsrootcertificates.DatabasesandCAprocessesoccurringduringcertificateissuanceareprotectedfromunauthorizedmodification.Afterissuanceiscomplete,thecertificateisstoredinadatabaseandsenttotheSubscriber.

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4.3.2. NotificationtoSubscriberbytheCAofIssuanceofCertificateDigiCertmaydelivercertificatesinanysecuremannerwithinareasonabletimeafterissuance.Generally,DigiCertdeliverscertificatesviaemailtotheemailaddressdesignatedbytheSubscriberduringtheapplicationprocess.

4.4. CERTIFICATEACCEPTANCE

4.4.1. ConductConstitutingCertificateAcceptanceSubscribersaresolelyresponsibleforinstallingtheissuedcertificateontheSubscriber’scomputerorhardwaresecuritymodule.Certificatesareconsideredacceptedontheearlierof(i)theSubscriber’suseofthecertificateor(ii)30daysafterthecertificate’sissuance.

4.4.2. PublicationoftheCertificatebytheCADigiCertpublishesallCAcertificatesinitsrepository.DigiCertpublishesend‐entitycertificatesbydeliveringthemtotheSubscriber.

4.4.3. NotificationofCertificateIssuancebytheCAtoOtherEntitiesRAsmayreceivenotificationofacertificate’sissuanceiftheRAwasinvolvedintheissuanceprocess.

4.5. KEYPAIRANDCERTIFICATEUSAGE

4.5.1. SubscriberPrivateKeyandCertificateUsageSubscribersarecontractuallyobligatedtoprotecttheirPrivateKeysfromunauthorizeduseordisclosure,discontinueusingaPrivateKeyafterexpirationorrevocationoftheassociatedcertificate,andusePrivateKeysonlyasspecifiedinthekeyusageextension.

4.5.2. RelyingPartyPublicKeyandCertificateUsageRelyingPartiesmayonlyusesoftwarethatiscompliantwithX.509,IETFRFCs,andotherapplicablestandards.DigiCertdoesnotwarrantthatanythirdpartysoftwarewillsupportorenforcethecontrolsandrequirementsfoundherein.ARelyingPartyshouldusediscretionwhenrelyingonacertificateandshouldconsiderthetotalityofthecircumstancesandriskoflosspriortorelyingonacertificate.Ifthecircumstancesindicatethatadditionalassurancesarerequired,theRelyingPartymustobtainsuchassurancesbeforeusingthecertificate.AnywarrantiesprovidedbyDigiCertareonlyvalidifaRelyingParty’sreliancewasreasonableandiftheRelyingPartyadheredtotheRelyingPartyAgreementsetforthintheDigiCertrepository.ARelyingPartyshouldrelyonadigitalsignatureorSSL/TLShandshakeonlyif:

1. thedigitalsignatureorSSL/TLSsessionwascreatedduringtheoperationalperiodofavalidcertificateandcanbeverifiedbyreferencingavalidcertificate,

2. thecertificateisnotrevokedandtheRelyingPartycheckedtherevocationstatusofthecertificatepriortothecertificate’susebyreferringtotherelevantCRLsorOCSPresponses,and

3. thecertificateisbeingusedforitsintendedpurposeandinaccordancewiththisCPS.Beforerelyingonatime‐stamptoken,aRelyingPartymust:

1. verifythatthetime‐stamptokenhasbeencorrectlysignedandthatthePrivateKeyusedtosignthetime‐stamptokenhasnotbeencompromisedpriortothetimeoftheverification,

2. takeintoaccountanylimitationsontheusageofthetime‐stamptokenindicatedbythetime‐stamppolicy,and

3. takeintoaccountanyotherprecautionsprescribedinthisCPSorelsewhere.

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4.6. CERTIFICATERENEWAL

4.6.1. CircumstanceforCertificateRenewalDigiCertmayrenewacertificateif:

1. theassociatedpublickeyhasnotreachedtheendofitsvalidityperiod,2. theSubscribernameandattributesareunchanged,and3. theassociatedprivatekeyremainsuncompromised.

DigiCertmayalsorenewacertificateifaCAcertificateisre‐keyed.DigiCertmaynotifySubscriberspriortoacertificate’sexpirationdate.Certificaterenewalrequirespaymentofadditionalfees.

4.6.2. WhoMayRequestRenewalOnlyanauthorizedrepresentativeofaSubscribermayrequestrenewaloftheSubscriber’scertificates.DigiCertmayrenewacertificatewithoutacorrespondingrequestifthesigningcertificateisre‐keyed.

4.6.3. ProcessingCertificateRenewalRequestsRenewalapplicationrequirementsandproceduresaregenerallythesameasthoseusedduringthecertificate’soriginalissuance.DigiCertmayelecttoreusepreviouslyverifiedinformationinitssolediscretionbutwillrefreshanyinformationthatisolderthantheperiodsspecifiedinSection3.3.1.DigiCertmayrefusetorenewacertificateifitcannotverifyanyrecheckedinformation.Ifanindividualisrenewingaclientcertificateandtheindividual’slocationandDomainNameRegistrarinformationhavenotchanged,thenDigiCertdoesnotrequireanyadditionalidentityvetting. Somedeviceplatforms,e.g.Apache,allowreneweduseofthePrivateKey.IfthePrivateKey,domaininformation,andidentityinformationinanSSLcertificatehavenotchanged,theSubscribermayrenewtheSSLcertificateusingapreviouslyprovidedCSR.

4.6.4. NotificationofNewCertificateIssuancetoSubscriberDigiCertmaydeliverthecertificateinanysecurefashion,typicallybyemailorbyprovidingtheSubscriberahypertextlinktoauserid/password‐protectedlocationwherethesubscribermayloginanddownloadthecertificate.

4.6.5. ConductConstitutingAcceptanceofaRenewalCertificateRenewedcertificatesareconsideredacceptedontheearlierof(i)theSubscriber’suseofthecertificateor(ii)30daysafterthecertificate’srenewal.

4.6.6. PublicationoftheRenewalCertificatebytheCADigiCertpublishesarenewedcertificatebydeliveringittotheSubscriber.RenewedCAcertificatesarepublishedinDigiCert’srepository.

4.6.7. NotificationofCertificateIssuancebytheCAtoOtherEntitiesRAsmayreceivenotificationofacertificate’srenewaliftheRAwasinvolvedintheissuanceprocess.

4.7. CERTIFICATERE‐KEY

4.7.1. CircumstanceforCertificateRekeyRe‐keyingacertificateconsistsofcreatinganewcertificatewithanewpublickeyandserialnumberwhilekeepingthesubjectinformationthesame.Thenewcertificatemayhaveadifferentvaliditydate,keyidentifiers,CRLandOCSPdistributionpoints,andsigningkey.Afterre‐keyingacertificate,DigiCertmayrevoketheoldcertificatebutmaynotfurtherre‐key,renew,ormodifytheoldcertificate.

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4.7.2. WhoMayRequestCertificateRekeyDigiCertmayinitiateacertificatere‐keyattherequestofthecertificatesubjectorinDigiCert’sowndiscretion.

4.7.3. ProcessingCertificateRekeyRequestsIfthePrivateKeyandanyidentityanddomaininformationinacertificatehavenotchanged,thenDigiCertcanissueareplacementcertificateusingthepreviouslyprovidedCSR.Otherwise,theSubscribermustsubmitanewCSR.DigiCertre‐usesexistingverificationinformationunlessre‐verificationisrequiredundersection3.3.1orifDigiCertbelievesthattheinformationhasbecomeinaccurate.

4.7.4. NotificationofCertificateRekeytoSubscriberDigiCertnotifiestheSubscriberwithinareasonabletimeafterthecertificateissues.

4.7.5. ConductConstitutingAcceptanceofaRekeyedCertificateIssuedcertificatesareconsideredacceptedontheearlierof(i)theSubscriber’suseofthecertificateor(ii)30daysafterthecertificateisrekeyed.

4.7.6. PublicationoftheIssuedCertificatebytheCADigiCertpublishesrekeyedcertificatesbydeliveringthemtoSubscribers.

4.7.7. NotificationofCertificateIssuancebytheCAtoOtherEntitiesRAsmayreceivenotificationofacertificate’srekeyiftheRAwasinvolvedintheissuanceprocess.

4.8. CERTIFICATEMODIFICATIONModifyingacertificatemeanscreatinganewcertificateforthesamesubjectwithauthenticatedinformationthatdiffersslightlyfromtheoldcertificate(e.g.,changestoemailaddressornon‐essentialpartsofnamesorattributes)providedthatthemodificationotherwisecomplieswiththisCPS.Thenewcertificatemayhavethesameoradifferentsubjectpublickey.Aftermodifyingacertificate,DigiCertcanrevoketheoldcertificatebutwillnotfurtherre‐key,renew,ormodifytheoldcertificate.

4.8.1. WhoMayRequestCertificateModificationDigiCertmodifiescertificatesattherequestofcertaincertificatesubjectsorinitsowndiscretion.DigiCertdoesnotmakecertificatemodificationservicesavailabletoallSubscribers.

4.8.2. ProcessingCertificateModificationRequestsAfterreceivingarequestformodification,DigiCertverifiesanyinformationthatwillchangeinthemodifiedcertificate.DigiCertwillonlyissuethemodifiedcertificateaftercompletingtheverificationprocessonallmodifiedinformation.DigiCertwillnotissueamodifiedcertificatethathasavalidityperiodthatexceedstheapplicabletimelimitsfoundinsection3.3.1or6.3.2.

4.8.3. NotificationofCertificateModificationtoSubscriberDigiCertnotifiestheSubscriberwithinareasonabletimeafterthecertificateissues.

4.8.4. ConductConstitutingAcceptanceofaModifiedCertificateIssuedcertificatesareconsideredacceptedontheearlierof(i)theSubscriber’suseofthecertificateor(ii)30daysafterthecertificateisrekeyed.

4.8.5. PublicationoftheModifiedCertificatebytheCADigiCertpublishesmodifiedcertificatesbydeliveringthemtoSubscribers.

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4.8.6. NotificationofCertificateModificationbytheCAtoOtherEntitiesRAsmayreceivenotificationofacertificate’smodificationiftheRAwasinvolvedintheissuanceprocess.

4.9. CERTIFICATEREVOCATIONANDSUSPENSION

4.9.1. CircumstancesforRevocationRevocationofacertificatepermanentlyendstheoperationalperiodofthecertificatepriortothecertificatereachingtheendofitsstatedvalidityperiod.Priortorevokingacertificate,DigiCertverifiestheidentityandauthorityoftheentityrequestingrevocation.DigiCertmayrevokeanycertificateinitssolediscretion.DigiCertmayrevokeacertificateifDigiCertbelievesthat:

1. TheSubscriberrequestedrevocationofitscertificate;2. TheSubscriberdidnotauthorizetheoriginalcertificaterequestanddidnotretroactivelygrant

authorization;3. EitherthePrivateKeyassociatedwiththecertificateorthePrivateKeyusedtosignthecertificate

wascompromisedormisused;4. TheSubscriberbreachedamaterialobligationundertheCP,theCPS,ortherelevantSubscriber

Agreement;5. EithertheSubscriber’sorDigiCert’sobligationsundertheCPorCPSaredelayedorpreventedby

circumstancesbeyondtheparty’sreasonablecontrol,includingcomputerorcommunicationfailure,and,asaresult,anotherentity’sinformationismateriallythreatenedorcompromised;

6. TheSubscriber,sponsor,orotherentitythatwasissuedthecertificatehaslostitsrightstoaname,trademark,device,IPaddress,domainname,orotherattributethatwasassociatedwiththecertificate;

7. Awildcardcertificatewasusedtoauthenticateafraudulentlymisleadingsubordinatedomainname;8. ThecertificatewasnotissuedinaccordancewiththeCP,CPS,orapplicableindustrystandards;9. DigiCertreceivedalawfulandbindingorderfromagovernmentorregulatorybodytorevokethe

certificate;10. DigiCertceasedoperationsanddidnotarrangeforanothercertificateauthoritytoprovide

revocationsupportforthecertificates;11. DigiCert'srighttomanagecertificatesunderapplicableindustrystandardswasterminated(unless

arrangementshavebeenmadetocontinuerevocationservicesandmaintaintheCRL/OCSPRepository);

12. AnyinformationappearingintheCertificatewasorbecameinaccurateormisleading;13. ThetechnicalcontentorformatoftheCertificatepresentsanunacceptablerisktoapplication

softwarevendors,RelyingParties,orothers;14. TheSubscriberwasaddedasadeniedpartyorprohibitedpersontoablacklistorisoperatingfroma

destinationprohibitedunderthelawsoftheUnitedStates;15. ForAdobeSigningCertificates,Adobehasrequestedrevocation;or16. Forcode‐signingcertificates,thecertificatewasusedtosign,publish,ordistributemalware,code

thatisdownloadedwithoutuserconsent,orotherharmfulcontent.DigiCertalwaysrevokesacertificateifthebindingbetweenthesubjectandthesubject’spublickeyinthecertificateisnolongervalidorifanassociatedPrivateKeyiscompromised.DigiCertwillrevokeacross‐certificateifthecross‐certifiedentity(includingDigiCert)nolongermeetsthestipulationsofthecorrespondingpolicies,asindicatedbypolicyOIDslistedinthepolicymappingextensionofthecross‐certificate.

4.9.2. WhoCanRequestRevocationAnyappropriatelyauthorizedpartymayrequestrevocationofacertificate.Subscribersmayrequestrevocationthroughtheiraccount.DigiCertmayrequirethataspecificpersonmaketherevocationrequest.Alegallyrecognizedrepresentativeofeitherpartytoacross‐signedCAcertificatemayrequestrevocation.

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DigiCertwillrevokeacertificateifthereissufficientevidenceofcompromiseorlossoftheprivatekey.DigiCertmayrevokeacertificatewithoutreceivingarequestandwithoutreason.Thirdpartiesmayrequestcertificaterevocationforproblemsrelatedtofraud,misuse,orcompromise.Certificaterevocationrequestsmustidentifytheentityrequestingrevocationandspecifythereasonforrevocation.

4.9.3. ProcedureforRevocationRequestDigiCertprocessesarevocationrequestasfollows:

1. DigiCertpersonnellogtheidentityofentitymakingtherequestorproblemreportandthereasonforrequestingrevocation.DigiCertmayalsoincludeitsownreasonsforrevocationinthelog.

2. DigiCertmayrequestconfirmationoftherevocationfromaknownadministrator,whereapplicable,viaout‐of‐bandcommunication(e.g.,telephone,fax,etc.).

3. IftherequestisauthenticatedasoriginatingfromtheSubscriber,DigiCertrevokesthecertificate.4. Forrequestsfromthirdparties,DigiCertpersonnelbegininvestigatingtherequestwithin24hours

afterreceiptanddecidewhetherrevocationisappropriatebasedonthefollowingcriteria:a. thenatureoftheallegedproblem,b. thenumberofreportsreceivedaboutaparticularcertificateorwebsite,c. theidentityofthecomplainants(forexample,complaintsfromalawenforcementofficial

thatawebsiteisengagedinillegalactivitieshavemoreweightthanacomplaintfromaconsumerallegingtheyneverreceivedthegoodstheyordered),and

d. relevantlegislation.5. IfDigiCertdeterminesthatrevocationisappropriate,DigiCertpersonnelrevokethecertificateand

updatetheCRL.DigiCertmaintainsacontinuous24/7abilitytointernallyrespondtoanyhighpriorityrevocationrequests.Ifappropriate,DigiCertforwardscomplaintstolawenforcement.WheneveraPIV‐ICardisnolongervalid,theRAresponsibleforitsissuanceormaintenanceisrequiredtocollectthePIV‐ICardfromtheSubscriberassoonaspossibleanddestroythePIV‐ICard.TheRAmustlogthecollectionandphysicaldestructionofeachPIV‐ICard.

4.9.4. RevocationRequestGracePeriodSubscribersarerequiredtorequestrevocationwithinonedayafterdetectingthelossorcompromiseofthePrivateKey.DigiCertmaygrantandextendrevocationgraceperiodsonacase‐by‐casebasis.DigiCertreportsthesuspectedcompromiseofitsCAprivatekeyandrequestsrevocationtoboththepolicyauthorityandoperatingauthorityofthesuperiorissuingCAwithinonehourofdiscovery.

4.9.5. TimewithinwhichCAMustProcesstheRevocationRequestDigiCertwillrevokeaCAcertificatewithinonehourafterreceivingclearinstructionsfromtheDCPA.Othercertificatesarerevokedasquicklyaspracticalaftervalidatingtherevocationrequest,generallywithinthefollowingtimeframes:

1. Certificaterevocationrequestsforpublicly‐trustedcertificatesareprocessedwithin18hoursaftertheirreceipt,

2. RevocationrequestsreceivedtwoormorehoursbeforeCRLissuanceareprocessedbeforethenextCRLispublished,and

3. RevocationrequestsreceivedwithintwohoursofCRLissuanceareprocessedbeforethefollowingCRLispublished.

4.9.6. RevocationCheckingRequirementforRelyingPartiesPriortorelyingoninformationlistedinacertificate,aRelyingPartymustconfirmthevalidityofeachcertificateinthecertificatepathinaccordancewithIETFPKIXstandards,includingcheckingforcertificatevalidity,issuer‐to‐subjectnamechaining,policyandkeyuseconstraints,andrevocationstatusthroughCRLsorOCSPrespondersidentifiedineachcertificateinthechain.

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4.9.7. CRLIssuanceFrequencyDigiCertusesitsofflinerootCAstopublishCRLsforitsintermediateCAsatleastevery6months.ForanofflineCAthathasbeencross‐signedbytheFederalBridgeCAandonlyissuesCAcertificates,certificate‐status‐checkingcertificates,orinternaladministrativecertificates,DigiCertissuesaCRLatleastevery31days.AllotherCRLsarepublishedatleastevery24hours.IfaCertificateisrevokedforreasonofkeycompromise,aninterimCRLispublishedassoonasfeasible,butnolaterthan18hoursafterreceiptofthenoticeofkeycompromise.

4.9.8. MaximumLatencyforCRLsCRLsforcertificatesissuedtoendentitysubscribersarepostedautomaticallytotheonlinerepositorywithinacommerciallyreasonabletimeaftergeneration,usuallywithinminutesofgeneration.Irregular,interim,oremergencyCRLsarepostedwithinfourhoursaftergenerationandwithin18hoursofdeterminingoftheoccurrenceofakeycompromise.RegularlyscheduledCRLsarepostedpriortothenextUpdatefieldinthepreviouslyissuedCRLofthesamescope.

4.9.9. On‐lineRevocation/StatusCheckingAvailabilityDigiCertmakescertificatestatusinformationavailableviaOCSPforSSLandPIV‐Icertificates.OCSPmaynotbeavailableforotherkindsofcertificates.WhereOCSPsupportisrequiredbytheapplicableCP,OCSPresponsesareprovidedwithinacommerciallyreasonabletimeandnolaterthansixsecondsaftertherequestisreceived,subjecttotransmissionlatenciesovertheInternet.

4.9.10. On‐lineRevocationCheckingRequirementsArelyingpartymustconfirmthevalidityofacertificateinaccordancewithsection4.9.6priortorelyingonthecertificate.

4.9.11. OtherFormsofRevocationAdvertisementsAvailableNostipulation.

4.9.12. SpecialRequirementsRelatedtoKeyCompromiseDigiCertusescommerciallyreasonableeffortstonotifypotentialRelyingPartiesifitdiscoversorsuspectsthecompromiseofaPrivateKey.DigiCertwilltransitionanyrevocationreasoncodeinaCRLto“keycompromise”upondiscoveryofsuchreasonorasrequiredbyanapplicableCP.Ifacertificateisrevokedbecauseofcompromise,DigiCertwillissueanewCRLwithin18hoursafterreceivingnoticeofthecompromise.

4.9.13. CircumstancesforSuspensionNotapplicable.

4.9.14. WhoCanRequestSuspensionNotapplicable.

4.9.15. ProcedureforSuspensionRequestNotapplicable.

4.9.16. LimitsonSuspensionPeriodNotapplicable.

4.10. CERTIFICATESTATUSSERVICES

4.10.1. OperationalCharacteristicsCertificatestatusinformationisavailableviaCRLandOCSPresponder.TheserialnumberofarevokedcertificateremainsontheCRLuntiloneadditionalCRLispublishedaftertheendofthecertificate’svalidityperiod,exceptforrevokedEVCodeSigningCertificates,whichremainontheCRLforatleast365daysfollowingthecertificate’svalidityperiod.OCSPinformationforsubscribercertificatesisupdatedatleast

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everyfourdays.OCSPinformationforsubordinateCAcertificatesisupdatedatleastevery12monthsandwithin24hoursafterrevokingthecertificate.

4.10.2. ServiceAvailabilityCertificatestatusservicesareavailable24x7withoutinterruption.

4.10.3. OptionalFeaturesOCSPRespondersmaynotbeavailableforallcertificatetypes.

4.11. ENDOFSUBSCRIPTIONASubscriber’ssubscriptionserviceendsifitscertificateexpiresorisrevokedoriftheapplicableSubscriberAgreementexpireswithoutrenewal.

4.12. KEYESCROWANDRECOVERY

4.12.1. KeyEscrowandRecoveryPolicyPractices

DigiCertneverescrowsCAPrivateKeys.DigiCertmayescrowSubscriberkeymanagementkeystoprovidekeyrecoveryservices.DigiCertencryptsandprotectsescrowedPrivateKeysusingthesameorahigherlevelofsecurityasusedtogenerateanddeliverthePrivateKey.ASubscriber’sprivatesignaturekeysarenotescrowedexceptasallowedbyothersupersedingpoliciesoragreementsamongSubscribers,RelyingParties,andescrowagents.DigiCertallowsSubscribersandotherauthorizedentitiestorecoverescrowed(decryption)PrivateKeys.DigiCertusesmulti‐personcontrolsduringkeyrecoverytopreventunauthorizedaccesstoaSubscriber’sescrowedPrivateKeys.DigiCertacceptskeyrecoveryrequests:

1. FromtheSubscriberorSubscriber’sorganization,iftheSubscriberhaslostordamagedtheprivatekeytoken;

2. FromtheSubscriber’sorganization,iftheSubscriberisnotavailableorisnolongerpartoftheorganizationthatcontractedwithDigiCertforPrivateKeyescrow;

3. Fromanauthorizedinvestigatororauditor,ifthePrivateKeyispartofarequiredinvestigationoraudit;

4. Fromarequesterauthorizedbyacompetentlegalauthoritytoaccessthecommunicationthatisencryptedusingthekey;

5. Fromarequesterauthorizedbylaworgovernmentalregulation;or6. FromanentitycontractingwithDigiCertforescrowofthePrivateKeywhenkeyrecoveryismission

criticalormissionessential. EntitiesusingDigiCert’skeyescrowservicesarerequiredto:

1. NotifySubscribersthattheirPrivateKeysareescrowed;2. Protectescrowedkeysfromunauthorizeddisclosure;3. ProtectanyauthenticationmechanismsthatcouldbeusedtorecoverescrowedPrivateKeys;4. Releaseanescrowedkeyonlyaftermakingorreceiving(asapplicable)aproperlyauthorizedrequest

forrecovery;and5. Complywithanylegalobligationstodiscloseorkeepconfidentialescrowedkeys,escrowedkey‐

relatedinformation,orthefactsconcerninganykeyrecoveryrequestorprocess.

4.12.2. SessionKeyEncapsulationandRecoveryPolicyandPractices

Nostipulation.

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5. FACILITY,MANAGEMENT,ANDOPERATIONALCONTROLS

5.1. PHYSICALCONTROLS

5.1.1. SiteLocationandConstructionDigiCertperformsitsCAandTSAoperationsfromsecureandgeographicallydiversecommercialdatacenters.ThedatacentersareequippedwithlogicalandphysicalcontrolsthatmakeDigiCert’sCAandTSAoperationsinaccessibletonon‐trustedpersonnel.DigiCertoperatesunderasecuritypolicydesignedtodetect,deter,andpreventunauthorizedaccesstoDigiCert'soperations.

5.1.2. PhysicalAccessDigiCertprotectsitsequipmentfromunauthorizedaccessandimplementsphysicalcontrolstoreducetheriskofequipmenttampering.ThesecurepartsofDigiCertCAhostingfacilitiesareprotectedusingphysicalaccesscontrolsmakingthemaccessibleonlytoappropriatelyauthorizedindividuals.ThebuildingshousingDigiCert’sCAandTSAsystemshavesecuritypersonnelondutyfulltime(24hoursperday,365daysperyear).Accesstosecureareasofthebuildingsrequirestheuseofan"access"or"pass"card.Thebuildingsareequippedwithmotiondetectingsensors,andtheexteriorandinternalpassagewaysofthebuildingsareunderconstantvideosurveillance.DigiCertsecurelystoresallremovablemediaandpapercontainingsensitiveplain‐textinformationrelatedtoitsCAoperationsinsecurecontainersinaccordancewithitsDataClassificationPolicy.

5.1.2.1. Data Center AccesstothedatacentershousingtheCAandTSAplatformsrequirestwo‐factorauthentication—theindividualmusthaveanauthorizedaccesscardandpassbiometricaccesscontrolauthenticators.Thesebiometricauthenticationaccesssystemslogeachuseoftheaccesscard.DigiCertdeactivatesandsecurelystoresitsCAequipmentwhennotinuse.Activation data must either be memorized or recorded and stored in a manner commensurate with the security afforded the cryptographic module. Activation data is never stored with the cryptographic module or removable hardware associated with equipment used to administer DigiCert’s private keys.Cryptographichardwareincludesamechanismtolockthehardwareafteracertainnumberoffailedloginattempts.The DigiCert facility is continuously attended. However,ifDigiCerteverbecomesawarethatadatacenteristobeleftunattendedorhasbeenleftunattendedforanextendedperiodoftime,DigiCertpersonnelwillperformasecuritycheckofthedatacentertoverifythat:

1. DigiCert’sequipmentisinastateappropriatetothecurrentmodeofoperation,2. Anysecuritycontainersareproperlysecured,3. Physicalsecuritysystems(e.g.,doorlocks)arefunctioningproperly,and4. Theareaissecuredagainstunauthorizedaccess.

DigiCert’sadministratorsareresponsibleformakingthesechecksandmustsignoffthatallnecessaryphysicalprotectionmechanismsareinplaceandactivated.Theidentityoftheindividualmakingthecheckislogged.

5.1.2.2. Support and Vetting Room Controlledaccessandkeyed‐lockdoorssecurethesupportandvettingroomswhereDigiCertpersonnelperformidentityvettingandotherRAfunctions.Accesscarduseisloggedbythebuildingsecuritysystem.Theroomisequippedwithmotion‐activatedvideosurveillancecameras.

5.1.3. PowerandAirConditioningDatacentershaveprimaryandsecondarypowersuppliesthatensurecontinuousanduninterruptedaccesstoelectricpower.Uninterruptedpowersupplies(UPS)anddieselgeneratorsprovideredundantbackup

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power.DigiCertmonitorscapacitydemandsandmakesprojectionsaboutfuturecapacityrequirementstoensurethatadequateprocessingpowerandstorageareavailable.DigiCert’sdatacenterfacilitiesusemultipleload‐balancedHVACsystemsforheating,cooling,andairventilationthroughperforated‐tileraisedflooringtopreventoverheatingandtomaintainasuitablehumiditylevelforsensitivecomputersystems.

5.1.4. WaterExposuresThecabinetshousingDigiCert'sCAandTSAsystemsarelocatedonraisedflooring,andthedatacentersareequippedwithmonitoringsystemstodetectexcessmoisture.

5.1.5. FirePreventionandProtectionThedatacentersareequippedwithfiresuppressionmechanisms.

5.1.6. MediaStorageDigiCertprotectsitsmediafromaccidentaldamageandunauthorizedphysicalaccess.Backupfilesarecreatedonadailybasis.Onaweeklybasis,backupmediaareremovedandstoredinabackuplocationthatisseparatefromDigiCert’sprimaryfacility.

5.1.7. WasteDisposalAllunnecessarycopiesofprintedsensitiveinformationareshreddedon‐sitebeforedisposal.Allelectronicmediaarezeroized(alldataisoverwrittenwithbinaryzerossoastopreventtherecoveryofthedata)usingprogramsmeetingU.S.DepartmentofDefenserequirements.

5.1.8. Off‐siteBackupDigiCertmaintainsatleastonefullbackupandmakesregularbackupcopiesofanyinformationnecessarytorecoverfromasystemfailure.Onatleastaweeklybasis,DigiCertmovesmediadesignatedforstorageoff‐sitetoasafedepositboxlocatedinsideafederallyinsuredfinancialinstitution.BackupcopiesofCAPrivateKeysandactivationdataarestoredoff‐siteinlocationsthatareaccessibleonlybytrustedpersonnel.

5.1.9. CertificateStatusHosting,CMSandExternalRASystemsAllphysicalcontrolrequirementsunderSection5.1applyequallytoanyCertificateStatusHosting,CMS,orexternalRAsystem.

5.2. PROCEDURALCONTROLS

5.2.1. TrustedRolesPersonnelactingintrustedrolesincludeCA,TSA,andRAsystemadministrationpersonnel,andpersonnelinvolvedwithidentityvettingandtheissuanceandrevocationofcertificates.ThefunctionsanddutiesperformedbypersonsintrustedrolesaredistributedsothatonepersonalonecannotcircumventsecuritymeasuresorsubvertthesecurityandtrustworthinessofthePKIorTSAoperations.AllpersonnelintrustedrolesmustbefreefromconflictsofinterestthatmightprejudicetheimpartialityoftheDigiCertPKI’soperations.Trustedrolesareappointedbyseniormanagement.Alistofpersonnelappointedtotrustedrolesismaintainedandreviewedannually.PersonsactingintrustedrolesareonlyallowedtoaccessaCMSaftertheyareauthenticatedusingamethodcommensuratewithissuanceandcontrolofPIV‐IHardware.

5.2.1.1. CA Administrators TheCAAdministratorinstallsandconfigurestheCAsoftware,includingkeygeneration,keybackup,andkeymanagement.TheCAAdministratorperformsandsecurelystoresregularsystembackupsoftheCAsystem.AdministratorsdonotissuecertificatestoSubscribers.

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5.2.1.2. CA Officers – CMS, RA, Validation and Vetting Personnel TheCAOfficerroleisresponsibleforissuingandrevokingcertificates,includingenrollment,identityverification,andcompliancewithrequiredissuanceandrevocationstepssuchasmanagingthecertificaterequestqueueandcompletingcertificateapprovalchecklistsasidentityvettingtasksaresuccessfullycompleted.

5.2.1.3. System Administrators/ System Engineers (Operator) TheSystemAdministrator/SystemEngineerinstallsandconfiguressystemhardware,includingservers,routers,firewalls,andnetworkconfigurations.TheSystemAdministrator/SystemEngineeralsokeepsCA,CMSandRAsystemsupdatedwithsoftwarepatchesandothermaintenanceneededforsystemstabilityandrecoverability.

5.2.1.4. Internal Auditors InternalAuditorsareresponsibleforreviewing,maintaining,andarchivingauditlogsandperformingoroverseeinginternalcomplianceauditstodetermineifDigiCert,anIssuerCA,orRAisoperatinginaccordancewiththisCPSoranRA’sRegistrationPracticesStatement.

5.2.2. NumberofPersonsRequiredperTaskDigiCertrequiresthatatleasttwopeopleactinginatrustedrole(onetheCAAdministratorandtheothernotanInternalAuditor)takeactiontoactivateDigiCert’sPrivateKeys,generateaCAkeypair,orbackupaDigiCertprivatekey.TheInternalAuditormayservetofulfilltherequirementofmultipartycontrolforphysicalaccesstotheCAsystembutnotlogicalaccess.NosingleindividualhasthecapabilitytoissueaPIV‐Icredential.

5.2.3. IdentificationandAuthenticationforeachRoleAllpersonnelarerequiredtoauthenticatethemselvestoCA,TSA,andRAsystemsbeforetheyareallowedaccesstosystemsnecessarytoperformtheirtrustedroles.

5.2.4. RolesRequiringSeparationofDutiesRolesrequiringaseparationofdutiesinclude:

1. Thoseperformingauthorizationfunctionssuchastheverificationofinformationincertificateapplicationsandapprovalsofcertificateapplicationsandrevocationrequests,

2. Thoseperformingbackups,recording,andrecordkeepingfunctions;3. Thoseperformingaudit,review,oversight,orreconciliationfunctions;and4. ThoseperformingdutiesrelatedtoCA/TSAkeymanagementorCA/TSAadministration.

Toaccomplishthisseparationofduties,DigiCertspecificallydesignatesindividualstothetrustedrolesdefinedinSection5.2.1above.DigiCertappointsindividualstoonlyoneoftheOfficer,Administrator,Operator,orAuditorroles.DigiCert’ssystemsidentifyandauthenticateindividualsactingintrustedroles,restrictanindividualfromassumingmultipleroles,andpreventanyindividualfromhavingmorethanoneidentity.

5.3. PERSONNELCONTROLS

5.3.1. Qualifications,Experience,andClearanceRequirementsTheDCPAisresponsibleandaccountableforDigiCert’sPKIoperationsandensurescompliancewiththisCPSandtheCP.DigiCert’spersonnelandmanagementpracticesprovidereasonableassuranceofthetrustworthinessandcompetenceofitsemployeesandofthesatisfactoryperformanceoftheirduties.AlltrustedrolesforCAsissuingFederatedDeviceCertificates,ClientCertificatesatLevels3‐USand4‐US(whichareintendedforinteroperabilitythroughtheFederalBridgeCAatid‐fpki‐certpcy‐mediumAssuranceandid‐fpki‐certpcy‐mediumHardware),andPIV‐ICertificatesareheldbycitizensoftheUnitedStates.AnindividualperformingatrustedroleforanRAmaybeacitizenofthecountrywheretheRAislocated.Thereisno

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citizenshiprequirementforpersonnelperformingtrustedrolesassociatedwiththeissuanceofotherkindsofcertificates.Managementandoperationalsupportpersonnelinvolvedintime‐stampoperationspossessexperiencewithinformationsecurityandriskassessmentandknowledgeoftime‐stampingtechnology,digitalsignaturetechnology,mechanismsforcalibrationoftimestampingclockswithUTC,andsecurityprocedures.TheDCPAensuresthatallindividualsassignedtotrustedroleshavetheexperience,qualifications,andtrustworthinessrequiredtoperformtheirdutiesunderthisCPS.

5.3.2. BackgroundCheckProceduresDigiCertverifiestheidentityofeachemployeeappointedtoatrustedroleandperformsabackgroundcheckpriortoallowingsuchpersontoactinatrustedrole.DigiCertrequireseachindividualtoappearin‐personbeforeahumanresourcesemployeewhoseresponsibilityitistoverifyidentity.Thehumanresourcesemployeeverifiestheindividual’sidentityusinggovernment‐issuedphotoidentification(e.g.,passportsand/ordriver’slicensesreviewedpursuanttoU.S.CitizenshipandImmigrationServicesFormI‐9,EmploymentEligibilityVerification,orcomparableprocedureforthejurisdictioninwhichtheindividual’sidentityisbeingverified).Backgroundchecksincludeemploymenthistory,education,characterreferences,socialsecuritynumber,previousresidences,drivingrecordsandcriminalbackground.Backgroundinvestigationsareperformedbyacompetentindependentauthoritythathastheauthoritytoperformbackgroundinvestigations.Checksofpreviousresidencesareoverthepastthreeyears.Allotherchecksareforthepreviousfiveyears.Thehighesteducationdegreeobtainedisverifiedregardlessofthedateawarded.Backgroundchecksarerefreshedatleasteverytenyears.

5.3.3. TrainingRequirementsDigiCertprovidesskillstrainingtoallemployeesinvolvedinDigiCert’sPKIandTSAoperations.Thetrainingrelatestotheperson’sjobfunctionsandcovers:

1. basicPublicKeyInfrastructure(PKI)knowledge,2. softwareversionsusedbyDigiCert,3. authenticationandverificationpoliciesandprocedures,4. disasterrecoveryandbusinesscontinuityprocedures,5. commonthreatstothevalidationprocess,includingphishingandothersocialengineeringtactics,

and6. applicableindustryandgovernmentguidelines.

Trainingisprovidedviaamentoringprocessinvolvingseniormembersoftheteamtowhichtheemployeebelongs.DigiCertmaintainsrecordsofwhoreceivedtrainingandwhatleveloftrainingwascompleted.ValidationSpecialistsmusthavetheminimumskillsnecessarytosatisfactorilyperformvalidationdutiesbeforebeinggrantedvalidationprivileges.AllValidationSpecialistsarerequiredtopassaninternalexaminationontheEVGuidelinesandtheBaselineRequirementspriortovalidatingandapprovingtheissuanceofcertificates.

5.3.4. RetrainingFrequencyandRequirementsEmployeesmustmaintainskilllevelsthatareconsistentwithindustry‐relevanttrainingandperformanceprogramsinordertocontinueactingintrustedroles.DigiCertmakesallemployeesactingintrustedrolesawareofanychangestoDigiCert’soperations.IfDigiCert’soperationschange,DigiCertwillprovidedocumentedtraining,inaccordancewithanexecutedtrainingplan,toallemployeesactingintrustedroles.

5.3.5. JobRotationFrequencyandSequenceNostipulation.

5.3.6. SanctionsforUnauthorizedActionsDigiCertemployeesandagentsfailingtocomplywiththisCPS,whetherthroughnegligenceormaliciousintent,aresubjecttoadministrativeordisciplinaryactions,includingterminationofemploymentoragencyandcriminalsanctions.Ifapersoninatrustedroleiscitedbymanagementforunauthorizedor

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inappropriateactions,thepersonwillbeimmediatelyremovedfromthetrustedrolependingmanagementreview.Aftermanagementhasreviewedanddiscussedtheincidentwiththeemployeeinvolved,managementmayreassignthatemployeetoanon‐trustedroleordismisstheindividualfromemploymentasappropriate.

5.3.7. IndependentContractorRequirementsIndependentcontractorswhoareassignedtoperformtrustedrolesaresubjecttothedutiesandrequirementsspecifiedforsuchrolesinthisSection5.3andaresubjecttosanctionsstatedaboveinSection5.3.6.

5.3.8. DocumentationSuppliedtoPersonnelPersonnelintrustedrolesareprovidedwiththedocumentationnecessarytoperformtheirduties,includingacopyoftheCP,thisCPS,EVGuidelines,andothertechnicalandoperationaldocumentationneededtomaintaintheintegrityofDigiCert'sCAoperations.Personnelarealsogivenaccesstoinformationoninternalsystemsandsecuritydocumentation,identityvettingpoliciesandprocedures,discipline‐specificbooks,treatisesandperiodicals,andotherinformation.

5.4. AUDITLOGGINGPROCEDURES

5.4.1. TypesofEventsRecordedDigiCert’ssystemsrequireidentificationandauthenticationatsystemlogonwithauniqueusernameandpassword.Importantsystemactionsareloggedtoestablishtheaccountabilityoftheoperatorswhoinitiatesuchactions.DigiCertenablesallessentialeventauditingcapabilitiesofitsCAandTSAapplicationsinordertorecordtheeventslistedbelow.IfDigiCert’sapplicationscannotautomaticallyrecordanevent,DigiCertimplementsmanualprocedurestosatisfytherequirements.Foreachevent,DigiCertrecordstherelevant(i)dateandtime,(ii)typeofevent,(iii)successorfailure,and(iv)userorsystemthatcausedtheeventorinitiatedtheaction.DigiCertrecordstheprecisetimeofanysignificantTSAevents.AlleventrecordsareavailabletoauditorsasproofofDigiCert’spractices.

AuditableEventSECURITYAUDITAnychangestotheauditparameters,e.g.,auditfrequency,typeofeventauditedAnyattempttodeleteormodifytheauditlogsAUTHENTICATIONTOSYSTEMSSuccessfulandunsuccessfulattemptstoassumearoleThevalueofmaximumnumberofauthenticationattemptsischangedMaximumnumberofauthenticationattemptsoccurduringuserloginAnadministratorunlocksanaccountthathasbeenlockedasaresultofunsuccessfulauthenticationattemptsAnadministratorchangesthetypeofauthenticator,e.g.,fromapasswordtoabiometricLOCALDATAENTRYAllsecurity‐relevantdatathatisenteredinthesystemREMOTEDATAENTRYAllsecurity‐relevantmessagesthatarereceivedbythesystemDATAEXPORTANDOUTPUTAllsuccessfulandunsuccessfulrequestsforconfidentialandsecurity‐relevantinformationKEYGENERATIONWheneveraCAgeneratesakey(notmandatoryforsinglesessionorone‐timeusesymmetrickeys)PRIVATEKEYLOADANDSTORAGETheloadingofComponentPrivateKeysAllaccesstocertificatesubjectPrivateKeysretainedwithintheCAforkeyrecoverypurposes

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AuditableEventTRUSTEDPUBLICKEYENTRY,DELETIONANDSTORAGESECRETKEYSTORAGEThemanualentryofsecretkeysusedforauthenticationPRIVATEANDSECRETKEYEXPORTTheexportofprivateandsecretkeys(keysusedforasinglesessionormessageareexcluded)CERTIFICATEREGISTRATIONAllcertificaterequests,includingissuance,re‐key,renewal,andrevocationCertificateissuanceVerificationactivitiesCERTIFICATEREVOCATIONAllcertificaterevocationrequestsCERTIFICATESTATUSCHANGEAPPROVALANDREJECTIONCACONFIGURATIONAnysecurity‐relevantchangestotheconfigurationofaCAsystemcomponentACCOUNTADMINISTRATIONRolesandusersareaddedordeletedTheaccesscontrolprivilegesofauseraccountorarolearemodifiedCERTIFICATEPROFILEMANAGEMENTAllchangestothecertificateprofileREVOCATIONPROFILEMANAGEMENTAllchangestotherevocationprofileCERTIFICATEREVOCATIONLISTPROFILEMANAGEMENTAllchangestothecertificaterevocationlistprofileGenerationofCRLsandOCSPentriesTIMESTAMPINGClocksynchronizationMISCELLANEOUSAppointmentofanindividualtoaTrustedRoleDesignationofpersonnelformultipartycontrolInstallationofanOperatingSystem,PKIApplication,orHardwareSecurityModule RemovalorDestructionofHSMsSystemStartupLogonattemptstoPKIApplicationReceiptofhardware/softwareAttemptstosetormodifypasswordsBackuporrestorationoftheinternalCAdatabaseFilemanipulation(e.g.,creation,renaming,moving)PostingofanymaterialtoarepositoryAccesstotheinternalCAdatabaseAllcertificatecompromisenotificationrequestsLoadingHSMswithCertificatesShipmentofHSMsZeroizingHSMsRe‐keyoftheComponentCONFIGURATIONCHANGESHardwareSoftwareOperatingSystemPatchesSecurityProfiles

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AuditableEventPHYSICALACCESS/SITESECURITYPersonnelaccesstosecureareahousingCAorTSAcomponentAccesstoaCAorTSAcomponentKnownorsuspectedviolationsofphysicalsecurityFirewallandrouteractivitiesANOMALIESSystemcrashesandhardwarefailuresSoftwareerrorconditionsSoftwarecheckintegrityfailuresReceiptofimpropermessagesandmisroutedmessagesNetworkattacks(suspectedorconfirmed)EquipmentfailureElectricalpoweroutagesUninterruptiblePowerSupply(UPS)failureObviousandsignificantnetworkserviceoraccessfailuresViolationsofaCPSResettingOperatingSystemclock

5.4.2. FrequencyofProcessingLogAtleastonceeverytwomonths,aDigiCertadministratorreviewsthelogsgeneratedbyDigiCert’ssystems,makessystemandfileintegritychecks,andconductsavulnerabilityassessment.Theadministratormayperformthechecksusingautomatedtools.Duringthesechecks,theadministrator(1)checkswhetheranyonehastamperedwiththelog,(2)scansforanomaliesorspecificconditions,includinganyevidenceofmaliciousactivity,and(3)preparesawrittensummaryofthereview.Anyanomaliesorirregularitiesfoundinthelogsareinvestigated.ThesummariesincluderecommendationstoDigiCert’soperationsmanagementcommitteeandaremadeavailabletoDigiCert'sauditorsuponrequest.DigiCertdocumentsanyactionstakenasaresultofareview.

5.4.3. RetentionPeriodforAuditLogDigiCertretainsauditlogson‐siteuntilaftertheyarereviewed.TheindividualswhoremoveauditlogsfromDigiCert’sCAsystemsaredifferentthantheindividualswhocontrolDigiCert’ssignaturekeys.

5.4.4. ProtectionofAuditLogCAauditloginformationisretainedonequipmentuntilafteritiscopiedbyasystemadministrator.DigiCert’sCAandTSAsystemsareconfiguredtoensurethat(i)onlyauthorizedpeoplehavereadaccesstologs,(ii)onlyauthorizedpeoplemayarchiveauditlogs,and(iii)auditlogsarenotmodified.Auditlogsareprotectedfromdestructionpriortotheendoftheauditlogretentionperiodandareretainedsecurelyon‐siteuntiltransferredtoabackupsite.DigiCert’soff‐sitestoragelocationisasafeandsecurelocationthatisseparatefromthelocationwherethedatawasgenerated.DigiCertmakestime‐stampingrecordsavailablewhenrequiredtoproveinalegalproceedingthatDigiCert’stime‐stampingservicesareoperatingcorrectly.Auditlogsaremadeavailabletoauditorsuponrequest.

5.4.5. AuditLogBackupProceduresDigiCertmakesregularbackupcopiesofauditlogsandauditlogsummariesandsendsacopyoftheauditlogoff‐siteonamonthlybasis.

5.4.6. AuditCollectionSystem(internalvs.external)Automaticauditprocessesbeginonsystemstartupandendatsystemshutdown.Ifanautomatedauditsystemfailsandtheintegrityofthesystemorconfidentialityoftheinformationprotectedbythesystemisatrisk,DigiCert’sAdministratorswillconsidersuspendingitsoperationuntiltheproblemisremedied.

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5.4.7. NotificationtoEvent‐causingSubjectNostipulation.

5.4.8. VulnerabilityAssessmentsDigiCertperformsannualriskassessmentsthatidentifyandassessreasonablyforeseeableinternalandexternalthreatsthatcouldresultinunauthorizedaccess,disclosure,misuse,alteration,ordestructionofanycertificatedataorcertificateissuanceprocess.DigiCertalsoroutinelyassessesthesufficiencyofthepolicies,procedures,informationsystems,technology,andotherarrangementsthatDigiCerthasinplacetocontrolsuchrisks.DigiCert’sInternalAuditorsreviewthesecurityauditdatachecksforcontinuityandwillalerttheappropriatepersonnelofanyevents,suchasrepeatedfailedactions,requestsforprivilegedinformation,attemptedaccessofsystemfiles,andunauthenticatedresponses.

5.5. RECORDSARCHIVALDigiCert complies with all record retention policies that apply by law. DigiCert includes sufficient detail in all archived records to show that a certificate or time-stamp token was issued in accordance with this CPS.

5.5.1. TypesofRecordsArchivedDigiCertretainsthefollowinginformationinitsarchives(assuchinformationpertainstoDigiCert’sCA/TSAoperations):

1. AccreditationsofDigiCert,2. CPandCPSversions,3. ContractualobligationsandotheragreementsconcerningtheoperationoftheCA/TSA,4. Systemandequipmentconfigurations,modifications,andupdates,5. Rejectionoracceptanceofacertificaterequest,6. Certificateissuance,rekey,renewal,andrevocationrequests,7. SufficientidentityauthenticationdatatosatisfytheidentificationrequirementsofSection3.2,

includinginformationabouttelephonecallsmadeforverificationpurposes,8. Anydocumentationrelatedtothereceiptoracceptanceofacertificateortoken,9. SubscriberAgreements,10. Issuedcertificates,11. Arecordofcertificatere‐keys,12. CRLandOCSPentries,13. Dataorapplicationsnecessarytoverifyanarchive’scontents,14. Complianceauditorreports,15. ChangestoDigiCert’sauditparameters,16. Anyattempttodeleteormodifyauditlogs,17. Keygeneration,destruction,storage,backup,andrecovery,18. AccesstoPrivateKeysforkeyrecoverypurposes,19. ChangestotrustedPublicKeys,20. ExportofPrivateKeys,21. Approvalorrejectionofacertificatestatuschangerequest,22. Appointmentofanindividualtoatrustedrole,23. Destructionofacryptographicmodule,24. Certificatecompromisenotifications,25. Remedialactiontakenasaresultofviolationsofphysicalsecurity,and26. ViolationsoftheCPorCPS.

5.5.2. RetentionPeriodforArchiveDigiCertretainsarchiveddataassociatedwithLevel3orLevel4certificatesforatleast10.5years.DigiCertoranyRAsupportingissuanceofothertypesofcertificatesretainassociatedarchiveddataforatleast7.5years.

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5.5.3. ProtectionofArchiveArchiverecordsarestoredatasecureoff‐sitelocationandaremaintainedinamannerthatpreventsunauthorizedmodification,substitution,ordestruction.ArchivesarenotreleasedexceptasallowedbytheDCPAorasrequiredbylaw.DigiCertmaintainsanysoftwareapplicationrequiredtoprocessthearchivedatauntilthedataiseitherdestroyedortransferredtoanewermedium.IfDigiCertneedstotransferanymediatoadifferentarchivesiteorequipment,DigiCertwillmaintainbotharchivedlocationsand/orpiecesofequipmentuntilthetransferarecomplete.Alltransferstonewarchiveswilloccurinasecuremanner.

5.5.4. ArchiveBackupProceduresOnasemi‐annualbasis,DigiCertcreatesanarchivediskofthedatalistedinsection5.5.1andstoresitinasecureoff‐sitelocationforthedurationofthesetretentionperiod.DigiCertmaintainsanarchivebackupandrestorationproceduresdocument.RAscreateandstorearchivedrecordsinaccordancewiththeapplicableRPSordocumentationretentionpolicy.

5.5.5. RequirementsforTime‐stampingofRecordsDigiCertautomaticallytime‐stampsarchivedrecordswithsystemtime(non‐cryptographicmethod)astheyarecreated.DigiCertsynchronizesitssystemtimeatleasteveryeighthoursusingarealtimevaluedistributedbyarecognizedUTC(k)laboratoryorNationalMeasurementInstitute.Certificateissuanceistime‐stampedasafunctionofthe"ValidFrom"fieldinaccordancewiththeX.509CertificateProfile.Certificaterevocationistime‐stampedasafunctionofthe"RevocationDate"fieldinaccordancewiththeX.509CertificateRevocationListProfile.

5.5.6. ArchiveCollectionSystem(internalorexternal)ArchiveinformationiscollectedinternallybyDigiCert.

5.5.7. ProcedurestoObtainandVerifyArchiveInformationAfterreceivingarequestmadeforaproperpurposebyaCustomer,itsagent,orapartyinvolvedinadisputeoveratransactioninvolvingtheDigiCertPKI,DigiCertmayelecttosendtherelevantarchivedinformation.DigiCertmayalsorefusetoprovidetheinformationinitsdiscretionandmayrequirepriorpaymentofallcostsassociatedwiththedata.

5.6. KEYCHANGEOVERKeychangeoverproceduresenablethesmoothtransitionfromexpiringCAcertificatestonewCAcertificates.TowardstheendofaCAPrivateKey’slifetime,DigiCertceasesusingtheexpiringCAPrivateKeytosigncertificatesandusestheoldPrivateKeyonlytosignCRLsandOCSPrespondercertificates.AnewCAsigningkeypairiscommissionedandallsubsequentlyissuedcertificatesandCRLsaresignedwiththenewprivatesigningkey.Boththeoldandthenewkeypairsmaybeconcurrentlyactive.ThiskeychangeoverprocesshelpsminimizeanyadverseeffectsfromCAcertificateexpiration.ThecorrespondingnewCAPublicKeycertificateisprovidedtosubscribersandrelyingpartiesthroughthedeliverymethodsdetailedinSection6.1.4.

5.7. COMPROMISEANDDISASTERRECOVERY

5.7.1. IncidentandCompromiseHandlingProceduresDigiCertmaintainsincidentresponseprocedurestoguidepersonnelinresponsetosecurityincidents,naturaldisasters,andsimilareventsthatmaygiverisetosystemcompromise.DigiCertreviews,tests,andupdatesitsincidentresponseplansandproceduresonatleastanannualbasis.

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5.7.2. ComputingResources,Software,and/orDataAreCorruptedDigiCertmakesdailysystembackupsandmaintainsbackupcopiesofitsPrivateKeys,whicharestoredinasecure,off‐sitelocation.IfDigiCertdiscoversthatanyofitscomputingresources,software,ordataoperationshavebeencompromised,DigiCertassessesthethreatsandrisksthatthecompromisepresentstotheintegrityorsecurityofitsoperationsorthoseofaffectedparties.IfDigiCertdeterminesthatacontinuedoperationcouldposeasignificantrisktoRelyingPartiesorSubscribers,DigiCertsuspendssuchoperationuntilitdeterminesthattheriskismitigated.

5.7.3. EntityPrivateKeyCompromiseProceduresIfDigiCertsuspectsthatoneofitsPrivateKeyshasbeencomprisedorlostthenanemergencyresponseteamwillconveneandassessthesituationtodeterminethedegreeandscopeoftheincidentandtakeappropriateaction.Specifically,DigiCertwill:

1. Collectinformationrelatedtotheincident;2. Begininvestigatingtheincidentanddeterminethedegreeandscopeofthecompromise;3. Haveitsincidentresponseteamdetermineandreportonthecourseofactionorstrategythatshould

betakentocorrecttheproblemandpreventreoccurrence;4. Ifappropriate,contactgovernmentagencies,lawenforcement,andotherinterestedpartiesand

activateanyotherappropriateadditionalsecuritymeasures;5. IfthecompromiseinvolvesaPrivateKeyusedtosigntime‐stamptokens,provideadescriptionofthe

compromisetoSubscribersandRelyingParties;6. Notifyanycross‐certifiedentitiesofthecompromisesothattheycanrevoketheircross‐certificates;7. Makeinformationavailablethatcanbeusedtoidentifywhichcertificatesandtime‐stamptokensare

affected,unlessdoingsowouldbreachtheprivacyofaDigiCertuserorthesecurityofDigiCert’sservices;

8. Monitoritssystem,continueitsinvestigation,ensurethatdataisstillbeingrecordedasevidence,andmakeaforensiccopyofdatacollected;

9. Isolate,contain,andstabilizeitssystems,applyinganyshort‐termfixesneededtoreturnthesystemtoanormaloperatingstate;

10. Prepareandcirculateanincidentreportthatanalyzesthecauseoftheincidentanddocumentsthelessonslearned;and

11. IncorporatelessonslearnedintotheimplementationoflongtermsolutionsandtheIncidentResponsePlan.

DigiCertmaygenerateanewkeypairandsignanewcertificate.IfadisasterphysicallydamagesDigiCert’sequipmentanddestroysallcopiesofDigiCert’ssignaturekeysthenDigiCertwillprovidenoticetoaffectedpartiesattheearliestfeasibletime.

5.7.4. BusinessContinuityCapabilitiesafteraDisasterTomaintaintheintegrityofitsservices,DigiCertimplementsdatabackupandrecoveryproceduresaspartofitsBusinessContinuityManagementPlan(BCMP).StatedgoalsoftheBCMParetoensurethatcertificatestatusservicesbeonlyminimallyaffectedbyanydisasterinvolvingDigiCert’sprimaryfacilityandthatDigiCertbecapableofmaintainingotherservicesorresumingthemasquicklyaspossiblefollowingadisaster.DigiCertreviews,tests,andupdatestheBCMPandsupportingproceduresatleastannually.DigiCert'ssystemsareredundantlyconfiguredatitsprimaryfacilityandaremirroredataseparate,geographicallydiverselocationforfailoverintheeventofadisaster.IfadisastercausesDigiCert’sprimaryCAorTSAoperationstobecomeinoperative,DigiCertwillre‐initiateitsoperationsatitssecondarylocationgivingprioritytotheprovisionofcertificatestatusinformationandtimestampingcapabilities,ifaffected.

5.8. CAORRATERMINATIONBeforeterminatingitsCAorTSAactivities,DigiCertwill:

1. Providenoticeandinformationabouttheterminationbysendingnoticebyemailtoitscustomers,ApplicationSoftwareVendors,andcross‐certifyingentitiesandbypostingsuchinformationonDigiCert’swebsite;and

2. Transferallresponsibilitiestoaqualifiedsuccessorentity.

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Ifaqualifiedsuccessorentitydoesnotexist,DigiCertwill:

1. transferthosefunctionscapableofbeingtransferredtoareliablethirdpartyandarrangetopreserveallrelevantrecordswithareliablethirdpartyoragovernment,regulatory,orlegalbodywithappropriateauthority;

2. revokeallcertificatesthatarestillun‐revokedorun‐expiredonadateasspecifiedinthenoticeandpublishfinalCRLs;

3. destroyallPrivateKeys;and4. makeothernecessaryarrangementsthatareinaccordancewiththisCPS.

DigiCerthasmadearrangementstocoverthecostsassociatedwithfulfillingtheserequirementsincaseDigiCertbecomesbankruptorisunabletocoverthecosts.Anyrequirementsofthissectionthatarevariedbycontractapplyonlythecontractingparties.

6. TECHNICALSECURITYCONTROLS

6.1. KEYPAIRGENERATIONANDINSTALLATION

6.1.1. KeyPairGenerationAllkeysmustbegeneratedusingaFIPS‐approvedmethodorequivalentinternationalstandard.DigiCert'sCAkeypairsaregeneratedbymultipletrustedindividualsactingintrustedrolesandusingacryptographichardwaredeviceaspartofscriptedkeygenerationceremony.ThecryptographichardwareisevaluatedtoFIPS140‐1Level3andEAL4+.Activationofthehardwarerequirestheusetwo‐factorauthenticationtokens.DigiCertcreatesauditableevidenceduringthekeygenerationprocesstoprovethattheCPSwasfollowedandroleseparationwasenforcedduringthekeygenerationprocess..DigiCertrequiresthatanauditorwitnessthegenerationofanyCAkeystobeusedaspubliclytrustedrootcertificatesortosignEVCertificates.ForotherCAkeypairgenerationceremonies,DigiCertestablishesitscompliancewiththisrequirementbyhavinganauditororindependentthirdpartyattendtheceremonyorbyhavinganauditorexaminethesignedanddocumentedrecordofthekeygenerationceremony,asallowedbyapplicablepolicy.Subscribersmustgeneratetheirkeysinamannerthatisappropriateforthecertificatetype.KeysforcertificatesusedtocomplywithDEArequirements,certificatesissuedatLevel3Hardware,andcertificatesissuedatLevel4BiometricmustbegeneratedonvalidatedhardwarecryptographicmodulesusingaFIPS‐approvedmethod.SubscriberswhogeneratetheirownkeysforaQualifiedCertificateonanSSCDshallensurethattheSSCDmeetstherequirementsofCWA14169andthatthePublicKeytobecertifiedisfromthekeypairgeneratedbytheSSCD.ForAdobeSigningCertificates,SubscribersmustgeneratetheirkeypairsinamediumthatpreventsexportationorduplicationandthatmeetsorexceedsFIPS140‐1Level2certificationstandards.

6.1.2. PrivateKeyDeliverytoSubscriberIfDigiCert,aCMS,oranRAgeneratesakeyforaSubscriber,thenitmustdeliverthePrivateKeysecurelytotheSubscriber.Keysmaybedeliveredelectronically(suchasthroughsecureemailorstoredinacloud‐basedsystem)oronahardwarecryptographicmodule/SSCD.Inallcases:

1. ThekeygeneratormustnotretainaccesstotheSubscriber’sPrivateKeyafterdelivery,2. Thekeygeneratormustprotecttheprivatekeyfromactivation,compromise,ormodificationduring

thedeliveryprocess,3. TheSubscribermustacknowledgereceiptoftheprivatekey(s),typicallybyhavingtheSubscriber

usetherelatedcertificate,and4. ThekeygeneratormustdeliverthePrivateKeyinawaythatensuresthatthecorrecttokensand

activationdataareprovidedtothecorrectSubscribers,including:a. Forhardwaremodules,thekeygeneratormaintainingaccountabilityforthelocationand

stateofthemoduleuntiltheSubscriberacceptspossessionofitand

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b. Forelectronicdeliveryofprivatekeys,thekeygeneratorencryptingkeymaterialusingacryptographicalgorithmandkeysizeatleastasstrongastheprivatekey.Thekeygeneratorshalldeliveractivationdatausingaseparatesecurechannel.

TheentityassistingtheSubscriberwithkeygenerationshallmaintainarecordoftheSubscriber’sacknowledgementofreceiptofthedevicecontainingtheSubscriber’sKeyPair.ACMSorRAprovidingkeydeliveryservicesisrequiredtoprovideacopyofthisrecordtoDigiCert.

6.1.3. PublicKeyDeliverytoCertificateIssuerSubscribersgeneratekeypairsandsubmitthePublicKeytoDigiCertinaCSRaspartofthecertificaterequestprocess.TheSubscriber’ssignatureontherequestisauthenticatedpriortoissuingthecertificate.

6.1.4. CAPublicKeyDeliverytoRelyingPartiesDigiCert'sPublicKeysareprovidedtoRelyingPartiesasspecifiedinacertificatevalidationorpathdiscoverypolicyfile,astrustanchorsincommercialbrowsersandoperatingsystemrootstore,and/orasrootssignedbyotherCAs.AllaccreditationauthoritiessupportingDigiCertcertificatesandallapplicationsoftwareprovidersarepermittedtoredistributeDigiCert’srootanchors.DigiCertmayalsodistributePublicKeysthatarepartofanupdatedsignaturekeypairasaself‐signedcertificate,asanewCAcertificate,orinakeyroll‐overcertificate.RelyingPartiesmayobtainDigiCert'sself‐signedCAcertificatesfromDigiCert'swebsiteorbyemail.

6.1.5. KeySizesDigiCertgenerallyfollowstheNISTtimelinesinusingandretiringsignaturealgorithmsandkeysizes.Currently,DigiCertgeneratesandusesthefollowingkeys,signaturealgorithms,andhashalgorithmsforsigningcertificates,CRLs,andcertificatestatusserverresponses:

2048‐bitRSAKeywithSecureHashAlgorithmversion1(SHA‐1)2048‐bitRSAKeywithSecureHashAlgorithmversion2(SHA‐256)384‐bitECDSAKeywithSecureHashAlgorithmversion2(SHA‐256)

DigiCertrequiresend‐entitycertificatestocontainakeysizethatisatleast2048 bits for RSA, DSA, or Diffie-Hellman and 224 bits for elliptic curve algorithms, except for certificates issued for devices or systems that are incapable of accepting 2048-bit RSA certificates, then DigiCert requires that the key length be at least 1024 bits for RSA and that the certificate expire on or before December 31, 2013.DigiCertmayrequirehigherbitkeysinitssolediscretion.PIV‐ICertificatescontainpublickeysandalgorithmsthatconformto[NISTSP800‐78].Anycertificates(whetherCAorend‐entity)expiringafter12/31/2030mustbeatleast3072‐bitforRSAand256‐bitforECDSA.Signaturesonallcertificates are generated using at least SHA-1. Signatures on CRLs, OCSP responses, and OCSP responder certificates that provide status information for certificates that were generated using SHA-1 are also generated using the SHA-1 algorithm. The following certificate types require the use of the SHA-256 algorithm: Federated Device Certificates, Levels 3 and 4 (US and CBP), and PIV-I. Signatures on CRLs, OCSP responses, and OCSP responder certificates that provide status information for such certificates are generated using the SHA-256 algorithm. DigiCertandSubscribersmayfulfilltheirrequirementsundertheCPandthisCPSusingTLSoranotherprotocolthatprovidessimilarsecurity,providedtheprotocolrequiresatleast:

1. AES(128bits)orequivalentforthesymmetrickeyandatleast2048bitRSAorequivalentfortheasymmetrickeysafter12/31/2010,and

2. AES(128bits)orequivalentforthesymmetrickeyandatleast3072bitRSAorequivalentfortheasymmetrickeysafter12/31/2030.

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6.1.6. PublicKeyParametersGenerationandQualityCheckingDigiCertusesacryptomodulethatconformstoFIPS186‐2andprovidesrandomnumbergenerationandon‐boardgenerationofupto4096‐bitRSAPublicKeysandawiderangeofECCcurves.

6.1.7. KeyUsagePurposes(asperX.509v3keyusagefield)DigiCert'scertificatesincludekeyusageextensionfieldsthatspecifytheintendeduseofthecertificateandtechnicallylimitthecertificate’sfunctionalityinX.509v3compliantsoftware.KeyusagebitsandextendedkeyusagesarespecifiedinthecertificateprofileforeachtypeofcertificateassetforthinDigiCert’sCertificateProfilesdocument.Certificatesusedforsigningandencryptionmust:

1. begeneratedandmanagedinaccordancewiththeirrespectivesignaturecertificaterequirements,exceptwhereotherwisenotedinthisCPS,

2. neverassertthenon‐repudiationkeyusagebit,and3. notbeusedforauthenticatingdatathatwillbeverifiedonthebasisofthedual‐usecertificateata

futuretime.

6.2. PRIVATEKEYPROTECTIONANDCRYPTOGRAPHICMODULEENGINEERINGCONTROLS

6.2.1. CryptographicModuleStandardsandControlsDigiCert'scryptographicmodulesforallofitsCAandOCSPresponderkeypairsarevalidatedtotheFIPS140Level3andInternationalCommonCriteria(CC)InformationTechnologySecurityEvaluationAssuranceLevel(EAL)14169EAL4+Type3(EAL4AugmentedbyAVA_VLA.4andAVA_MSU.3)intheEuropeanUnion(EU).IGTFCertificateSubscribersmustprotecttheirPrivateKeysinaccordancewiththeapplicableGuidelinesonPrivateKeyProtection,includingtheuseofstrongpassphrasestoprotectprivatekeys.Cryptographicmodulerequirementsforsubscribersandregistrationauthoritiesareshowninthetablebelow.

AssuranceLevel Subscriber RegistrationAuthority

EVCodeSigningFIPS140Level2(Hardware)

FIPS140Level2(Hardware)

AdobeSigningFIPS140Level2(Hardware)


Rudimentary N/AFIPS140Level1

(HardwareorSoftware)

Basic,LOA2,andLOA3 FIPS140Level1(HardwareorSoftware)

FIPS140Level1(HardwareorSoftware)

Medium

FIPS140Level1(Software)



MediumHardware,Biometric&PIV‐ICard

Authentication



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EUQConSSCDEAL4Augmented

(Hardware)EAL4Augmented

(Hardware)

DigiCertensuresthatthePrivateKeyofanEVCodeSigningCertificateisproperlygenerated,used,andstoredinacryptomodulethatmeetsorexceedstherequirementsofFIPS140level2by(i)shippingconformingcryptomoduleswithpreinstalledkeypairs,(ii)communicatingviaPKCS#11cryptoAPIsofcryptomodulesthatDigiCerthasverifiedmeetorexceedrequirements,or(iii)obtaininganITauditfromtheSubscriberthatindicatescompliancewithFIPS140‐2level2ortheequivalent.

6.2.2. PrivateKey(noutofm)Multi‐personControlDigiCert'sauthenticationmechanismsareprotectedsecurelywhennotinuseandmayonlybeaccessedbyactionsofmultipletrustedpersons. BackupsofCAPrivateKeysaresecurelystoredoff‐siteandrequiretwo‐personaccess.Re‐activationofabacked‐upCAPrivateKey(unwrapping)requiresthesamesecurityandmulti‐personcontrolaswhenperformingothersensitiveCAPrivateKeyoperations.

6.2.3. PrivateKeyEscrowDigiCertdoesnotescrowitssignaturekeys.SubscribersmaynotescrowtheirprivatesignaturekeysordualusekeysexceptasallowedbyothersupersedingpoliciesoragreementsamongSubscribers,RelyingParties,andescrowagents.DigiCertmayprovideescrowservicesforothertypesofcertificatesinordertoprovidekeyrecoveryasdescribedinsection4.12.1.

6.2.4. PrivateKeyBackupDigiCert'sPrivateKeysaregeneratedandstoredinsideDigiCert’scryptographicmodule,whichhasbeenevaluatedtoatleastFIPS140Level3andEAL4+.Whenkeysaretransferredtoothermediaforbackupanddisasterrecoverypurposes,thekeysaretransferredandstoredinanencryptedform.DigiCert'sCAkeypairsarebackedupbymultipletrustedindividualsusingacryptographichardwaredeviceaspartofscriptedandvideotapedkeybackupprocess.DigiCertmayprovidebackupservicesforPrivateKeysthatarenotrequiredtobekeptonahardwaredevice.AccesstobackupcertificatesisprotectedinamannerthatonlytheSubscribercancontroltheprivatekey.DigiCertmayrequirebackupofPIV‐IContentSigningprivatesignaturekeystofacilitatedisasterrecovery,providedthatallbackupisperformedundermulti‐personcontrol.Backedupkeysareneverstoredinaplaintextformoutsideofthecryptographicmodule.

6.2.5. PrivateKeyArchivalDigiCertdoesnotarchivePrivateKeys.

6.2.6. PrivateKeyTransferintoorfromaCryptographicModuleAllkeysmustbegeneratedbyandinacryptographicmodule.PrivateKeysareexportedfromthecryptographicmoduleonlyforbackuppurposes.ThePrivateKeysareencryptedwhentransferredoutofthemoduleandneverexistinplaintextform.Whentransportedbetweencryptographicmodules,DigiCertencryptstheprivatekeyandprotectsthekeysusedforencryptionfromdisclosure.PrivateKeysusedtoencryptbackupsaresecurelystoredandrequiretwo‐personaccess.

6.2.7. PrivateKeyStorageonCryptographicModuleDigiCert'sPrivateKeysaregeneratedandstoredinsideDigiCert’scryptographicmodule,whichhasbeenevaluatedtoatleastFIPS140Level3andEAL4+.

6.2.8. MethodofActivatingPrivateKeysDigiCert'sPrivateKeysareactivatedaccordingtothespecificationsofthecryptographicmodulemanufacturer.Activationdataentryisprotectedfromdisclosure.

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SubscribersaresolelyresponsibleforprotectingtheirPrivateKeys.SubscribersshoulduseastrongpasswordorequivalentauthenticationmethodtopreventunauthorizedaccessoruseoftheSubscriber’sPrivateKey.Ataminimum,Subscribersarerequiredtoauthenticatethemselvestothecryptographicmodulebeforeactivatingtheirprivatekeys.SeealsoSection6.4.

6.2.9. MethodofDeactivatingPrivateKeysDigiCert’sPrivateKeysaredeactivatedvialogoutproceduresontheapplicableHSMdevicewhennotinuse.RootPrivateKeysarefurtherdeactivatedbyremovingthementirelyfromthestoragepartitionontheHSMdevice.DigiCertneverleavesitsHSMdevicesinanactiveunlockedorunattendedstate.SubscribersshoulddeactivatetheirPrivateKeysvialogoutandremovalprocedureswhennotinuse.

6.2.10. MethodofDestroyingPrivateKeysDigiCertpersonnel,actingintrustedroles,destroyCA,RA,andstatusserverPrivateKeyswhennolongerneeded.SubscribersshalldestroytheirPrivateKeyswhenthecorrespondingcertificateisrevokedorexpiredorifthePrivateKeyisnolongerneeded.DigiCertmaydestroyaPrivateKeybydeletingitfromallknownstoragepartitions.DigiCertalsozeroizestheHSMdeviceandassociatedbackuptokensaccordingtothespecificationsofthehardwaremanufacturer.Thisreinitializesthedeviceandoverwritesthedatawithbinaryzeros.Ifthezeroizationorre‐initializationprocedurefails,DigiCertwillcrush,shred,and/orincineratethedeviceinamannerthatdestroystheabilitytoextractanyPrivateKey.

6.2.11. CryptographicModuleRatingSeeSection6.2.1.

6.3. OTHERASPECTSOFKEYPAIRMANAGEMENT

6.3.1. PublicKeyArchivalDigiCertarchivescopiesofPublicKeysinaccordancewithSection5.5.

6.3.2. CertificateOperationalPeriodsandKeyPairUsagePeriodsDigiCertcertificateshavemaximumvalidityperiodsof:

Type PrivateKeyUse CertificateTermRootCA 20 years 25yearsSubCA* 12 years 15yearsCross‐certifiedSubCA* 6years 15yearsCRLandOCSPrespondersigning 3 years 31days†OVSSL Nostipulation 42monthsEVSSL Nostipulation 27monthsTimeStampingAuthority Nostipulation 123monthsCodeSigningCertificate Nostipulation 123monthsEVCodeSigningCertificateissuedtoSubscriber

Nostipulation 39months

EVCodeSigningCertificateissuedtoSigningAuthority

123months 123months

AdobeSigningCertificate 39months 5yearsEndEntityClientusedforsignatures,includingEUQualifiedCertificates,codeandcontentsignatures

36months 36months

EndEntityClientusedforkeymanagement 36months 36monthsEndEntityClientforallotherpurposes 42months 42monthsPIV‐ICards 60months 60months

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Type PrivateKeyUse CertificateTermIGTF(2048‐bitRSAkeys)onhardware 60 months 13 monthsIGTF(1024‐bitRSAkeys)onhardware 36 months 13 monthsIGTFnotonhardware 13 months 13 months

*IGTFsigningcertificateshavealifetimethatisatleasttwicethemaximumlifetimeofanendentitycertificate.†OCSPresponderandCRLsigningcertificatesassociatedwithaPIV‐Icertificateonlyhaveamaximumcertificatevalidityperiodof31days.Relyingpartiesmaystillvalidatesignaturesgeneratedwiththesekeysafterexpirationofthecertificate.Privatekeysassociatedwithself‐signedrootcertificatesthataredistributedastrustanchorsareusedforamaximumof20years.DigiCertdoesnotissuePIV‐IsubscribercertificatesthatexpirelaterthantheexpirationdateofthePIV‐Ihardwaretokenonwhichthecertificatesreside.DigiCertmayvoluntarilyretireitsCAPrivateKeysbeforetheperiodslistedabovetoaccommodatekeychangeoverprocesses.DigiCertdoesnotissueSubscribercertificateswithanexpirationdatethatispastthesigningroot’sexpirationdateorthatexceedstheroutinere‐keyidentificationrequirementsspecifiedinSection3.1.1.

6.4. ACTIVATIONDATA

6.4.1. ActivationDataGenerationandInstallationDigiCertactivatesthecryptographicmodulecontainingitsCAPrivateKeysaccordingtothespecificationsofthehardwaremanufacturer.ThismethodhasbeenevaluatedasmeetingtherequirementsofFIPS140‐2Level3.Thecryptographichardwareisheldundertwo‐personcontrolasexplainedinSection5.2.2andelsewhereinthisCPS.DigiCertwillonlytransmitactivationdataviaanappropriatelyprotectedchannelandatatimeandplacethatisdistinctfromthedeliveryoftheassociatedcryptographicmodule.AllDigiCertpersonnelandSubscribersareinstructedtousestrongpasswordsandtoprotectPINsandpasswords.DigiCertemployeesarerequiredtocreatenon‐dictionary,alphanumericpasswordswithaminimumlengthandtochangetheirpasswordsonaregularbasis.IfDigiCertusespasswordsasactivationdataforasigningkey,DigiCertwillchangetheactivationdatachangeuponrekeyoftheCAcertificate.

6.4.2. ActivationDataProtectionDigiCert protects data used to unlock private keys from disclosure using a combination of cryptographic and physical access control mechanisms. Protection mechanisms include keepingactivationmechanismssecureusingrole‐basedphysicalcontrol.AllDigiCertpersonnelareinstructedtomemorizeandnottowritedowntheirpasswordorshareitwithanotherindividual.DigiCertlocksaccountsusedtoaccesssecureCAprocessesifacertainnumberoffailedpasswordattemptsoccur.

6.4.3. OtherAspectsofActivationDataIfDigiCertmustresetactivationdataassociatedwithaPIV‐IcertificatethenDigiCertoranRAperformsasuccessfulbiometric1:1matchoftheapplicantagainstthebiometricscollectedinSection3.2.3.

6.5. COMPUTERSECURITYCONTROLS

6.5.1. SpecificComputerSecurityTechnicalRequirementsDigiCertsecuresitsCAsystemsandauthenticatesandprotectscommunicationsbetweenitssystemsandtrustedroles.DigiCert'sCAserversandsupport‐and‐vettingworkstationsrunontrustworthysystemsthatareconfiguredandhardenedusingindustrybestpractices.AllCAsystemsarescannedformaliciouscodeandprotectedagainstspywareandviruses.

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DigiCert’s CA systems, including any remote workstations, are configured to: 1. authenticate the identity of users before permitting access to the system or applications, 2. manage the privileges of users and limit users to their assigned roles, 3. generate and archive audit records for all transactions, 4. enforce domain integrity boundaries for security critical processes, and 5. support recovery from key or system failure.

AllCertificateStatusServers:

1. authenticatetheidentityofusersbeforepermittingaccesstothesystemorapplications,2. manageprivilegestolimituserstotheirassignedroles,3. enforcedomainintegrityboundariesforsecuritycriticalprocesses,and4. supportrecoveryfromkeyorsystemfailure.

6.5.2. ComputerSecurityRatingNostipulation.

6.6. LIFECYCLETECHNICALCONTROLS

6.6.1. SystemDevelopmentControlsDigiCerthasmechanismsinplacetocontrolandmonitortheacquisitionanddevelopmentofitsCAsystems.Changerequestsrequiretheapprovalofatleastoneadministratorwhoisdifferentfromthepersonsubmittingtherequest.DigiCertonlyinstallssoftwareonCAsystemsifthesoftwareispartoftheCA’soperation.CAhardwareandsoftwarearededicatedtoperformingoperationsoftheCA.Vendorsareselectedbasedontheirreputationinthemarket,abilitytodeliverqualityproduct,andlikelihoodofremainingviableinthefuture.Managementisinvolvedinthevendorselectionandpurchasedecisionprocess.Non‐PKIhardwareandsoftwareispurchasedwithoutidentifyingthepurposeforwhichthecomponentwillbeused.Allhardwareandsoftwareareshippedunderstandardconditionstoensuredeliveryofthecomponentdirectlytoatrustedemployeewhoensuresthattheequipmentisinstalledwithoutopportunityfortampering.SomeofthePKIsoftwarecomponentsusedbyDigiCertaredevelopedin‐houseorbyconsultantsusingstandardsoftwaredevelopmentmethodologies.Allsuchsoftwareisdesignedanddevelopedinacontrolledenvironmentandsubjectedtoqualityassurancereview.Othersoftwareispurchasedcommercialoff‐the‐shelf(COTS).Qualityassuranceismaintainedthroughouttheprocessthroughtestinganddocumentationorbypurchasingfromtrustedvendorsasdiscussedabove.Updatesofequipmentandsoftwarearepurchasedordevelopedinthesamemannerastheoriginalequipmentorsoftwareandareinstalledandtestedbytrustedandtrainedpersonnel.AllhardwareandsoftwareessentialtoDigiCert’soperationsisscannedformaliciouscodeonfirstuseandperiodicallythereafter.

6.6.2. SecurityManagementControlsDigiCerthasmechanismsinplacetocontrolandmonitorthesecurity‐relatedconfigurationsofitsCAsystems.WhenloadingsoftwareontoaCAsystem,DigiCertverifiesthatthesoftwareisthecorrectversionandissuppliedbythevendorfreeofanymodifications.DigiCertverifiestheintegrityofsoftwareusedwithitsCAprocessesatleastonceaweek.

6.6.3. LifeCycleSecurityControlsNostipulation.

6.7. NETWORKSECURITYCONTROLSDigiCertdocumentsandcontrolstheconfigurationofitssystems,includinganyupgradesormodificationsmade.DigiCert'sCAsystemisconnectedtooneinternalnetworkandisprotectedbyfirewallsandNetworkAddressTranslationforallinternalIPaddresses(e.g.,192.168.x.x).DigiCert'scustomersupportandvetting

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workstationsarealsoprotectedbyfirewall(s)andonlyuseinternalIPaddresses.RootKeysarekeptofflineandbroughtonlineonlywhennecessarytosigncertificate‐issuingsubordinateCAs,OCSPResponderCertificates,orperiodicCRLs.Firewallsandboundarycontroldevicesareconfiguredtoallowaccessonlybytheaddresses,ports,protocolsandcommandsrequiredforthetrustworthyprovisionofPKIservicesbysuchsystems.DigiCert'ssecuritypolicyistoblockallportsandprotocolsandopenonlyportsnecessarytoenableCAfunctions.AllCAequipmentisconfiguredwithaminimumnumberofservicesandallunusednetworkportsandservicesaredisabled.DigiCert'snetworkconfigurationisavailableforreviewon‐sitebyitsauditorsandconsultantsunderanappropriatenon‐disclosureagreement.

6.8. TIME‐STAMPINGThesystemtimeonDigiCert’scomputersisupdatedusingtheNetworkTimeProtocol(NTP)tosynchronizesystemclocksatleastonceeveryeighthours(Windowsdefault).AlltimesaretraceabletoarealtimevaluedistributedbyaUTC(k)laboratoryorNationalMeasurementInstituteandareupdatedwhenaleapsecondoccursasnotifiedbytheappropriatebody.DigiCertmaintainsaninternalNTPserverthatsynchronizeswithcellulartelephonenetworksandmaintainstheaccuracyofitsclockwithinonesecondorless.ForeachtimestamprequesttheinternalNTPserverisqueriedforthecurrenttime.However,RelyingPartiesshouldbeawarethatalltimesincludedinatime‐stamptokenaresynchronizedwithUTCwithintheaccuracydefinedinthetime‐stamptokenitself,ifpresent.DigiCertwillnotissueatime‐stamptokenusinganyclockthatisdetectedasinaccurate.Allclocksusedfortime‐stampingarehousedintheDigiCert’ssecurefacilitiesandareprotectedagainstthreatsthatcouldresultinanunexpectedchangetotheclock’stime.DigiCert'sfacilitiesautomaticallydetectandreportanyclockthatdriftsorjumpsoutofsynchronizationwithUTC.Clockadjustmentsareauditableevents.SomeaspectsofRFC3161timestampsdifferfromMicrosoftAuthenticodetimestamps.ForRFC3161‐complianttimestamps,DigiCertincludesauniqueintegerforeachnewlygeneratedtime‐stamptoken.DigiCertonlytime‐stampshashrepresentationsofdata,notthedataitself.Informationcanbehashedfortime‐stampingusingSHA‐1orSHA‐256withRSAencryptionandeither1024or2048bitkeysizeforsignaturecreation.(SHA‐1,SHA‐256,SHA‐384,SHA‐512,MD5,MD4,andMD2aresupportedforRFC3161‐basedrequests.)DigiCertdoesnotexaminetheimprintbeingtime‐stampedotherthantochecktheimprint’slength.DigiCertalsodoesnotincludeanyidentificationoftheTimeStampTokenRequester(TSTRequester)inthetime‐stamptoken.Alltime‐stamptokensaresignedusingakeygeneratedexclusivelyforthatpurposesandhavethepropertyofthekeyindicatedinthecertificate.TSTRequestersrequesttime‐stamptokensbysendingarequesttoDigiCert.AftertheTSTRequesterreceivesaresponsefromDigiCert,itmustverifythestatuserrorreturnedintheresponse.Ifanerrorwasnotreturned,theTSTRequestermustthenverifythefieldscontainedinthetime‐stamptokenandthevalidityofthetime‐stamptoken’sdigitalsignature.Inparticular,theTSTRequestermustverifythatthetime‐stampeddatacorrespondstowhatwasrequestedandthatthetime‐stamptokencontainsthecorrectcertificateidentifier,thecorrectdataimprint,andthecorrecthashalgorithmOID.TheTSTRequestermustalsoverifythetimelinessoftheresponsebyverifyingtheresponseagainstalocaltrustedtimereference.TheTSTRequesterisrequiredtonotifyDigiCertimmediatelyifanyinformationcannotbeverified.TimeStampVerifiersshallverifythedigitalsignatureonthetime‐stamptokenandconfirmthatthedatacorrespondstothehashvalueinthetime‐stamptoken.

6.9. PIV‐ICARDSThefollowingrequirementsapplytoPIV‐ICards:

1. ToensureinteroperabilitywithFederalsystems,PIV‐ICardsuseasmartcardplatformthatisonGSA’sFIPS201EvaluationProgramApprovedProductList(APL)andusethePIVapplicationidentifier(AID).

2. AllPIV‐ICardsconformto[NISTSP800‐731].

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3. ThemandatoryX.509CertificateforAuthenticationisonlyissuedunderapolicythatiscrosscertifiedwiththeFBCAPIV‐IHardwarepolicyOID.

4. PIV‐IcertificatesconformtothePIV‐IProfile.5. AnasymmetricX.509CertificateforCardAuthenticationisincludedineachPIV‐Icard.The

Certificate:a. conformstoPIV‐IProfile,b. conformsto[NISTSP800‐73],andc. isissuedunderthePIV‐ICardAuthenticationpolicy.

6. TheCMSincludesanelectronicrepresentation(asspecifiedinSP800‐73andSP800‐76)ofthecardholder’sfacialimageineachPIV‐Icard.

7. TheX.509CertificatesforDigitalSignatureandKeyManagementdescribedin[NISTSP800‐73]areoptionalforPIV‐ICards.

8. TheCMSmakesitsPIV‐ICardsvisuallydistinctfromaFederalPIVCardtopreventcreationofafraudulentFederalPIVCard.Ataminimum,theCMSdoesnotallowedimagesorlogosonaPIV‐ICardtobeplacedwithinZone11,AgencySeal,asdefinedby[FIPS201].

9. TheCMSrequiresthefollowingitemsonthefrontofacard:a. Cardholderfacialimage,b. Cardholderfullname,c. OrganizationalAffiliation,ifexists;otherwisetheissuerofthecard,andd. Cardexpirationdate.

10. PIV‐Icardsareissuedwithanexpirationdatethatisfiveyearsorless.11. AllPIV‐ICardsexpirelaterthanthePIV‐IContentSigningcertificateonthecard.12. ApolicyOIDthathasbeenmappedtotheFBCAPIV‐IContentSigningpolicyOIDisincludedinthe

digitalsignaturecertificateusedtosignobjectsonthePIV‐ICard.ThePIV‐IContentSigningcertificateconformstothePIV‐IProfile.

13. ThePIV‐IContentSigningcertificateandcorrespondingprivatekeyaremanagedwithinatrustedCardManagementSystem.

14. Atissuance,thePIV‐ICardisactivatedandreleasedtothesubscriberonlyafterasuccessful1:1biometricmatchoftheapplicantagainstthebiometricscollectedinSection3.2.3.

15. PIV‐ICardsmaysupportcardactivationbythecardmanagementsystemtosupportcardpersonalizationandpost‐issuancecardupdate.Toactivatethecardforpersonalizationorupdate,thecardmanagementsystemperformsachallengeresponseprotocolusingcryptographickeysstoredonthecardinaccordancewith[SP800‐73].Whencardsarepersonalized,cardmanagementkeysaresettobespecifictoeachPIV‐ICard.Thatis,eachPIV‐ICardcontainsauniquecardmanagementkey.CardmanagementkeysmeetthealgorithmandkeysizerequirementsstatedinSpecialPublication800‐78,CryptographicAlgorithmsandKeySizesforPersonalIdentityVerification.[SP800‐78].

7. CERTIFICATE,CRL,ANDOCSPPROFILESDigiCertusestheITUX.509,version3standardtoconstructdigitalcertificatesforusewithintheDigiCertPKI.DigiCertaddscertaincertificateextensionstothebasiccertificatestructureforthepurposesintendedbyX.509v3asperAmendment1toISO/IEC9594‐8,1995.ForPIV‐ICertificates,DigiCertfollowstheFPKIPA’sX.509CertificateandCertificateRevocationList(CRL)ExtensionsProfileforPersonalIdentityVerificationInteroperable(PIV‐I)Cards.ForQualifiedCertificates,DigiCertfollowsETSITS101862.

7.1. CERTIFICATEPROFILE

7.1.1. VersionNumber(s)AllcertificatesareX.509version3certificates.

7.1.2. CertificateExtensionsSeeDigiCert’sCertificateProfilesdocument.IGTFcertificatescomplywiththeGridCertificateProfileasdefinedbytheOpenGridForumGFD.125.

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PIV‐ICertificatescomplywiththeX.509CertificateandCertificateRevocationList(CRL)ExtensionsProfileforPersonalIdentityVerificationInteroperable(PIV‐I)Cards,Date:April232010,assetforthat:http://www.idmanagement.gov/fpkipa/documents/pivi_certificate_crl_profile.pdf.

7.1.3. AlgorithmObjectIdentifiersDigiCertcertificatesaresignedusingoneofthefollowingalgorithms:sha‐1WithRSAEncryption [iso(1)member‐body(2)us(840)rsadsi(113549)pkcs(1)pkcs‐1(1)5]sha256WithRSAEncryption [iso(1)member‐body(2)us(840)rsadsi(113549)pkcs(1)pkcs‐1(1)

11]ecdsa‐with‐sha384 [iso(1)member‐body(2)us(840)ansi‐X9‐62(10045)signatures(4)

ecdsa‐with‐SHA2(3)3]DigiCertdoesnotcurrentlysigncertificatesusingRSAwithPSSpadding.DigiCertandSubscribersmaygenerateKeyPairsusingthefollowing:id‐dsa [iso(1)member‐body(2)us(840)x9‐57(10040)x9cm(4)1]RsaEncryption [iso(1)member‐body(2)us(840)rsadsi(113549)pkcs(1)pkcs‐1(1)1]Dhpublicnumber [iso(1)member‐body(2)us(840)ansi‐x942(10046)number‐type(2)1]

id‐keyExchangeAlgorithm[joint‐iso‐ccitt(2)country(16)us(840)organization(1)gov(101)dod(2)infosec(1)algorithms(1)22]

id‐ecPublicKey[iso(1)member‐body(2)us(840)ansi‐X9‐62(10045)id‐publicKeyType(2)1]

EllipticcurvepublickeyssubmittedtoDigiCertforinclusioninendentitycertificatesshouldallbebasedonNIST“SuiteB”curves.SignaturealgorithmsforPIV‐IcertificatesarelimitedtothoseidentifiedbyNISTSP800‐78.

7.1.4. NameFormsEachcertificateincludesauniqueserialnumberthatisneverreused.OptionalsubfieldsinthesubjectofanSSLCertificatemusteithercontaininformationverifiedbyDigiCertorbeleftempty.SSLCertificatescannotcontainmetadatasuchas‘.’,‘‐‘and‘‘charactersoranyotherindicationthatthefieldisnotapplicable.DigiCertlogicallyrestrictsOUfieldsfromcontainingSubscriberinformationthathasnotbeenverifiedinaccordancewithSection3. TheDistinguishedNameforeachCertificatetypeissetforthinDigiCert’scertificateprofilesdocument.ThecontentsofthefieldsinEVCertificatesmustmeettherequirementsinSection8.1oftheEVGuidelines.

7.1.5. NameConstraintsNostipulation.

7.1.6. CertificatePolicyObjectIdentifierAnobjectidentifier(OID)isauniquenumberthatidentifiesanobjectorpolicy.TheOIDsusedbyDigiCertarelistedinSection1.2andinDigiCert’sCertificateProfilesdocument.

7.1.7. UsageofPolicyConstraintsExtensionNotapplicable.

7.1.8. PolicyQualifiersSyntaxandSemanticsDigiCertincludesbriefstatementsincertificatesaboutthelimitationsofliabilityandothertermsassociatedwiththeuseofacertificateinthePolicyQualifierfieldoftheCertificatesPolicyextension.

7.1.9. ProcessingSemanticsfortheCriticalCertificatePoliciesExtensionNostipulation.

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7.2. CRLPROFILEForPIV‐ICertificates,DigiCertfollowstheFPKIPA’sX.509CertificateandCertificateRevocationList(CRL)ExtensionsProfileforPersonalIdentityVerificationInteroperable(PIV‐I)Cards.

7.2.1. Versionnumber(s)DigiCertissuesversion2CRLsthatcontainthefollowingfields:

Field ValueIssuerSignatureAlgorithm sha‐1WithRSAEncryption[12840113549115] OR

sha‐256WithRSAEncryption[128401135491111]ORecdsa‐with‐sha384[1284010045433]

IssuerDistinguishedName DigiCertthisUpdate CRLissuedateinUTCformatnextUpdate DatewhenthenextCRLwillissueinUTCformat.RevokedCertificatesList

Listofrevokedcertificates,includingtheserialnumberandrevocationdate

Issuer’sSignature [Signature]

7.2.2. CRLandCRLEntryExtensionsCRLshavethefollowingextensions:

Extension ValueCRLNumber NeverrepeatedmonotonicallyincreasingintegerAuthorityKeyIdentifier SameastheAuthorityKeyIdentifierlistedinthecertificateInvalidityDate OptionaldateinUTCformatReasonCode Optional reasonforrevocation

7.3. OCSPPROFILEForPIV‐ICertificates,DigiCertfollowstheFPKIPA’sX.509CertificateandCertificateRevocationList(CRL)ExtensionsProfileforPersonalIdentityVerificationInteroperable(PIV‐I)Cards.

7.3.1. VersionNumber(s)DigiCert’sOCSPrespondersconformtoversion1ofRFC2560.

7.3.2. OCSPExtensionsNostipulation.

8. COMPLIANCEAUDITANDOTHERASSESSMENTSThepracticesinthisCPSaredesignedtomeetorexceedtherequirementsofgenerallyacceptedindustrystandards,includingthelatestversionoftheEVGuidelinesandtheAICPA/CICAWebTrustProgramforCertificationAuthorities,ANSX9.79/ISO21188PKIPracticesandPolicyFramework("CAWebTrust/ISO21188").ForpurposesofinteroperationwiththeU.S.Government,compliancecanbedeterminedbyreferencetoanycurrentauditorletterofcompliancemeetingtheFPKIPA’sAuditorLetterofComplianceRequirements,datedOctober28,2009(FPKIPAAuditRequirements).

8.1. FREQUENCYORCIRCUMSTANCESOFASSESSMENTDigiCertreceivesanannualauditbyanindependentexternalauditortoassessDigiCert'scompliancewiththisCPS,anyapplicableCPs,andtheCAWebTrust/ISO21188andWebTrustEVProgramcriteria.TheauditcoversDigiCert’sRAsystems,SubCAs,andOCSPResponders.

8.2. IDENTITY/QUALIFICATIONSOFASSESSORWebTrustauditorsmustmeettherequirementsofSection14.1.14oftheEVGuidelines.Specifically:

(1) Qualificationsandexperience:Auditingmustbetheauditor’sprimarybusinessfunction.TheindividualoratleastonememberoftheauditgroupmustbequalifiedasaCertifiedInformation

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SystemsAuditor(CISA),anAICPACertifiedInformationTechnologyProfessional(CPA.CITP),aCertifiedInternalAuditor(CIA),orhaveanotherrecognizedinformationsecurityauditingcredential.Auditorsmustbesubjecttodisciplinaryactionbyitslicensingbody.

(2) Expertise:TheindividualorgroupmustbetrainedandskilledintheauditingofsecureinformationsystemsandbefamiliarwithPublicKeyinfrastructures,certificationsystems,andInternetsecurityissues.

(3) Rulesandstandards:Theauditormustconformtoapplicablestandards,rules,andbestpracticespromulgatedbytheAmericanInstituteofCertifiedPublicAccountants(AICPA),theCanadianInstituteofCharteredAccountants(CICA),theInstituteofCharteredAccountantsofEngland&Wales(ICAEW),theInternationalAccountingStandardsadoptedbytheEuropeanCommission(IAS),InformationSystemsAuditandControlAssociation(ISACA),theInstituteofInternalAuditors(IIA),oranotherqualifiedauditingstandardsbody.

(4) Reputation:Thefirmmusthaveareputationforconductingitsauditingbusinesscompetentlyandcorrectly.

(5) Insurance:EVauditorsmustmaintainProfessionalLiability/ErrorsandOmissionsInsurance,withpolicylimitsofatleast$1millionincoverage.

8.3. ASSESSOR'SRELATIONSHIPTOASSESSEDENTITYDigiCert’sWebTrustauditordoesnothaveafinancialinterest,businessrelationship,orcourseofdealingthatcouldforeseeablycreateasignificantbiasfororagainstDigiCert.

8.4. TOPICSCOVEREDBYASSESSMENTTheauditcoversDigiCert'sbusinesspracticesdisclosure,theintegrityofDigiCert'sPKIoperations,andDigiCert’scompliancewiththeEVGuidelines.

8.5. ACTIONSTAKENASARESULTOFDEFICIENCYIfanauditreportsamaterialnoncompliancewithapplicablelaw,thisCPS,theCP,oranyothercontractualobligationsrelatedtoDigiCert’sservices,then(1)theauditorwilldocumentthediscrepancy,(2)theauditorwillpromptlynotifyDigiCert,and(3)DigiCertwilldevelopaplantocurethenoncompliance.DigiCertwillsubmittheplantotheDCPAforapprovalandtoanythirdpartythatDigiCertislegallyobligatedtosatisfy.TheDCPAmayrequireadditionalactionifnecessarytorectifyanysignificantissuescreatedbythenon‐compliance,includingrequiringrevocationofaffectedcertificates.

8.6. COMMUNICATIONOFRESULTSTheresultsofeachauditarereportedtotheDCPAandtoanythirdpartyentitieswhichareentitledbylaw,regulation,oragreementtoreceiveacopyoftheauditresults.

8.7. SELF‐AUDITSOnatleastaquarterlybasis,DigiCertperformsregularinternalauditsagainstarandomlyselectedsampleofatleastthreepercentofthecertificatesissuedsincethelastinternalaudit.InternalauditsonEVCertificatesareperformedinaccordancewithsection14.1.2oftheEVGuidelines.

9. OTHERBUSINESSANDLEGALMATTERS

9.1. FEES

9.1.1. CertificateIssuanceorRenewalFeesDigiCertchargesthefeespostedonitswebsiteforcertificateissuanceandrenewal.DigiCertmaychangeitsfeesatanytime,withoutnotice,bypostingtheupdatedfeesonitswebsite.

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9.1.2. CertificateAccessFeesDigiCertmaychargeareasonablefeeforaccesstoitscertificatedatabases.

9.1.3. RevocationorStatusInformationAccessFeesDigiCertdoesnotchargeacertificaterevocationfeeorafeeforcheckingthevaliditystatusofanissuedcertificateusingaCRL.DigiCertmaychargeafeeforprovidingcertificatestatusinformationviaOCSP.

9.1.4. FeesforOtherServicesNostipulation.

9.1.5. RefundPolicySubscribersmustrequestrefunds,inwriting,within30daysafteracertificateissues.Afterreceivingtherefundrequest,DigiCertmayrevokethecertificateandrefundtheamountpaidbytheApplicant,minusanyapplicableapplicationprocessingfees.

9.2. FINANCIALRESPONSIBILITY

9.2.1. InsuranceCoverageDigiCertmaintainsCommercialGeneralLiabilityinsurancewithapolicylimitofatleast$2millionincoverageandProfessionalLiability/Errors&Omissionsinsurancewithapolicylimitofatleast$5millionincoverage.InsuranceiscarriedthroughcompaniesratednolessthanA‐astoPolicyHolder’sRatinginthecurrenteditionofBest’sInsuranceGuide(orwithanassociationofcompanies,eachofthemembersofwhicharesorated).

9.2.2. OtherAssetsNostipulation.

9.2.3. InsuranceorWarrantyCoverageforEnd‐EntitiesInsurancecoverageforend‐entitiesisspecifiedinDigiCert’sRelyingPartyAgreement.

9.3. CONFIDENTIALITYOFBUSINESSINFORMATION

9.3.1. ScopeofConfidentialInformationThefollowinginformationisconsideredconfidentialandprotectedagainstdisclosureusingareasonabledegreeofcare:

1. PrivateKeys;2. ActivationdatausedtoaccessPrivateKeysortogainaccesstotheCAsystem;3. Businesscontinuity,incidentresponse,contingency,anddisasterrecoveryplans;4. Othersecuritypracticesusedtoprotecttheconfidentiality,integrity,oravailabilityofinformation;5. InformationheldbyDigiCertasprivateinformationinaccordancewithSection9.4;6. Auditlogsandarchiverecords;and7. Transactionrecords,financialauditrecords,andexternalorinternalaudittrailrecordsandanyaudit

reports(withtheexceptionofanauditor’sletterconfirmingtheeffectivenessofthecontrolssetforthinthisCPS).

9.3.2. InformationNotWithintheScopeofConfidentialInformationAnyinformationnotlistedasconfidentialisconsideredpublicinformation.Publishedcertificateandrevocationdataisconsideredpublicinformation.

9.3.3. ResponsibilitytoProtectConfidentialInformationDigiCert’semployees,agents,andcontractorsareresponsibleforprotectingconfidentialinformationandarecontractuallyobligatedtodoso.Employeesreceivetrainingonhowtohandleconfidentialinformation.

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9.4. PRIVACYOFPERSONALINFORMATION

9.4.1. PrivacyPlanDigiCertfollowstheprivacypolicypostedonitswebsitewhenhandlingpersonalinformation.Personalinformationisonlydisclosedwhenthedisclosureisrequiredbylaworwhenrequestedbythesubjectofthepersonalinformation.

9.4.2. InformationTreatedasPrivateDigiCerttreatsallpersonalinformationaboutanindividualthatisnotpubliclyavailableinthecontentsofacertificateorCRLasprivateinformation.DigiCertprotectsprivateinformationusingappropriatesafeguardsandareasonabledegreeofcare.

9.4.3. InformationNotDeemedPrivatePrivateinformationdoesnotincludecertificates,CRLs,ortheircontents.

9.4.4. ResponsibilitytoProtectPrivateInformationDigiCertemployeesandcontractorsareexpectedtohandlepersonalinformationinstrictconfidenceandmeettherequirementsofUSandEuropeanlawconcerningtheprotectionofpersonaldata.Allsensitiveinformationissecurelystoredandprotectedagainstaccidentaldisclosure.

9.4.5. NoticeandConsenttoUsePrivateInformationPersonalinformationobtainedfromanapplicantduringtheapplicationoridentityverificationprocessisconsideredprivateinformationiftheinformationisnotincludedinacertificate.DigiCertwillonlyuseprivateinformationafterobtainingthesubject'sconsentorasrequiredbyapplicablelaworregulation.AllSubscribersmustconsenttotheglobaltransferandpublicationofanypersonaldatacontainedinacertificate.

9.4.6. DisclosurePursuanttoJudicialorAdministrativeProcessDigiCertmaydiscloseprivateinformation,withoutnotice,ifDigiCertbelievesthedisclosureisrequiredbylaworregulation.

9.4.7. OtherInformationDisclosureCircumstancesNostipulation.

9.5. INTELLECTUALPROPERTYRIGHTSDigiCertand/oritsbusinesspartnersowntheintellectualpropertyrightsinDigiCert’sservices,includingthecertificates,trademarksusedinprovidingtheservices,andthisCPS.“DigiCert”isaregisteredtrademarkofDigiCert,Inc.CertificateandrevocationinformationarethepropertyofDigiCert.DigiCertgrantspermissiontoreproduceanddistributecertificatesonanon‐exclusiveandroyalty‐freebasis,providedthattheyarereproducedanddistributedinfull.DigiCertdoesnotallowderivativeworksofitscertificatesorproductswithoutpriorwrittenpermission.PrivateandPublicKeysremainthepropertyoftheSubscriberswhorightfullyholdthem.Allsecretshares(distributedelements)oftheDigiCertPrivateKeysarethepropertyofDigiCert.

9.6. REPRESENTATIONSANDWARRANTIES

9.6.1. CARepresentationsandWarrantiesExceptasexpresslystatedinthisCPSorinaseparateagreementwithaSubscriber,DigiCertdoesnotmakeanyrepresentationsregardingitsproductsorservices.DigiCertrepresents,totheextentspecifiedinthisCPS,that:

1. DigiCertcomplies,inallmaterialaspects,withtheCP,thisCPS,andallapplicablelawsandregulations,

2. DigiCertpublishesandupdatesCRLsandOCSPresponsesonaregularbasis,

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3. AllcertificatesissuedunderthisCPSwillbeverifiedinaccordancewiththisCPSandmeettheminimumrequirementsfoundhereinandintheBaselineRequirements,

4. DigiCertwillmaintainarepositoryofpublicinformationonitswebsite,and5. InformationpublishedonaqualifiedcertificatemeetstherequirementsspecifiedinEUDirective

99/93.

TotheextentallowedunderEUDirective99/93,DigiCert:1. Doesnotwarranttheaccuracy,authenticity,completeness,orfitnessofanyunverified

information,includingnameverificationfor(1)certificatesintendedforemailandintranetuse,(2)UnifiedCommunicationsCertificates,and(3)othercertificatesissuedtoindividualsandintranets.

2. IsnotresponsibleforinformationcontainedinacertificateexceptasstatedinthisCPS,3. Doesnotwarrantthequality,function,orperformanceofanysoftwareorhardwaredevice,and4. IsnotresponsibleforfailingtocomplywiththisCPSbecauseofcircumstancesoutsideof

DigiCert’scontrol.ForEVCertificates,DigiCertrepresentstoSubscribers,Subjects,ApplicationSoftwareVendorsthatdistributeDigiCert’srootcertificates,andRelyingPartiesthatuseaDigiCertcertificatewhilethecertificateisvalidthatDigiCertfollowedtheEVGuidelineswhenverifyinginformationandissuingEVCertificates.ThisrepresentationislimitedsolelytoDigiCert’scompliancewiththeEVGuidelines(e.g.,DigiCertmayrelyonerroneousinformationprovidedinanattorney’sopinionoraccountant’sletterthatischeckedinaccordancewiththeGuidelines).ForPIVCertificates,DigiCertmaintainsanagreementwithAffiliatedOrganizationsthatincludesobligationsrelatedtoauthorizingaffiliationwithSubscribersofPIV‐Icertificates.

9.6.2. RARepresentationsandWarrantiesRAsrepresentthat:

1. TheRA’scertificateissuanceandmanagementservicesconformtotheDigiCertCPandthisCPS,2. InformationprovidedbytheRAdoesnotcontainanyfalseormisleadinginformation,3. TranslationsperformedbytheRAareanaccuratetranslationoftheoriginalinformation,and4. AllcertificatesrequestedbytheRAmeettherequirementsofthisCPS.

DigiCert’sagreementwiththeRAmaycontainadditionalrepresentations.

9.6.3. SubscriberRepresentationsandWarrantiesSubscribersaresolelyresponsibleforanymisrepresentationstheymaketothirdpartiesandforalltransactionsthatuseSubscriber’sPrivateKey,regardlessofwhethersuchusewasauthorized.SubscribersarerequiredtonotifyDigiCertandanyapplicableRAifachangeoccursthatcouldaffectthestatusofthecertificate.SubscribersrepresenttoDigiCert,ApplicationSoftwareVendors,andRelyingPartiesthat,foreachcertificate,theSubscriberwill:

1. SecurelygenerateitsPrivateKeysandprotectitsPrivateKeysfromcompromise,2. ProvideaccurateandcompleteinformationwhencommunicatingwithDigiCert,3. Confirmtheaccuracyofthecertificatedatapriortousingthecertificate,4. PromptlyceaseusingacertificateandnotifyDigiCertif(i)anyinformationthatwassubmitted

toDigiCertorisincludedinacertificatechangesorbecomesmisleadingor(ii)thereisanyactualorsuspectedmisuseorcompromiseofthePrivateKeyassociatedwiththecertificate,

5. Ensurethatindividualsusingcertificatesonbehalfofanorganizationhavereceivedsecuritytrainingappropriatetothecertificate,

6. Usethecertificateonlyforauthorizedandlegalpurposes,consistentwiththecertificatepurpose,thisCPS,anyapplicableCP,andtherelevantSubscriberAgreement,includingonlyinstallingSSLcertificatesonserversaccessibleatthedomainlistedinthecertificateandnotusingcodesigningcertificatestosignmaliciouscodeoranycodethatisdownloadedwithoutauser’sconsent,and

7. PromptlyceaseusingthecertificateandrelatedPrivateKeyafterthecertificate’sexpiration.

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9.6.4. RelyingPartyRepresentationsandWarrantiesEachRelyingPartyrepresentsthat,priortorelyingonaDigiCertcertificate,it:

1. ObtainedsufficientknowledgeontheuseofdigitalcertificatesandPKI,2. StudiedtheapplicablelimitationsontheusageofcertificatesandagreestoDigiCert’slimitationson

liabilityrelatedtotheuseofcertificates,3. Hasread,understands,andagreestotheDigiCertRelyingPartyAgreementandthisCPS,4. VerifiedboththeDigiCertcertificateandthecertificatesinthecertificatechainusingtherelevant

CRLorOCSP,5. WillnotuseaDigiCertcertificateifthecertificatehasexpiredorbeenrevoked,and6. Willtakeallreasonablestepstominimizetheriskassociatedwithrelyingonadigitalsignature,

includingonlyrelyingonaDigiCertcertificateafterconsidering:a) applicablelawandthelegalrequirementsforidentificationofaparty,protectionofthe

confidentialityorprivacyofinformation,andenforceabilityofthetransaction;b) theintendeduseofthecertificateaslistedinthecertificateorthisCPS,c) thedatalistedinthecertificate,d) theeconomicvalueofthetransactionorcommunication,e) thepotentiallossordamagethatwouldbecausedbyanerroneousidentificationoralossof

confidentialityorprivacyofinformationintheapplication,transaction,orcommunication,f) theRelyingParty’spreviouscourseofdealingwiththeSubscriber,g) theRelyingParty’sunderstandingoftrade,includingexperiencewithcomputer‐based

methodsoftrade,andh) anyotherindiciaofreliabilityorunreliabilitypertainingtotheSubscriberand/orthe

application,communication,ortransaction.Anyunauthorizedrelianceonacertificateisataparty’sownrisk.

9.6.5. RepresentationsandWarrantiesofOtherParticipantsNostipulation.

9.7. DISCLAIMERSOFWARRANTIESEXCEPTASEXPRESSLYSTATEDINSECTION9.6.1,ALLCERTIFICATESANDANYRELATEDSOFTWAREANDSERVICESAREPROVIDED"ASIS"AND"ASAVAILABLE”.TOTHEMAXIMUMEXTENTPERMITTEDBYLAW,DIGICERTDISCLAIMSALLEXPRESSANDIMPLIEDWARRANTIES,INCLUDINGALLWARRANTIESOFMERCHANTABILITY,FITNESSFORAPARTICULARPURPOSE,ANDNON‐INFRINGEMENT.DIGICERTDOESNOTWARRANTTHATANYSERVICEORPRODUCTWILLMEETANYEXPECTATIONSORTHATACCESSTOCERTIFICIATESWILLBETIMELYORERROR‐FREE.DigiCertdoesnotguaranteetheavailabilityofanyproductsorservicesandmaymodifyordiscontinueanyproductorserviceofferingatanytime.AfiduciarydutyisnotcreatedsimplybecauseanentityusesDigiCert’sservices.

9.8. LIMITATIONSOFLIABILITYNOTHINGHEREINLIMITSLIABILTYRELATEDTO(I)DEATHORPERSONALINJURYRESULTINGFROMDIGICERT’SNEGLIGENCEOR(II)FRAUDCOMMITTEDBYDIGICERT.EXCEPTASSTATEDABOVE,ANYENTITYUSINGADIGICERTCERTIFICATEORSERVICEWAIVESALLLIABILITYOFDIGICERTRELATEDTOSUCHUSE,PROVIDEDTHATDIGICERTHASMATERIALLYCOMPLIEDWITHTHISCPSINPROVIDINGTHECERTIFICATEORSERVICE.DIGICERT’SLIABILITYFORCERTIFICATESANDSERVICESTHATDONOTMATERIALLYCOMPLYWITHTHISCPSISLIMITEDASFOLLOWS:

1. NOLIABILITYIFTHEDAMAGEORLOSSRELATESTOACERTIFICATEOTHERTHANASSLCERTIFICATEORCODESIGNINGCERTIFICATE,

2. AMAXIMUMLIABILITYOF$1,000PERTRANSACTIONFORSSLCERTIFICATES,3. ANAGGREGATEMAXIMUMLIABILITYOF$10,000FORALLCLAIMSRELATEDTOASINGLE

CERTIFICATEORSERVICE,4. ANDANAGGREGATEMAXIMUMLIABILITYOF$1MILLIONFORALLCLAIMS,REGARDLESSOF

THENUMBERORSOURCEOFTHECLAIMS.

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DIGICERTAPPORTIONSPAYMENTSRELATEDTOANAGGREGATEMAXIMUMLIMITATIONONLIABILITYUNDERTHISSECTIONTOTHEFIRSTCLAIMSTHATACHIEVEFINALRESOLUTION.Allliabilityislimitedtoactualandlegallyprovabledamages.DigiCertisnotliablefor:

1. Anyindirect,consequential,special,orpunitivedamagesoranylossofprofit,revenue,data,oropportunity,evenifDigiCertisawareofthepossibilityofsuchdamages;

2. LiabilityrelatedtofraudorwillfulmisconductoftheApplicant;3. Liabilityrelatedtouseofacertificatethatexceedsthelimitationsonuse,value,ortransactionsas

statedeitherinthecertificateorthisCPS;4. Liabilityrelatedtothesecurity,usability,orintegrityofproductsnotsuppliedbyDigiCert,including

theSubscriber’sandRelyingParty’shardware;or5. LiabilityrelatedtothecompromiseofaSubscriber’sPrivateKey.

Thelimitationsinthissectionapplytothemaximumextentpermittedbylawandapplyregardlessof(i)thereasonforornatureoftheliability,includingtortclaims,(ii)thenumberofclaimsofliability,(iii)theextentornatureofthedamages,(iv)whetherDigiCertfailedtofollowanyprovisionofthisCPS,or(v)whetheranyprovisionofthisCPSwasprovenineffective.ThedisclaimersandlimitationsonliabilitiesinthisCPSarefundamentaltermstotheuseofDigiCert’scertificatesandservices.

9.9. INDEMNITIES

9.9.1. IndemnificationbyDigiCertDigiCertshallindemnifyeachApplicationSoftwareVendoragainstanyclaim,damage,orlosssufferedbyanApplicationSoftwareVendorrelatedtoanEVCertificateissuedbyDigiCert,regardlessofthecauseofactionorlegaltheoryinvolved,exceptwheretheclaim,damage,orlosssufferedbytheApplicationSoftwareVendorwasdirectlycausedbytheApplicationSoftwareVendor’ssoftwaredisplayingeither(1)avalidandtrustworthyEVCertificateasnotvalidortrustworthyor(2)displayingastrustworthy(i)anEVCertificatethathasexpiredor(ii)arevokedEVCertificatewheretherevocationstatusisavailableonlinebuttheApplicationSoftwareVendor’ssoftwarefailedtocheckorignoredthestatus.

9.9.2. IndemnificationbySubscribersTotheextentpermittedbylaw,eachSubscribershallindemnifyDigiCert,itspartners,andanycross‐signedentities,andtheirrespectivedirectors,officers,employees,agents,andcontractorsagainstanyloss,damage,orexpense,includingreasonableattorney’sfees,relatedto(i)anymisrepresentationoromissionofmaterialfactbySubscriber,regardlessofwhetherthemisrepresentationoromissionwasintentionalorunintentional;(ii)Subscriber’sbreachoftheSubscriberAgreement,thisCPS,orapplicablelaw;(iii)thecompromiseorunauthorizeduseofacertificateorPrivateKeycausedbytheSubscriber’snegligenceorintentionalacts;or(iv)Subscriber’smisuseofthecertificateorPrivateKey.

9.9.3. IndemnificationbyRelyingPartiesTotheextentpermittedbylaw,eachRelyingPartyshallindemnifyDigiCert,itspartners,andanycross‐signedentities,andtheirrespectivedirectors,officers,employees,agents,andcontractorsagainstanyloss,damage,orexpense,includingreasonableattorney’sfees,relatedtotheRelyingParty’s(i)breachoftheRelyingPartyAgreement,anEnd‐UserLicenseAgreement,thisCPS,orapplicablelaw;(ii)unreasonablerelianceonacertificate;or(iii)failuretocheckthecertificate’sstatuspriortouse.

9.10. TERMANDTERMINATION

9.10.1. TermThisCPSandanyamendmentstotheCPSareeffectivewhenpublishedtoDigiCert’sonlinerepositoryandremainineffectuntilreplacedwithanewerversion.

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9.10.2. TerminationThisCPSandanyamendmentsremainineffectuntilreplacedbyanewerversion.

9.10.3. EffectofTerminationandSurvivalDigiCertwillcommunicatetheconditionsandeffectofthisCPS’sterminationviatheDigiCertRepository.Thecommunicationwillspecifywhichprovisionssurvivetermination.Ataminimum,allresponsibilitiesrelatedtoprotectingconfidentialinformationwillsurvivetermination.AllSubscriberAgreementsremaineffectiveuntilthecertificateisrevokedorexpired,evenifthisCPSterminates.

9.11. INDIVIDUALNOTICESANDCOMMUNICATIONSWITHPARTICIPANTSDigiCertacceptsnoticesrelatedtothisCPSatthelocationsspecifiedinSection2.2.NoticesaredeemedeffectiveafterthesenderreceivesavalidanddigitallysignedacknowledgmentofreceiptfromDigiCert.Ifanacknowledgementofreceiptisnotreceivedwithinfivedays,thesendermustresendthenoticeinpaperformtothestreetaddressspecifiedinSection2.2usingeitheracourierservicethatconfirmsdeliveryorviacertifiedorregisteredmailwithpostageprepaidandreturnreceiptrequested.DigiCertmayallowotherformsofnoticeinitsSubscriberAgreements.

9.12. AMENDMENTS

9.12.1. ProcedureforAmendmentThisCPSisreviewedannually.AmendmentsaremadebypostinganupdatedversionoftheCPStotheonlinerepository.ControlsareinplacetoreasonablyensurethatthisCPSisnotamendedandpublishedwithoutthepriorauthorizationoftheDCPA.

9.12.2. NotificationMechanismandPeriodDigiCertpostsCPSrevisionstoitswebsite.DigiCertdoesnotguaranteeorsetanotice‐and‐commentperiodandmaymakechangestothisCPSwithoutnoticeandwithoutchangingtheversionnumber.Majorchangesaffectingaccreditedcertificatesareannouncedandapprovedbytheaccreditingagencypriortobecomingeffective.TheDCPAisresponsiblefordeterminingwhatconstitutesamaterialchangeoftheCPS.

9.12.3. CircumstancesunderwhichOIDMustBeChangedTheDCPAissolelyresponsiblefordeterminingwhetheranamendmenttotheCPSrequiresanOIDchange.

9.13. DISPUTERESOLUTIONPROVISIONSPartiesarerequiredtonotifyDigiCertandattempttoresolvedisputesdirectlywithDigiCertbeforeresortingtoanydisputeresolutionmechanism,includingadjudicationoranytypeofalternativedisputeresolution.

9.14. GOVERNINGLAWThenationallawoftherelevantmemberstategovernsanydisputeinvolvingQualifiedCertificates.ExceptfordisputesinvolvingQualifiedCertificates,thelawsofthestateofUtahgoverntheinterpretation,construction,andenforcementofthisCPSandallproceedingsrelatedtoDigiCert’sproductsandservices,includingtortclaims,withoutregardtoanyconflictsoflawprinciples.ThestateofUtahhasnon‐exclusivevenueandjurisdictionoveranyproceedingsrelatedtotheCPSoranyDigiCertproductorservice.

9.15. COMPLIANCEWITHAPPLICABLELAWThisCPSissubjecttoallapplicablelawsandregulations,includingUnitedStatesrestrictionsontheexportofsoftwareandcryptographyproducts.Subjecttosection9.4.5’sNoticeandConsenttoUsePrivateInformationcontainedinCertificates,DigiCertmeetstherequirementsoftheEuropeandataprotectiondirective95/46/ECandhasestablishedappropriatetechnicalandorganizationmeasuresagainstunauthorizedorunlawfulprocessingofpersonaldataandagainsttheloss,damage,ordestructionofpersonaldata.

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9.16. MISCELLANEOUSPROVISIONS

9.16.1. EntireAgreementDigiCertcontractuallyobligateseachRAtocomplywiththisCPSandapplicableindustryguidelines.DigiCertalsorequireseachpartyusingitsproductsandservicestoenterintoanagreementthatdelineatesthetermsassociatedwiththeproductorservice.IfanagreementhasprovisionsthatdifferfromthisCPS,thentheagreementwiththatpartycontrols,butsolelywithrespecttothatparty.Thirdpartiesmaynotrelyonorbringactiontoenforcesuchagreement.

9.16.2. AssignmentAnyentitiesoperatingunderthisCPSmaynotassigntheirrightsorobligationswithoutthepriorwrittenconsentofDigiCert.Unlessspecifiedotherwiseinacontactwithaparty,DigiCertdoesnotprovidenoticeofassignment.

9.16.3. SeverabilityIfanyprovisionofthisCPSisheldinvalidorunenforceablebyacompetentcourtortribunal,theremainderoftheCPSwillremainvalidandenforceable.EachprovisionofthisCPSthatprovidesforalimitationofliability,disclaimerofawarranty,oranexclusionofdamagesisseverableandindependentofanyotherprovision.

9.16.4. Enforcement(attorneys'feesandwaiverofrights)DigiCertmayseekindemnificationandattorneys'feesfromapartyfordamages,losses,andexpensesrelatedtothatparty'sconduct.DigiCert’sfailuretoenforceaprovisionofthisCPSdoesnotwaiveDigiCert’srighttoenforcethesameprovisionlaterorrighttoenforceanyotherprovisionofthisCPS.Tobeeffective,waiversmustbeinwritingandsignedbyDigiCert.

9.16.5. ForceMajeureDigiCertisnotliableforanydelayorfailuretoperformanobligationunderthisCPStotheextentthatthedelayorfailureiscausedbyanoccurrencebeyondDigiCert’sreasonablecontrol.TheoperationoftheInternetisbeyondDigiCert’sreasonablecontrol.

9.17. OTHERPROVISIONSNostipulation.

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APPENDIXA:SAMPLEOPINIONLETTER

[Date]To: DigiCert,Inc. 2600WestExecutiveParkway Suite500 Lehi,UT84043 Email:[email protected] Fax:801‐705‐0481Re: DigitalCertificatefor[Exactcompanynameofclient–seefootnote1](“Client”)

ThisfirmrepresentsClient,whoaskedthatI,asits[accountant,lawyer,solicitors,barrister,advocate,etc.],attesttothefollowinginformationsolelyasrelatedtotheClient’sapplicationforadigitalcertificate.

AfterreviewingtheClient’srecordsandbasedonmyinvestigation,myprofessionalopinionisthat:

1. Clientisadulyformed[corporation,LLC,etc.]underthelawsofthe[state/province]of[nameof

governingjurisdictionwhereClientisincorporatedorregistered];is“active,”“valid,”“current,”ortheequivalent;andisnotunderanyknownlegaldisability.

2. [Ifapplicable]TheRomanizedtransliterationofClient’sformallegalnameis:[Romanizedname].

3. [Ifapplicable]Clientconductsbusinessunderthe[assumed/DBA/trade]nameof[assumednameofClient].Clienthasacurrentlyvalidregistrationofthenamewiththegovernmentagencythathasjurisdictionovertheplaceofbusinesslistedbelow.

4. Theaddresswhere[Client,Client’sparent,orClient’ssubsidiary–selectone]conductsbusinessoperationsis:[Insertplaceofbusiness–thisshouldmatchtheaddressonthecertificateapplication]

5. AmaintelephonenumberatClient’splaceofbusinessis:

[Insertprimarytelephonenumberofbusiness]

6. [NameofClient’sRepresentative–seefootnote2]isanindividual(orareindividuals)withtheauthoritytoactonbehalfofClientto:a) ProvideinformationabouttheClientcontainedinthereferencedapplication,b) Requestoneormoredigitalcertificatesanddesignateotherpersonstorequestdigital

certificates,andc) AgreetothecontractualobligationscontainedinDigiCert’sagreements.

7. [NameandtitleofClient’sRepresentative],whoisClient’s[TitleofClientRepresentative],canbecontactedat:Email:[EmailaddressofClientRepresentative]Phone:[PhonenumberofClientRepresentative]

8. Clienthaseitheroperatedasabusinessforthreeormoreyearsorhasanactivedepositaccountheldatabankorotherfinancialinstitutionwherefundsdepositedarepayableondemand.

9. Clienthastheexclusiverighttousethefollowingdomainname(s)inidentifyingitselfontheInternetandisawarethatithassuchcontrol:[Insertdomainnames]

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Althoughwedidnotfindanyexceptionstotheaboveidentificationprocedures,theseproceduresdonot

constituteanauditoropinionofClient'sapplicationforadigitalcertificate.WearenotexpressinganopiniononClient'sdigitalcertificateapplicationandhaveprovidedthislettersolelyforthebenefitofDigiCertinconnectionwithClient'sapplicationforadigitalcertificate.Nootherpersonorentitymayrelyonthisletterwithoutmyexpresswrittenconsent.Thislettershallnotbequotedinwholeorinpart,used,publishedorotherwisereferredtoorrelieduponinanymanner,including,withoutlimitation,inanyfinancialstatementorotherdocument.Signature:__________________________________________________PrintAccountant/AttorneyName:______________________________________________________PhoneNumber:_____________________________________________Email:_____________________________________________FirmName:_____________________________________________Licensedin:___________________________________Licensenumber,ifany:__________________________________Contactinformationforlicensingagencywherethisaccountant's/attorney'slicenseinformationmaybeverified:___________________________________________________________________Note1:ThismustbetheClient’sexactcorporatenameasregisteredwiththerelevantIncorporatingAgency

intheClient’sJurisdictionofIncorporation.Note2:APowerofAttorneyfromanofficeroftheClientwhohasthepowertodelegateauthorityissufficient

toestablishtheClientRepresentative’sactualauthority.Multiplerepresentativesmaybelisted.Note3:In‐housecounseloftheClientmaysubmitthisletterifpermittedbytherulesofyourjurisdiction.Note4: Thislettermaybesubmittedbymail,fax,oremail.

DigiCert CPS v405-May-2-2013 · DigiCert Certification Practices Statement DigiCert, Inc. Version...

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