SIST EN 319 403-1 V2.3.1:2020

SLOVENSKI STANDARD
SIST EN 319 403-1 V2.3.1:2020
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

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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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

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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pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found

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This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

The present document is part 1 of a multi-part deliverable covering Trust Service Provider Conformity Assessment, as

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

ETSI TS 119 403-3: "Additional requirements for conformity assessment bodies assessing EU qualified trust service

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

"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.

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

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

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)

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

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

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

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,

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

The present document applies the general requirements of ISO/IEC 17065 [1] to the specific requirements of

• 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

• 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

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 documents which are not found to be publicly available in the expected location might be found at

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

The following referenced documents are necessary for the application of the present document.

[1] ISO/IEC 17065: "Conformity assessment -- Requirements for bodies certifying products,

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

NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee

The following referenced documents are not necessary for the application of the present document but they assist the

[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

[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

[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

[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

[i.7] ISO/IEC 15408: "Information technology -- Security techniques -- Evaluation criteria for IT

[i.8] ISO/IEC 27001: "Information technology -- Security techniques -- Information security

[i.9] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security

[i.10] CA/Browser Forum Baseline Requirements for the Issuance and Management of Publicly-Trusted

[i.11] ISO/IEC 27006: "Information technology -- Security techniques -- Requirements for bodies

[i.12] ISO/IEC 17021: "Conformity assessment -- Requirements for bodies providing audit and

[i.13] ISO/IEC 27002: "Information technology -- Security techniques -- Code of practice for

[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

[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

[i.16] ETSI TS 119 431 (all parts): "Electronic Signatures and Infrastructures (ESI); Policy and security

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