Internet Engineering Task Force (IETF)                  A. Jerman Blazic
Request for Comments: 6283                                     S. Saljic
Category: Standards Track                                         SETCCE
ISSN: 2070-1721                                               T. Gondrom
                                                              July 2011

      Extensible Markup Language Evidence Record Syntax (XMLERS)

Abstract

  In many scenarios, users must be able to demonstrate the (time of)
  existence, integrity, and validity of data including signed data for
  long or undetermined periods of time.  This document specifies XML
  syntax and processing rules for creating evidence for long-term non-
  repudiation of existence and integrity of data.  The Extensible
  Markup Language Evidence Record Syntax XMLERS provides alternative
  syntax and processing rules to the ASN.1 (Abstract Syntax Notation
  One) ERS (Evidence Record Syntax) (RFC 4998) syntax by using XML.

Status of This Memo

  This is an Internet Standards Track document.

  This document is a product of the Internet Engineering Task Force
  (IETF).  It represents the consensus of the IETF community.  It has
  received public review and has been approved for publication by the
  Internet Engineering Steering Group (IESG).  Further information on
  Internet Standards is available in Section 2 of RFC 5741.

  Information about the current status of this document, any errata,
  and how to provide feedback on it may be obtained at
  http://www.rfc-editor.org/info/rfc6283.

Copyright Notice

  Copyright (c) 2011 IETF Trust and the persons identified as the
  document authors.  All rights reserved.

  This document is subject to BCP 78 and the IETF Trust's Legal
  Provisions Relating to IETF Documents
  (http://trustee.ietf.org/license-info) in effect on the date of
  publication of this document.  Please review these documents
  carefully, as they describe your rights and restrictions with respect
  to this document.  Code Components extracted from this document must
  include Simplified BSD License text as described in Section 4.e of
  the Trust Legal Provisions and are provided without warranty as
  described in the Simplified BSD License.




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RFC 6283                         XMLERS                        July 2011


Table of Contents

  1. Introduction ....................................................3
     1.1. Motivation .................................................3
     1.2. General Overview and Requirements ..........................4
     1.3. Terminology ................................................6
     1.4. Conventions Used in This Document ..........................7
  2. Evidence Record .................................................7
     2.1. Structure ..................................................8
     2.2. Generation ................................................12
     2.3. Verification ..............................................13
  3. Archive Time-Stamp .............................................13
     3.1. Structure .................................................13
          3.1.1. Hash Tree ..........................................13
          3.1.2. Time-Stamp .........................................14
          3.1.3. Cryptographic Information List .....................15
     3.2. Generation ................................................16
          3.2.1. Generation of Hash Tree ............................17
          3.2.2. Reduction of Hash Tree .............................19
     3.3. Verification ..............................................21
  4. Archive Time-Stamp Sequence and Archive Time-Stamp Chain .......22
     4.1. Structure .................................................23
          4.1.1. Digest Method ......................................23
          4.1.2. Canonicalization Method ............................24
     4.2. Generation ................................................25
          4.2.1. Time-Stamp Renewal .................................25
          4.2.2. Hash Tree Renewal ..................................26
     4.3. Verification ..............................................27
  5. Encryption .....................................................28
  6. Version ........................................................29
  7. Storage of Policies ............................................30
  8. XSD Schema for the Evidence Record .............................30
  9. Security Considerations ........................................34
     9.1. Secure Algorithms .........................................34
     9.2. Redundancy ................................................34
     9.3. Secure Time-Stamps ........................................35
     9.4. Time-Stamp Verification ...................................35
  10. IANA Considerations ...........................................36
  11. References ....................................................37
     11.1. Normative References .....................................37
     11.2. Informative References ...................................39
  Appendix A. Detailed Verification Process of an Evidence Record ...41









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1.  Introduction

  The purpose of the document is to define XML schema and processing
  rules for Evidence Record Syntax in XML (Extensible Markup Language)
  format.  The document is related to initial ASN.1 (Abstract Syntax
  Notation One) syntax for Evidence Record Syntax as defined in
  [RFC4998].

1.1.  Motivation

  The evolution of electronic commerce and electronic data exchange in
  general requires introduction of non-repudiable proof of data
  existence as well as data integrity and authenticity.  Such data and
  non-repudiable proof of existence must endure for long periods of
  time, even when the initial information to prove its existence and
  integrity weakens or ceases to exist.  Mechanisms such as digital
  signatures defined in [RFC5652], for example, do not provide absolute
  reliability on a long-term basis.  Algorithms and cryptographic
  material used to create a signature can become weak in the course of
  time, and information needed to validate digital signatures may
  become compromised or simply cease to exist, for example, due to the
  disbanding of a certificate service provider.  Providing a stable
  environment for electronic data on a long-term basis requires the
  introduction of additional means to continually provide an
  appropriate level of trust in evidence on data existence, integrity,
  and authenticity.

  All integrity and authenticity protecting techniques used today
  suffer from the problem of degrading reliability over time, including
  techniques for Time-Stamping, which are generally recognized as data
  existence and integrity proof mechanisms.  Over long periods of time
  cryptographic algorithms used may become weak or encryption keys
  compromised.  Some of the problems might not even be of technical
  nature like a Time-Stamping Authority going out of business and
  ceasing its service.  To create a stable environment where proof of
  existence and integrity can endure well into the future a new
  technical approach must be used.

  Long-term non-repudiation of data existence and demonstration of data
  integrity techniques have been already introduced, for example, by
  long-term signature syntaxes like those defined in [RFC5126].  Long-
  term signature syntaxes and processing rules address only the long-
  term endurance of the digital signatures themselves, while Evidence
  Record Syntax broadens this approach for data of any type or format
  including digital signatures.






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  XMLERS (Extensible Markup Language Evidence Record Syntax) is based
  on Evidence Record Syntax as defined in [RFC4998] and is addressing
  the same problem of long-term non-repudiable proof of data existence
  and demonstration of data integrity on a long-term basis.  XMLERS
  does not supplement the [RFC4998] specification.  Following
  extensible markup language standards and [RFC3470] guidelines it
  introduces the same approach but in a different format and with
  adapted processing rules.

  The use of Extensible Markup Language (XML) format is already
  recognized by a wide range of applications and services and is being
  selected as the de facto standard for many applications based on data
  exchange.  The introduction of Evidence Record Syntax in XML format
  broadens the horizon of XML use and presents a harmonized syntax with
  a growing community of XML-based standards including those related to
  security services such as [XMLDSig] or [XAdES].

  Due to the differences in XML processing rules and other
  characteristics of XML, XMLERS does not present a direct
  transformation of ERS in ASN.1 syntax.  XMLERS is based on different
  processing rules as defined in [RFC4998] and it does not support, for
  example, the import of ASN.1 values in XML tags.  Creating Evidence
  Records in XML syntax must follow the steps as defined in this
  document.  XMLERS is a standalone document and is based on [RFC4998]
  conceptually only.  The content of this document provides enough
  information for implementation of Evidence Record Syntax (represented
  in XML format).  References to [RFC4998] are for informative purposes
  only.

  Evidence Record Syntax in XML format is based on long-term archive
  service requirements as defined in [RFC4810].  XMLERS delivers the
  same (level of) non-repudiable proof of data existence as ASN.1 ERS
  [RFC4998].  The XML syntax supports archive data grouping (and de-
  grouping) together with simple or complex Time-Stamp renewal
  processes.  Evidence Records can be embedded in the data itself or
  stored separately as a standalone XML file.

1.2.  General Overview and Requirements

  XMLERS specifies the XML syntax and processing rules for creating
  evidence for the long-term non-repudiation of existence and integrity
  of data in a unit called the "Evidence Record".  XMLERS is defined to
  meet the requirements for data structures as set out in [RFC4810].
  This document also refers to the ASN.1 ERS specification as defined
  in [RFC4998].






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  An Evidence Record may be generated and maintained for a single data
  object or a group of data objects that form an archive object.  A
  data object (binary chunk or a file) may represent any kind of
  document or part of it.  Dependencies among data objects, their
  validation, or any other relationship than "a data object is a part
  of particular archived object" are outside the scope of this
  document.

  Evidence Record is closely related to Time-Stamping techniques.
  However, Time-Stamps as defined in [RFC3161] can cover only a single
  unit of data and do not provide processing rules for maintaining a
  long-term stability of Time-Stamps applied over a data object.
  Evidence for an archive object is created by acquiring a Time-Stamp
  from a trustworthy authority for a specific value that is
  unambiguously related to a single or more data objects.  Relationship
  between several data objects and a single Time-Stamped value is
  addressed using a hash tree, a technique first described by Merkle
  [MER1980] and later in [RFC4998], with data structures and procedures
  as specified in this document.  The Evidence Record Syntax enables
  processing of several archive objects within a single processing pass
  using a hash tree technique and acquiring only one Time-Stamp to
  protect all archive objects.  The leaves of the hash tree are hash
  values of the data objects in a group.  A Time-Stamp is requested
  only for the root hash of the hash tree.  The deletion of a data
  object in the tree does not influence the provability of others.  For
  any particular data object, the hash tree can be reduced to a few
  sets of hash values, which are sufficient to prove the existence of a
  single data object.  Similarly, the hash tree can be reduced to prove
  existence of a data group, provided all members of the data group
  have the same parent node in the hash tree.  Archive Time-Stamps are
  comprised of an optional reduced hash tree and a Time-Stamp.

  Besides a Time-Stamp other artifacts are also preserved in Evidence
  Record: data necessary to verify the relationship between a time-
  stamped value and a specific data object, packed into a structure
  called a "hash tree", and long-term proofs for the formal
  verification of the included Time-Stamp(s).

  Because digest algorithms or cryptographic methods used may become
  weak or certificates used within a Time-Stamp (and signed data) may
  be revoked or expire, the collected evidence data must be monitored
  and renewed before such events occur.  This document introduces XML-
  based syntax and processing rules for the creation and continuous
  renewal of evidence data.







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1.3.  Terminology

  Archive Data Object: An archive data object is a data unit that is
  archived and has to be preserved for a long time by the long-term
  archive service.

  Archive Data Object Group: An archive data object group is a set of
  archive data objects that, for some reason, (logically) belong
  together; e.g., a group of document files or a document file and a
  signature file could represent an archive data object group.

  Archive Object (AO): An AO is an archive data object or an archive
  data object group.

  Archive Time-Stamp (ATS): An ATS contains a Time-Stamp Token, useful
  data for validation, and optionally a set of ordered lists of hash
  values (a hash tree).  An Archive Time-Stamp relates to a data object
  if the hash value of this data object is part of the first hash value
  list of the Archive Time-Stamp or its hash value matches the Time-
  Stamped value.  An Archive Time-Stamp relates to a data object group
  if it relates to every data object of the group and no other data
  object (i.e., the hash values of all but no other data objects of the
  group are part of the first hash value list of the Archive Time-
  Stamp) (see Section 3).

  Archive Time-Stamp Chain (ATSC): An ATSC holds a sequence of Archive
  Time-Stamps generated during the preservation period.

  Archive Time-Stamp Sequence (ATSSeq): AN ATSSeq is a sequence of
  Archive Time-Stamp Chains.

  Canonicalization: Canonicalization refers to processing rules for
  transforming an XML document into its canonical form.  Two XML
  documents may have different physical representations, but they may
  have the same canonical form.  For example, a sort order of
  attributes does not change the meaning of the document as defined in
  [XMLC14N].

  Cryptographic Information: Cryptographic information is data or part
  of data related to the validation process of signed data, e.g.,
  digital certificates, digital certificate chains, and Certificate
  Revocation Lists.

  Digest Method: Digest method is a digest algorithm, which is a strong
  one-way function, for which it is computationally infeasible to find
  an input that corresponds to a given output or to find two different





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  input values that correspond to the same output.  A digest algorithm
  transforms input data into a short value of fixed length.  The output
  is called digest value, hash value, or data fingerprint.

  Evidence: Evidence is information that may be used to resolve a
  dispute about various aspects of authenticity, validity, and
  existence of archived data objects.

  Evidence Record: An Evidence Record is a collection of evidence
  compiled for a given archive object over time.  An Evidence Record
  includes ordered collection of ATSs, which are grouped into ATSCs and
  ATSSeqs.

  Long-Term Archive (LTA): An LTA is a service responsible for
  generation, collection, and maintenance (renewal) of evidence data.
  An LTA may also preserve data for long periods of time, e.g.  storage
  of archive data and associated evidences.

  Hash Tree: A hash tree is a collection of hash values of protected
  objects (input data objects and generated evidence within archival
  period) that are unambiguously related to the Time-Stamped value
  within an Archive Time-Stamp.

  Time-Stamp Token (TS): A TS is a cryptographically secure
  confirmation generated by a Time-Stamping Authority (TSA), e.g.,
  [RFC3161], which specifies a structure for Time-Stamps and a protocol
  for communicating with a Time-Stamp Authority.  Besides this, other
  data structures and protocols may also be appropriate, such as
  defined in [ISO-18014-1.2002], [ISO-18014-2.2002],
  [ISO-18014-3.2004], and [ANSI.X9-95.2005].

1.4.  Conventions Used in This Document

  The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT",
  "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this
  document are to be interpreted as described in [RFC2119].

2.  Evidence Record

  An Evidence Record is a unit of data that is to be used to prove the
  existence of an archive object (a single archive data object or a
  archive data object group) at a certain time.  Through the lifetime
  of an archive object, an Evidence Record also demonstrates the data
  objects' integrity and non-repudiability.  To achieve this,
  cryptographic means are used, i.e., the LTA obtains Time-Stamp Tokens
  from the Time-Stamping Authority (TSA).  It is possible to store the
  Evidence Record separately from the archive object or to integrate it
  into the data itself.



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  As cryptographic means are used to support Evidence Records, such
  records may lose their value over time.  Time-Stamps obtained from
  Time-Stamping Authorities may become invalid for a number of reasons,
  usually due to time constraints of Time-Stamp validity or when
  cryptographic algorithms lose their security properties.  Before the
  used Time-Stamp Tokens become unreliable, the Evidence Record has to
  be renewed.  This may result in a series of Time-Stamp Tokens, which
  are linked between themselves according to the cryptographic methods
  and algorithms used.

  Evidence Records can be supported with additional information, which
  can be used to ease the processes of Evidence Record validation and
  renewal.  Information such as digital certificates and Certificate
  Revocation Lists as defined in [RFC5280] or other cryptographic
  material can be collected, enclosed, and processed together with
  archive object data (i.e., Time-Stamped).

2.1.  Structure

  The Evidence Record contains one or several Archive Time-Stamps
  (ATSs).  An ATS contains a Time-Stamp Token and optionally other
  useful data for Time-Stamp validation, e.g., certificates, CRLs
  (Certificate Revocation Lists), or OCSP (Online Certificate Status
  Protocol) responses and also specific attributes such as service
  policies.

  Initially, an ATS is acquired and later, before it expires or becomes
  invalid, a new ATS is acquired, which prolongs the validity of the
  archived object (its data objects together with all previously
  generated Archive Time-Stamps).  This process MUST continue during
  the desired archiving period of the archive data object(s).  A series
  of successive Archive Time-Stamps is collected in Archive Time-Stamp
  Chains and a series of chains in Archive Time-Stamp Sequence.

  In XML syntax the Evidence Record is represented by the
  <EvidenceRecord> root element, which has the following structure
  described in Pseudo-XML with the full XML schema defined in Section 8
  (where "?" denotes zero or one occurrences, "+" denotes one or more
  occurrences, and "*" denotes zero or more occurrences):












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  <EvidenceRecord Version>

     <EncryptionInformation>
        <EncryptionInformationType>
        <EncryptionInformationValue>
     </EncryptionInformation> ?
     <SupportingInformationList>
        <SupportingInformation Type /> +
     </SupportingInformationList> ?
     <ArchiveTimeStampSequence>
        <ArchiveTimeStampChain Order>
           <DigestMethod Algorithm />
           <CanonicalizationMethod Algorithm />
           <ArchiveTimeStamp Order>
              <HashTree /> ?
              <TimeStamp>
                 <TimeStampToken Type />
                 <CryptographicInformationList>
                    <CryptographicInformation Order Type /> +
                 </CryptographicInformationList> ?
              </TimeStamp>
              <Attributes>
                 <Attribute Order Type /> +
              </Attributes> ?
           </ArchiveTimeStamp> +
        </ArchiveTimeStampChain> +
     </ArchiveTimeStampSequence>
  </EvidenceRecord>

  The syntax of an Evidence Record is defined as an XML schema
  [XMLSchema], see Section 8.  The schema uses the following XML
  namespace [XMLName] urn:ietf:params:xml:ns:ers as default namespace
  with a detailed xml schema header listed in Section 8.

  The XML elements and attributes have the following meanings:

     The "Version" attribute MUST be included and indicates the syntax
     version, for compatibility with future revisions of this
     specification and to distinguish it from earlier non-conformant or
     proprietary versions of XMLERS.  Current version of XMLERS is 1.0.
     The used versioning scheme is described in detail in Section 6.
     <EncryptionInformation> element is OPTIONAL and holds information
     on cryptographic algorithms and cryptographic material used to
     encrypt archive data (in case archive data is encrypted, e.g., for
     privacy purposes).  This optional information is needed to
     unambiguously re-encrypt data objects when processing Evidence
     Records.  When omitted, data objects are not encrypted or




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     non-repudiation proof is not needed for the unencrypted data.
     Details on how to process encrypted archive data and generate
     Evidence Record(s) are described in Section 5.

     <SupportingInformationList> element is OPTIONAL and can hold
     information to support processing of Evidence Records.  An example
     of this supporting information may be a processing policy, like a
     cryptographic policy (e.g., [RFC5698]) or archiving policies,
     which can provide input about preservation and evidence
     validation.  Each data object is put into a separate child element
     <SupportingInformation>, with an OPTIONAL Type attribute to
     indicate its type for processing directions.  As outlined, Types
     to be used must be defined in the specification of the information
     structure to be stored or in this standard.  As outlined in
     Section 9.4, cryptographic information may also be stored in the
     SupportingInformation element, in which case its Section 3.1.3
     defined type MUST be used.  Or as defined in Section 7
     cryptographic policies [RFC5698] MAY be stored, in which case the
     used type is defined in the relevant RFC.  Note that if supporting
     information and policies are relevant for and already available at
     or before the time of individual renewal steps (e.g., to indicate
     the DSSC crypto policy [RFC5698]) that was used at the time of the
     individual renewal) they SHOULD be stored in the <Attributes>
     element of the individual Archive Time-Stamp (see below) as this
     is integrity protected by the Archive Time-Stamps.  Supporting
     information that is relevant for the whole Evidence Record (like
     the LTA's current Cryptographic Algorithms Security Suitability
     policy (DSSC, [RFC5698]) or that was not available at the time of
     renewal (and therefore could not later be stored in the protected
     <Attributes> element) can be stored in this
     <SupportingInformation> element.

     <ArchiveTimeStampSequence> is REQUIRED and contains a sequence of
     one or more <ArchiveTimeStampChain>.

     <ArchiveTimeStampChain> is a REQUIRED element that holds a
     sequence of Archive Time-Stamps generated during the preservation
     period.  Details on Archive Time-Stamp Chains and Archive Time-
     Stamp Sequences are described in Section 4.  The sequences of
     Archive Time-Stamp Chains and Archive Time-Stamps MUST be ordered
     and the order MUST be indicated with "Order" attribute of the
     <ArchiveTimeStampChain> and <ArchiveTimeStamp> elements.

     <DigestMethod> is a REQUIRED element and contains an attribute
     "Algorithm" that identifies the digest algorithm used within one
     Archive Time-Stamp Chain to calculate digest values from the
     archive data object(s), previous Archive Time-Stamp Sequence,
     Time-Stamps, and within a Time-Stamp Token.



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     <CanonicalizationMethod> is a REQUIRED element that specifies
     which canonicalization algorithm is applied to the archive data
     for XML data objects or <ArchiveTimeStampSequence> or <TimeStamp>
     elements prior to performing digest value calculations.

     <HashTree> is an OPTIONAL element that holds a structure as
     described in Section 3.1.1.

     <TimeStamp> is REQUIRED and holds a <TimeStampToken> element with
     a Time-Stamp Token (as defined in Section 3.1.2) provided by the
     Time-Stamping Authority and an OPTIONAL element
     <CryptographicInformationList>.

     <CryptographicInformationList> is an OPTIONAL element that allows
     the storage of data needed in the process of Time-Stamp Token
     validation in case when such data is not provided by the Time-
     Stamp Token itself.  This could include possible trust anchors,
     certificates, revocation information, or the current definition of
     the suitability of cryptographic algorithms, past and present.
     Each data object is put into a separate child element
     <CryptographicInformation>, with a REQUIRED Order attribute to
     indicate the order within its parent element.  These items may be
     added based on the policy used.  This data is protected by
     successive Time-Stamps in the sequence of the Archive Time-Stamps.

     <Attributes> element is OPTIONAL and contains additional
     information that may be provided by an LTA used to support
     processing of Evidence Records.  An example of this supporting
     information may be a processing policy, like a renewal, a
     cryptographic (e.g., [RFC5698]), or an archiving policy.  Such
     policies can provide inputs, which are relevant for preservation
     of the data object(s) and evidence validation at a later stage.
     Each data object is put into a separate child element <Attribute>,
     with a REQUIRED Order attribute to indicate the order within the
     parent element and an OPTIONAL Type attribute to indicate
     processing directions.  The type to be used must be defined in the
     specification of the information structure.  For example, the type
     to be used when storing a cryptographic policy [RFC5698] is
     defined in Appendix A.2 of [RFC5698].

     The Order attribute is REQUIRED in all cases when one or more XML
     elements with the same name occur on the same level in XMLERS'
     <ArchiveTimeStampSequence> structure.  Although most of the XML
     parsers will preserve the order of the sibling elements having the
     same name, within XML structure there is no definition how to
     unambiguously define such order.  Preserving the correct order in
     such cases is of significant importance for digest value
     calculations over XML structures.



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2.2.  Generation

  The generation of an <EvidenceRecord> element MUST be as follows:

  1. Select an archive object (a data object or a data object group) to
     archive.

  2. Create the initial <ArchiveTimeStamp>.  This is the first ATS
     within the initial <ArchiveTimeStampChain> element of the
     <ArchiveTimeStampSequence> element.

  3. Refresh the <ArchiveTimeStamp> when necessary by Time-Stamp
     renewal or hash tree renewal (see Section 4).

  The Time-Stamping service may be, for a large number of archived
  objects, expensive and time-demanding, so the LTA may benefit from
  acquiring one Time-Stamp Token for many archived objects, which are
  not otherwise related to each other.  It is possible to collect many
  archive objects, build a hash tree to generate a single value to be
  Time-Stamped, and respectively reduce that hash tree to small subsets
  that for each archive object provide necessary binding with the Time-
  Stamped hash value (see Section 3.2.1).

  For performance reasons or in case of local Time-Stamp generation,
  building a hash tree (<HashTree> element) can be omitted.  It is also
  possible to convert existing Time-Stamps into an ATS for renewal.

  The case when only essential parts of documents or objects shall be
  protected is out of scope for this standard, and an application that
  is not defined in this document must ensure that the correct
  unambiguous extraction of binary data is made for the generation of
  Evidence Record.

  An application may also provide evidence such as certificates,
  revocation lists, etc. needed to verify and validate signed data
  objects or a data object group.  This evidence may be added to the
  archive data object group and will be protected within the initial
  (and successive) Time-Stamp(s).

  Note that the <CryptographicInformationList> element of Evidence
  Record is not to be used to store and protect cryptographic material
  related to signed archive data.  The use of this element is limited
  to cryptographic material related to the Time-Stamp(s).








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2.3.  Verification

  The overall verification of an Evidence Record MUST be as follows:

  1. Select an archive object (a data object or a data object group).

  2. Re-encrypt data object or data object group, if encryption field
     is used (for details, see Section 5).

  3. Verify Archive Time-Stamp Sequence (details in Sections 3.3 and
     4.3).

3.  Archive Time-Stamp

  An Archive Time-Stamp is a Time-Stamp with additional artifacts that
  allow the verification of the existence of several data objects at a
  certain time.

  The process of construction of an ATS must support evidence on a
  long-term basis and prove that the archive object existed and was
  identical, at the time of the Time-Stamp, to the currently present
  archive object (at the time of verification).  To achieve this, an
  ATS MUST be renewed before it becomes invalid (which may happen for
  several reasons such as, e.g., weakening used cryptographic
  algorithms, invalidation of digital certificate, or a TSA terminating
  its business or ceasing its service).

3.1.  Structure

  An Archive Time-Stamp contains a Time-Stamp Token, with useful data
  for its validation (cryptographic information), such as the
  certificate chain or Certificate Revocation Lists, an optional
  ordered set of ordered lists of hash values (a hash tree) that were
  protected with the Time-Stamp Token and optional information
  describing the renewal steps (<Attributes> element).  A hash tree may
  be used to store data needed to bind the Time-Stamped value with
  protected objects by the Archive Time-Stamp.  If a hash tree is not
  present, the ATS simply refers to a single object, either input data
  object or a previous TS.

3.1.1.  Hash Tree

  Hash tree structure is an optional container for significant values,
  needed to unambiguously relate a Time-Stamped value to protected data
  objects, and is represented by the <HashTree> element.  The root hash
  value that is generated from the values of the hash tree MUST be the
  same as the Time-Stamped value.




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  <HashTree>
     <Sequence Order>
        <DigestValue>base64 encoded hash value</DigestValue> +
     </Sequence> +
  </HashTree>

  The algorithm by which a root hash value is generated from the
  <HashTree> element is as follows: the content of each <DigestValue>
  element within the first <Sequence> element is base64 ([RFC4648],
  using the base64 alphabet not the base64url alphabet) decoded to
  obtain a binary value (representing the hash value).  All collected
  hash values from the sequence are ordered in binary ascending order,
  concatenated and a new hash value is generated from that string.
  With one exception to this rule: when the first <Sequence> element
  has only one <DigestValue> element, then its binary value is added to
  the next list obtained from the next <Sequence> element.

  The newly calculated hash value is added to the next list of hashes
  obtained from the next <Sequence> element and the previous step is
  repeated until there is only one hash value left, i.e., when there
  are no <Sequence> elements left.  The last calculated hash value is
  the root hash value.  When an archive object is a group and composed
  of more than one data object, the first hash list MUST contain the
  hash values of all its data objects.

  When a single Time-Stamp is obtained for a set of archive objects,
  the LTA MUST construct a hash tree to generate a single hash value to
  bind all archive objects from that group and then a reduced hash tree
  MUST be calculated from the hash tree for each archive object
  respectively (see Section 3.2.1).

  For example: A SHA-1 digest value is a 160-bit string.  The text
  value of the <DigestValue> element shall be the base64 encoding of
  this bit string viewed as a 20-octet octet stream.  And to continue
  the example, using an example message digest value of
  A9993E364706816ABA3E25717850C26C9CD0D89D (note this is a HEX encoded
  value of the 160-bit message digest), its base64 representation would
  be <DigestValue>qZk+NkcGgWq6PiVxeFDCbJzQ2J0=</DigestValue>.

3.1.2.  Time-Stamp

  Time-Stamp Token is an attestation generated by a TSA that a data
  item existed at a certain time.  The Time-Stamp Token is a signed
  data object that contains the hash value, the identity of the TSA,
  and the exact time (obtained from trusted time source) of Time-
  Stamping.  This proves that the given data existed before the time of
  Time-Stamping.  For example, [RFC3161] specifies a structure for
  signed Time-Stamp Tokens in ASN.1 format.  Since at the time being



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  there is no standard for an XML Time-Stamp, the following structure
  example is provided [TS-ENTRUST], which is a digital signature
  compliant to [XMLDSig] specification containing Time-Stamp specific
  data, such as Time-Stamped value and time within the <Object> element
  of a signature.

  <element name="TimeStampInfo">
     <complexType>
        <sequence>
           <element ref="Policy" />
           <element ref="Digest" />
           <element ref="SerialNumber" minOccurs="0" />
           <element ref="CreationTime" />
           <element ref="Accuracy" minOccurs="0" />
           <element ref="Ordering" minOccurs="0" />
           <element ref="Nonce" minOccurs="0" />
           <element ref="Extensions" minOccurs="0" />
        </sequence>
     </complexType>
  </element>

  A <TimeStamp> element of ATS holds a complete structure of Time-Stamp
  Token as provided by a TSA.  Time-Stamp Token may be in XML or ASN.1
  format.  The Attribute type MUST be used to indicate the format for
  processing purposes, with values "XMLENTRUST" or "RFC3161"
  respectively.  For an RFC3161 type Time-Stamp Token, the <TimeStamp>
  element MUST contain base64 encoding of a DER-encoded ASN1 data.
  These type values are registered by IANA (see Section 10).  For
  support of future types of Time-Stamps (in particular for future XML
  Time-Stamp standards), these need to be registered there as well.

  For example:

  <TimeStamp Type="RFC3161">MIAGCSqGSIb3DQEH...</TimeStamp>

  or

  <TimeStamp Type="XMLENTRUST"><dsig:Signature>...</dsig:Signature>
  </TimeStamp>

3.1.3.  Cryptographic Information List

  Digital certificates, CRLs (Certificate Revocation Lists), SCVP
  (Server-Based Certificate Validation Protocol), or OCSP-Responses
  (Online Certificate Status Protocol) needed to verify the Time-Stamp
  Token SHOULD be stored in the Time-Stamp Token itself.  When this is
  not possible, such data MAY be stored in the




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  <CryptographicInformationList> element; each data object is stored
  into a separate <CryptographicInformation> element, with a REQUIRED
  Order attribute.

  The attribute Type is REQUIRED and is used to store processing
  information about the type of stored cryptographic information.  The
  Type attribute MUST use a value registered with IANA, as identifiers:
  CRL, OCSP, SCVP, or CERT, and for each type the content MUST be
  encoded respectively:

  o  for type CRL, a base64 encoding of a DER-encoded X.509 CRL
     [RFC5280]

  o  for type OCSP, a base64 encoding of a DER-encoded OCSPResponse
     [RFC2560]

  o  for type SCVP, a base64 encoding of a DER-encoded CVResponse;
     [RFC5055]

  o  for type CERT, a base64 encoding of a DER-encoded X.509
     certificate [RFC5280]

  The supported type identifiers are registered by IANA (see Section
  10).  Future supported types can be registered there (for example, to
  support future validation standards).

3.2.  Generation

  An initial ATS relates to a data object or a data object group that
  represents an archive object.  The generation of the initial ATS
  element can be done in a single process pass for one or for many
  archived objects.  It MUST be done as described in the following
  steps:

  1. Collect one or more archive objects to be Time-Stamped.

  2. Select a canonicalization method C to be used for obtaining binary
     representation of archive data and for Archive Time-Stamp at a
     later stage in the renewing process (see Section 4).  Note that
     the selected canonicalization method MUST be used also for archive
     data when data is represented in XML format.

  3. Select a valid digest algorithm H.  The selected secure hash
     algorithm MUST be the same as the hash algorithm used in the Time-
     Stamp Token and for the hash tree computations.

  4. Generate a hash tree for selected archive object (see Section
     3.2.1).



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     The hash tree may be omitted in the initial ATS, when an archive
     object has a single data object; then the Time-Stamped value MUST
     match the digest value of that single data object.

  5. Acquire Time-Stamp token from TSA for root hash value of a hash
     tree (see Section 3.1.1).  If the Time-Stamp token is valid, the
     initial Archive Time-Stamp may be generated.

3.2.1.  Generation of Hash Tree

  The <DigestValue> elements within the <Sequence> element MUST be
  ordered in binary ascending order to ensure the correct calculation
  of digest values at the time of renewal and later for verification
  purposes.  Note that the text value of the <DigestValue> element is
  base64 encoded, so it MUST be base64 decoded in order to obtain a
  binary representation of the hash value.

  A hash tree MUST be generated when the Time-Stamped value is not
  equal to the hash value of the input data object.  This is the case
  when either of the following is true:

  1. When an archive object has more than one data object (i.e., is an
     archive data object group), its digest value is the digest value
     of binary ascending ordered and concatenated digest values of all
     its containing data objects.  Note that in this case the first
     list of the hash tree MUST contain hash values of all data objects
     and only those values.

  2. When for more than one archive object a single Time-Stamp Token is
     generated, then the hash tree is a reduced hash tree extracted
     from the hash tree for that archive object (see Section 3.2.2).

  The hash tree for a set of archive objects is built from the leaves
  to the root.  First the leaves of the tree are collected, each leaf
  representing the digest value of an archive object.  You MUST use the
  following procedure to calculate the hash tree:

  1. Collect archive objects and for each archive object its
     corresponding data objects.

  2. Choose a secure hash algorithm H and calculate the digest values
     for the data objects and put them into the input list for the hash
     tree as follows: a digest value of an archive object is the digest
     value of its data object, if there is only one data object in the
     archive object; if there is more than one data object in the
     archive object (i.e., it is an archive data object group) the
     digest value is the digest value of binary sorted, concatenated
     digest values of all its containing data objects.



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     Note that for an archive object group (having more than one data
     object), lists of their sub-digest values are stored and later,
     when creating a reduced hash tree for that archive object, they
     will become members of the first hash list.

  3. Group together items in the input list by the order of N (e.g.,
     for a binary tree group in pairs, for a tertiary tree group in
     triplets, and so forth) and for each group: binary ascending sort,
     concatenate, and calculate the hash value.  The result is a new
     input for the next list.  For improved processing it is
     RECOMMENDED to have the same number of children for each node.
     For this purpose you MAY extend the tree with arbitrary values to
     make every node have the same number of children.

  4. Repeat step 3, until only one digest value is left; this is the
     root value of the hash tree, which is Time-Stamped.

  Note that the selected secure hash algorithm MUST be the same as the
  one defined in the <DigestMethod> element of the ATSChain.

  Example: An input list with 18 hash values, where the h'1 is
  generated for a group of data objects (d4, d5, d6, and d7) and has
  been grouped by 3.  The group could be of any size (2, 3...).  Note
  that the addition of the arbitrary values h''6 and h'''3 are OPTIONAL
  and can be used for improved processing as outlined in step 3 above.


























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                   ----------
                   d1  -> h1 \
                              \
      G1           d2  -> h2  |-> h''1
  +--------+                  /       \
  |d4 -> h4|\      d3  -> h3 /         \
  |d5 -> h5| \     ----------          |
  |        | |  ->        h'1\         |
  |d6 -> h6| /                \        |
  |d7 -> h7|/      d8  -> h8  |-> h''2 |->  h'''1
  +--------+                  /        |         \
                   d9  -> h9 /         |          \
                   ----------          |          |
                   d10 -> h10\         /          |
                              \       /           |
                   d11 -> h11 |-> h''3            |
                              /                   |
                   d12 -> h12/                    |-> root hash value
                   ----------                     |
                   d13 -> h13\                    |
                              \                   |
                   d14 -> h14 |-> h''4            |
                              /       \           |
                   d15 -> h15/         \          |
                   ----------          |->  h'''2 |
                   d16 -> h16\         |          |
                              \        |          |
                   d17 -> h17 |-> h''5 |          |
                              /        |          |
                   d18 -> h18/         |          |
                   ----------          /          |
                                      /           /
                 (any arbitrary)  h''6           /
                          (any arbitrary)   h'''3

          Figure 1. Generation of the Merkle Hash Tree

  Note that there are no restrictions on the quantity of hash value
  lists and of their length.  Also note that it is beneficial but not
  required to build hash trees and reduce hash trees.  An Archive Time-
  Stamp may consist only of one list of hash values and a Time-Stamp or
  in an extreme case only a Time-Stamp with no hash value lists.

3.2.2.  Reduction of Hash Tree

  The generated Merkle hash tree can be reduced to lists of hash
  values, necessary as a proof of existence for a single archive object
  as follows:



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  1. For a selected archive object (AO) select its hash value h within
     the leaves of the hash tree.

  2. Put h as base64 encoded text value of a new <DigestValue> element
     within a first <Sequence> element.  If the selected AO is a data
     object group (i.e., has more than one data object), the first
     <Sequence> element MUST in this case be formed from the hash
     values of all AOs data objects, each within a separate
     <DigestValue> element.

  3. Select all hash values that have the same father node as hash
     value h.  Place these hash values each as a base64 encoded text
     value of a new <DigestValue> element within a new <Sequence>
     element, increasing its Order attribute value by 1.

  4. Repeat step 3 for the parent node until the root hash value is
     reached, with each step create a new <Sequence> element and
     increase its Order attribute by one.  Note that node values are
     not saved as they are computable.

  The order of <DigestValue> elements within each <Sequence> element
  MUST be binary ascending (by base64 decoded values).

  Reduced hash tree for data object d4 (from the previous example,
  presented in Figure 1):

  <HashTree>
    <Sequence Order='1'>
        <DigestValue>base64 encoded h4</DigestValue>
        <DigestValue>base64 encoded h5</DigestValue>
        <DigestValue>base64 encoded h6</DigestValue>
        <DigestValue>base64 encoded h7</DigestValue>
    </Sequence>
    <Sequence Order='2'>
        <DigestValue>base64 encoded h8</DigestValue>
        <DigestValue>base64 encoded h9</DigestValue>
    </Sequence>
    <Sequence Order='3'>
        <DigestValue>base64 encoded h''1</DigestValue>
        <DigestValue>base64 encoded h''3</DigestValue>
    </Sequence>
    <Sequence Order='4'>
        <DigestValue>base64 encoded h'''2</DigestValue>
    </Sequence>
  </HashTree>

  Reduced hash tree for data object d2 (from the previous example,
  presented in Figure 1):



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  <HashTree>
    <Sequence Order='1'>
        <DigestValue>base64 encoded h2</DigestValue>
    </Sequence>
    <Sequence Order='2'>
        <DigestValue>base64 encoded h1</DigestValue>
        <DigestValue>base64 encoded h3</DigestValue>
    </Sequence>
    <Sequence Order='3'>
        <DigestValue>base64 encoded h''2</DigestValue>
        <DigestValue>base64 encoded h''3</DigestValue>
    </Sequence>
    <Sequence Order='4'>
        <DigestValue>base64 encoded h'''2</DigestValue>
    </Sequence>
  </HashTree>

3.3.  Verification

  The initial Archive Time-Stamp shall prove that an archive object
  existed at a certain time, indicated by its Time-Stamp Token.  The
  verification procedure MUST be as follows:

  1. Identify hash algorithm H (from <DigestMethod> element) and
     calculate the hash value for each data object of the archive
     object.

  2. If the hash tree is present, search for hash values in the first
     <Sequence> element.  If hash values are not present, terminate
     verification process with negative result.  If the verifying party
     also seeks additional proof that the Archive Time-Stamp relates to
     a data object group (e.g., a document and all its digital
     signatures), it SHOULD also be verified that only the hash values
     of the data objects that are members of the given data object
     group are in the first hash value list.

  3. If the hash tree is present, calculate its root hash value.
     Compare the root hash value with the Time-Stamped value.  If they
     are not equal, terminate the verification process with negative
     result.

  4. If the hash tree is omitted, compare the hash value of the single
     data object with the Time-Stamped value.  If they are not equal,
     terminate the verification process with negative result.  If an
     archive object is having more data objects and the hash tree is
     omitted, also exit with negative result.





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  5. Check the validity of the Time-Stamp Token.  If the needed
     information to verify formal validity of the Time-Stamp Token is
     not available or found within the <TimeStampToken> element or
     within the <CryptographicInformationList> element or in
     <SupportingInformationList> (see Section 9.4), exit with a
     negative result.

  Information for formal verification of the Time-Stamp Token includes
  digital certificates, Certificate Revocation Lists, Online
  Certificate Status Protocol responses, etc.  This information needs
  to be collected prior to the Time-Stamp renewal process and protected
  with the succeeding Time-Stamp, i.e., included in the
  <TimeStampToken> or <CryptographicInformation> element (see Section
  9.4 for additional information and Section 4.2.1 for details on the
  Time-Stamp renewal process).  For the current (latest) Time-Stamp),
  information for formal verification of the (latest) Time-Stamp should
  be provided by the Time-Stamping Authority.  This information can
  also be provided with the Evidence Record within the
  <SupportingInformation> element, which is not protected by any Time-
  Stamp.

4.  Archive Time-Stamp Sequence and Archive Time-Stamp Chain

  An Archive Time-Stamp proves the existence of single data objects or
  a data object group at a certain time.  However, the initial Evidence
  Record created can become invalid due to losing the validity of the
  Time-Stamp Token for a number of reasons: hash algorithms or public
  key algorithms used in its hash tree or the Time-Stamp may become
  weak or the validity period of the Time-Stamp authority certificate
  expires or is revoked.

  To preserve the validity of an Evidence Record before such events
  occur, the Evidence Record has to be renewed.  This can be done by
  creating a new ATS.  Depending on the reason for renewing the
  Evidence Record (the Time-Stamp becomes invalid or the hash algorithm
  of the hash tree becomes weak) two types of renewal processes are
  possible:

  o  Time-Stamp renewal: For this process a new Archive Time-Stamp is
     generated, which is applied over the last Time-Stamp created.  The
     process results in a series of Archive Time-Stamps, which are
     contained within a single Archive Time-Stamp Chain (ATSC).

  o  Hash tree renewal: For this process a new Archive Time-Stamp is
     generated, which is applied to all existing Time-Stamps and data
     objects.  The newly generated Archive Time-Stamp is placed in a





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     new Archive Time-Stamp Chain.  The process results in a series of
     Archive Time-Stamp Chains, which are contained within a single
     Archive Time-Stamp Sequence (ATSSeq).

  After the renewal process, only the most recent (i.e., the last
  generated) Archive Time-Stamp has to be monitored for expiration or
  validity loss.

4.1.  Structure

  Archive Time-Stamp Chain and Archive Time-Stamp Sequence are
  containers for sequences of Archive Time-Stamp(s) that are generated
  through renewal processes.  The renewal process results in a series
  of Evidence Record elements: the <ArchiveTimeStampSequence> element
  contains an ordered sequence of <ArchiveTimeStampChain> elements, and
  the <ArchiveTimeStampChain> element contains an ordered sequence of
  <ArchiveTimeStamp> elements.  Both elements MUST be sorted by time of
  the Time-Stamp in ascending order.  Order is indicated by the Order
  attribute.

  When an Archive Time-Stamp must be renewed, a new <ArchiveTimeStamp>
  element is generated and depending on the generation process, it is
  either placed:

  o  as the last <ArchiveTimeStamp> child element in a sequence of the
     last <ArchiveTimeStampChain> element in case of Time-Stamp renewal
     or

  o  as the first <ArchiveTimeStamp> child element in a sequence of the
     newly created <ArchiveTimeStampChain> element in case of hash tree
     renewal.

  The ATS with the largest Order attribute value within the ATSC with
  the largest Order attribute value is the latest ATS and MUST be valid
  at the present time.

4.1.1.  Digest Method

  Digest method is a required element that identifies the digest
  algorithm used to calculate hash values of archive data (and node
  values of hash tree).  The digest method is specified in the
  <ArchiveTimeStampChain> element by the required <DigestMethod>
  element and indicates the digest algorithm that MUST be used for all
  hash value calculations related to the Archive Time-Stamps within the
  Archive Time-Stamp Chain.






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RFC 6283                         XMLERS                        July 2011


  The Algorithm attribute contains URIs [RFC3986] for identifiers that
  MUST be used as defined in [RFC3275] and [RFC4051].  For example,
  when the SHA-1 algorithm is used, the algorithm identifier is:

  <DigestMethod Algorithm="http://www.w3.org/2000/09/xmldsig#sha1"/>

  Within a single ATSC, the digest algorithms used for the hash trees
  of its Archive Time-Stamps and the Time-Stamp Tokens MUST be the
  same.  When algorithms used by a TSA are changed (e.g., upgraded) a
  new ATSC MUST be started using an equal or stronger digest algorithm.

4.1.2.  Canonicalization Method

  Prior to hash value calculations of an XML element, a proper binary
  representation must be extracted from its (abstract) XML data
  presentation.  The binary representation is determined by UTF-8
  [RFC3629] encoding and canonicalization of the XML element.  The XML
  element includes the entire text of the start and end tags as well as
  all descendant markup and character data (i.e., the text and sub-
  elements) between those tags.

  <CanonicalizationMethod> is a required element that identifies the
  canonicalization algorithm used to obtain binary representation of an
  XML element or elements.  Algorithm identifiers (URIs) MUST be used
  as defined in [RFC3275] and [RFC4051].  For example, when Canonical
  XML 1.0 (omits comments) is used, algorithm identifier is

  <CanonicalizationMethod Algorithm="http://www.w3.org/TR/2001/REC-
  xml-c14n-20010315"/>

  Canonicalization MUST be applied over XML structured archive data and
  MUST be applied over elements of Evidence Record (namely, ATS and
  ATSC in the renewing process).

  The canonicalization method is specified in the <Algorithm> attribute
  of the <CanonicalizationMethod> element within the
  <ArchiveTimeStampChain> element and indicates the canonicalization
  method that MUST be used for all binary representations of the
  Archive Time-Stamps within that Archive Time-Stamp Chain.  In case of
  succeeding ATSC the canonicalization method indicated within the ATSC
  must also be used for the calculation of the digest value of the
  preceding ATSC.  Note that the canonicalization method is unlikely to
  change over time as it does not impose the same constraints as the
  digest method.  In theory, the same canonicalization method can be
  used for a whole Archive Time-Stamp Sequence.  Although alternative
  canonicalization methods may be used, it is recommended to use c14n-
  20010315 [XMLC14N].




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RFC 6283                         XMLERS                        July 2011


4.2.  Generation

  Before the cryptographic algorithms used within the most recent
  Archive Time-Stamp become weak or the Time-Stamp certificates are
  invalidated, the LTA has to renew the Archive Time-Stamps by
  generating a new Archive Time-Stamp using one of two procedures:
  Time-Stamp renewal or hash tree renewal.

4.2.1.  Time-Stamp Renewal

  In case of Time-Stamp renewal, i.e., if the digest algorithm (H) to
  be used in the renewal process is the same as digest algorithm (H')
  used in the last Archive Time-Stamp, the complete content of the last
  <TimeStamp> element MUST be Time-Stamped and a new <ArchiveTimeStamp>
  element created as follows:

  1. If the current <ArchiveTimeStamp> element does not contain needed
     proof for long-term formal validation of its Time-Stamp Token
     within the <TimeStamp> element, collect needed data such as root
     certificates, Certificate Revocation Lists, etc., and include them
     in the <CryptographicInformationList> element of the last Archive
     Time-Stamp (each data object into a separate
     <CryptographicInformation> element).

  2. Select the canonicalization method from the
     <CanonicalizationMethod> element and select the digest algorithm
     from the <DigestMethod> element.  Calculate hash value from binary
     representation of the <TimeStamp> element of the last
     <ArchiveTimeStamp> element including added cryptographic
     information.  Acquire the Time-Stamp for the calculated hash
     value.  If the Time-Stamp is valid, the new Archive Time-Stamp may
     be generated.

  3. Increase the value order of the new ATS by one and place the new
     ATS into the last <ArchiveTimeStampChain> element.

  The new ATS and its hash tree MUST use the same digest algorithm as
  the preceding one, which is specified in the <DigestMethod> element
  within the <ArchiveTimeStampChain> element.  Note that the new ATS
  MAY not contain a hash tree.  However, the Time-Stamp renewal process
  may be optimized to acquire one Time-Stamp for many Archive Time-
  Stamps using a hash tree.  Note that each hash of the <TimeStamp>
  element is treated as the document hash in Section 3.2.1.








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RFC 6283                         XMLERS                        July 2011


4.2.2.  Hash Tree Renewal

  The process of hash tree renewal occurs when the new digest algorithm
  is different from the one used in the last Archive Time-Stamp (H <>
  H').  In this case the complete Archive Time-Stamp Sequence and the
  archive data objects covered by existing Archive Time-Stamp must be
  Time-Stamped as follows:

  1. Select one or more archive objects to be renewed and their current
     <ArchiveTimeStamp> elements.

  2. For each archive object check the current <ArchiveTimeStamp>
     element.  If it does not contain the proof needed for long-term
     formal validation of its Time-Stamp Token within the Time-Stamp
     Token, collect the needed data such as root certificates,
     Certificate Revocation Lists, etc., and include them in the
     <CryptographicInformationList> element of the last Archive Time-
     Stamp (each data object into a separate <CryptographicInformation>
     element).

  3. Select a canonicalization method C and select a new secure hash
     algorithm H.

  4. For each archive object select its data objects d(i).  Generate
     hash values h(i) = H(d(i)), for example: h(1), h(2).., h(n).

  5. For each archive object calculate a hash hseq=H(ATSSeq) from
     binary representation of the <ArchiveTimeStampSequence> element,
     corresponding to that archive object.  Note that Archive Time-
     Stamp Chains and Archive Time-Stamps MUST be chronologically
     ordered, each respectively to its Order attribute, and that the
     canonicalization method C MUST be applied.

  6. For each archive object sort in binary ascending order and
     concatenate all h(i) and the hseq.  Generate a new digest value
     h(j)=H(h(1)..h(n),hseq).

  7. Build a new Archive Time-Stamp for each h(j) (hash tree generation
     and reduction is defined in Sections 3.2.1 and 3.2.2).  Note that
     each h(j) is treated as the document hash in Section 3.2.1.  The
     first hash value list in the reduced hash tree should only contain
     h(i) and hseq.

  8. Create the new <ArchiveTimeStampChain> containing the new
     <ArchiveTimeStamp> element (with order number 1), and place it
     into the existing <ArchiveTimeStampSequence> as a last child with
     the order number increased by one.




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RFC 6283                         XMLERS                        July 2011


  Example for an archive object with 3 data objects: Select a new hash
  algorithm and canonicalization method.  Collect all 3 data objects
  and currently generated Archive Time-Stamp Sequence.

              AO

           /  |   \

        d1    d2    d3

  ATSSeq
        ATSChain1: ATS0, ATS1

        ATSChain2: ATS0, ATS1, ATS2

  The hash values MUST be calculated with the new hash algorithm H for
  all data objects and for the whole ATSSeq.  Note that ATSSeq MUST be
  chronologically ordered and canonicalized before retrieving its
  binary representation.

  When generating the hash tree for the new ATS, the first sequence
  become values: H(d1), H(d2),..., H(dn), H(ATSSeq).  Note: hash values
  MUST be sorted in binary ascending order.

  <HashTree>
     <Sequence Order='1'>
           <DigestValue>H(d1)</DigestValue>
           <DigestValue>H(d2)</DigestValue>
           <DigestValue>H(d3)</DigestValue>
           <DigestValue>H(ATSSeq)</DigestValue>
     </Sequence>
  </HashTree>

  Note that if the group processing is being performed, the hash value
  of the concatenation of the first sequence is an input hash value
  into the hash tree.

4.3.  Verification

  An Evidence Record shall prove that an archive object existed and has
  not been changed from the time of the initial Time-Stamp Token within
  the first ATS.  In order to complete the non-repudiation proof for an
  archive object, the last ATS has to be valid and ATSCs and their
  relations to each other have to be proved:

  1. Select archive object and re-encrypt its data object or data
     object group, if <EncryptionInformation> field is used.  Select
     the initial digest algorithm specified within the first Archive



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     Time-Stamp Chain and calculate the hash value of the archive
     object.  Verify that the initial Archive Time-Stamp contains
     (identical) hash value of the AO's data object (or hash values of
     AO's data object group).  Note that when the hash tree is omitted,
     calculated AO's value MUST match the Time-Stamped value.

  2. Verify each Archive Time-Stamp Chain and each Archive Time-Stamp
     within.  If the hash tree is present within the second and the
     next Archive Time-Stamps of an Archive Time-Stamp Chain, the first
     <Sequence> MUST contain the hash value of the <TimeStamp> element
     before.  Each Archive Time-Stamp MUST be valid relative to the
     time of the succeeding Archive Time-Stamp.  All Archive Time-
     Stamps with the Archive Time-Stamp Chain MUST use the same hash
     algorithm, which was secure at the time of the first Archive Time-
     Stamp of the succeeding Archive Time-Stamp Chain.

  3. Verify that the first hash value list of the first Archive Time-
     Stamp of all succeeding Archive Time-Stamp Chains contains hash
     values of data object and the hash value of Archive Time-Stamp
     Sequence of the preceding Archive Time-Stamp Chains.  Verify that
     Archive Time-Stamp was created when the last Archive Time-Stamp of
     the preceding Archive Time-Stamp Chain was valid.

  4. To prove the Archive Time-Stamp Sequence relates to a data object
     group, verify that the first Archive Time-Stamp of the first
     Archive Time-Stamp Chain does not contain other hash values in its
     first hash value list than the hash values of those data objects.

  For non-repudiation proof for the data object, the last Archive Time-
  Stamp MUST be valid at the time of verification process.

5.  Encryption

  In some archive services scenarios it may be required that clients
  send encrypted data only, preventing information disclosure to third
  parties, such as archive service providers.  In such scenarios it
  must be clear that Evidence Records generated refer to encrypted data
  objects.  Evidence Records in general protect the bit-stream (or
  binary representation of XML data), which freezes the bit structure
  at the time of archiving.  Encryption schemes in such scenarios
  cannot be changed afterwards without losing the integrity proof.
  Therefore, an ERS record must hold and preserve encryption
  information in a consistent manner.  To avoid problems when using
  Evidence Records in the future, additional special precautions have
  to be taken.






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RFC 6283                         XMLERS                        July 2011


  Encryption is a two-way process, whose result depends on the
  cryptographic material used, e.g., encryption keys and encryption
  algorithms.  Encryption and decryption keys as well as algorithms
  must match in order to reconstruct the original message or data that
  was encrypted.  Evidence generated to prove the existence of
  encrypted data cannot always be relied upon to prove the existence of
  unencrypted data.  It may be possible to choose different
  cryptographic material, i.e., an algorithm or a key for decryption
  that is not the algorithm or key used for encryption.  In this case,
  the evidence record would not be a non-repudiation proof for the
  unencrypted data.  Therefore, only encryption methods should be used
  that make it possible to prove that archive Time-Stamped encrypted
  data objects unambiguously represent unencrypted data objects.  In
  cases when evidence was generated to prove the existence of encrypted
  data the corresponding algorithm and decryption keys used for
  encryption must become a part of the Evidence Record and is used to
  unambiguously represent original (unencrypted) data that was
  encrypted.  (Note: In addition, the long-term security of the
  encryption schemes should be analyzed to determine if it could be
  used to create collision attacks.)  Cryptographic material may also
  be used in scenarios when a client submits encrypted data to the
  archive service provider for preservation but stores himself the data
  only in an unencrypted form.  In such scenarios cryptographic
  material is used to re-encrypt the unencrypted data kept by a client
  for the purpose of performing validation of the Evidence Record,
  which is related to the encrypted form of client's data.  An OPTIONAL
  extensible structure <EncryptionInformation> is defined to store the
  necessary parameters of the encryption methods.  Its
  <EncryptionInformationType> element is used to store the type of
  stored encryption information, e.g., whether it is an encryption
  algorithm or encryption key.  The <EncryptionInformationValue>
  element then contains the relevant encryption information itself.
  The use of encryption elements heavily depends on the cryptographic
  mechanism and has to be defined by other specifications.

6.  Version

  The numbering scheme for XMLERS versions is "<major>.<minor>".  The
  major and minor numbers MUST be treated as separate integers and each
  number MAY be incremented higher than a single digit.  Thus, "2.4"
  would be a lower version than "2.13", which in turn would be lower
  than "12.3".  Leading zeros (e.g., "6.01") MUST be ignored by
  recipients and MUST NOT be sent.








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RFC 6283                         XMLERS                        July 2011


  The major version number will be incremented only if the data format
  has changed so dramatically that an older version entity would not be
  able to interoperate with a newer version entity if it simply ignored
  the elements and attributes it did not understand and took the
  actions defined in the older specification.

  The minor version number will be incremented if significant new
  capabilities have been added to the core format (e.g., new optional
  elements).

7.  Storage of Policies

  As explained above policies can be stored in the Evidence Record in
  the <Attribute> or the <SupportingInformation> element.  In the case
  of storing DSSC policies [RFC5698], the types to be used in the
  <Attribute> or <SupportingInformation> element are defined in
  Appendix A.2 of [RFC5698] for both ASN.1 and XML representation.

8.  XSD Schema for the Evidence Record

  <?xml version="1.0" encoding="UTF-8"?>
  <xs:schema  xmlns:xs="http://www.w3.org/2001/XMLSchema"
              xmlns="urn:ietf:params:xml:ns:ers"
              targetNamespace="urn:ietf:params:xml:ns:ers"
              elementFormDefault="qualified"
              attributeFormDefault="unqualified">
  <xs:element name="EvidenceRecord" type="EvidenceRecordType"/>

  <!-- TYPE DEFINITIONS-->

  <xs:complexType name="EvidenceRecordType">
     <xs:sequence>
        <xs:element name="EncryptionInformation"
                    type="EncryptionInfo" minOccurs="0"/>
        <xs:element name="SupportingInformationList"
                    type="SupportingInformationType" minOccurs="0"/>
        <xs:element name="ArchiveTimeStampSequence"
                    type="ArchiveTimeStampSequenceType"/>
     </xs:sequence>
     <xs:attribute name="Version" type="xs:decimal" use="required"
                                                      fixed="1.0"/>
  </xs:complexType>

  <xs:complexType name="EncryptionInfo">
     <xs:sequence>
        <xs:element name="EncryptionInformationType"
                    type="ObjectIdentifier"/>
        <xs:element name="EncryptionInformationValue">



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           <xs:complexType mixed="true">
              <xs:sequence>
                 <xs:any minOccurs="0"/>
              </xs:sequence>
           </xs:complexType>
        </xs:element>
     </xs:sequence>
  </xs:complexType>

  <xs:complexType name="ArchiveTimeStampSequenceType">
     <xs:sequence>
        <xs:element name="ArchiveTimeStampChain" maxOccurs="unbounded">
           <xs:complexType>
              <xs:sequence>
                 <xs:element name="DigestMethod"
                             type="DigestMethodType"/>
                 <xs:element name="CanonicalizationMethod"
                             type="CanonicalizationMethodType"/>
                 <xs:element name="ArchiveTimeStamp"
                             type="ArchiveTimeStampType"
                             maxOccurs="unbounded" />
              </xs:sequence>
              <xs:attribute name="Order" type="OrderType"
                            use="required"/>
           </xs:complexType>
        </xs:element>
     </xs:sequence>
  </xs:complexType>

  <xs:complexType name="ArchiveTimeStampType">
     <xs:sequence>
        <xs:element name="HashTree" type="HashTreeType" minOccurs="0"/>
        <xs:element name="TimeStamp" type="TimeStampType"/>
        <xs:element name="Attributes" type="Attributes" minOccurs="0"/>
     </xs:sequence>
     <xs:attribute name="Order" type="OrderType" use="required"/>
  </xs:complexType>

  <xs:complexType name="DigestMethodType" mixed="true">
     <xs:sequence>
        <xs:any namespace="##other" minOccurs="0"/>
     </xs:sequence>
     <xs:attribute name="Algorithm" type="xs:anyURI" use="required"/>
  </xs:complexType>

  <xs:complexType name="CanonicalizationMethodType" mixed="true">
     <xs:sequence minOccurs="0">
        <xs:any namespace="##any" minOccurs="0"/>



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RFC 6283                         XMLERS                        July 2011


     </xs:sequence>
     <xs:attribute name="Algorithm" type="xs:anyURI" use="required"/>
  </xs:complexType>

  <xs:complexType name="TimeStampType">
     <xs:sequence>
        <xs:element name="TimeStampToken">
           <xs:complexType mixed="true">
              <xs:complexContent mixed="true">
                 <xs:restriction base="xs:anyType">
                    <xs:sequence>
                       <xs:any processContents="lax" minOccurs="0"
                               maxOccurs="unbounded"/>
                    </xs:sequence>
                    <xs:attribute name="Type" type="xs:NMTOKEN"
                                  use="required"/>
                 </xs:restriction>
              </xs:complexContent>
           </xs:complexType>
        </xs:element>
        <xs:element name="CryptographicInformationList"
                    type="CryptographicInformationType" minOccurs="0"/>
     </xs:sequence>
  </xs:complexType>
  <xs:complexType name="HashTreeType">
     <xs:sequence>
        <xs:element name="Sequence" maxOccurs="unbounded">
           <xs:complexType>
              <xs:sequence>
                 <xs:element name="DigestValue" type="xs:base64Binary"
                             maxOccurs="unbounded"/>
              </xs:sequence>
              <xs:attribute name="Order" type="OrderType"
                            use="required"/>
           </xs:complexType>
        </xs:element>
     </xs:sequence>
  </xs:complexType>

  <xs:complexType name="Attributes">
     <xs:sequence>
        <xs:element name="Attribute" maxOccurs="unbounded">
           <xs:complexType mixed="true">
              <xs:complexContent mixed="true">
                 <xs:restriction base="xs:anyType">
                    <xs:sequence>
                       <xs:any processContents="lax" minOccurs="0"
                               maxOccurs="unbounded"/>



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RFC 6283                         XMLERS                        July 2011


                    </xs:sequence>
                    <xs:attribute name="Order" type="OrderType"
                                  use="required"/>
                    <xs:attribute name="Type" type="xs:string"
                                  use="optional"/>
                 </xs:restriction>
              </xs:complexContent>
           </xs:complexType>
        </xs:element>
     </xs:sequence>
  </xs:complexType>
  <xs:complexType name="CryptographicInformationType">
     <xs:sequence>
        <xs:element name="CryptographicInformation"
              maxOccurs="unbounded">
           <xs:complexType mixed="true">
              <xs:complexContent mixed="true">
                 <xs:restriction base="xs:anyType">
                    <xs:sequence>
                       <xs:any processContents="lax" minOccurs="0"
                               maxOccurs="unbounded"/>
                    </xs:sequence>
                    <xs:attribute name="Order" type="OrderType"
                                  use="required"/>
                    <xs:attribute name="Type" type="xs:NMTOKEN"
                                  use="required"/>
                 </xs:restriction>
              </xs:complexContent>
           </xs:complexType>
        </xs:element>
     </xs:sequence>
  </xs:complexType>

  <xs:complexType name="SupportingInformationType">
     <xs:sequence>
        <xs:element name="SupportingInformation"
              maxOccurs="unbounded">
           <xs:complexType mixed="true">
              <xs:complexContent mixed="true">
                 <xs:restriction base="xs:anyType">
                    <xs:sequence>
                       <xs:any processContents="lax" minOccurs="0"
                               maxOccurs="unbounded"/>
                    </xs:sequence>
                    <xs:attribute name="Type" type="xs:string"
                                  use="required"/>
                 </xs:restriction>
              </xs:complexContent>



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           </xs:complexType>
        </xs:element>
     </xs:sequence>
  </xs:complexType>

  <xs:simpleType name="ObjectIdentifier">
     <xs:restriction base="xs:token">
        <xs:pattern value="[0-2](\.[1-3]?[0-9]?(\.\d+)*)?"/>
     </xs:restriction>
  </xs:simpleType>

  <xs:simpleType name="OrderType">
     <xs:restriction base="xs:int">
        <xs:minInclusive value="1"/>
     </xs:restriction>
  </xs:simpleType>
  </xs:schema>

9.  Security Considerations

9.1.  Secure Algorithms

  Cryptographic algorithms and parameters that are used within Archive
  Time-Stamps must always be secure at the time of generation.  This
  concerns the hash algorithm used in the hash lists of Archive Time-
  Stamp as well as hash algorithms and public key algorithms of the
  Time-Stamps.  Publications regarding security suitability of
  cryptographic algorithms ([NIST.800-57-Part1.2006] and
  [ETSI-TS-102-176-1-V2.0.0]) have to be considered during the
  verification.  A generic solution for automatic interpretation of
  security suitability policies in electronic form is not the subject
  of this specification.

9.2.  Redundancy

  Evidence Records may become affected by weakening cryptographic
  algorithms even before this is publicly known.  Retrospectively this
  has an impact on Archive Time-Stamps generated and renewed during the
  archival period.  In this case the validity of Evidence Records
  created may end without any options for retroactive action.

  Many TSAs are using the same cryptographic algorithms.  While
  compromise of a private key of a TSA may compromise the security of
  only one TSA (and only one Archive Time-Stamp, for example),
  weakening cryptographic algorithms used to generate Time-Stamp Tokens
  would affect many TSAs at the same time.





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  To manage such risks and to avoid the loss of Evidence Record
  validity due to weakening cryptographic algorithms used, it is
  RECOMMENDED to generate and manage at least two redundant Evidence
  Records for a single data object.  In such scenarios redundant
  Evidence Records SHOULD use different hash algorithms within Archive
  Time-Stamp Sequences and different TSAs using different cryptographic
  algorithms for Time-Stamp Tokens.

9.3.  Secure Time-Stamps

  Archive Time-Stamps depend upon the security of normal Time-Stamping
  provided by TSA and stated in security policies.  Renewed Archive
  Time-Stamps MUST have the same or higher quality as the initial
  Archive Time-Stamp of archive data.  Archive Time-Stamps used for
  signed archive data SHOULD have the same or higher quality than the
  maximum quality of the signatures.

9.4.  Time-Stamp Verification

  It is important to consider for renewal and verification that when a
  new Time-Stamp is applied, it MUST be ascertained that prior to the
  time of renewal (i.e., when the new Time-Stamp is applied) the
  certificate of the before current Time-Stamp was not revoked due to a
  key compromise.  Otherwise, in the case of a key compromise, there is
  the risk that the authenticity of the used Time-Stamp and therefore
  its security in the chain of evidence cannot be guaranteed.  Other
  revocation reasons like the revocation for cessation of activity do
  not necessarily pose this risk, as in that case the private key of
  the Time-Stamp unit would have been previously destroyed and thus
  cannot be used nor compromised.

  Both elements <CryptographicInformationList> and <Attribute> are
  protected by future Archive Time_Stamp renewals and can store
  information as outlined in Section 2.1 that is available at or before
  the time of the renewal of the specific Archive Time-Stamp.  At the
  time of renewal all previous Archive Time-Stamp data structures
  become protected by the new Archive Time-Stamp and frozen by it,
  i.e., no data MUST be added or modified in these elements afterwards.
  If, however, some supporting information is relevant for the overall
  Evidence Record or information that only becomes available later,
  this can be provided in the Evidence Record in the
  <SupportingInformationList> element.  Data in the
  <SupportingInformatonList> can be added later to an Evidence Record,
  but it must rely on its own authenticity and integrity protection
  mechanism, like, for example, signed by current strong cryptographic
  means and/or provided by a trusted source (for example, this could be
  the LTA providing its current system DSSC policy, signed with current
  strong cryptographic means).



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10.  IANA Considerations

  For all IANA registrations related to this document, the
  "Specification Required" [RFC5226] allocation policies MUST be used.

  This document defines the XML namespace "urn:ietf:params:xml:ns:ers"
  according to the guidelines in [RFC3688].  This namespace has been
  registered in the IANA XML Registry.

  This document defines an XML schema (see Section 8) according to the
  guidelines in [RFC3688].  This XML schema has been registered in the
  IANA XML Registry and can be identified with the URN
  "urn:ietf:params:xml:schema:ers".

  This specification defines a new IANA registry entitled "XML Evidence
  Record Syntax (XMLERS)".  This registry contains two sub-registries
  entitled "Time-Stamp Token Type" and "Cryptographic Information
  Type".  The policy for future assignments to both sub-registries is
  "RFC Required".

  The sub-registry "Time-Stamp Token Type" contains textual names and
  description, which should refer to the specification or standard
  defining that type.  It serves as assistance when validating a Time-
  Stamp Token.

  When registering a new Time-Stamp Token type, the following
  information MUST be provided:

  o  The textual name of the Time-Stamp Token type (value).  The value
     MUST conform to the XML datatype "xs:NMTOKEN".

  o  A reference to a publicly available specification that defines the
     Time-Stamp Token type (description).

  The initial values for the "Time-Stamp Token Type" sub-registry are:

  Value
    Description
    Reference
  -------------

  RFC3161
     RFC3161 Time-Stamp
     RFC 3161

  XMLENTRUST
     EnTrust XML Schema
     http://www.si-tsa.gov.si/dokumenti/timestamp-protocol-20020207.xsd



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  The sub-registry "Cryptographic Information Type" contains textual
  names and description, which should refer to a specification or
  standard defining that type.  It serves as assistance when validating
  cryptographic information such as digital certificates, CRLs, or
  OCSP-Responses.

  When registering a new cryptographic information type, the following
  information MUST be provided:

  o  The textual name of the cryptographic information type (value).
     The value MUST conform to the XML datatype "xs:NMTOKEN".

  o  A reference to a publicly available specification that defines the
     cryptographic information type (description).

  The initial values for the "Cryptographic Information Type" sub-
  registry are:

  Value       Description                         Reference
  -----       ------------------                  -----------------

  CERT        DER-encoded X.509 Certificate       RFC 5280

  CRL         DER-encoded X.509                   RFC 5280
              Certificate Revocation List

  OCSP        DER-encoded OCSPResponse            RFC 2560

  SCVP        DER-encoded SCVP response           RFC 5055
              (CVResponse)

11.  References

11.1.  Normative References

  [RFC2119]    Bradner, S., "Key words for use in RFCs to Indicate
               Requirement Levels", BCP 14, RFC 2119, March 1997.

  [RFC2560]    Myers, M., Ankney, R., Malpani, A., Galperin, S., and C.
               Adams, "X.509 Internet Public Key Infrastructure Online
               Certificate Status Protocol - OCSP", RFC 2560, June
               1999.

  [RFC3161]    Adams, C., Cain, P., Pinkas, D., and R. Zuccherato,
               "Internet X.509 Public Key Infrastructure Time-Stamp
               Protocol (TSP)", RFC 3161, August 2001.





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  [RFC3688]    Mealling, M., "The IETF XML Registry", BCP 81, RFC 3688,
               January 2004.

  [RFC3275]    Eastlake 3rd, D., Reagle, J., and D. Solo, "(Extensible
               Markup Language) XML-Signature Syntax and Processing",
               RFC 3275, March 2002.

  [RFC4051]    Eastlake 3rd, D., "Additional XML Security Uniform
               Resource Identifiers (URIs)", RFC 4051, April 2005.

  [RFC4648]    Josefsson, S., "The Base16, Base32, and Base64 Data
               Encodings", RFC 4648, October 2006.

  [RFC4998]    Gondrom, T., Brandner, R., and U. Pordesch, "Evidence
               Record Syntax (ERS)", RFC 4998, August 2007.

  [RFC5055]    Freeman, T., Housley, R., Malpani, A., Cooper, D., and
               W. Polk, "Server-Based Certificate Validation Protocol
               (SCVP)", RFC 5055, December 2007.

  [RFC5280]    Cooper, D., Santesson, S., Farrell, S., Boeyen, S.,
               Housley, R., and W. Polk, "Internet X.509 Public Key
               Infrastructure Certificate and Certificate Revocation
               List (CRL) Profile", RFC 5280, May 2008.

  [RFC5226]    Narten, T. and H. Alvestrand, "Guidelines for Writing an
               IANA Considerations Section in RFCs", BCP 26, RFC 5226,
               May 2008.

  [XMLC14N]    Boyer, J., "Canonical XML", W3C Recommendation, March
               2001.

  [XMLDSig]    Eastlake, D., Reagle, J., Solo, D., Hirsch, F.,
               Roessler, T., "XML-Signature Syntax and Processing",
               XMLDSig, W3C Recommendation, July 2006.

  [XMLName]    Layman, A., Hollander, D., Tobin, R., and T. Bray,
               "Namespaces in XML 1.0 (Second Edition)", W3C
               Recommendation, August 2006.

  [XMLSchema]  Thompson, H., Beech, D., Mendelsohn, N., and M. Maloney,
               "XML Schema Part 1: Structures Second Edition", W3C
               Recommendation, October 2004.








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11.2.  Informative References

  [ANSI.X9-95.2005]
               American National Standard for Financial Services,
               "Trusted Timestamp Management and Security", ANSI X9.95,
               June 2005.

  [ETSI-TS-102-176-1-V2.0.0]
               ETSI, "Electronic Signatures and Infrastructures (ESI);
               Algorithms and Parameters for Secure Electronic
               Signatures; Part 1: Hash functions and asymmetric
               algorithms", ETSI TS 102 176-1 V2.0.0 (2007-11),
               November 2007.

  [ISO-18014-1.2002]
               ISO/IEC JTC 1/SC 27, "Time stamping services - Part 1:
               Framework", ISO ISO-18014-1, February 2002.

  [ISO-18014-2.2002]
               ISO/IEC JTC 1/SC 27, "Time stamping services - Part 2:
               Mechanisms producing independent tokens", ISO
               ISO-18014-2, December 2002.

  [ISO-18014-3.2004]
               ISO/IEC JTC 1/SC 27, "Time stamping services - Part 3:
               Mechanisms producing linked tokens", ISO ISO-18014-3,
               February 2004.

  [MER1980]    Merkle, R., "Protocols for Public Key Cryptosystems,
               Proceedings of the 1980 IEEE Symposium on Security and
               Privacy (Oakland, CA, USA)", pages 122-134, April 1980.

  [NIST.800-57-Part1.2006]
               National Institute of Standards and Technology,
               "Recommendation for Key Management - Part 1: General
               (Revised)", NIST 800-57 Part1, May 2006.

  [RFC3470]    Hollenbeck, S., Rose, M., and L. Masinter, "Guidelines
               for the Use of Extensible Markup Language (XML) within
               IETF Protocols", BCP 70, RFC 3470, January 2003.

  [RFC4810]    Wallace, C., Pordesch, U., and R. Brandner, "Long-Term
               Archive Service Requirements", RFC 4810, March 2007.

  [RFC5126]    Pinkas, D., Pope, N., and J. Ross, "CMS Advanced
               Electronic Signatures (CAdES)", RFC 5126, March 2008.





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  [TS-ENTRUST] The Slovenian Time Stamping Authority, Entrust XML
               Schema for Time-Stamp, http://www.si-tsa.gov.si/
               dokumenti/timestamp-protocol-20020207.xsd.

  [RFC3629]    Yergeau, F., "UTF-8, a transformation format of ISO
               10646", STD 63, RFC 3629, November 2003.

  [RFC3986]    Berners-Lee, T., Fielding, R., and L. Masinter, "Uniform
               Resource Identifier (URI): Generic Syntax", STD 66, RFC
               3986, January 2005.

  [XAdES]      Cruellas, J. C., Karlinger, G., Pinkas, D., Ross, J.,
               "XML Advanced Electronic Signatures", XAdES, W3C Note,
               February 2003.

  [RFC5652]    Housley, R., "Cryptographic Message Syntax (CMS)", STD
               70, RFC 5652, September 2009.

  [RFC5698]    Kunz, T., Okunick, S., and U. Pordesch, "Data Structure
               for the Security Suitability of Cryptographic Algorithms
               (DSSC)", RFC 5698, November 2009.






























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RFC 6283                         XMLERS                        July 2011


Appendix A.  Detailed Verification Process of an Evidence Record

  To verify the validity of an Evidence Record start with the first ATS
  till the last ATS (ordered by attribute Order) and perform
  verification for each ATS, as follows:

  1. Select corresponding archive object and its data object or a group
     of data objects.

  2. Re-encrypt data object or data object group, if the
     <EncryptionInformation> field is used (see Section 5 for more
     details)

  3. Get a canonicalization method C and a digest method H from the
     <DigestMethod> element of the current chain.

  4. Make a new list L of digest values of (binary representation of)
     objects (data, ATS, or sequence) that MUST be protected with this
     ATS as follows:

     a. If this ATS is the first in the Archive Time-Stamp Chain:

        i. If this is the first ATS of the first ATSC (the initial ATS)
           in the ATSSeq, calculate digest values of data objects with
           H and add each digest value to the list L.

       ii. If this ATS is not the initial ATS, calculate a digest value
           with H of ordered ATSSeq without this and successive chains.
           Add value H and digest values of data objects to the list L.

     b. If this ATS is not the first in the ATSC:

        i. Calculate the digest value with H of the previous
           <TimeSatmp> element and add this digest value to the list L.

  5. Verify the ATS's Time-Stamped value as follows.  Get the first
     sequence of the hash tree for this ATS.

     a. If this ATS has no hash tree elements then:

       ii. If this ATS is not the first in the ATSSeq (the initial
           ATS), then the Time-Stamped value must be equal to the
           digest value of previous Time-Stamp element.  If not, exit
           with a negative result.







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      iii. If this ATS is the initial ATS in the ATSC, there must be
           only one data object of the archive object.  The digest
           value of that data object must be the same as its Time-
           Stamped value.  If not, exit with a negative result.

     b. If this ATS has a hash tree then: If there is a digest value in
        the list L of digest values of protected objects, which cannot
        be found in the first sequence of the hash tree or if there is
        a hash value in the first sequence of the hash tree which is
        not in the list L of digest values of protected objects, exit
        with a negative result.

        i. Get the hash tree from the current ATS and use H to
           calculate the root hash value (see Sections 3.2.1 and
           3.2.2).

       ii. Get Time-Stamped value from the Time-Stamp Token.  If
           calculated root hash value from the hash tree does not match
           the Time-Stamped value, exit with a negative result.

     6. Verify Time-Stamp cryptographically and formally (validate the
        used certificate and its chain, which may be available within
        the Time-Stamp Token itself or <CryptographicInformation>
        element).

     7. If this ATS is the last ATS, check formal validity for the
        current time (now), or get "valid from" time of the next ATS
        and verify formal validity at that specific time.

     8. If the needed information to verify formal validity is not
        found within the Time-Stamp or within its Cryptographic
        Information section of ATS, exit with a negative result.



















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RFC 6283                         XMLERS                        July 2011


Authors' Addresses

  Aleksej Jerman Blazic
  SETCCE
  Tehnoloski park 21
  1000 Ljubljana
  Slovenia

  Phone: +386 (0) 1 620 4500
  Fax:   +386 (0) 1 620 4509
  EMail: [email protected]


  Svetlana Saljic
  SETCCE
  Tehnoloski park 21
  1000 Ljubljana
  Slovenia

  Phone: +386 (0) 1 620 4506
  Fax:   +386 (0) 1 620 4509
  EMail: [email protected]


  Tobias Gondrom
  Kruegerstr. 5A
  85716 Unterschleissheim
  Germany

  Phone: +49 (0) 89 320 5330
  EMail: [email protected]




















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