Digital Tachograph System Turkish Authority (TR-A) Policy

Transcription

1 Ver. 1.0 Revision

2 INDEX 1 Introduction Responsible organization Approval Availability and contact details Scope and applicability General provisions Obligations TR-A and TR-CIA obligations TR-CA obligations TR-CP obligations Service Agency obligations Cardholder obligations VU manufacturers' obligations (role as personalization organization) Motion Sensor manufacturers' obligations (role as personalization organization) Liability TR-A and TR-CIA liability towards users and relying parties TR-CA and TR-CP liability towards the TR-A and TR-CIA Interpretation and enforcement Governing law Confidentiality Types of information to be kept confidential Types of information not considered confidential Practice Statement (PS) Equipment management Tachograph cards Quality control TR-CA/TR-CP function Application for card handled by the TR-CIA Card renewal handled by the TR-CIA Card update or exchange handled by the TR-CIA Replacement of lost, stolen, damaged and malfunctioned cards handled by the Application approval registration handled by the TR-CIA Card personalization handled by the TR-CP Card registration and data storage (DB) handled by the TR-CP and the TR-CIA Card distribution to the user handled by the TR-CP or TR-CIA Authentication codes (PIN) generated by the TR-CP Card deactivation handled by TR-A/TR-CIA and TR-CP Vehicle Units and Motion Sensors Root keys and transport keys management: European Root key, Turkish keys, Motion Sensor keys, transport keys ERCA public key Turkish keys Turkish keys generation Turkish keys period of validity Turkish private key storage Turkish private key backup Turkish private key escrow Turkish keys compromise Turkish keys end of life Motion Sensor keys Transport keys Key Certification Requests and Motion Sensor Key Distribution Request Equipment keys (asymmetric) General aspects TR-CP / TR-CA incl. Service Agencies and VU manufacturers Equipment key generation

3 7.2.2 Equipment key validity Equipment private key protection and storage - Cards Equipment private key protection and storage VUs Equipment private key escrow and archival Equipment public key archival Equipment keys end of life Equipment certificate management Data input Tachograph cards Vehicle units Tachograph card certificates Driver certificates Workshop certificates Control body certificates Hauling company certificates Vehicle unit certificates Equipment certificate time of validity Equipment certificate issuing Equipment certificate renewal and update Dissemination of equipment certificates and information Equipment certificate use Equipment certificate revocation TR-CA and TR-CP Information Security management Information security management of the TR-CA and TR-CP Asset classification and management of the TR-CA/TR-CP Personnel security controls of the TR-CA/TR-CP Trusted Roles Separation of roles Identification and Authentication for Each Role Background, qualifications, experience, and clearance requirements Training requirements System security controls of the CA and personalization systems Specific computer security technical requirements Computer security rating System development controls Security management controls Network security controls Security audit procedures Types of event recorded Frequency of processing audit log Retention period for audit log Protection of audit log Audit log backup procedures Audit collection system (internal vs. external) Record archiving Types of event recorded by the TR-CIA Types of event recorded by the TR-CA/TR-CP Retention period for archive Procedures to obtain and verify archive information TR-CA/TR-CP continuity planning Turkish keys compromise Other disaster recovery Physical security control of the CA and personalization systems Physical access TR-CA or TR-CP Termination Final termination - TR-A responsibility Transfer of TR-CA or TR-CP responsibility Audit

4 11.1 Frequency of entity compliance audit Topics covered by audit Who should do the audit Actions taken as a result of deficiency Communication of results Policy change procedures Items that may change without notification Changes with notification Notice Comment period Whom to inform Period for final change notice Changes requiring a new Policy approval References Glossary/Definitions and abbreviations Glossary/Definitions List of abbreviations Correspondence table with the ERCA Policy

5 1 Introduction This document is the Turkish National Authority Policy for the Digital Tachograph System. This Policy is in accordance with: - COUNCIL REGULATION (EC) No 2135/98 of 24 September 1998 amending Regulation (EEC) No 3821/85 on recording equipment in road transport and Directive 88/599/EEC concerning the application of Regulations (EEC) No 3820/84 and (EEC) No 3821/85 - European Agreement Concerning the Work of Crews of Vehicles Engaged in International Road Transport (AETR) concluded at Geneva on 1 July Memorandum of Understanding between the European Commission services and UNECE, January Commission Regulation (EC) No 1360/2002 of 13 June 2002 adapting for the seventh time to technical progress Council Regulation (EEC) No 3821/85 on recording equipment in road transport - the "Guideline and Template National Certification Authority policy" Version the "Common Security Guidelines" Version Digital Tachograph System European Root Policy, Version 2.1; European Commission Joint Research Center Publication 53429; 28 th July 2009; published at Responsible organization Responsible for this Policy is the Directorate General for Land Transport of Ministry of Transport (MoT) of the Republic of Turkey acting as Contracting Party Authority (CPA), further referred to as TR-A 1. Ministry of Transport of the Republic of Turkey Directorate General for Land Transport (DGLT) Hakki Turaylic Cad. No: 5 Emek/Ankara TURKEY The appointed Card Issuing Authority (CIA) is the The Union of Chambers and Commodity Exchanges of Turkey (TOBB), further referred to as TR-CIA 2. The appointed Certification Authority (CA) is the The Union of Chambers and Commodity Exchanges of Turkey (TOBB), further referred to as TR-CA 3. The appointed Card Personalizing organization (CP) is the The Union of Chambers and Commodity Exchanges of Turkey (TOBB), further referred to as TR-CP 4. The Union of Chambers and Commodity Exchanges of Turkey (TOBB) may subcontract parts of its processes as TR-CA or TR-CP to subcontractors, called Service Agencies. The use of Service Agencies in no way diminishes its overall responsibilities as TR-CA and TR-CP. The appointed service agency for TR-CA and TR-CP is: TURKTRUST Information Security Services Inc. Hollanda Cad. 696.Sok. No:7 Yildiz Cankaya ANKARA TURKEY Phone: Fax: Web: 1 TR-A - Turkish Authority 2 TR-CIA - Turkish Card Issuing Authority 3 TR-CA - Turkish Certification Authority 4 TR-CP - Turkish Card Personalizing Organization - 5 -

6 1.2 Approval This Policy is approved for the European Commission by the Digital Tachograph Root Certification Authority at Digital Tachograph Root Certification Authority Traceability and Vulnerability Assessment Unit European Commission Joint Research Centre, Ispra Establishment (TP.360) Via E. Fermi, 1 I Ispra (VA) 1.3 Availability and contact details This Policy is publicly available on the website of the DGLT of Ministry of Transport of Turkey Questions concerning this Policy should be addressed to: Ministry of Transport Directorate General for Land Transport (DGLT) Hakki Turaylic Cad. No: 5 Emek/Ankara TURKEY - 6 -

7 2 Scope and applicability [r1] This Policy is valid for the Tachograph system only. [r2] The keys and certificates issued by the TR-CA are only for use within the Tachograph system. [r3] The cards issued by the system are only for use within the Tachograph system. The scope of this Policy within the Tachograph system is shown in the figure below

8 3 General provisions This section contains provisions relating to the respective obligations of TR-A, TR-CIA, TR-CA, TR- CP, Service Agencies and users, and other issues pertaining to law and dispute resolution. 3.1 Obligations This section contains provisions relating to the respective obligations of: TR-A and TR-CIA TR-CA and Service Agency (if any) TR-CP and Service Agency (if any) Users (Cardholders, VU manufacturers and Motion Sensor manufacturers) TR-A and TR-CIA obligations With regard to this Policy, the TR-A and TR-CIA have the following obligations. [r4] The TR-A shall: a) Maintain this Policy b) Appoint a TR-CA and a TR-CP c) Audit the appointed TR-CA and TR-CP including Service Agencies d) Approve the TR-CA/TR-CP Practice Statements e) Inform the appointed parties about this Policy f) Let this Policy be approved by the Commission [r5] The TR-CIA shall: a) Ensure that correct and relevant user information from the application process is input to the TR-CA and TR-CP b) Inform the users of the requirements in this policy connected to the use of the system, i.e. the Cardholders, the VU manufacturers and the Motion Sensor manufacturers TR-CA obligations [r6] The appointed TR-CA shall: a) Follow this Policy b) Publish a TR-CA Practice Statement (TR-CA PS) that includes reference to this Policy, to be approved by the TR-A c) Maintain sufficient organizational and financial resources to operate in conformity with the requirements laid down in this Policy, in particular to bear the risk of liability damages [r7] The TR-CA shall ensure that all requirements on TR-CA, as detailed in this policy, are implemented. [r8] The TR-CA has the responsibility for conformance with the procedures prescribed in this policy, even when the TR-CA functionality is undertaken by subcontractors, Service Agencies. The TR-CA is responsible for ensuring that any Service Agency provides all its services consistent with its Practice Statement (PS) and this Policy TR-CP obligations [r9] The appointed TR-CP (card personalization organization) has to: a) Follow this Policy - 8 -

9 b) Publish a TR-CP Practice Statement (TR-CP PS) that includes reference to this Policy, to be approved by the TR-A c) Maintain sufficient organizational and financial resources to operate in conformity with the requirements laid down in this Policy, in particular to bear the risk of liability damages [r10] The TR-CP shall ensure that all requirements on it, as detailed in this policy, are implemented. [r11] The TR-CP has the responsibility for conformance with the procedures prescribed in this policy, even when the TR-CP functionality is undertaken by subcontractors, Service Agencies Service Agency obligations [r12] Service Agencies (if applicable) have obligations towards the TR-CA or TR-CP and the users according to contractual agreements Cardholder obligations [r13] The TR-CIA shall oblige, through agreement (see 5.1.2), the user (or user's organization) to fulfill the following obligations: a) accurate and complete information is submitted to the TR-CIA in accordance with the requirements of this policy, particularly with regards to registration; b) the keys and certificate are only used in the Tachograph system; c) the card is only used in the Tachograph system; d) reasonable care is exercised to avoid unauthorized use of the equipment private key and card; e) the user may only use his own keys, certificate and card (AETR article 11.4.a); f) a user may have only one valid driver card (AETR article 11.4.a); g) a user may only under very special, and duly justified, circumstances have both a workshop card and a hauling company card (AETR Appendix 1B VI: 1), or both a workshop card and a driver card, or several workshop cards h) the user shall not use a damaged or expired card (AETR article 11.4.a); i) the user shall notify the TR-CIA without any reasonable delay if any of the following occur up to the end of the validity period indicated in the certificate: the equipment private key or card has been lost, stolen or potentially compromised; (AETR article 12.1);or the certificate content is, or becomes, inaccurate VU manufacturers' obligations (role as personalization organization) Not applicable in Turkey for the time being or in the foreseeable future Motion Sensor manufacturers' obligations (role as personalization organization) Not applicable in Turkey for the time being or in the foreseeable future. 3.2 Liability The TR-CA and TR-CP do not carry liability towards end users, only towards the TR-A and TR-CIA. Any liability issues towards end users are the responsibility of the TR-A/TR-CIA

10 [r16] Tachograph cards, keys and certificates are only for use within the Tachograph system, any other certificates present on Tachograph cards are in violation of this policy, and hence neither the TR-A, the TR-CIA, the TR-CA nor the TR-CP carries any liability in respect to any such TR-A and TR-CIA liability towards users and relying parties [r17] The TR-A and TR-CIA are liable for damages resulting from failures to fulfill their obligations only if they have acted negligently. If the TR-A or TR-CIA has acted according to this Policy, and any other governing document, it shall not be considered to have been negligent TR-CA and TR-CP liability towards the TR-A and TR-CIA [r18] The TR-CP and TR-CA are liable for damages resulting from failures to fulfill these obligations only if they have acted negligently. If the organization has acted according to this Policy and the corresponding PS or any other governing document, it shall not be considered to have been negligent. 3.3 Interpretation and enforcement Governing law All matters related to the implementation and enforcement on the Digital Tachograph System in Turkey will be resolved according to the Turkish national legislation in force. 3.4 Confidentiality Confidentiality is restricted according to the Directive 95/46/EC and Turkish Penal Code No on the protection of individuals with regard to the processing of personal data and on the movement of such data Types of information to be kept confidential [r19] Any personal or corporate information held by the TR-CA, the TR-CP or Service Agencies that is not appearing on issued cards or certificates is considered confidential, and shall not be released without the prior consent of the user, nor (where applicable) without prior consent of the user's employer or representative, unless required otherwise by law. [r20] All private and secret keys used and handled within the TR-CA/TR-CP operation under this Policy are to be kept confidential. [r23] Audit logs and records shall not be made available as a whole, except as required by law Types of information not considered confidential [r24] Certificates are not considered confidential. [r25] Identification information or other personal or corporate information appearing on cards and in certificates is not considered confidential, unless statutes or special agreements so dictate

11 4 Practice Statement (PS) [r26] The TR-CA and TR-CP shall have statements of the practices and procedures used to address all the requirements identified in this Policy, Practice Statements (PS). The TR-A shall approve the PS. In particular: a) The PS shall identify the obligations of all external organizations supporting the TR-CA and TR-CP services including the applicable policies and practices. b) The Practice statement shall be made available to the TR-A, to users of the Tachograph system, and to relying parties (e.g. control bodies). However, the TR-CA/TR-CP is not generally required to make all the details of its practices public and available for the users. c) The management of the TR-CA/TR-CP has responsibility for ensuring that the PS is properly implemented d) The TR-CA/TR-CP shall define a review process for the PS. e) The TR-CA/TR-CP shall give due notice of changes it intends to make in its PS and shall, following approval, make the revised PS immediately available. Minor revisions may be released without TR-A approval

12 5 Equipment management The equipment in the Tachograph system is defined as: - Tachograph cards - Vehicle units - Motion Sensors The equipment is handled and managed by several roles: - TR-CIA (registration, renewal, etc.) - TR-CA (certificates, keys) - TR-CP (visual and electronic personalization, distribution, deactivation) - VU manufacturers and Motion Sensor manufacturers The following functions are carried out by the TR-A: - Quality control (type approval) The following functions are carried out by the TR-CIA: - Applications for cards - Application approval registration - Equipment registration and data storage (DB) The following functions are carried out by the TR-CA and TR-CP: - Quality control (sample tests) - Key insertion - Personalization of cards - Distribution The functions carried out by the VU manufacturers are out of the scope of this Policy. The functions carried out by Motion Sensor manufacturers are out of the scope of this Policy. 5.1 Tachograph cards Quality control TR-CA/TR-CP function [r27] The TR-CA/TR-CP shall ensure that only type approved cards according to the AETR are personalized in the Tachograph system. See also Application for card handled by the TR-CIA [r28] The TR-CIA shall inform the user of the terms and conditions regarding use of the card. This information shall be available at least in Turkish and English. [r29] The user shall, by applying for a card, and accepting delivery of the card, accept the terms and conditions

13 User application [r30] Applicants for a Tachograph card shall deliver an application in a form to be determined by the TR-A or TR-CIA. As a minimum, the application shall include the data needed to ensure the correct identification of the user. The following information is required for issuing a card. Unless gathered from other sources, it should be included in the application: - Full name - Date and place of birth - Place of residence - National Identity Number - Postal address - Photo (unless a valid filed photo is used) (Optional except for driver cards) - Preferred language Driver card specific: - Driving license number Workshop card specific: [r31] Workshop cards shall be issued only to physical persons associated with legal persons, and who can provide the following evidence: - full name (including surname and given names) of the user; - date and place of birth, reference to a nationally recognized identity document, or other attributes of the user which may be used to, as far as possible, distinguish the person from others with the same name; - full name and legal status of the associated legal person or other organizational entity; Control body card specific: [r32] Control body certificates shall be issued only to physical persons associated with legal persons, and who can provide the following evidence: - full name (including surname and given names) of the user; - date and place of birth, reference to a nationally recognized identity document, or other attributes of the user which may be used to, as far as possible, distinguish the person from others with the same name; - full name and legal status of the associated legal person or other organizational entity; Hauling company card specific: [r33] Hauling company certificates shall be issued to individual representatives of companies owning or holding vehicles fitted with digital Tachograph and who can provide evidence of: - full name (including surname and given names) of the user; - date and place of birth, reference to a nationally recognized identity document, or other attributes of the user which may be used to, as far as possible, distinguish the person from others with the same name; - full name and legal status of the associated legal person or other organizational entity; - any relevant existing registration information (e.g. company registration) of the associated legal person or other organizational entity; - the user's association with the legal person or other organizational entity Agreement [r34] The applicant shall, by making an application for a card and accepting delivery of the card, make an agreement with the TR-CIA, stating as a minimum the following: - the user agrees to the terms and conditions regarding use and handling of the Tachograph card

14 - the user agrees to, and certifies, that from the time of card acceptance and throughout the operational period of the card, until TR-CIA is notified otherwise by the user: no unauthorized person has ever had access to the user s card all information given by the user to the TR-CIA relevant for the information in the card is true; the card is being conscientiously used in consistence with usage restrictions for the card TR-CIA terms of approval - Driver card specific [r35] A Driver card shall only be issued to individuals having permanent residence in the country of application. [r36] The TR-CIA shall ensure that the applicant does not have a valid Driver card issued in another Member State or AETR Contracting Party. [r37] The TR-CIA shall ensure that the applicant for a Driver card has a valid driving license of appropriate class Card renewal handled by the TR-CIA [r38] Workshop cards shall be valid for no more than one year from issuance (AETR article 9.1). [r39] Driver cards shall be valid no more than five years from issuance (AETR article 11.4.a). [r40] Company cards shall be valid no more than five years from issuance. [r41] Control cards shall be valid no more than two years from issuance. [r42] The TR-CIA shall establish routines to remind the user of pending expiration. [r43] An application for renewal shall follow section Driver cards [r44] The user shall apply for a renewal card at least 15 working days prior to card expiration. [r45] If the user complies with the above rule, the TR-CIA shall issue a new driver card before the current card expires Workshop cards [r46] The user shall apply for a renewal card at least 15 working days prior to card expiration. [r47] The TR-CIA shall issue a renewal card within 5 working days of receiving a complete application Company cards [r48] The user shall apply for a renewal card at least 15 working days prior to card expiration. [r49] If the user complies with the above rule, the TR-CIA shall issue a new company card before the current card expires Control cards [r50] The user shall apply for a renewal card at least 15 working days prior to card expiration

15 [r51] The TR-CIA shall issue a renewal card within 5 working days of receiving a complete application Card update or exchange handled by the TR-CIA [r52] A user who changes country of residence may request to have his/her driver card exchanged. If the current card is valid, the user shall only show proof of residence in order to have the application granted. [r53] The TR-CIA shall upon delivery of the new card take possession of the previous card and send it to the National Authority of origin (AETR article 11.4.c). [r54] Card exchange due to changed country of residence shall otherwise follow the rules for new card issuing Replacement of lost, stolen, damaged and malfunctioned cards handled by the TR-CIA [r55] If a card has been lost or stolen, the user shall report this to the local Police and receive a copy of the report. Loss of card may be reported by the user, or by the Police upon receiving a found card. The Police shall without delay notify the issuing TR-CIA of the report. [r56] Stolen and lost card shall be put on a blacklist available to authorities in all Member States. [r57] Damaged and malfunctioning cards shall be delivered to the issuing TR-CIA, visually and electronically cancelled, and put on a blacklist. [r58] If the card is lost, stolen, damaged or malfunctioning, the user shall apply for a replacement card within 7 days. (AETR article 12.1) [r59] Provided the user follows the above requirements, the TR-CIA shall issue a replacement card with new keys and certificate within 5 working days from receiving a complete application. (AETR article 11.4.a) [r60] The replacement card shall inherit the time of validity from the original card (AETR Appendix 1B: VII). If the replaced card has less than six months remaining validity, the TR-CIA may issue a renewal card instead of a replacement card Application approval registration handled by the TR-CIA [r61] The TR-CIA shall register approved applications in a database. This data is made available for the TR-CA/TR-CP, which uses the information as input to the certificate generation and card personalization Card personalization handled by the TR-CP Cards are personalized both visually and electronically. In some cases this process will be carried out by Service Agents, this does not diminish the overall responsibility of the TR-A Visual personalization [r62] Cards shall be visually personalized according to AETR Appendix 1B, section IV User data entry [r63] Data shall be inserted in the card according to the structure in AETR Appendix 1B, subappendix 2, rules TCS_403, TCS_408, TCS_413 and TCS_418, depending on card type

16 Key entry [r64] The private key shall be inserted in the card without ever having left the key generation environment. This environment must guarantee that no person, in any way what so ever, can get control of the generated private key without detection. See also equipment key management, Certificate entry [r65] The user certificate shall be inserted in the card before distribution to the user Quality Control [r66] Documented routines shall exist to ensure that the visual information on users cards and the electronic information in issued cards and certificates matches each other and also matches the validated owner. The routines shall be described in the personalization PS Cancellation (destruction) of non-distributed cards [r67] All cards that are damaged or destroyed (or for other reasons are not finalized and distributed) during personalization shall be physically and electronically destroyed (cancelled). [r68] All destroyed cards shall be registered in a cancellation database Card registration and data storage (DB) handled by the TR-CP and the TR-CIA [r69] The TR-CP is responsible for keeping track of which card and card number is given to which user. Data shall be transferred from the TR-CP to the TR-CIA register Card distribution to the user handled by the TR-CP or TR-CIA [r70] a) The personalization shall be scheduled so as to minimize the time that the personalized card require safe-keeping before delivery to the user. Storage over night requires secure safekeeping. Documented routines shall exist for exception handling, including disturbances in the production process, failure of delivery, and loss of or damage to cards. b) Personalized cards shall be immediately transferred to the place where they are to be delivered or distributed to the user, i.e. a controlled area. c) Personalized cards shall always be kept separated from non-personalized cards. d) The Tachograph card shall be distributed in a manner so as to minimize the risk of loss. e) At the point of delivery of the card to the user, evidence of the user's identity (e.g. name) shall be checked against a physical person. f) The user shall present valid means of identification g) The reception of the card shall be acknowledged by the user s signature Authentication codes (PIN) generated by the TR-CP This section applies only to Workshop cards. [r71] Workshop cards shall have a PIN code, used for authenticating the card to the Vehicle unit (AETR Appendix 1B, sub Appendix 10: Tachograph cards: 4.2.2) [r72] PIN codes shall consist of at least 4 digits (AETR Appendix 1B, sub Appendix 10: Vehicle Units: 4.1.2) PIN generation [r73] PIN codes shall be generated in a secure system, securely transferred to workshop cards, and direct-printed to PIN-envelopes. PIN codes shall never be stored on a computer system in a manner

17 that allows connection between PIN and user. The PIN generation system shall meet the requirements of ITSEC E3, CC EAL4 or equivalent security criteria PIN distribution [r74] PIN codes may be distributed by regular mail. [r75] PIN codes shall not be distributed in connection with the corresponding cards Card deactivation handled by TR-A/TR-CIA and TR-CP [r76] It shall be possible to permanently deactivate a card and any keys residing thereon. A decision of deactivation shall be taken by the TR-A or TR-CIA, the actual operation should be carried out by the TR-CP or a Service Agency. [r77] Deactivation of cards shall take place in equipment suitable for the operation and it shall be verified that card functions and keys are destroyed. The card shall also be visually cancelled. [r78] Deactivation of cards shall be registered in the card database and the card number shall be put on the blacklist. 5.2 Vehicle Units and Motion Sensors Not applicable in Turkey for the time being or in the foreseeable future