SIST EN 319 401 V3.1.1:2024

EUROPEAN STANDARD
Electronic Signatures and Trust Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
2 ETSI EN 319 401 V3.1.1 (2024-06)

Reference
REN/ESI-0019401v311
Keywords
electronic signature, provider, security,
trust services
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ETSI
3 ETSI EN 319 401 V3.1.1 (2024-06)
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, abbreviations and notation . 9
3.1 Terms . 9
3.2 Symbols . 11
3.3 Abbreviations . 11
3.4 Notation . 12
4 Overview . 12
5 Risk Assessment . 13
6 Policies and practices . 13
6.1 Trust Service Practice statement . 13
6.2 Terms and Conditions . 14
6.3 Information security policy . 14
7 TSP management and operation . 15
7.1 Internal organization. 15
7.1.1 Organization reliability . 15
7.1.2 Segregation of duties . 16
7.2 Human resources . 16
7.3 Asset management . 17
7.3.1 General requirements . 17
7.3.2 Assets inventory and classification . 17
7.3.3 Storage media handling . 18
7.4 Access control . 18
7.5 Cryptographic controls . 19
7.6 Physical and environmental security . 19
7.7 Operation security . 20
7.8 Network security . 21
7.9 Vulnerabilities and Incident management . 22
7.9.1 Monitoring and logging . 22
7.9.2 Incident response . 22
7.9.3 Reporting . 23
7.9.4 Event assessment and classification . 24
7.9.5 Post-incident reviews . 24
7.10 Collection of evidence . 24
7.11 Business continuity management . 25
7.11.1 General . 25
7.11.2 Back up . 25
7.11.3 Crisis management . 25
7.12 TSP termination and termination plans . 26
7.13 Compliance. 26
7.14 Supply chain . 27
7.14.1 Supply chain policy . 27
7.14.2 Supply chain procedures and processes . 27
7.14.3 Responsibility, third parties agreements and SLA . 28
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4 ETSI EN 319 401 V3.1.1 (2024-06)
Annex A (normative): Mapping ETSI EN 319 401 V2.3.1 requirement numbers to
Requirement numbers in the present document . 30
Annex B (informative): Mapping ETSI EN 319 401 requirements with eIDAS Regulation . 35
Annex C (informative): Change history . 37
History . 38

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5 ETSI EN 319 401 V3.1.1 (2024-06)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are 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 Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
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.
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oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
National transposition dates
Date of adoption of this EN: 30 May 2024
Date of latest announcement of this EN (doa): 31 August 2024
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2025
Date of withdrawal of any conflicting National Standard (dow): 28 February 2025

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 319 401 V3.1.1 (2024-06)
Introduction
Building trust in the online environment is key to economic and social development. Lack of trust, in particular because
of a perceived lack of security, makes consumers, businesses and administrations hesitate to carry out transactions
electronically and to adopt new services. Trust service providers are often an essential element to establish trust
between parties transacting electronically, particularly in open public networks, and can be used, for example, to
provide trusted identity information and help establish secure communications between transacting parties. Examples of
such trust service providers are issuers of public key certificates, time-stamping service providers, providers of remote
electronic signature generation or validation services.
For participants of electronic commerce to have confidence in the security of these trust services they need to have
confidence that the Trust Service Providers (TSPs) have established a set of procedures, processes and security
measures in order to minimize the operational and financial threats and risks associated.
Further, the cybersecurity of all essential digital services is vital for digital transformation of Europe with digital
services and electronic transactions. The provision of eIDAS trust services is identified as an essential element of
Europe's digital infrastructure. The Directive (EU) 2022/2555 [i.13] of the European Parliament and of the Council of
14 December 2022 on measures for a high common level of cybersecurity across the Union, amending Regulation (EU)
No 910/2014 and Directive (EU) 2018/1972, and repealing Directive 2016/1148 (NIS2 Directive or NIS2) identifies in
article 3 that requirements for cybersecurity risk management measures are applicable, as essential entities, to Qualified
Trust Services Providers as per eIDAS Regulation. Furthermore, as eIDAS trust services are identified as fundamental
element of Europe's digital infrastructure and NIS 2 is applicable to eIDAS trust services the present document also
aims to meet the requirements of NIS2.
The present document specifies baseline policy requirements on the operation and management practices of TSP
regardless the service they provide including cybersecurity requirements abiding NIS2. Other standards, addressing
particular type of trust service, can build on the present document to identify supplement requirements for particular
type of trust service.
The present document is aiming to meet the general requirements to provide trust and confidence in electronic
transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 [i.1].
EXAMPLE: ETSI EN 319 411-2 [i.7], annex A describes the application of the present document to the
requirements of Regulation (EU) No 910/2014 [i.1] requirements for TSPs issuing EU qualified
certificates.
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7 ETSI EN 319 401 V3.1.1 (2024-06)
1 Scope
The present document specifies general policy requirements relating to Trust Service Providers (TSPs) that are
independent of the type of TSP. It defines policy requirements on the operation and management practices of TSPs.
Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present
document does not specify how the requirements identified can be assessed by an independent party, including
requirements for information to be made available to such independent assessors, or requirements on such assessors.
The present document aims to support the requirements on NIS2 Directive [i.13] and addresses the general requirements
for security management and cybersecurity of trust services (qualified and non-qualified).
NOTE: See ETSI EN 319 403-1 [i.2] for details about requirements for conformity assessment bodies assessing
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.
Not applicable.
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.
[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 319 403-1: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 1: Requirements for conformity assessment bodies assessing Trust
Service Providers".
[i.3] CA/Browser Forum: "Network and certificate system security requirements".
[i.4] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".
[i.5] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
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8 ETSI EN 319 401 V3.1.1 (2024-06)
[i.6] ETSI EN 301 549: "Accessibility requirements for ICT products and services".
[i.7] 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.8] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation).
[i.9] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.10] ISO/IEC 27701:2019: "Security techniques - Extension to ISO/IEC 27001 and ISO/IEC 27002 for
privacy information management - Requirements and guidelines".
[i.11] ISO/IEC 27002:2022: "Information security, cybersecurity and privacy protection - information
security controls".
[i.12] ISO/IEC 27005:2022: "Information security, cybersecurity and privacy protection - Guidance on
managing information security risks".
[i.13] Directive (EU) 2022/2555 of the European Parliament and of the Council of 14 December 2022 on
measures for a high common level of cybersecurity across the Union, amending Regulation (EU)
No 910/2014 and Directive (EU) 2018/1972, and repealing Directive (EU) 2016/1148 (NIS 2
Directive).
[i.14] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing Time-Stamps".
[i.15] ETSI TS 119 441: "Electronic Signatures and Infrastructures (ESI); Policy requirements for TSP
providing signature validation services".
[i.16] ETSI TS 119 461: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service components providing identity proofing of trust service subjects".
[i.17] ETSI TS 119 511: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers providing long-term preservation of digital signatures or
general data using digital signature techniques".
[i.18] ETSI EN 319 521: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Electronic Registered Delivery Service Providers".
[i.19] ETSI EN 319 531: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Registered Electronic Mail Service Providers".
[i.20] ISO Guide 73:2009: "Risk management - Vocabulary".
[i.21] Regulation (EU) 2022/2554 of the European Parliament and of the Council of 14 December 2022
on digital operational resilience for the financial sector and amending Regulations (EC)
No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011.
[i.22] Directive (EU) 2022/2557 of the European Parliament and of the Council of 14 December 2022 on
the resilience of critical entities and repealing Council Directive 2008/114/EC.
[i.23] Cyber Resilience Act (CRA), Proposal for a Regulation of the European Parliament and of the
Council on horizontal cybersecurity requirements for products with digital elements and amending
Regulation (EU) 2019/1020.
[i.24] Regulation (EU) 2022/2065 of the European Parliament and of the Council of 19 October 2022 on
a Single Market For Digital Services and amending Directive 2000/31/EC (Digital Services Act).
[i.25] Regulation (EU) 2022/868 of the European Parliament and of the Council of 30 May 2022 on
European data governance and amending Regulation (EU) 2018/1724 (Data Governance Act).
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[i.26] Regulation (EU) 2024/1183 of the European Parliament and of the Council of 11 April 2024
amending Regulation (EU) No 910/2014 as regards establishing the European Digital Identity
Framework.
3 Definition of terms, symbols, abbreviations and
notation
3.1 Terms
For the purposes of the present document, the following terms apply:
access control: physical and logical access to assets that is authorized and/or restricted based on business and
information security requirements
NOTE: Source: ISO/IEC 27002:2022 [i.11].
asset: anything that has value to the organization
NOTE: Source: ISO/IEC 27002:2022 [i.11].
attack: successful or unsuccessful unauthorized attempt to destroy, alter, disable, gain access to an asset or any attempt
to expose, steal, or make unauthorized use of an asset
NOTE: Source: ISO/IEC 27002:2022 [i.11].
authentication: provision of assurance that a claimed characteristic of an entity is correct
NOTE: Source: ISO/IEC 27002:2022 [i.11].
authenticity: property that an entity is what it claims to be
NOTE: Source: ISO/IEC 27002:2022 [i.11].
Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation
ITU-R TF.460-6 [i.4]
cybersecurity: activities necessary to protect network and information systems, the users of such systems, and other
persons affected by cyber threats
cyber threat: potential circumstance, event or action that could damage, disrupt or otherwise adversely impact network
and information systems, the users of such systems and other persons
impact: harm that may be suffered when a threat compromises an information asset
incident: any event compromising the availability, authenticity, integrity or confidentiality of stored, transmitted or
processed data or of the services offered by, or accessible via, network and information systems
NOTE: Source: NIS2 Directive [i.13].
incident handling: any actions and procedures aiming to prevent, detect, analyse, and contain or to respond to and
recover from an incident
NOTE: Source: NIS2 Directive [i.13].
information security breach: compromise of information security that leads to the undesired destruction, loss,
alteration, disclosure of, or access to, protected information transmitted, stored or otherwise processed
NOTE: Source: ISO/IEC 27002:2022 [i.11].
information security event: occurrence indicating a possible information security breach or failure of security controls
NOTE: Source: ISO/IEC 27002:2022 [i.11].
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10 ETSI EN 319 401 V3.1.1 (2024-06)
information security incident: one or multiple related and identified information security events that can harm an
organization's assets or compromise its operations
NOTE: Source: ISO/IEC 27002:2022 [i.11].
information security incident management: exercise of a consistent and effective approach to the handling of
information security incidents
NOTE: Source: ISO/IEC 27002:2022 [i.11].
information system: set of applications, services, information technology assets, or other information-handling
components
NOTE: Source: ISO/IEC 27002:2022 [i.11].
large-scale cybersecurity incident: incident whose disruption exceeds a Member State's capacity to respond to it or
with a significant impact on at least two Member States
NOTE: Source: NIS2 Directive [i.13].
multi-factor authentication: authentication mechanism consisting of two or more of the independent categories of
credentials (knowledge, possession and inherence factor) to verify the user's identity for a login or other transaction
near miss: event that could have compromised the availability, authenticity, integrity or confidentiality of stored,
transmitted or processed data or of the services offered by, or accessible via, network and information systems, but was
successfully prevented from transpiring or did not materialise
NOTE: Source: NIS2 Directive [i.13].
policy: intentions and direction of an organization, as formally expressed by its top management
NOTE: Source: ISO/IEC 27002:2022 [i.11].
procedure: specified way to carry out an activity or a process
NOTE: Source: ISO/IEC 27002:2022 [i.11].
process: set of interrelated or interacting activities that uses or transforms inputs to deliver a result
NOTE: Source: ISO/IEC 27002:2022 [i.11].
relying party: natural or legal person that relies upon an electronic identification or a trust service
NOTE: Relying parties include parties verifying a digital signature using a public key certificate.
risk: potential for loss or disruption caused by an incident and is to be expressed as a combination of the magnitude of
such loss or disruption and the likelihood of occurrence of that incident
risk analysis: process of estimating the likelihood that an event will create an impact and include as necessary
components, the foreseeability of a threat, the expected effectiveness of Safeguards, and an evaluated result
risk assessment: Overall process of risk identification, risk analysis and risk evaluation
NOTE: Source: ISO Guide 73:2009 [i.20].
risk management: process for analysing, mitigating, overseeing, and reducing risk
risk treatment: process to modify risk
NOTE: Source: ISO Guide 73:2009 [i.20].
subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations
trust service: electronic service for:
• creation, verification, and validation of digital signatures and related certificates;
• creation, verification, and validation of time-stamps and related certificates;
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11 ETSI EN 319 401 V3.1.1 (2024-06)
• registered delivery and related certificates;
• creation, verification and validation of certificates for website authentication; or
• preservation of digital signatures or certificates related to those services.
trust service component: one part of the overall service of a TSP
EXAMPLE: Those identified in clause 4.4 of ETSI EN 319 411-1 [i.5]. Also, ETSI TS 119 431-1 [i.9] 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: Other standards, including ETSI standards, can specify requirements for other service components which
can form part of a wider TSP's service.
trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class
of application with common security requirements
NOTE: A trust service policy describes what is offered and provides information about the level of the service. It
is defined independently of the specific details of the specific operating environment of a TSP; a trust
service policy can apply to a community to which several TSPs belong that abide by the common set of
rules specified in that policy. It can be defined for example by the TSP, by standards, by national
(e.g. government) or international organizations, by the customers (subscribers) of the TSP and it is not
necessarily part of the TSP's documentation.
trust service practice statement: statement of the practices that a TSP employs in providing a trust service
NOTE: See clause 6.2 for further information on practice statement.
Trust Service Provider (TSP): entity which provides one or more trust services
trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service
NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.
vulnerability: weakness of an asset or control that can be exploited by one or more threats
NOTE: Source: ISO/IEC 27002:2022 [i.11].
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
CER Critical Entities Resilience
NOTE: Directive on the resilience of critical entities, see [i.22].
CRA Cyber Resilience Act
NOTE: See [i.23].
CSIRT Computer Security Incident Response Team
DGA Data Governance Act
NOTE: See [i.25].
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DORA Digital Operational Resilience Act
NOTE: See [i.21].
DSA Digital Services Act
NOTE: See [i.24].
eIDAS electronic IDentification, Authentication and trust Services
NOTE: Informal name for Regulation (EU) No 910/2014 [i.1].
eIDAS2 Regulation (EU) 2024/1183 amending eIDAS
NOTE: See [i.26].
ICT Information & Communication Technology
IP Internet Protocol
IT Information Technology
NIS2 Directive (EU) 2022/2555 [i.13]
SLA Service-Level Agreement
SSASC Server Signing Application Service Component
TSP Trust Service Provider
UTC Coordinated Universal Time
3.4 Notation
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The management of the requirement identifiers throughout subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• Where a requirement has been added, changed, renumbered or moved from latest version of this document
(V2.3.1) to the present version of the present document a change indicator "X" is added.
NOTE: See Annex A for details of the mapping requirement numbers from latest version of this document
(V2.3.1) with those of the present document. The current version does not explicitly identify requirements
in previous versions of the present document considered as void.
4 Overview
Trust services can encompass but is not limited to the issuance of public key certificates, provision of registration
services, time-stamping services, long term preservation services, e-delivery services and/or signature validation
services.
These policy requirements are not meant to imply any restrictions on charging for TSP's services.
The requirements are indicated in terms of the security objectives followed by more specific requirements for controls
to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be
met.
When implementing controls of clause 7, guidance given in ISO/IEC 27002:2022 [i.11] should be applied as
appropriate.
NOTE: The details of controls required to meet an objective is a balance between achieving the necessary
confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing
services.
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13 ETSI EN 319 401 V3.1.1 (2024-06)
5 Risk Assessment
REQ-5-01: The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into
account business and technical issues.
REQ-5-02: The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results.
The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.
NOTE: See ISO/IEC 27005:2022 [i.12] for guidance on information security risk management as part of an
information security management system.
REQ-5-03: The TSP shall determine all security requirements and operational procedures that are necessary to
implement the risk treatment measures chosen, as documented in the information security policy and the trust service
practice statement (see clause 6).
REQ-5-04: The risk assessment shall be regularly reviewed and revised.
REQ-5-05: The TSP's management shall approve the risk assessment and accept the residual risk identified.
6 Policies and practices
6.1 Trust Service Practice statement
REQ-6.1-01: The TSP shall specify the set of policies and practices appropriate for the trust services it is providing.
REQ-6.1-02: The set of policies and practices shall be approved by management, published and communicated to
employees and external parties as relevant.
In particular:
• REQ-6.1-03X: The TSP shall have a statement of the practices and procedures used to address all the
requirements of the applicable trust service policy as identified by the TSP.
NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.
• REQ-6.1-04: The TSP's trust service practice statement shall identify the obligations of all external
organizations supporting the TSP's services including the applicable policies and practices.
• REQ-6.1-05X: The TSP shall make available to subscribers and relying parties its practice statement, and
other relevant documentation, as necessary to demonstrate conformance to the trust service policy.
NOTE 2: The TSP need not disclose any aspects containing sensitive information in the documentation that is made
available to subscribers and relying parties.
• REQ-6.1-06: The TSP shall have a management body with overall responsibility for the TSP with final
authority for approving the TSP's practice statement.
• REQ-6.1-07: The TSP's management shall implement the practices.
• REQ-6.1-08: The TSP shall define a review process for the practices including responsibilities for maintaining
the TSP's practice statement.
• REQ-6.1-09X [CONDITIONAL]: When the TSP intends to make changes in its practice statement that
might affect the acceptance of the service by the subject, subscriber or relying parties, it shall give due notice
of changes to subscribers and relying parties.
NOTE 3: The due notice does not need to provide the details of the changes. The due notice can be published on the
TSP's repository.
• REQ-6.1-10: The TSP shall, following approval as in REQ-6.1-06 above, make the revised TSP's practice
statement immediately available as required under REQ-6.1-05 above.
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14 ETSI EN 319 401 V3.1.1 (2024-06)
• REQ-6.1-11: The TSP shall state in its practices the provisions made for termination of service (see
clause 7.12).
6.2 Terms and Conditions
REQ-6.2-01: TSP shall make the terms and conditions regarding its services available to all subscribers and relying
parties.
REQ-6.2-02: The terms and conditions shall at least specify for each trust service policy supported by the TSP the
following:
a) the trust service policy being applied;
b) any limitations on the use of the service provided including the limitation for damages arising from the
use of services exceeding such limitations;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;
EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated
with the trust service token.
e) the period of time during which TSP's event logs are retained;
f) limitations of liability;
g) the applicable legal system;
h) procedures for complaints and dispute settlement;
i) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so
through which conformity assessment scheme;
j) the TSP's contact information; and
k) any undertaking regarding availability.
REQ-6.2-03: Subscribers and parties relying on the trust service shall be informed of precise terms and conditions,
including the items listed above, before entering into a contractual relationship.
REQ-6.2-04: Terms and conditions shall be made available through a durable means of communication.
REQ-6.2-05: Terms and conditions shall be available in a readily understandable language.
REQ-6.2-06: Terms and conditions may be transmitted electronically.
6.3 Information security policy
REQ-6.3-01: The TSP shall define an information security policy which is approved by management and which sets
out the organization's approach to managing its information security.
REQ-6.3-02: Changes to the information security policy shall be communicated to third parties, where applicable. This
includes subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies.
In particular:
• REQ-6.3-03: A TSP's information security policy shall be documented, implemented and maintained
including the security controls and operating procedures for TSP's facilities, systems and information assets
providing the services.
ETSI
15 ETSI EN 319 401 V3.1.1 (2024-06)
• REQ-6.3-04X: The TSP shall establish procedures to notify of important changes in the provision of the trust
service to the appropriate parties in accordance with business requirements and relevant laws and regulations,
including changes in the provision of trust services and the intention to cease on its provision.
NOTE 1: Trust service providers qualified according to Regulation (EU) 2014/910 [i.1] are required to inform the
supervisory body of any change in the provision of its qualified trust services and an intention to cease
those activities.
• REQ-6.3-05X: The TSP shall publish and communicate the information security policy to all employees who
are impacted by it.
NOTE 2: See clause 5.1 of ISO/IEC 27002:2022 [i.11] for guidance.
• REQ-6.3-06X: The TSP's information security policy and inventory of assets for information security (see
clause 7.3) shall be reviewed at planned intervals or if significant changes occur to ensure their continuing
suitability, adequacy and effectiveness.
• REQ-6.3-07X: Any changes that will impact on the level of security provided shall be approved by the
management body referred to in REQ-6.1-07.
• REQ-6.3-08X: The configuration of the TSPs systems shall be regularly checked for changes which violate
the TSPs security policies.
• REQ-6.3-09X: The maximum interval between two checks shall be documented in the trust service practice
statement.
NOTE 3: Further recommendations are given in the CA/Browser Forum network security guide [i.3], item 1.
7 TSP management and operation
7.1 Internal organization
7.1.1 Organization reliability
REQ-7.1.1-01: The TSP organization shall be reliable.
In particular:
• REQ-7.1.1-02: Trust service practices under which the TSP operates shall be non-discriminatory.
• REQ-7.1.1-03: The TSP should make its services accessible to all applicants whose activities fall within its
declared field of operation and that agree to abide by their obligations as specified in the TSP's terms and
conditions.
• REQ-7.1.1-04: The TSP shall maintain sufficient financial resources and/or obtain appropriate liability
insurance, in accordance with applicable law, to cover liabilities arising from its operations and/or activities.
NOTE: For liability of TSPs operating in EU, see article 13 of the Regulation (EU) No 910/2014 [i.1].
• REQ-7.1.1-05: The TSP shall have the financial stability and resources required to operate in conformity with
this policy.
• REQ-7.1.1-06: The TSP shall have policies and procedures for the resolution of complaints and disputes
received from customers or other relying parties about the provisioning of the services or any other related
matters.
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16 ETSI EN 319 401 V3.1.1 (2024-06)
7.1.2 Segregation of duties
REQ-7.1.2-01: Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for
unauthorized or unintentional modification or misuse of the TSP's assets.
NOTE: See clause 5.3 of ISO/IEC 27002:2022 [i.11] for guidance.
7.2 Human resources
REQ-7.2-01X: The TSP shall ensure that all personnel and contractors apply information security in accordance with
...

SLOVENSKI STANDARD
01-september-2024
Elektronski podpisi in infrastrukture zaupanja (ESI) - Politika splošnih zahtev za
ponudnike storitev zaupanja
Electronic Signatures and Trust Infrastructures (ESI) - General Policy Requirements for
Trust Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 401 V3.1.1 (2024-06)
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 Trust Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
2 ETSI EN 319 401 V3.1.1 (2024-06)

Reference
REN/ESI-0019401v311
Keywords
electronic signature, provider, security,
trust services
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ETSI
3 ETSI EN 319 401 V3.1.1 (2024-06)
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, abbreviations and notation . 9
3.1 Terms . 9
3.2 Symbols . 11
3.3 Abbreviations . 11
3.4 Notation . 12
4 Overview . 12
5 Risk Assessment . 13
6 Policies and practices . 13
6.1 Trust Service Practice statement . 13
6.2 Terms and Conditions . 14
6.3 Information security policy . 14
7 TSP management and operation . 15
7.1 Internal organization. 15
7.1.1 Organization reliability . 15
7.1.2 Segregation of duties . 16
7.2 Human resources . 16
7.3 Asset management . 17
7.3.1 General requirements . 17
7.3.2 Assets inventory and classification . 17
7.3.3 Storage media handling . 18
7.4 Access control . 18
7.5 Cryptographic controls . 19
7.6 Physical and environmental security . 19
7.7 Operation security . 20
7.8 Network security . 21
7.9 Vulnerabilities and Incident management . 22
7.9.1 Monitoring and logging . 22
7.9.2 Incident response . 22
7.9.3 Reporting . 23
7.9.4 Event assessment and classification . 24
7.9.5 Post-incident reviews . 24
7.10 Collection of evidence . 24
7.11 Business continuity management . 25
7.11.1 General . 25
7.11.2 Back up . 25
7.11.3 Crisis management . 25
7.12 TSP termination and termination plans . 26
7.13 Compliance. 26
7.14 Supply chain . 27
7.14.1 Supply chain policy . 27
7.14.2 Supply chain procedures and processes . 27
7.14.3 Responsibility, third parties agreements and SLA . 28
ETSI
4 ETSI EN 319 401 V3.1.1 (2024-06)
Annex A (normative): Mapping ETSI EN 319 401 V2.3.1 requirement numbers to
Requirement numbers in the present document . 30
Annex B (informative): Mapping ETSI EN 319 401 requirements with eIDAS Regulation . 35
Annex C (informative): Change history . 37
History . 38

ETSI
5 ETSI EN 319 401 V3.1.1 (2024-06)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are 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 Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
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.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its

Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the ®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
National transposition dates
Date of adoption of this EN: 30 May 2024
Date of latest announcement of this EN (doa): 31 August 2024
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2025
Date of withdrawal of any conflicting National Standard (dow): 28 February 2025

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.
ETSI
6 ETSI EN 319 401 V3.1.1 (2024-06)
Introduction
Building trust in the online environment is key to economic and social development. Lack of trust, in particular because
of a perceived lack of security, makes consumers, businesses and administrations hesitate to carry out transactions
electronically and to adopt new services. Trust service providers are often an essential element to establish trust
between parties transacting electronically, particularly in open public networks, and can be used, for example, to
provide trusted identity information and help establish secure communications between transacting parties. Examples of
such trust service providers are issuers of public key certificates, time-stamping service providers, providers of remote
electronic signature generation or validation services.
For participants of electronic commerce to have confidence in the security of these trust services they need to have
confidence that the Trust Service Providers (TSPs) have established a set of procedures, processes and security
measures in order to minimize the operational and financial threats and risks associated.
Further, the cybersecurity of all essential digital services is vital for digital transformation of Europe with digital
services and electronic transactions. The provision of eIDAS trust services is identified as an essential element of
Europe's digital infrastructure. The Directive (EU) 2022/2555 [i.13] of the European Parliament and of the Council of
14 December 2022 on measures for a high common level of cybersecurity across the Union, amending Regulation (EU)
No 910/2014 and Directive (EU) 2018/1972, and repealing Directive 2016/1148 (NIS2 Directive or NIS2) identifies in
article 3 that requirements for cybersecurity risk management measures are applicable, as essential entities, to Qualified
Trust Services Providers as per eIDAS Regulation. Furthermore, as eIDAS trust services are identified as fundamental
element of Europe's digital infrastructure and NIS 2 is applicable to eIDAS trust services the present document also
aims to meet the requirements of NIS2.
The present document specifies baseline policy requirements on the operation and management practices of TSP
regardless the service they provide including cybersecurity requirements abiding NIS2. Other standards, addressing
particular type of trust service, can build on the present document to identify supplement requirements for particular
type of trust service.
The present document is aiming to meet the general requirements to provide trust and confidence in electronic
transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 [i.1].
EXAMPLE: ETSI EN 319 411-2 [i.7], annex A describes the application of the present document to the
requirements of Regulation (EU) No 910/2014 [i.1] requirements for TSPs issuing EU qualified
certificates.
ETSI
7 ETSI EN 319 401 V3.1.1 (2024-06)
1 Scope
The present document specifies general policy requirements relating to Trust Service Providers (TSPs) that are
independent of the type of TSP. It defines policy requirements on the operation and management practices of TSPs.
Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present
document does not specify how the requirements identified can be assessed by an independent party, including
requirements for information to be made available to such independent assessors, or requirements on such assessors.
The present document aims to support the requirements on NIS2 Directive [i.13] and addresses the general requirements
for security management and cybersecurity of trust services (qualified and non-qualified).
NOTE: See ETSI EN 319 403-1 [i.2] for details about requirements for conformity assessment bodies assessing
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.
Not applicable.
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.
[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 319 403-1: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment; Part 1: Requirements for conformity assessment bodies assessing Trust
Service Providers".
[i.3] CA/Browser Forum: "Network and certificate system security requirements".
[i.4] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".
[i.5] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
ETSI
8 ETSI EN 319 401 V3.1.1 (2024-06)
[i.6] ETSI EN 301 549: "Accessibility requirements for ICT products and services".
[i.7] 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.8] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation).
[i.9] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.10] ISO/IEC 27701:2019: "Security techniques - Extension to ISO/IEC 27001 and ISO/IEC 27002 for
privacy information management - Requirements and guidelines".
[i.11] ISO/IEC 27002:2022: "Information security, cybersecurity and privacy protection - information
security controls".
[i.12] ISO/IEC 27005:2022: "Information security, cybersecurity and privacy protection - Guidance on
managing information security risks".
[i.13] Directive (EU) 2022/2555 of the European Parliament and of the Council of 14 December 2022 on
measures for a high common level of cybersecurity across the Union, amending Regulation (EU)
No 910/2014 and Directive (EU) 2018/1972, and repealing Directive (EU) 2016/1148 (NIS 2
Directive).
[i.14] ETSI EN 319 421: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing Time-Stamps".
[i.15] ETSI TS 119 441: "Electronic Signatures and Infrastructures (ESI); Policy requirements for TSP
providing signature validation services".
[i.16] ETSI TS 119 461: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service components providing identity proofing of trust service subjects".
[i.17] ETSI TS 119 511: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers providing long-term preservation of digital signatures or
general data using digital signature techniques".
[i.18] ETSI EN 319 521: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Electronic Registered Delivery Service Providers".
[i.19] ETSI EN 319 531: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for Registered Electronic Mail Service Providers".
[i.20] ISO Guide 73:2009: "Risk management - Vocabulary".
[i.21] Regulation (EU) 2022/2554 of the European Parliament and of the Council of 14 December 2022
on digital operational resilience for the financial sector and amending Regulations (EC)
No 1060/2009, (EU) No 648/2012, (EU) No 600/2014, (EU) No 909/2014 and (EU) 2016/1011.
[i.22] Directive (EU) 2022/2557 of the European Parliament and of the Council of 14 December 2022 on
the resilience of critical entities and repealing Council Directive 2008/114/EC.
[i.23] Cyber Resilience Act (CRA), Proposal for a Regulation of the European Parliament and of the
Council on horizontal cybersecurity requirements for products with digital elements and amending
Regulation (EU) 2019/1020.
[i.24] Regulation (EU) 2022/2065 of the European Parliament and of the Council of 19 October 2022 on
a Single Market For Digital Services and amending Directive 2000/31/EC (Digital Services Act).
[i.25] Regulation (EU) 2022/868 of the European Parliament and of the Council of 30 May 2022 on
European data governance and amending Regulation (EU) 2018/1724 (Data Governance Act).
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9 ETSI EN 319 401 V3.1.1 (2024-06)
[i.26] Regulation (EU) 2024/1183 of the European Parliament and of the Council of 11 April 2024
amending Regulation (EU) No 910/2014 as regards establishing the European Digital Identity
Framework.
3 Definition of terms, symbols, abbreviations and
notation
3.1 Terms
For the purposes of the present document, the following terms apply:
access control: physical and logical access to assets that is authorized and/or restricted based on business and
information security requirements
NOTE: Source: ISO/IEC 27002:2022 [i.11].
asset: anything that has value to the organization
NOTE: Source: ISO/IEC 27002:2022 [i.11].
attack: successful or unsuccessful unauthorized attempt to destroy, alter, disable, gain access to an asset or any attempt
to expose, steal, or make unauthorized use of an asset
NOTE: Source: ISO/IEC 27002:2022 [i.11].
authentication: provision of assurance that a claimed characteristic of an entity is correct
NOTE: Source: ISO/IEC 27002:2022 [i.11].
authenticity: property that an entity is what it claims to be
NOTE: Source: ISO/IEC 27002:2022 [i.11].
Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation
ITU-R TF.460-6 [i.4]
cybersecurity: activities necessary to protect network and information systems, the users of such systems, and other
persons affected by cyber threats
cyber threat: potential circumstance, event or action that could damage, disrupt or otherwise adversely impact network
and information systems, the users of such systems and other persons
impact: harm that may be suffered when a threat compromises an information asset
incident: any event compromising the availability, authenticity, integrity or confidentiality of stored, transmitted or
processed data or of the services offered by, or accessible via, network and information systems
NOTE: Source: NIS2 Directive [i.13].
incident handling: any actions and procedures aiming to prevent, detect, analyse, and contain or to respond to and
recover from an incident
NOTE: Source: NIS2 Directive [i.13].
information security breach: compromise of information security that leads to the undesired destruction, loss,
alteration, disclosure of, or access to, protected information transmitted, stored or otherwise processed
NOTE: Source: ISO/IEC 27002:2022 [i.11].
information security event: occurrence indicating a possible information security breach or failure of security controls
NOTE: Source: ISO/IEC 27002:2022 [i.11].
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10 ETSI EN 319 401 V3.1.1 (2024-06)
information security incident: one or multiple related and identified information security events that can harm an
organization's assets or compromise its operations
NOTE: Source: ISO/IEC 27002:2022 [i.11].
information security incident management: exercise of a consistent and effective approach to the handling of
information security incidents
NOTE: Source: ISO/IEC 27002:2022 [i.11].
information system: set of applications, services, information technology assets, or other information-handling
components
NOTE: Source: ISO/IEC 27002:2022 [i.11].
large-scale cybersecurity incident: incident whose disruption exceeds a Member State's capacity to respond to it or
with a significant impact on at least two Member States
NOTE: Source: NIS2 Directive [i.13].
multi-factor authentication: authentication mechanism consisting of two or more of the independent categories of
credentials (knowledge, possession and inherence factor) to verify the user's identity for a login or other transaction
near miss: event that could have compromised the availability, authenticity, integrity or confidentiality of stored,
transmitted or processed data or of the services offered by, or accessible via, network and information systems, but was
successfully prevented from transpiring or did not materialise
NOTE: Source: NIS2 Directive [i.13].
policy: intentions and direction of an organization, as formally expressed by its top management
NOTE: Source: ISO/IEC 27002:2022 [i.11].
procedure: specified way to carry out an activity or a process
NOTE: Source: ISO/IEC 27002:2022 [i.11].
process: set of interrelated or interacting activities that uses or transforms inputs to deliver a result
NOTE: Source: ISO/IEC 27002:2022 [i.11].
relying party: natural or legal person that relies upon an electronic identification or a trust service
NOTE: Relying parties include parties verifying a digital signature using a public key certificate.
risk: potential for loss or disruption caused by an incident and is to be expressed as a combination of the magnitude of
such loss or disruption and the likelihood of occurrence of that incident
risk analysis: process of estimating the likelihood that an event will create an impact and include as necessary
components, the foreseeability of a threat, the expected effectiveness of Safeguards, and an evaluated result
risk assessment: Overall process of risk identification, risk analysis and risk evaluation
NOTE: Source: ISO Guide 73:2009 [i.20].
risk management: process for analysing, mitigating, overseeing, and reducing risk
risk treatment: process to modify risk
NOTE: Source: ISO Guide 73:2009 [i.20].
subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations
trust service: electronic service for:
• creation, verification, and validation of digital signatures and related certificates;
• creation, verification, and validation of time-stamps and related certificates;
ETSI
11 ETSI EN 319 401 V3.1.1 (2024-06)
• registered delivery and related certificates;
• creation, verification and validation of certificates for website authentication; or
• preservation of digital signatures or certificates related to those services.
trust service component: one part of the overall service of a TSP
EXAMPLE: Those identified in clause 4.4 of ETSI EN 319 411-1 [i.5]. Also, ETSI TS 119 431-1 [i.9] 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: Other standards, including ETSI standards, can specify requirements for other service components which
can form part of a wider TSP's service.
trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class
of application with common security requirements
NOTE: A trust service policy describes what is offered and provides information about the level of the service. It
is defined independently of the specific details of the specific operating environment of a TSP; a trust
service policy can apply to a community to which several TSPs belong that abide by the common set of
rules specified in that policy. It can be defined for example by the TSP, by standards, by national
(e.g. government) or international organizations, by the customers (subscribers) of the TSP and it is not
necessarily part of the TSP's documentation.
trust service practice statement: statement of the practices that a TSP employs in providing a trust service
NOTE: See clause 6.2 for further information on practice statement.
Trust Service Provider (TSP): entity which provides one or more trust services
trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service
NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.
vulnerability: weakness of an asset or control that can be exploited by one or more threats
NOTE: Source: ISO/IEC 27002:2022 [i.11].
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
CER Critical Entities Resilience
NOTE: Directive on the resilience of critical entities, see [i.22].
CRA Cyber Resilience Act
NOTE: See [i.23].
CSIRT Computer Security Incident Response Team
DGA Data Governance Act
NOTE: See [i.25].
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12 ETSI EN 319 401 V3.1.1 (2024-06)
DORA Digital Operational Resilience Act
NOTE: See [i.21].
DSA Digital Services Act
NOTE: See [i.24].
eIDAS electronic IDentification, Authentication and trust Services
NOTE: Informal name for Regulation (EU) No 910/2014 [i.1].
eIDAS2 Regulation (EU) 2024/1183 amending eIDAS
NOTE: See [i.26].
ICT Information & Communication Technology
IP Internet Protocol
IT Information Technology
NIS2 Directive (EU) 2022/2555 [i.13]
SLA Service-Level Agreement
SSASC Server Signing Application Service Component
TSP Trust Service Provider
UTC Coordinated Universal Time
3.4 Notation
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The management of the requirement identifiers throughout subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• Where a requirement has been added, changed, renumbered or moved from latest version of this document
(V2.3.1) to the present version of the present document a change indicator "X" is added.
NOTE: See Annex A for details of the mapping requirement numbers from latest version of this document
(V2.3.1) with those of the present document. The current version does not explicitly identify requirements
in previous versions of the present document considered as void.
4 Overview
Trust services can encompass but is not limited to the issuance of public key certificates, provision of registration
services, time-stamping services, long term preservation services, e-delivery services and/or signature validation
services.
These policy requirements are not meant to imply any restrictions on charging for TSP's services.
The requirements are indicated in terms of the security objectives followed by more specific requirements for controls
to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be
met.
When implementing controls of clause 7, guidance given in ISO/IEC 27002:2022 [i.11] should be applied as
appropriate.
NOTE: The details of controls required to meet an objective is a balance between achieving the necessary
confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing
services.
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13 ETSI EN 319 401 V3.1.1 (2024-06)
5 Risk Assessment
REQ-5-01: The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into
account business and technical issues.
REQ-5-02: The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results.
The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.
NOTE: See ISO/IEC 27005:2022 [i.12] for guidance on information security risk management as part of an
information security management system.
REQ-5-03: The TSP shall determine all security requirements and operational procedures that are necessary to
implement the risk treatment measures chosen, as documented in the information security policy and the trust service
practice statement (see clause 6).
REQ-5-04: The risk assessment shall be regularly reviewed and revised.
REQ-5-05: The TSP's management shall approve the risk assessment and accept the residual risk identified.
6 Policies and practices
6.1 Trust Service Practice statement
REQ-6.1-01: The TSP shall specify the set of policies and practices appropriate for the trust services it is providing.
REQ-6.1-02: The set of policies and practices shall be approved by management, published and communicated to
employees and external parties as relevant.
In particular:
• REQ-6.1-03X: The TSP shall have a statement of the practices and procedures used to address all the
requirements of the applicable trust service policy as identified by the TSP.
NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.
• REQ-6.1-04: The TSP's trust service practice statement shall identify the obligations of all external
organizations supporting the TSP's services including the applicable policies and practices.
• REQ-6.1-05X: The TSP shall make available to subscribers and relying parties its practice statement, and
other relevant documentation, as necessary to demonstrate conformance to the trust service policy.
NOTE 2: The TSP need not disclose any aspects containing sensitive information in the documentation that is made
available to subscribers and relying parties.
• REQ-6.1-06: The TSP shall have a management body with overall responsibility for the TSP with final
authority for approving the TSP's practice statement.
• REQ-6.1-07: The TSP's management shall implement the practices.
• REQ-6.1-08: The TSP shall define a review process for the practices including responsibilities for maintaining
the TSP's practice statement.
• REQ-6.1-09X [CONDITIONAL]: When the TSP intends to make changes in its practice statement that
might affect the acceptance of the service by the subject, subscriber or relying parties, it shall give due notice
of changes to subscribers and relying parties.
NOTE 3: The due notice does not need to provide the details of the changes. The due notice can be published on the
TSP's repository.
• REQ-6.1-10: The TSP shall, following approval as in REQ-6.1-06 above, make the revised TSP's practice
statement immediately available as required under REQ-6.1-05 above.
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14 ETSI EN 319 401 V3.1.1 (2024-06)
• REQ-6.1-11: The TSP shall state in its practices the provisions made for termination of service (see
clause 7.12).
6.2 Terms and Conditions
REQ-6.2-01: TSP shall make the terms and conditions regarding its services available to all subscribers and relying
parties.
REQ-6.2-02: The terms and conditions shall at least specify for each trust service policy supported by the TSP the
following:
a) the trust service policy being applied;
b) any limitations on the use of the service provided including the limitation for damages arising from the
use of services exceeding such limitations;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;
EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated
with the trust service token.
e) the period of time during which TSP's event logs are retained;
f) limitations of liability;
g) the applicable legal system;
h) procedures for complaints and dispute settlement;
i) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so
through which conformity assessment scheme;
j) the TSP's contact information; and
k) any undertaking regarding availability.
REQ-6.2-03: Subscribers and parties relying on the trust service shall be informed of precise terms and conditions,
including the items listed above, before entering into a contractual relationship.
REQ-6.2-04: Terms and conditions shall be made available through a durable means of communication.
REQ-6.2-05: Terms and conditions shall be available in a readily understandable language.
REQ-6.2-06: Terms and conditions may be transmitted electronically.
6.3 Information security policy
REQ-6.3-01: The TSP shall define an information security policy which is approved by management and which sets
out the organization's approach to managing its information security.
REQ-6.3-02: Changes to the information security policy shall be communicated to third parties, where applicable. This
includes subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies.
In particular:
• REQ-6.3-03: A TSP's information security policy shall be documented, implemented and maintained
including the security controls and operating procedures for TSP's facilities, systems and information assets
providing the services.
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15 ETSI EN 319 401 V3.1.1 (2024-06)
• REQ-6.3-04X: The TSP shall establish procedures to notify of important changes in the provision of the trust
service to the appropriate parties in accordance with business requirements and relevant laws and regulations,
including changes in the provision of trust services and the intention to cease on its provision.
NOTE 1: Trust service providers qualified according to Regulation (EU) 2014/910 [i.1] are required to inform the
supervisory body of any change in the provision of its qualified trust services and an intention to cease
those activities.
• REQ-6.3-05X: The TSP shall publish and communicate the information security policy to all employees who
are impacted by it.
NOTE 2: See clause 5.1 of ISO/IEC 27002:2022 [i.11] for guidance.
• REQ-6.3-06X: The TSP's information security policy and inventory of assets for information security (see
clause 7.3) shall be reviewed at planned intervals or if significant changes occur to ensure their continuing
suitability, adequacy and effectiveness.
• REQ-6.3-07X: Any changes that will impact on the level of security provided shall be approved by the
management body referred to in REQ-6.1-07.
• REQ-6.3-08X: The configuration of the TSPs systems shall be regularly checked for changes which violate
the TSPs security policies.
• REQ-6.3-09X: The maximum interval between two checks shall be documented in the trust service practice
statement.
NOTE 3: Further recommendations are given in the CA/Browser Forum network security guide [i.3], item 1.
7 TSP management and operation
7.1 Internal organization
7.1.1 Organization reliability
REQ-7.1.1-01: The TSP organization shall be reliable.
In particular:
• REQ-7.1.1-02: Trust service practices under which the TSP operates shall be non-discriminatory.
• REQ-7.1.1-03: The TSP should make its services accessible to all applicants whose activities fall within its
declared field of operation and that agree to abide by their obligations as specified in the TSP's terms
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