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TECHNICAL SPECIFICATION
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment -
Requirements for conformity assessment bodies assessing
Trust Service Providers
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2 ETSI TS 119 403 V2.1.1 (2014-11)
Reference
RTS/ESI-0019403v211
Keywords
conformity, e-commerce, electronic signature,
security
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3 ETSI TS 119 403 V2.1.1 (2014-11)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 6
3 Definitions and abbreviations . 7
3.1 Definitions . 7
3.2 Abbreviations . 7
4 General requirements . 8
4.1 Legal and contractual matters . 8
4.1.1 Legal responsibility. 8
4.1.2 Certification agreement . 8
4.1.3 Use of license, certificates and marks of conformity . 8
4.2 Management of impartiality . 8
4.2.1 Activities not conflicting with impartiality . 8
4.3 Liability and financing . 8
4.4 Non-discriminatory conditions . 8
5 Structural requirements . 9
5.1 Organizational structure and top management . 9
5.2 Mechanism for safeguarding impartiality . 9
6 Resource requirements . 9
6.1 Conformity Assessment Body personnel . 9
6.1.1 General . 9
6.1.2 Management of competence for personnel involved in the audit process. 9
6.1.2.1 General considerations . 9
6.1.2.2 Training of audit teams . 9
6.2 Resources for evaluation . 10
6.2.1 Internal resources . 10
6.2.1.1 Competence of Conformity Assessment Body personnel . 10
6.2.1.2 Competences for all functions . 10
6.2.1.3 Competences for application review . 10
6.2.1.4 Competences for auditing . 10
6.2.1.5 Competences for review . 11
6.2.1.6 Competences for certification decision . 11
6.2.1.7 Competences for Technical Experts . 11
6.2.1.8 Audit team . 12
6.2.1.9 Audit team leader . 12
7 Process requirements . 12
7.1 General . 12
7.1.1 Criteria and audit methodology . 12
7.1.1.1 TSP audit criteria . 12
7.1.1.2 Audit Team Mandate. 13
7.1.1.3 Audit Methodology . 13
7.1.1.4 Audit Frequency . 13
7.2 Application . 14
7.3 Application Review . 14
7.3.1 Contract review . 14
7.4 Audit . 14
ETSI
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4 ETSI TS 119 403 V2.1.1 (2014-11)
7.4.1 Audit Scope . 14
7.4.2 Audit time . 14
7.4.2.1 Policies and procedures . 15
7.4.3 Multiple sites . 15
7.4.3.1 When to Consider Sample Based Approach . 15
7.4.3.2 Requirements of Sample Based Approach . 15
7.4.4 Audit Report . 16
7.4.4.1 Report contents . 16
7.4.4.2 Report contents details to be provided . 16
7.4.5 Audit process . 17
7.4.5.1 General preparations for the initial audit . 17
7.4.5.2 Audit Process . 17
7.4.5.3 Stage 1 audit . 17
7.4.5.3.1 Stage 1 audit . 18
7.4.5.4 Stage 2 audit . 18
7.5 Review . 19
7.6 Certification decision . 19
7.7 Certification documentation . 19
7.8 Directory of certified products . 19
7.9 Surveillance . 19
7.9.1 Programme of periodic surveillance . 19
7.10 Changes affecting certification . 20
7.11 Termination, reduction, suspension or withdrawal of certification . 20
7.12 Records . 21
7.13 Complaints and appeals . 21
8 Management system requirements . 21
8.1 Options . 21
8.2 General management system documentation . 21
8.3 Control of documents . 21
8.4 Control of records . 21
8.5 Management review . 21
8.6 Internal audits . 21
8.7 Corrective actions . 21
8.8 Preventive actions. 21
Annex A (informative): Auditors' code of conduct . 22
Annex B (informative): Bibliography . 23
History . 24
ETSI
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5 ETSI TS 119 403 V2.1.1 (2014-11)
Intellectual Property Rights
IPRs essential or potentially essential to the present document may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (http://ipr.etsi.org).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Foreword
This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "may not", "need", "need not", "will",
"will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms
for the expression of provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
Introduction
ISO/IEC 17065 [1] is an international standard which specifies general requirements for conformity assessment bodies
(CABs) performing certification of products, processes, or services. These requirements are not focussed on any
specific application domain where CABs work.
In the present document the general requirements are supplemented to provide additional dedicated requirements for
CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined
criteria against which they claim conformance.
The present document is aiming to meet the general requirements of the international community to provide trust and
confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)
No 910/2014 [i.1], and from CA Browser Forum [i.10].
EXAMPLE: The present document's aims include support of national accreditation bodies as specified in
Regulation (EC) No. 765/2008 [i.4] in applying ISO/IEC 17065 [1] for the accreditation of CABs
that certify TSPs and the trust services they provide so that this is carried out in a consistent
manner. In accordance with [i.4], attestations issued by conformity assessment bodies accredited
by a national accreditation body can be formally recognised across Europe.
The present document does not repeat requirements from ISO/IEC 17065 [1] but follows its document structure. Where
needed, additional requirements are specified. This is mainly the case for requirements on resources (clause 6) and on
the assessment process (clause 7). For all other chapters of ISO/IEC 17065 [1] few or no additional requirements are
needed.
ETSI
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6 ETSI TS 119 403 V2.1.1 (2014-11)
1 Scope
The present document contains requirements for the competence, consistent operation and impartiality of conformity
assessment bodies assessing and certifying conformity of trust service providers (TSPs) and the trust services they
provide towards defined criteria against which they claim conformance.
NOTE: Those requirements are independent of the type and class of trust service provided.
The present document applies the general requirements of ISO/IEC 17065 [1] to the specific requirements of
conformity assessment of TSPs.
2 References
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
reference document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
http://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
2.1 Normative references
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 17065:2012: "Conformity assessment - Requirements for bodies certifying products,
processes and services".
2.2 Informative references
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Regulation 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic
identification and trust services for electronic transactions in the internal market and repealing
Directive 1999/93/EC.
[i.2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 1: General Requirements for
Trust Service Providers issuing certificates".
[i.3] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Trust Service Providers issuing certificates; Part 2: Requirements for Trust
Service Providers issuing qualified certificates".
[i.4] EC Regulation No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting
out the requirements for accreditation and market surveillance relating to the marketing of
products and repealing Regulation (EEC) No 339/93.
[i.5] ISO/IEC 17000:2004: "Conformity assessment - Vocabulary and general principles".
[i.6] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements
for Trust Service Providers supporting Electronic Signatures".
[i.7] ISO/IEC 15408: "Information technology -- Security techniques -- Evaluation criteria for IT
security".
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7 ETSI TS 119 403 V2.1.1 (2014-11)
[i.8] ISO/IEC 27001: "Information technology -- Security techniques -- Information security
management systems -- Requirements".
[i.9] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers providing Time-Stamping Services".
[i.10] CA/Browser Forum Baseline Requirements for the Issuance and Management of Publicly-Trusted
Certificates.
3 Definitions and abbreviations
3.1 Definitions
For the purposes of the present document, the terms and definitions given in ISO/IEC 17065 [1] and the following
apply:
auditor: person who assesses conformity to requirements as specified in a given requirements document
competence: ability to apply knowledge and skills to achieve intended results
conformity assessment: process demonstrating whether specified requirements relating to a product, process, service,
system, person or body have been fulfilled
NOTE: From Regulation (EC) No 765/2008 [i.4] and section 2.1 of ISO/IEC 17000:2004 [i.5].
conformity assessment body: body that performs conformity assessment services which is accredited as competent to
carry out conformity assessment of a qualified trust service provider and the qualified trust services it provides
NOTE: This is equivalent to conformity assessment body as specified in point 13 Article 2 of Regulation (EC) No
765/2008 [i.4].
national accreditation body: sole body in a State that performs accreditation with authority derived from the State
NOTE: This is equivalent to national accreditation body as specified in point 11 Article 2 of Regulation (EC)
No 765/2008 [i.4].
technical expert: person who provides specific knowledge or expertise to the audit team
NOTE 1: Specific knowledge or expertise relates to the organization, the process or activity to be audited, or
language or culture.
NOTE 2: A technical expert does not act as an auditor in the audit team.
trust service: electronic service which enhances trust and confidence in electronic transactions
NOTE: Such trust services are typically but not necessarily using cryptographic techniques or involving
confidential material.
Trust Service Provider (TSP): entity which provides one or more electronic trust services
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CAB Conformity Assessment Body
EA European Cooperation for Accreditation
EC European Commission
EU European Union
IAF International Accreditation Forum
IT Information Technology
TSP Trust Service Provider
ETSI
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8 ETSI TS 119 403 V2.1.1 (2014-11)
4 General requirements
4.1 Legal and contractual matters
4.1.1 Legal responsibility
The requirements from ISO/IEC 17065 [1], clause 4.1.1 shall apply.
4.1.2 Certification agreement
The requirements from ISO/IEC 17065 [1], clause 4.1.2 shall apply.
4.1.3 Use of license, certificates and marks of conformity
The requirements from ISO/IEC 17065 [1], clause 4.1.3 shall apply.
4.2 Management of impartiality
The requirements from ISO/IEC 17065 [1], clause 4.2 shall apply. In addition, the following TSP-specific requirements
and guidance apply.
4.2.1 Activities not conflicting with impartiality
Conformity Assessment Bodies and its personnel may carry out additional activities provided they do not constitute a
risk to its impartiality. These activities may include but are not limited to:
a) organizing and participating in information meetings about the certification scheme in general;
b) arranging and participating as a lecturer in training courses, provided that, where these courses relate to TSPs,
related security controls or auditing, lecturers shall confine themselves to the provision of generic information
and advice which is freely available in the public domain;
c) activities prior to audit, solely aimed at determining readiness for audit; however, such activities shall not
result in the provision of recommendations or advice for specific solutions and shall not result in a reduction in
the eventual audit duration;
d) performing third party audits according to standards, publicly available specifications or regulatory
requirements other than those being part of the scope of accreditation; or
e) adding value during audits.
EXAMPLE: Adding value during audits includes identifying opportunities for improvement, as they become
evident during the audit, without recommending specific solutions.
4.3 Liability and financing
The requirements from ISO/IEC 17065 [1], clause 4.3 shall apply.
4.4 Non-discriminatory conditions
The requirements from ISO/IEC 17065 [1], clause 4.4 shall apply.
ETSI
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9 ETSI TS 119 403 V2.1.1 (2014-11)
5 Structural requirements
5.1 Organizational structure and top management
The requirements from ISO/IEC 17065 [1], clause 5.1 shall apply.
5.2 Mechanism for safeguarding impartiality
The requirements from ISO/IEC 17065 [1], clause 5.2 shall apply.
6 Resource requirements
6.1 Conformity Assessment Body personnel
6.1.1 General
The requirements from ISO/IEC 17065 [1], clause 6.1.1 shall apply.
6.1.2 Management of competence for personnel involved in the audit
process
The requirements from ISO/IEC 17065 [1], clause 6.1.2 shall apply. In addition, the following TSP-specific
requirements and guidance apply.
6.1.2.1 General considerations
The performance of the following functions as defined in clause 7 of ISO/IEC 17065 [1] shall need specific
competences with respect to Trust Service Provider as described in clause 6.1.2.2:
a) application review;
b) audit;
c) review; and
d) certification decision.
6.1.2.2 Training of audit teams
The Conformity Assessment Body shall have criteria for the training of audit teams that support the ability to
demonstrate competence in:
a) knowledge of the TSP standards and other relevant publicly available specifications;
b) understanding of trust services and information security including network security issues;
c) understanding of risk assessment and risk management from the business perspective;
d) technical knowledge of the activity to be audited;
e) general knowledge of regulatory requirements relevant to TSPs; and
f) knowledge of security policies and controls.
ETSI
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10 ETSI TS 119 403 V2.1.1 (2014-11)
6.2 Resources for evaluation
The requirements from ISO/IEC 17065 [1], clause 6.2 shall apply.
6.2.1 Internal resources
The requirements from ISO/IEC 17065 [1], clause 6.2.1 shall apply. In addition, the following TSP-specific
requirements and guidance apply.
6.2.1.1 Competence of Conformity Assessment Body personnel
The Conformity Assessment Body shall have personnel competent to:
a) select and verify the competence of TSP auditors for audit teams appropriate for the audit;
b) brief TSP auditors and arrange any neces
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