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Ballot SC-XX: Clarify and improve OCSP requirements
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This ballot attempts to address three concerns:
- The confusion around "reserved" serials, which do not actually exist because all Precertificate serials are assumed to also exist in corresponding Certificates and are therefore actually "assigned";
- Confusion around whether, and how quickly, OCSP responders must begin providing authoritative responses for Certificates and Precertificates; and
- Confusion around whether and how the OCSP requirements apply to Certificates which do not contain an AIA OCSP URL, but for which the CA's OCSP responder is still willing to provide responses.

Addresses mozilla/pkipolicy#280
Addresses cabforum#422
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aarongable authored Jul 18, 2024
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31 changes: 15 additions & 16 deletions docs/BR.md
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Expand Up @@ -1326,21 +1326,32 @@ No stipulation.

The following SHALL apply for communicating the status of Certificates which include an Authority Information Access extension with an id-ad-ocsp accessMethod.

Authoritative OCSP responses MUST be available (i.e. the responder MUST NOT respond with the "unknown" status) starting no more than 15 minutes after the Certificate's `notAfter` timestamp.

The following SHALL apply for communicating the status of *all* Certificates for which an OCSP responder is willing to respond.

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

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

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

OCSP responders operated by the CA SHALL support the HTTP GET method, as described in RFC 6960 and/or RFC 5019. The CA MAY process the Nonce extension (`1.3.6.1.5.5.7.48.1.2`) in accordance with RFC 8954.

A certificate serial is "assigned" if:
- a Certificate or Precertificate with that serial number has been issued by the Issuing CA, using any current or previous key associated with that CA subject; or
- a Precertificate with that serial number has been issued by a Precertificate Signing Certificate, as defined in [Section 7.1.2.4](#7124-technically-constrained-precertificate-signing-ca-certificate-profile), associated with the Issuing CA.

A certificate serial is "unused" if it is not "assigned".

If the OCSP responder receives a request for the status of a certificate serial number that is "unused", then the responder SHOULD NOT respond with a "good" status. If the OCSP responder is for a CA that is not Technically Constrained in line with [Section 7.1.2.3](#7123-technically-constrained-non-tls-subordinate-ca-certificate-profile) or [Section 7.1.2.5](#7125-technically-constrained-tls-subordinate-ca-certificate-profile), the responder MUST NOT respond with a "good" status for such requests.

### 4.9.10 On-line revocation checking requirements

The following SHALL apply for communicating the status of Certificates which include an Authority Information Access extension with an id-ad-ocsp accessMethod.

OCSP responders operated by the CA SHALL support the HTTP GET method, as described in RFC 6960 and/or RFC 5019. The CA MAY process the Nonce extension (`1.3.6.1.5.5.7.48.1.2`) in accordance with RFC 8954.

The validity interval of an OCSP response is the difference in time between the `thisUpdate` and `nextUpdate` field, inclusive. For purposes of computing differences, a difference of 3,600 seconds shall be equal to one hour, and a difference of 86,400 seconds shall be equal to one day, ignoring leap-seconds.

For the status of Subscriber Certificates:
Expand All @@ -1357,18 +1368,6 @@ For the status of Subordinate CA Certificates:
i. at least every twelve months; and
ii. within 24 hours after revoking a Subordinate CA Certificate.

If the OCSP responder receives a request for the status of a certificate serial number that is "unused", then the responder SHOULD NOT respond with a "good" status. If the OCSP responder is for a CA that is not Technically Constrained in line with [Section 7.1.2.3](#7123-technically-constrained-non-tls-subordinate-ca-certificate-profile) or [Section 7.1.2.5](#7125-technically-constrained-tls-subordinate-ca-certificate-profile), the responder MUST NOT respond with a "good" status for such requests.

The OCSP responder MAY provide definitive responses about "reserved" certificate serial numbers, as if there was a corresponding Certificate that matches the Precertificate [RFC6962].

A certificate serial number within an OCSP request is one of the following three options:

1. "assigned" if a Certificate with that serial number has been issued by the Issuing CA, using any current or previous key associated with that CA subject; or
2. "reserved" if a Precertificate [RFC6962] with that serial number has been issued by
a. the Issuing CA; or
b. a Precertificate Signing Certificate, as defined in [Section 7.1.2.4](#7124-technically-constrained-precertificate-signing-ca-certificate-profile), associated with the Issuing CA; or
3. "unused" if neither of the previous conditions are met.

### 4.9.11 Other forms of revocation advertisements available

No Stipulation.
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