SIST EN 319 401 V2.2.1:2018

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Elektronski podpisi in infrastruktura (ESI) - Splošne zahteve politike za ponudnike storitev zaupanjaElectronic Signatures and Infrastructures (ESI) - General Policy Requirements for Trust Service Providers35.040.01Kodiranje informacij na splošnoInformation coding in general03.080.99Druge storitveOther servicesICS:Ta slovenski standard je istoveten z:ETSI EN 319 401 V2.2.1 (2018-04)SIST EN 319 401 V2.2.1:2018en01-junij-2018SIST EN 319 401 V2.2.1:2018SLOVENSKI

ETSI EN 319 401 V2.2.1 (2018-04) Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers

Reference REN/ESI-0019401v221 Keywords electronic signature, provider, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE

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ETSI ETSI EN 319 401 V2.2.1 (2018-04) 3 Contents Intellectual Property Rights ................................................................................................................................ 4 Foreword ............................................................................................................................................................. 4 Modal verbs terminology .................................................................................................................................... 4 Introduction ........................................................................................................................................................ 4 1 Scope ........................................................................................................................................................ 6 2 References ................................................................................................................................................ 6 2.1 Normative references ......................................................................................................................................... 6 2.2 Informative references ........................................................................................................................................ 6 3 Definitions, abbreviations and notation .................................................................................................... 7 3.1 Definitions .......................................................................................................................................................... 7 3.2 Abbreviations ..................................................................................................................................................... 8 3.3 Notation .............................................................................................................................................................. 8 4 Overview .................................................................................................................................................. 8 5 Risk Assessment ....................................................................................................................................... 8 6 Policies and practices ............................................................................................................................... 9 6.1 Trust Service Practice statement ........................................................................................................................ 9 6.2 Terms and Conditions ........................................................................................................................................ 9 6.3 Information security policy .............................................................................................................................. 10 7 TSP management and operation ............................................................................................................. 11 7.1 Internal organization......................................................................................................................................... 11 7.1.1 Organization reliability ............................................................................................................................... 11 7.1.2 Segregation of duties .................................................................................................................................. 11 7.2 Human resources .............................................................................................................................................. 11 7.3 Asset management ............................................................................................................................................ 13 7.3.1 General requirements .................................................................................................................................. 13 7.3.2 Media handling ........................................................................................................................................... 13 7.4 Access control .................................................................................................................................................. 13 7.5 Cryptographic controls ..................................................................................................................................... 14 7.6 Physical and environmental security ................................................................................................................ 14 7.7 Operation security ............................................................................................................................................ 14 7.8 Network security .............................................................................................................................................. 15 7.9 Incident management ....................................................................................................................................... 16 7.10 Collection of evidence ...................................................................................................................................... 17 7.11 Business continuity management ..................................................................................................................... 17 7.12 TSP termination and termination plans ............................................................................................................ 18 7.13 Compliance....................................................................................................................................................... 18 Annex A (informative): Bibliography ................................................................................................... 20 Annex B (informative): Change history ............................................................................................... 21 History .............................................................................................................................................................. 22

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 4 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).

National transposition dates Date of adoption of this EN: 23 April 2018 Date of latest announcement of this EN (doa): 31 July 2018 Date of latest publication of new National Standard or endorsement of this EN (dop/e):

31 January 2019 Date of withdrawal of any conflicting National Standard (dow): 31 January 2019

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. 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. SIST EN 319 401 V2.2.1:2018

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 5 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. The present document specifies baseline policy requirements on the operation and management practices of TSP regardless the service they provide. 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.2] and those from CA/Browser Forum [i.4]. EXAMPLE: ETSI EN 319 411-2 [i.11] annex A describes the application of the present document to the requirements of Regulation No 910/2014 [i.2] requirements for TSPs issuing EU qualified certificates. SIST EN 319 401 V2.2.1:2018

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 6 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. NOTE: See ETSI EN 319 403 [i.6]: "Electronic Signatures and Infrastructures (ESI); 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] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data. [i.2] 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.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for information security management". [i.4] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates". [i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk management". SIST EN 319 401 V2.2.1:2018

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 7 [i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers". [i.7] CA/Browser Forum: "Network and certificate system security requirements". [i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions". [i.9] 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.10] ETSI EN 301 549: "Accessibility requirements suitable for public procurement of ICT products and services in Europe". [i.11] 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.12] 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. 3 Definitions, abbreviations and notation 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R TF.460-6 [i.8] 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. 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; • 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 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: See clause 6 for further information on TSP's policy. 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: 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. SIST EN 319 401 V2.2.1:2018

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 8 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: CA Certification Authority IP Internet Protocol IT Information Technology TSP Trust Service Provider UTC Coordinated Universal Time 3.3 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. • When a requirement is inserted between two existing requirements, capital letters appended to the previous requirement identifier are used to distinguish a new requirement. • The requirement identifier for deleted requirements are left and completed with "VOID". • The requirement identifier for modified requirement are left void and the modified requirement is identified by capital letter(s) appended to the initial requirement number. 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, ISO/IEC 27002:2013 [i.3] should be applied. 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. 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 [i.5] for guidance on information security risk management as part of an information security management system. SIST EN 319 401 V2.2.1:2018

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 9 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-6.1-03: The TSP shall have a statement of the practices and procedures used to address all the requirements identified for the applicable TSP's policy. NOTE: 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-6.1-05: The TSP shall make available to subscribers and relying parties its practice statement, and other relevant documentation, as necessary to assess conformance to the service policy. • 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-6.1-09: The TSP shall notify notice of changes it intends to make in its practice statement.

• 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. • 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)

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. SIST EN 319 401 V2.2.1:2018

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)

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)

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. • REQ-6.3-04: The TSP shall publish and communicate the information security policy to all employees who are impacted by it. NOTE 1: See clause 5.1.1 of ISO/IEC 27002:2013 [i.3] for guidance. • REQ-6.3-05: The TSP shall retain overall responsibility for conformance with the procedures prescribed in its information security policy, even when the TSP's functionality is undertaken by outsourcers. • REQ-6.3-06: TSP shall define the outsourcers' liability and ensure that outsourcer are bound to implement any controls required by the TSP. • REQ-6.3-07: 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-6.3-08: 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-6.3-09: The configuration of the TSPs systems shall be regularly checked for changes which violate the TSPs security policies. SIST EN 319 401 V2.2.1:2018

ETSI ETSI EN 319 401 V2.2.1 (2018-04) 11 • REQ-6.3-10: The maximum interval between two checks shall be documented in the trust service practice statement. NOTE 2: Further specific recommendations are given in the CA/Browser Forum network security guide [i.7], 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.2]. • 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. • REQ-7.1.1-07: The TSP shall have a documented agreement and contractual relationship in place where the provisioning of services involves subcontracting, outsourcing or other third party arrangements. 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. 7.2 Human resources REQ-7.2-01: The TSP shall ensure that employees and contractors support the trustworthiness of the TSP's operations. NOTE 1: See clauses 6.1.1 and 7 of ISO/IEC 27002:2013 [i.3] for guidance. In particular: • REQ-7.2-02: The TSP shall employ staff and, if applicable, subcontractors, who possess the necessary expertise, reliability, experience, and qualifications and who have received training regarding security a