SIST EN 319 403-1 V2.3.1:2020

Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)

EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers

2 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)

Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
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3 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 General requirements . 10
4.1 Legal and contractual matters . 10
4.1.1 Legal responsibility. 10
4.1.2 Certification agreement . 10
4.1.3 Use of license, certificates and marks of conformity . 10
4.2 Management of impartiality . 10
4.2.0 General requirements . 10
4.2.1 Activities not conflicting with impartiality . 10
4.3 Liability and financing . 10
4.4 Non-discriminatory conditions . 10
4.5 Confidentiality . 11
4.6 Publicly available information . 11
5 Structural requirements . 11
5.1 Organizational structure and top management . 11
5.2 Mechanism for safeguarding impartiality . 11
6 Resource requirements . 11
6.1 Conformity Assessment Body personnel . 11
6.1.1 General . 11
6.1.2 Management of competence for personnel involved in the audit process. 11
6.1.2.0 General requirements . 11
6.1.2.1 Management of competence. 11
6.1.2.2 Training of audit teams . 12
6.2 Resources for evaluation . 12
6.2.0 General requirements . 12
6.2.1 Internal resources . 12
6.2.1.0 General requirement . 12
6.2.1.1 Competence of Conformity Assessment Body personnel . 12
6.2.1.2 Competences for all functions . 12
6.2.1.3 Competences for application review . 13
6.2.1.4 Competences and prerequisites for auditing. 13
6.2.1.5 Competences for review . 13
6.2.1.6 Competences for certification decision . 14
6.2.1.7 Competences for Technical Experts . 14
6.2.1.8 Audit team . 14
6.2.1.9 Audit team leader . 15
7 Process requirements . 15
7.1 General requirements . 15
7.2 Application . 15
7.3 Application Review . 15
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7.4 Audit . 15
7.4.0 General requirements . 15
7.4.1 Audit Scope . 16
7.4.1.0 Audit Scope General . 16
7.4.1.1 Audit Team Mandate. 16
7.4.1.2 Audit Methodology . 16
7.4.2 Audit time . 17
7.4.3 Multiple sites . 17
7.4.3.1 When to Consider Sample Based Approach . 17
7.4.3.2 Requirements of Sample Based Approach . 18
7.4.4 Audit process . 18
7.4.4.1 General preparation for the audit . 18
7.4.4.2 Audit Process . 19
7.4.4.3 Stage 1 audit . 19
7.4.4.4 Stage 2 audit . 20
7.4.4.5 Audit Report . 20
7.4.4.6 Corrective Actions . 21
7.4.5 Audit Frequency . 21
7.5 Review . 22
7.6 Certification decision . 22
7.7 Certification documentation . 22
7.8 Directory of certified products . 22
7.9 Surveillance . 22
7.10 Changes affecting certification . 23
7.11 Termination, reduction, suspension or withdrawal of certification . 23
7.12 Records . 23
7.13 Complaints and appeals . 24
8 Management system requirements . 24
8.1 Options . 24
8.2 General management system documentation . 24
8.3 Control of documents . 24
8.4 Control of records . 24
8.5 Management review . 24
8.6 Internal audits . 24
8.7 Corrective actions . 24
8.8 Preventive actions. 24
Annex A (informative): Auditors' code of conduct . 25
Annex B (informative): Procedure to determine audit time . 26
Annex C (informative): Bibliography . 27
Annex D (informative): Change History . 28
History . 29

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5 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables 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 (https://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.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This final draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI), and is now submitted for the Vote phase of the ETSI standards EN Approval Procedure.
The present document is part 1 of a multi-part deliverable covering Trust Service Provider Conformity Assessment, as
identified below:
ETSI EN 319 403-1: "Requirements for conformity assessment bodies assessing Trust Service Providers"
ETSI TS 119 403-2: "Additional requirements for Conformity Assessment Bodies auditing Trust Service Providers
that issue Publicly-Trusted Certificates";
ETSI TS 119 403-3: "Additional requirements for conformity assessment bodies assessing qualified trust service
providers against the eIDAS Regulation requirements".
Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa
Date of withdrawal of any conflicting National Standard (dow): 6 months after doa

Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "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.
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6 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
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].
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 recognized 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.
The present document also incorporates many requirements relating to the audit of a TSP's management system, as
defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to
derived from these documents in the present document, as well indirectly through references to requirements of
ISO/IEC 17021 [i.12].
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7 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
1 Scope
The present document contains requirements for the competence, consistent operation and impartiality of conformity
assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they
provide towards defined criteria against which they claim conformance.
NOTE 1: Those requirements are independent of the type and class of trust service provided.
The present document also contains requirements for the conformity assessment of trust services component services,
which later forms part of a separate conformity assessment of a TSP.
NOTE 2: This enables a provider of such component services, which are used as part of the service provided by
several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based
just on a component service or collection of components whether or not they are recognized as a trust
service under Regulation (EU) No 910/2014 [i.1].
The present document applies the general requirements of ISO/IEC 17065 [1] to the specific requirements of
conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:
• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service
Providers that issue Publicly-Trusted Certificates".
• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust
service providers".
2 References
2.1 Normative 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
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://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.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 17065: "Conformity assessment -- Requirements for bodies certifying products,
processes and services".
2.2 Informative 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
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
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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 (EU) No 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".
[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 EU qualified certificates".
[i.4] Regulation (EC) 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".
[i.7] ISO/IEC 15408: "Information technology -- Security techniques -- Evaluation criteria for IT
security".
[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 issuing Time-Stamps".
[i.10] CA/Browser Forum Baseline Requirements for the Issuance and Management of Publicly-Trusted
Certificates.
[i.11] ISO/IEC 27006: "Information technology -- Security techniques -- Requirements for bodies
providing audit and certification of information security management systems".
[i.12] ISO/IEC 17021: "Conformity assessment -- Requirements for bodies providing audit and
certification of management systems".
[i.13] ISO/IEC 27002: "Information technology -- Security techniques -- Code of practice for
information security controls".
[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies
auditing Trust Service Providers that issue Publicly-Trusted Certificates".
[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies
assessing EU qualified trust service providers".
[i.16] ETSI TS 119 431 (all parts): "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms
For the purposes of the present document, the terms given in ISO/IEC 17065 [1] and the following apply:
auditor: person who assesses conformity to requirements as specified in a given requirements document
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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].
minor nonconformity: non-fulfilment of a specified requirement that does not have any major security impact, and
does not have any major impact on the ability of the TSP to meet the intended service
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 typically, but not necessarily, use cryptographic techniques or manipulate confidential
material.
trust service component: one part of the overall service of a TSP
NOTE 1: A typical example of such component services are those identified in clause 4.4 of ETSI
EN 319 411-1 [i.2]. Also, ETSI TS 119 431 [i.16] defines requirements for a Server Signing Application
Service Component (SSASC) which can be implemented as part of TSP's service which also includes
other service components.
NOTE 2: Other standards, including ETSI standards, can also specify requirements for other service components
which can form part of a wider TSP's service.
Trust Service Provider (TSP): entity which provides one or more electronic trust services
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
CAB Conformity Assessment Body
EC European Commission
EU European Union
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
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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
4.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 4.2 shall apply. In addition, the requirements and guidance specified
in clause 4.2.1 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 publicly available;
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.
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4.5 Confidentiality
The requirements from ISO/IEC 17065 [1], clause 4.5 shall apply.
4.6 Publicly available information
The requirements from ISO/IEC 17065 [1], clause 4.6 shall apply.
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
6.1.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 6.1.2 shall apply. In addition, the TSP-specific requirements and
guidance specified in clauses 6.1.2.1 and 6.1.2.2 apply.
6.1.2.1 Management of competence
The performance of the following functions as defined in ISO/IEC 17065 [1], clause 7, shall need specific competences
with respect to Trust Service Provider as described in the present document:
a) application review;
b) audit;
c) review; and
d) certification decision.
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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 functioning 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.
6.2 Resources for evaluation
6.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 6.2 shall apply.
6.2.1 Internal resources
6.2.1.0 General requirement
The requirements from ISO/IEC 17065 [1], clause 6.2.1 shall apply. In addition, the TSP-specific requirements and
guidance specified in clauses 6.2.1.1 to 6.2.1.9 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 necessary training;
c) decide on the granting, maintaining, withdrawing, suspending, extending, or reducing of certifications; and
d) set up and operate an appeals and complaints process.
6.2.1.2 Competences for all functions
The Conformity Assessment Body personnel shall have knowledge of:
a) standards and publicly available specifications relevant to TSP conformity assessment;
b) TSPs general concepts and relevant requirements;
c) TSPs' legal and regulatory requirements;
d) trust services functioning, and information security management including network security;
e) TSPs' security policies and controls; and
f) TSPs' risk assessment and risk management.
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6.2.1.3 Competences for application review
The Conformity Assessment Body personnel reviewing TSPs' applications shall have the following specific
competences:
a) technological and legal understanding of the areas of activity of the TSP and the associated business risks;
b) technical understanding of the evaluation process;
c) understanding of the competences and capabilities of the Conformity Assessment Body; and
d) communication and analytic skills to explain certification requirements to the client and to resolve possible
differences in understanding regarding standards, other publicly available specifications or regulatory
requirements.
6.2.1.4 Competences and prerequisites for auditing
The Conformity Assessment Body personnel performing audits as described in clause 7.4 shall have the following
specific competences and knowledge, and fulfil the following requirements:
a) Requirements:
1) formal academic qualifications or professional training or extensive experience indicating general
capability to carry out audits based on the knowledge given below; and
2) at least four years full time practical workplace experience in information technology, of which at least
two years have been in a role or function relating to relevant trust services, public key infrastructure,
information security including risk assessment/management, network security and physical security.
b) Knowledge of:
1) audit principles, practices and techniques in the field of TSP audits gained in a training course of at least
five days;
2) the issues related to various areas of trust services, public key infrastructure, information security
including risk assessment/management, network security and physical security;
3) the applicable standards, publicly available specifications and regulatory requirements for TSPs and
other relevant publicly available specifications including standards for IT product evaluation; and
EXAMPLE: Applicable standards such as ISO/IEC 27002 [i.13], ETSI EN 319 401 [i.6],
ETSI EN 319 411-1 [i.2], ETSI EN 319 411-2 [i.3], ETSI EN 319 421 [i.9] or
ISO/IEC 15408 [i.7].
4) the Conformity Assessment Body's processes.
c) Competences:
1) language skills appropriate for all organizational levels within the TSP organization;
2) note-taking, report-writing, presentation, and interviewing skills; and
3) personal attributes: objective, mature, discerning, analytical, persistent and realistic.
The Conformity Assessment Body personnel performing audit shall maintain competence on the basis of appropriate
education, training or experience. All relevant experience shall be current and prior to assuming responsibility for
performing as an auditor, the candidate shall have gained experience in the entire process of TSP audit. This experience
shall have been gained by participating under supervision of lead auditors in a minimum of four TSP audits for a total of
at least 20 days, including documentation review, on-site audit and audit reporting.
6.2.1.5 Competences for review
The Conformity Assessment Body personnel performing reviews shall have the specific competences and knowledge,
fulfil the requirements as described in clause 6.2.1.4 and have acted as an auditor in at least three complete TSP
assessments.
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6.2.1.6 Competences for certification decision
The Conformity Assessment Body personnel performing the certification decision shall have the competences described
in clause 6.2.1.2 and knowledge of the certification process.
6.2.1.7 Competences for Technical Experts
Technical experts assisting the audit team provide specific knowledge or expertise during the audit process.
NOTE: Technical experts are not considered as auditors and do not need to have the complete auditor
competences as described in clause 6.2.1.4.
Technical experts shall, at all times, act under the responsibility of the audit team leader.
EXAMPLE: Typical knowledge provided by technical experts includes the following:
a) knowledge of the legislative and regulatory requirements and of legal compliance in the
particular field of TSP and information security;
b) knowledge of the current technical state-of-art regarding Public Key Infrastructure;
c) knowledge of technologies applicable to the TSP trust service being audited;
d) knowledge of performing information security related risk assessments so as to identify TSP
assets, threats and vulnerabilities providing understanding of their occurrence, impact and
their mitigation;
e) knowledge of network security vulnerability analysis including penetration testing;
f) knowledge of assessing TSP security controls; and
g) knowledge of product evaluation (e.g. as per ISO/IEC 15408 [i.7]) being able to assess the
secure operation of evaluated products or trustworthy systems such as cryptographic modules.
6.2.1.8 Audit team
Audit teams shall be competent for the duties assigned to them. The following requirements shall apply to the audit
team as a whole. In each of the following areas at least one auditor in the team shall satisfy the indicated criteria for
taking responsibility within the audit team:
a) managing the team (lead auditor);
b) demonstrated knowledge of the legislative and regulatory requirements and of legal compliance in the
particular field of TSP and information security;
c) demonstrated knowledge of the current technical state-of-art regarding TSP and Public Key Infrastructure;
d) demonstrated knowledge in technologies applicable to the TSP trust service being audited;
e) demonstrated knowledge of performing information security related risk assessments so as to identify assets,
threats and the vulnerabilities of the TSP and understanding their impact, mitigation and control; and
f) demonstrated knowledge of organizational reliability issues.
The audit team should be competent to trace indications of security incidents in the TSP operations back to the
appropriate elements of the TSP controls.
An audit team may consist of one person provided that the person meets all criteria set out above.
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6.2.1.9 Audit team leader
In addition to the requirements in clause 6.2.1.4, audit team leaders shall have gained the following experiences and
skills in audits under guidance and supervision:
a) having acted as auditor in at least three complete TSP audits;
b) having adequate knowledge and attributes to manage the audit process; and
c) having the competence to communicate effectively, both orally and in writing.
7 Process requirements
7.1 General requirements
The requirements from ISO/IEC 17065 [1], clause 7.1 shall apply. In addition, the evaluation of the TSP and the trust
service(s) it provides shall take the form of an audit carried out against defined criteria that should:
a) take into account specificities of the type of trust service to be assessed;
b) ensure that all aspects of the TSP's activity are fully covered; and
c) be based on standards, publicly available specifications and/or regulatory requirements.
EXAMPLE: Standards on which those criteria could be based include ETSI EN 319 401 [i.6],
ETSI EN 319 411-1 [i.2], ETSI EN 319 411-2 [i.3] or ETSI EN 319 421 [i.9]. Regulatory
requirements on which those criteria could be based include those defined in Regulation (EU)
No 910/2014 [i.1].
7.2 Application
The requirements from ISO/IEC 17065 [1], clause 7.2 shall apply.
7.3 Application Review
...

EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers

2 ETSI EN 319 403-1 V2.3.1 (2020-06)

Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
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3 ETSI EN 319 403-1 V2.3.1 (2020-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 General requirements . 10
4.1 Legal and contractual matters . 10
4.1.1 Legal responsibility. 10
4.1.2 Certification agreement . 10
4.1.3 Use of license, certificates and marks of conformity . 10
4.2 Management of impartiality . 10
4.2.0 General requirements . 10
4.2.1 Activities not conflicting with impartiality . 10
4.3 Liability and financing . 10
4.4 Non-discriminatory conditions . 10
4.5 Confidentiality . 11
4.6 Publicly available information . 11
5 Structural requirements . 11
5.1 Organizational structure and top management . 11
5.2 Mechanism for safeguarding impartiality . 11
6 Resource requirements . 11
6.1 Conformity Assessment Body personnel . 11
6.1.1 General . 11
6.1.2 Management of competence for personnel involved in the audit process. 11
6.1.2.0 General requirements . 11
6.1.2.1 Management of competence. 11
6.1.2.2 Training of audit teams . 12
6.2 Resources for evaluation . 12
6.2.0 General requirements . 12
6.2.1 Internal resources . 12
6.2.1.0 General requirement . 12
6.2.1.1 Competence of Conformity Assessment Body personnel . 12
6.2.1.2 Competences for all functions . 12
6.2.1.3 Competences for application review . 13
6.2.1.4 Competences and prerequisites for auditing. 13
6.2.1.5 Competences for review . 13
6.2.1.6 Competences for certification decision . 14
6.2.1.7 Competences for Technical Experts . 14
6.2.1.8 Audit team . 14
6.2.1.9 Audit team leader . 15
7 Process requirements . 15
7.1 General requirements . 15
7.2 Application . 15
7.3 Application Review . 15
7.4 Audit . 15
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4 ETSI EN 319 403-1 V2.3.1 (2020-06)
7.4.0 General requirements . 15
7.4.1 Audit Scope . 16
7.4.1.0 Audit Scope General . 16
7.4.1.1 Audit Team Mandate. 16
7.4.1.2 Audit Methodology . 16
7.4.2 Audit time . 17
7.4.3 Multiple sites . 17
7.4.3.1 When to Consider Sample Based Approach . 17
7.4.3.2 Requirements of Sample Based Approach . 18
7.4.4 Audit process . 18
7.4.4.1 General preparation for the audit . 18
7.4.4.2 Audit Process . 19
7.4.4.3 Stage 1 audit . 19
7.4.4.4 Stage 2 audit . 20
7.4.4.5 Audit Report . 20
7.4.4.6 Corrective Actions . 21
7.4.5 Audit Frequency . 21
7.5 Review . 22
7.6 Certification decision . 22
7.7 Certification documentation . 22
7.8 Directory of certified products . 22
7.9 Surveillance . 22
7.10 Changes affecting certification . 23
7.11 Termination, reduction, suspension or withdrawal of certification . 23
7.12 Records . 23
7.13 Complaints and appeals . 23
8 Management system requirements . 24
8.1 Options . 24
8.2 General management system documentation . 24
8.3 Control of documents . 24
8.4 Control of records . 24
8.5 Management review . 24
8.6 Internal audits . 24
8.7 Corrective actions . 24
8.8 Preventive actions. 24
Annex A (informative): Auditors' code of conduct . 25
Annex B (informative): Procedure to determine audit time . 26
Annex C (informative): Bibliography . 27
Annex D (informative): Change History . 28
History . 29

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5 ETSI EN 319 403-1 V2.3.1 (2020-06)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables 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 (https://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.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
The present document is part 1 of a multi-part deliverable covering Trust Service Provider Conformity Assessment, as
identified below:
ETSI EN 319 403-1: "Requirements for conformity assessment bodies assessing Trust Service Providers";
ETSI TS 119 403-2: "Additional requirements for Conformity Assessment Bodies auditing Trust Service Providers that
issue Publicly-Trusted Certificates";
ETSI TS 119 403-3: "Additional requirements for conformity assessment bodies assessing EU qualified trust service
providers".
National transposition dates
Date of adoption of this EN: 15 June 2020
Date of latest announcement of this EN (doa): 30 September 2020
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 March 2021
Date of withdrawal of any conflicting National Standard (dow): 31 March 2021

Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "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.
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6 ETSI EN 319 403-1 V2.3.1 (2020-06)
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].
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 recognized 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.
The present document also incorporates many requirements relating to the audit of a TSP's management system, as
defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to
derived from these documents in the present document, as well indirectly through references to requirements of
ISO/IEC 17021 [i.12].
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7 ETSI EN 319 403-1 V2.3.1 (2020-06)
1 Scope
The present document contains requirements for the competence, consistent operation and impartiality of conformity
assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they
provide towards defined criteria against which they claim conformance.
NOTE 1: Those requirements are independent of the type and class of trust service provided.
The present document also contains requirements for the conformity assessment of trust services component services,
which later forms part of a separate conformity assessment of a TSP.
NOTE 2: This enables a provider of such component services, which are used as part of the service provided by
several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based
just on a component service or collection of components whether or not they are recognized as a trust
service under Regulation (EU) No 910/2014 [i.1].
The present document applies the general requirements of ISO/IEC 17065 [1] to the specific requirements of
conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:
• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service
Providers that issue Publicly-Trusted Certificates".
• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust
service providers".
2 References
2.1 Normative 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
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://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.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 17065: "Conformity assessment -- Requirements for bodies certifying products,
processes and services".
2.2 Informative 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
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
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.
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8 ETSI EN 319 403-1 V2.3.1 (2020-06)
[i.1] Regulation (EU) No 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".
[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 EU qualified certificates".
[i.4] Regulation (EC) 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".
[i.7] ISO/IEC 15408: "Information technology -- Security techniques -- Evaluation criteria for IT
security".
[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 issuing Time-Stamps".
[i.10] CA/Browser Forum Baseline Requirements for the Issuance and Management of Publicly-Trusted
Certificates.
[i.11] ISO/IEC 27006: "Information technology -- Security techniques -- Requirements for bodies
providing audit and certification of information security management systems".
[i.12] ISO/IEC 17021: "Conformity assessment -- Requirements for bodies providing audit and
certification of management systems".
[i.13] ISO/IEC 27002: "Information technology -- Security techniques -- Code of practice for
information security controls".
[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies
auditing Trust Service Providers that issue Publicly-Trusted Certificates".
[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies
assessing EU qualified trust service providers".
[i.16] ETSI TS 119 431 (all parts): "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms
For the purposes of the present document, the terms 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
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9 ETSI EN 319 403-1 V2.3.1 (2020-06)
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].
minor nonconformity: non-fulfilment of a specified requirement that does not have any major security impact, and
does not have any major impact on the ability of the TSP to meet the intended service
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 typically, but not necessarily, use cryptographic techniques or manipulate confidential
material.
trust service component: one part of the overall service of a TSP
NOTE 1: A typical example of such component services are those identified in clause 4.4 of ETSI
EN 319 411-1 [i.2]. Also, ETSI TS 119 431 [i.16] defines requirements for a Server Signing Application
Service Component (SSASC) which can be implemented as part of TSP's service which also includes
other service components.
NOTE 2: Other standards, including ETSI standards, can also specify requirements for other service components
which can form part of a wider TSP's service.
Trust Service Provider (TSP): entity which provides one or more electronic trust services
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
CAB Conformity Assessment Body
EC European Commission
EU European Union
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
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10 ETSI EN 319 403-1 V2.3.1 (2020-06)
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
4.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 4.2 shall apply. In addition, the requirements and guidance specified
in clause 4.2.1 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 publicly available;
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.
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11 ETSI EN 319 403-1 V2.3.1 (2020-06)
4.5 Confidentiality
The requirements from ISO/IEC 17065 [1], clause 4.5 shall apply.
4.6 Publicly available information
The requirements from ISO/IEC 17065 [1], clause 4.6 shall apply.
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
6.1.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 6.1.2 shall apply. In addition, the TSP-specific requirements and
guidance specified in clauses 6.1.2.1 and 6.1.2.2 apply.
6.1.2.1 Management of competence
The performance of the following functions as defined in ISO/IEC 17065 [1], clause 7, shall need specific competences
with respect to Trust Service Provider as described in the present document:
a) application review;
b) audit;
c) review; and
d) certification decision.
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12 ETSI EN 319 403-1 V2.3.1 (2020-06)
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 functioning 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.
6.2 Resources for evaluation
6.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 6.2 shall apply.
6.2.1 Internal resources
6.2.1.0 General requirement
The requirements from ISO/IEC 17065 [1], clause 6.2.1 shall apply. In addition, the TSP-specific requirements and
guidance specified in clauses 6.2.1.1 to 6.2.1.9 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 necessary training;
c) decide on the granting, maintaining, withdrawing, suspending, extending, or reducing of certifications; and
d) set up and operate an appeals and complaints process.
6.2.1.2 Competences for all functions
The Conformity Assessment Body personnel shall have knowledge of:
a) standards and publicly available specifications relevant to TSP conformity assessment;
b) TSPs general concepts and relevant requirements;
c) TSPs' legal and regulatory requirements;
d) trust services functioning, and information security management including network security;
e) TSPs' security policies and controls; and
f) TSPs' risk assessment and risk management.
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13 ETSI EN 319 403-1 V2.3.1 (2020-06)
6.2.1.3 Competences for application review
The Conformity Assessment Body personnel reviewing TSPs' applications shall have the following specific
competences:
a) technological and legal understanding of the areas of activity of the TSP and the associated business risks;
b) technical understanding of the evaluation process;
c) understanding of the competences and capabilities of the Conformity Assessment Body; and
d) communication and analytic skills to explain certification requirements to the client and to resolve possible
differences in understanding regarding standards, other publicly available specifications or regulatory
requirements.
6.2.1.4 Competences and prerequisites for auditing
The Conformity Assessment Body personnel performing audits as described in clause 7.4 shall have the following
specific competences and knowledge, and fulfil the following requirements:
a) Requirements:
1) formal academic qualifications or professional training or extensive experience indicating general
capability to carry out audits based on the knowledge given below; and
2) at least four years full time practical workplace experience in information technology, of which at least
two years have been in a role or function relating to relevant trust services, public key infrastructure,
information security including risk assessment/management, network security and physical security.
b) Knowledge of:
1) audit principles, practices and techniques in the field of TSP audits gained in a training course of at least
five days;
2) the issues related to various areas of trust services, public key infrastructure, information security
including risk assessment/management, network security and physical security;
3) the applicable standards, publicly available specifications and regulatory requirements for TSPs and
other relevant publicly available specifications including standards for IT product evaluation; and
EXAMPLE: Applicable standards such as ISO/IEC 27002 [i.13], ETSI EN 319 401 [i.6],
ETSI EN 319 411-1 [i.2], ETSI EN 319 411-2 [i.3], ETSI EN 319 421 [i.9] or
ISO/IEC 15408 [i.7].
4) the Conformity Assessment Body's processes.
c) Competences:
1) language skills appropriate for all organizational levels within the TSP organization;
2) note-taking, report-writing, presentation, and interviewing skills; and
3) personal attributes: objective, mature, discerning, analytical, persistent and realistic.
The Conformity Assessment Body personnel performing audit shall maintain competence on the basis of appropriate
education, training or experience. All relevant experience shall be current and prior to assuming responsibility for
performing as an auditor, the candidate shall have gained experience in the entire process of TSP audit. This experience
shall have been gained by participating under supervision of lead auditors in a minimum of four TSP audits for a total of
at least 20 days, including documentation review, on-site audit and audit reporting.
6.2.1.5 Competences for review
The Conformity Assessment Body personnel performing reviews shall have the specific competences and knowledge,
fulfil the requirements as described in clause 6.2.1.4 and have acted as an auditor in at least three complete TSP
assessments.
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14 ETSI EN 319 403-1 V2.3.1 (2020-06)
6.2.1.6 Competences for certification decision
The Conformity Assessment Body personnel performing the certification decision shall have the competences described
in clause 6.2.1.2 and knowledge of the certification process.
6.2.1.7 Competences for Technical Experts
Technical experts assisting the audit team provide specific knowledge or expertise during the audit process.
NOTE: Technical experts are not considered as auditors and do not need to have the complete auditor
competences as described in clause 6.2.1.4.
Technical experts shall, at all times, act under the responsibility of the audit team leader.
EXAMPLE: Typical knowledge provided by technical experts includes the following:
a) knowledge of the legislative and regulatory requirements and of legal compliance in the
particular field of TSP and information security;
b) knowledge of the current technical state-of-art regarding Public Key Infrastructure;
c) knowledge of technologies applicable to the TSP trust service being audited;
d) knowledge of performing information security related risk assessments so as to identify TSP
assets, threats and vulnerabilities providing understanding of their occurrence, impact and
their mitigation;
e) knowledge of network security vulnerability analysis including penetration testing;
f) knowledge of assessing TSP security controls; and
g) knowledge of product evaluation (e.g. as per ISO/IEC 15408 [i.7]) being able to assess the
secure operation of evaluated products or trustworthy systems such as cryptographic modules.
6.2.1.8 Audit team
Audit teams shall be competent for the duties assigned to them. The following requirements shall apply to the audit
team as a whole. In each of the following areas at least one auditor in the team shall satisfy the indicated criteria for
taking responsibility within the audit team:
a) managing the team (lead auditor);
b) demonstrated knowledge of the legislative and regulatory requirements and of legal compliance in the
particular field of TSP and information security;
c) demonstrated knowledge of the current technical state-of-art regarding TSP and Public Key Infrastructure;
d) demonstrated knowledge in technologies applicable to the TSP trust service being audited;
e) demonstrated knowledge of performing information security related risk assessments so as to identify assets,
threats and the vulnerabilities of the TSP and understanding their impact, mitigation and control; and
f) demonstrated knowledge of organizational reliability issues.
The audit team should be competent to trace indications of security incidents in the TSP operations back to the
appropriate elements of the TSP controls.
An audit team may consist of one person provided that the person meets all criteria set out above.
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15 ETSI EN 319 403-1 V2.3.1 (2020-06)
6.2.1.9 Audit team leader
In addition to the requirements in clause 6.2.1.4, audit team leaders shall have gained the following experiences and
skills in audits under guidance and supervision:
a) having acted as auditor in at least three complete TSP audits;
b) having adequate knowledge and attributes to manage the audit process; and
c) having the competence to communicate effectively, both orally and in writing.
7 Process requirements
7.1 General requirements
The requirements from ISO/IEC 17065 [1], clause 7.1 shall apply. In addition, the evaluation of the TSP and the trust
service(s) it provides shall take the form of an audit carried out against defined criteria that should:
a) take into account specificities of the type of trust service to be assessed;
b) ensure that all aspects of the TSP's activity are fully covered; and
c) be based on standards, publicly available specifications and/or regulatory requirements.
EXAMPLE: Standards on which those criteria could be based include ETSI EN 319 401 [i.6],
ETSI EN 319 411-1 [i.2], ETSI EN 319 411-2 [i.3] or ETSI EN 319 421 [i.9]. Regulatory
requirements on which those criteria could be based include those defined in Regulation (EU)
No 910/2014 [i.1].
7.2 Application
The requirements from ISO/IEC 17065 [1], clause 7.2 shall apply.
7.3 Application Review
The requirements from ISO/IEC 17065 [1], clause 7.3 shall apply.
For each TSP, the Conformity Assessment Body shall ensure that it does not accept any application for which it is not
competent or otherwise unable to carry out an audit. The Conformity Assessment Body shall then review the contract
with the
...

SLOVENSKI STANDARD
01-september-2020
Elektronski podpisi in infrastruktura (ESI) - Ocenjevanje skladnosti ponudnikov
storitev zaupanja - 1. del: Zahteve za ocenjevanje skladnosti organov, ki
ocenjujejo ponudnike storitev zaupanja
Electronic Signatures and Infrastructures (ESI) - Trust Service Provider Conformity
Assessment - Part 1: Requirements for conformity assessment bodies assessing Trust
Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 403-1 V2.3.1 (2020-06)
ICS:
03.080.99 Druge storitve Other services
35.040.01 Kodiranje informacij na Information coding in general
splošno
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers

2 ETSI EN 319 403-1 V2.3.1 (2020-06)

Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
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ETSI
3 ETSI EN 319 403-1 V2.3.1 (2020-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 General requirements . 10
4.1 Legal and contractual matters . 10
4.1.1 Legal responsibility. 10
4.1.2 Certification agreement . 10
4.1.3 Use of license, certificates and marks of conformity . 10
4.2 Management of impartiality . 10
4.2.0 General requirements . 10
4.2.1 Activities not conflicting with impartiality . 10
4.3 Liability and financing . 10
4.4 Non-discriminatory conditions . 10
4.5 Confidentiality . 11
4.6 Publicly available information . 11
5 Structural requirements . 11
5.1 Organizational structure and top management . 11
5.2 Mechanism for safeguarding impartiality . 11
6 Resource requirements . 11
6.1 Conformity Assessment Body personnel . 11
6.1.1 General . 11
6.1.2 Management of competence for personnel involved in the audit process. 11
6.1.2.0 General requirements . 11
6.1.2.1 Management of competence. 11
6.1.2.2 Training of audit teams . 12
6.2 Resources for evaluation . 12
6.2.0 General requirements . 12
6.2.1 Internal resources . 12
6.2.1.0 General requirement . 12
6.2.1.1 Competence of Conformity Assessment Body personnel . 12
6.2.1.2 Competences for all functions . 12
6.2.1.3 Competences for application review . 13
6.2.1.4 Competences and prerequisites for auditing. 13
6.2.1.5 Competences for review . 13
6.2.1.6 Competences for certification decision . 14
6.2.1.7 Competences for Technical Experts . 14
6.2.1.8 Audit team . 14
6.2.1.9 Audit team leader . 15
7 Process requirements . 15
7.1 General requirements . 15
7.2 Application . 15
7.3 Application Review . 15
7.4 Audit . 15
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4 ETSI EN 319 403-1 V2.3.1 (2020-06)
7.4.0 General requirements . 15
7.4.1 Audit Scope . 16
7.4.1.0 Audit Scope General . 16
7.4.1.1 Audit Team Mandate. 16
7.4.1.2 Audit Methodology . 16
7.4.2 Audit time . 17
7.4.3 Multiple sites . 17
7.4.3.1 When to Consider Sample Based Approach . 17
7.4.3.2 Requirements of Sample Based Approach . 18
7.4.4 Audit process . 18
7.4.4.1 General preparation for the audit . 18
7.4.4.2 Audit Process . 19
7.4.4.3 Stage 1 audit . 19
7.4.4.4 Stage 2 audit . 20
7.4.4.5 Audit Report . 20
7.4.4.6 Corrective Actions . 21
7.4.5 Audit Frequency . 21
7.5 Review . 22
7.6 Certification decision . 22
7.7 Certification documentation . 22
7.8 Directory of certified products . 22
7.9 Surveillance . 22
7.10 Changes affecting certification . 23
7.11 Termination, reduction, suspension or withdrawal of certification . 23
7.12 Records . 23
7.13 Complaints and appeals . 23
8 Management system requirements . 24
8.1 Options . 24
8.2 General management system documentation . 24
8.3 Control of documents . 24
8.4 Control of records . 24
8.5 Management review . 24
8.6 Internal audits . 24
8.7 Corrective actions . 24
8.8 Preventive actions. 24
Annex A (informative): Auditors' code of conduct . 25
Annex B (informative): Procedure to determine audit time . 26
Annex C (informative): Bibliography . 27
Annex D (informative): Change History . 28
History . 29

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5 ETSI EN 319 403-1 V2.3.1 (2020-06)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables 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 (https://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.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
The present document is part 1 of a multi-part deliverable covering Trust Service Provider Conformity Assessment, as
identified below:
ETSI EN 319 403-1: "Requirements for conformity assessment bodies assessing Trust Service Providers";
ETSI TS 119 403-2: "Additional requirements for Conformity Assessment Bodies auditing Trust Service Providers that
issue Publicly-Trusted Certificates";
ETSI TS 119 403-3: "Additional requirements for conformity assessment bodies assessing EU qualified trust service
providers".
National transposition dates
Date of adoption of this EN: 15 June 2020
Date of latest announcement of this EN (doa): 30 September 2020
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 March 2021
Date of withdrawal of any conflicting National Standard (dow): 31 March 2021

Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "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.
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6 ETSI EN 319 403-1 V2.3.1 (2020-06)
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].
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 recognized 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.
The present document also incorporates many requirements relating to the audit of a TSP's management system, as
defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to
derived from these documents in the present document, as well indirectly through references to requirements of
ISO/IEC 17021 [i.12].
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7 ETSI EN 319 403-1 V2.3.1 (2020-06)
1 Scope
The present document contains requirements for the competence, consistent operation and impartiality of conformity
assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they
provide towards defined criteria against which they claim conformance.
NOTE 1: Those requirements are independent of the type and class of trust service provided.
The present document also contains requirements for the conformity assessment of trust services component services,
which later forms part of a separate conformity assessment of a TSP.
NOTE 2: This enables a provider of such component services, which are used as part of the service provided by
several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based
just on a component service or collection of components whether or not they are recognized as a trust
service under Regulation (EU) No 910/2014 [i.1].
The present document applies the general requirements of ISO/IEC 17065 [1] to the specific requirements of
conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:
• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service
Providers that issue Publicly-Trusted Certificates".
• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust
service providers".
2 References
2.1 Normative 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
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://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.
The following referenced documents are necessary for the application of the present document.
[1] ISO/IEC 17065: "Conformity assessment -- Requirements for bodies certifying products,
processes and services".
2.2 Informative 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
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
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.
ETSI
8 ETSI EN 319 403-1 V2.3.1 (2020-06)
[i.1] Regulation (EU) No 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".
[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 EU qualified certificates".
[i.4] Regulation (EC) 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".
[i.7] ISO/IEC 15408: "Information technology -- Security techniques -- Evaluation criteria for IT
security".
[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 issuing Time-Stamps".
[i.10] CA/Browser Forum Baseline Requirements for the Issuance and Management of Publicly-Trusted
Certificates.
[i.11] ISO/IEC 27006: "Information technology -- Security techniques -- Requirements for bodies
providing audit and certification of information security management systems".
[i.12] ISO/IEC 17021: "Conformity assessment -- Requirements for bodies providing audit and
certification of management systems".
[i.13] ISO/IEC 27002: "Information technology -- Security techniques -- Code of practice for
information security controls".
[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies
auditing Trust Service Providers that issue Publicly-Trusted Certificates".
[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies
assessing EU qualified trust service providers".
[i.16] ETSI TS 119 431 (all parts): "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms
For the purposes of the present document, the terms 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
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9 ETSI EN 319 403-1 V2.3.1 (2020-06)
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].
minor nonconformity: non-fulfilment of a specified requirement that does not have any major security impact, and
does not have any major impact on the ability of the TSP to meet the intended service
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 typically, but not necessarily, use cryptographic techniques or manipulate confidential
material.
trust service component: one part of the overall service of a TSP
NOTE 1: A typical example of such component services are those identified in clause 4.4 of ETSI
EN 319 411-1 [i.2]. Also, ETSI TS 119 431 [i.16] defines requirements for a Server Signing Application
Service Component (SSASC) which can be implemented as part of TSP's service which also includes
other service components.
NOTE 2: Other standards, including ETSI standards, can also specify requirements for other service components
which can form part of a wider TSP's service.
Trust Service Provider (TSP): entity which provides one or more electronic trust services
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
CAB Conformity Assessment Body
EC European Commission
EU European Union
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
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10 ETSI EN 319 403-1 V2.3.1 (2020-06)
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
4.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 4.2 shall apply. In addition, the requirements and guidance specified
in clause 4.2.1 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 publicly available;
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.
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11 ETSI EN 319 403-1 V2.3.1 (2020-06)
4.5 Confidentiality
The requirements from ISO/IEC 17065 [1], clause 4.5 shall apply.
4.6 Publicly available information
The requirements from ISO/IEC 17065 [1], clause 4.6 shall apply.
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
6.1.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 6.1.2 shall apply. In addition, the TSP-specific requirements and
guidance specified in clauses 6.1.2.1 and 6.1.2.2 apply.
6.1.2.1 Management of competence
The performance of the following functions as defined in ISO/IEC 17065 [1], clause 7, shall need specific competences
with respect to Trust Service Provider as described in the present document:
a) application review;
b) audit;
c) review; and
d) certification decision.
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12 ETSI EN 319 403-1 V2.3.1 (2020-06)
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 functioning 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.
6.2 Resources for evaluation
6.2.0 General requirements
The requirements from ISO/IEC 17065 [1], clause 6.2 shall apply.
6.2.1 Internal resources
6.2.1.0 General requirement
The requirements from ISO/IEC 17065 [1], clause 6.2.1 shall apply. In addition, the TSP-specific requirements and
guidance specified in clauses 6.2.1.1 to 6.2.1.9 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 necessary training;
c) decide on the granting, maintaining, withdrawing, suspending, extending, or reducing of certifications; and
d) set up and operate an appeals and complaints process.
6.2.1.2 Competences for all functions
The Conformity Assessment Body personnel shall have knowledge of:
a) standards and publicly available specifications relevant to TSP conformity assessment;
b) TSPs general concepts and relevant requirements;
c) TSPs' legal and regulatory requirements;
d) trust services functioning, and information security management including network security;
e) TSPs' security policies and controls; and
f) TSPs' risk assessment and risk management.
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13 ETSI EN 319 403-1 V2.3.1 (2020-06)
6.2.1.3 Competences for application review
The Conformity Assessment Body personnel reviewing TSPs' applications shall have the following specific
competences:
a) technological and legal understanding of the areas of activity of the TSP and the associated business risks;
b) technical understanding of the evaluation process;
c) understanding of the competences and capabilities of the Conformity Assessment Body; and
d) communication and analytic skills to explain certification requirements to the client and to resolve possible
differences in understanding regarding standards, other publicly available specifications or regulatory
requirements.
6.2.1.4 Competences and prerequisites for auditing
The Conformity Assessment Body personnel performing audits as described in clause 7.4 shall have the following
specific competences and knowledge, and fulfil the following requirements:
a) Requirements:
1) formal academic qualifications or professional training or extensive experience indicating general
capability to carry out audits based on the knowledge given below; and
2) at least four years full time practical workplace experience in information technology, of which at least
two years have been in a role or function relating to relevant trust services, public key infrastructure,
information security including risk assessment/management, network security and physical security.
b) Knowledge of:
1) audit principles, practices and techniques in the field of TSP audits gained in a training course of at least
five days;
2) the issues related to various areas of trust services, public key infrastructure, information security
including risk assessment/management, network security and physical security;
3) the applicable standards, publicly available specifications and regulatory requirements for TSPs and
other relevant publicly available specifications including standards for IT product evaluation; and
EXAMPLE: Applicable standards such as ISO/IEC 27002 [i.13], ETSI EN 319 401 [i.6],
ETSI EN 319 411-1 [i.2], ETSI EN 319 411-2 [i.3], ETSI EN 319 421 [i.9] or
ISO/IEC 15408 [i.7].
4) the Conformity Assessment Body's processes.
c) Competences:
1) language skills appropriate for all organizational levels within the TSP organization;
2) note-taking, report-writing, presentation, and interviewing skills; and
3) personal attributes: objective, mature, discerning, analytical, persistent and realistic.
The Conformity Assessment Body personnel performing audit shall maintain competence on the basis of appropriate
education, training or experience. All relevant experience shall be current and prior to assuming responsibility for
performing as an auditor, the candidate shall have gained experience in the entire process of TSP audit. This experience
shall have been gained by participating under supervision of lead auditors in a minimum of four TSP audits for a total of
at least 20 days, including documentation review, on-site audit and audit reporting.
6.2.1.5 Competences for review
The Conformity Assessment Body personnel performing reviews shall have the specific competences and knowledge,
fulfil the requirements as described in clause 6.2.1.4 and have acted as an auditor in at least three complete TSP
assessments.
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14 ETSI EN 319 403-1 V2.3.1 (2020-06)
6.2.1.6 Competences for certification decision
The Conformity Assessment Body personnel performing the certification decision shall have the competences described
in clause 6.2.1.2 and knowledge of the certification process.
6.2.1.7 Competences for Technical Experts
Technical experts assisting the audit team provide specific knowledge or expertise during the audit process.
NOTE: Technical experts are not considered as auditors and do not need to have the complete auditor
competences as described in clause 6.2.1.4.
Technical experts shall, at all times, act under the responsibility of the audit team leader.
EXAMPLE: Typical knowledge provided by technical experts includes the following:
a) knowledge of the legislative and regulatory requirements and of legal compliance in the
particular field of TSP and information security;
b) knowledge of the current technical state-of-art regarding Public Key Infrastructure;
c) knowledge of technologies applicable to the TSP trust service being audited;
d) knowledge of performing information security related risk assessments so as to identify TSP
assets, threats and vulnerabilities providing understanding of their occurrence, impact and
their mitigation;
e) knowledge of network security vulnerability analysis including penetration testing;
f) knowledge of assessing TSP security controls; and
g) knowledge of product evaluation (e.g. as per ISO/IEC 15408 [i.7]) being able to assess the
secure operation of evaluated products or trustworthy systems such as cryptographic modules.
6.2.1.8 Audit team
Audit teams shall be competent for the duties assigned to them. The following requirements shall apply to the audit
team as a whole. In each of the following areas at least one auditor in the team shall satisfy the indicated criteria for
taking responsibility within the audit team:
a) managing the team (lead auditor);
b) demonstrated knowledge of the legislative and regulatory requirements and of legal compliance in the
particular field of TSP and information security;
c) demonstrated knowledge of the current technical state-of-art regarding TSP and Public Key Infrastructure;
d) demonstrated knowledge in technologies applicable to the TSP trust service being audited;
e) demonstrated knowledge of performing information security related risk assessments so as to identify assets,
threats and the vulnerabilities of the TSP and understanding their impact, mitigation and control; and
f) demonstrated knowledge of organizational reliability issues.
The audit team should be competent to trace indications of security incidents in the TSP operations back to the
appropriate elements of the TSP controls.
An audit team may consist of one person provided that the person meets all criteria set out above.
ETSI
15 ETSI EN 319 403-1 V2.3.1 (2020-06)
6.2.1.9 Audit team leader
In addition to the requirements in clause 6.2.1.4, audit team leaders shall have gained the following experiences and
skills in audits under guidance and supervision:
a) having acted as auditor in at lea
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