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

The present document contains requirements for the competence, consistent operation and impartiality of conformity
assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they
provide towards defined criteria against which they claim conformance.
NOTE 1: Those requirements are independent of the type and class of trust service provided.
The present document also contains requirements for the conformity assessment of trust services component services,
which later forms part of a separate conformity assessment of a TSP.
NOTE 2: This enables a provider of such component services, which are used as part of the service provided by
several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based
just on a component service or collection of components whether or not they are recognized as a trust
service under Regulation (EU) No 910/2014 [i.1].
The present document applies the general requirements of ISO/IEC 17065 [1] to the specific requirements of
conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:
• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service
Providers that issue Publicly-Trusted Certificates".
• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity
Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust
service providers".

Elektronski podpisi in infrastruktura (ESI) - Ocenjevanje skladnosti ponudnikov storitev zaupanja - 1. del: Zahteve za ocenjevanje skladnosti organov, ki ocenjujejo ponudnike storitev zaupanja

General Information

Status
Published
Public Enquiry End Date
24-Feb-2020
Publication Date
08-Jul-2020
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
22-Jun-2020
Due Date
27-Aug-2020
Completion Date
09-Jul-2020
Mandate

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SLOVENSKI STANDARD
SIST EN 319 403-1 V2.3.1:2020
01-september-2020
Elektronski podpisi in infrastruktura (ESI) - Ocenjevanje skladnosti ponudnikov
storitev zaupanja - 1. del: Zahteve za ocenjevanje skladnosti organov, ki
ocenjujejo ponudnike storitev zaupanja

Electronic Signatures and Infrastructures (ESI) - Trust Service Provider Conformity

Assessment - Part 1: Requirements for conformity assessment bodies assessing Trust

Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 403-1 V2.3.1 (2020-06)
ICS:
03.080.99 Druge storitve Other services
35.040.01 Kodiranje informacij na Information coding in general
splošno
SIST EN 319 403-1 V2.3.1:2020 en

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

---------------------- Page: 1 ----------------------
SIST EN 319 403-1 V2.3.1:2020
---------------------- Page: 2 ----------------------
SIST EN 319 403-1 V2.3.1:2020
ETSI EN 319 403-1 V2.3.1 (2020-06)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers
---------------------- Page: 3 ----------------------
SIST EN 319 403-1 V2.3.1:2020
2 ETSI EN 319 403-1 V2.3.1 (2020-06)
Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88
Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search

The present document may be made available in electronic versions and/or in print. The content of any electronic and/or

print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any

existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI

deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.

Users of the present document should be aware that the document may be subject to revision or change of status.

Information on the current status of this and other ETSI documents is available at

https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx

If you find errors in the present document, please send your comment to one of the following services:

https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Copyright Notification

No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying

and microfilm except as authorized by written permission of ETSI.

The content of the PDF version shall not be modified without the written authorization of ETSI.

The copyright and the foregoing restriction extend to reproduction in all media.
© ETSI 2020.
All rights reserved.

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.
ETSI
---------------------- Page: 4 ----------------------
SIST EN 319 403-1 V2.3.1:2020
3 ETSI EN 319 403-1 V2.3.1 (2020-06)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 5

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 9

3.3 Abbreviations ..................................................................................................................................................... 9

4 General requirements ............................................................................................................................. 10

4.1 Legal and contractual matters ........................................................................................................................... 10

4.1.1 Legal responsibility..................................................................................................................................... 10

4.1.2 Certification agreement ............................................................................................................................... 10

4.1.3 Use of license, certificates and marks of conformity .................................................................................. 10

4.2 Management of impartiality ............................................................................................................................. 10

4.2.0 General requirements .................................................................................................................................. 10

4.2.1 Activities not conflicting with impartiality ................................................................................................. 10

4.3 Liability and financing ..................................................................................................................................... 10

4.4 Non-discriminatory conditions ......................................................................................................................... 10

4.5 Confidentiality .................................................................................................................................................. 11

4.6 Publicly available information ......................................................................................................................... 11

5 Structural requirements .......................................................................................................................... 11

5.1 Organizational structure and top management ................................................................................................. 11

5.2 Mechanism for safeguarding impartiality ......................................................................................................... 11

6 Resource requirements ........................................................................................................................... 11

6.1 Conformity Assessment Body personnel ......................................................................................................... 11

6.1.1 General ........................................................................................................................................................ 11

6.1.2 Management of competence for personnel involved in the audit process................................................... 11

6.1.2.0 General requirements ............................................................................................................................ 11

6.1.2.1 Management of competence.................................................................................................................. 11

6.1.2.2 Training of audit teams ......................................................................................................................... 12

6.2 Resources for evaluation .................................................................................................................................. 12

6.2.0 General requirements .................................................................................................................................. 12

6.2.1 Internal resources ........................................................................................................................................ 12

6.2.1.0 General requirement .............................................................................................................................. 12

6.2.1.1 Competence of Conformity Assessment Body personnel ..................................................................... 12

6.2.1.2 Competences for all functions ............................................................................................................... 12

6.2.1.3 Competences for application review ..................................................................................................... 13

6.2.1.4 Competences and prerequisites for auditing.......................................................................................... 13

6.2.1.5 Competences for review ........................................................................................................................ 13

6.2.1.6 Competences for certification decision ................................................................................................. 14

6.2.1.7 Competences for Technical Experts ...................................................................................................... 14

6.2.1.8 Audit team ............................................................................................................................................. 14

6.2.1.9 Audit team leader .................................................................................................................................. 15

7 Process requirements .............................................................................................................................. 15

7.1 General requirements ....................................................................................................................................... 15

7.2 Application ....................................................................................................................................................... 15

7.3 Application Review .......................................................................................................................................... 15

7.4 Audit ................................................................................................................................................................. 15

ETSI
---------------------- Page: 5 ----------------------
SIST EN 319 403-1 V2.3.1:2020
4 ETSI EN 319 403-1 V2.3.1 (2020-06)

7.4.0 General requirements .................................................................................................................................. 15

7.4.1 Audit Scope ................................................................................................................................................ 16

7.4.1.0 Audit Scope General ............................................................................................................................. 16

7.4.1.1 Audit Team Mandate............................................................................................................................. 16

7.4.1.2 Audit Methodology ............................................................................................................................... 16

7.4.2 Audit time ................................................................................................................................................... 17

7.4.3 Multiple sites .............................................................................................................................................. 17

7.4.3.1 When to Consider Sample Based Approach ......................................................................................... 17

7.4.3.2 Requirements of Sample Based Approach ............................................................................................ 18

7.4.4 Audit process .............................................................................................................................................. 18

7.4.4.1 General preparation for the audit .......................................................................................................... 18

7.4.4.2 Audit Process ........................................................................................................................................ 19

7.4.4.3 Stage 1 audit .......................................................................................................................................... 19

7.4.4.4 Stage 2 audit .......................................................................................................................................... 20

7.4.4.5 Audit Report .......................................................................................................................................... 20

7.4.4.6 Corrective Actions ................................................................................................................................ 21

7.4.5 Audit Frequency ......................................................................................................................................... 21

7.5 Review .............................................................................................................................................................. 22

7.6 Certification decision ....................................................................................................................................... 22

7.7 Certification documentation ............................................................................................................................. 22

7.8 Directory of certified products ......................................................................................................................... 22

7.9 Surveillance ...................................................................................................................................................... 22

7.10 Changes affecting certification ......................................................................................................................... 23

7.11 Termination, reduction, suspension or withdrawal of certification .................................................................. 23

7.12 Records ............................................................................................................................................................. 23

7.13 Complaints and appeals .................................................................................................................................... 23

8 Management system requirements ......................................................................................................... 24

8.1 Options ............................................................................................................................................................. 24

8.2 General management system documentation ................................................................................................... 24

8.3 Control of documents ....................................................................................................................................... 24

8.4 Control of records ............................................................................................................................................. 24

8.5 Management review ......................................................................................................................................... 24

8.6 Internal audits ................................................................................................................................................... 24

8.7 Corrective actions ............................................................................................................................................. 24

8.8 Preventive actions............................................................................................................................................. 24

Annex A (informative): Auditors' code of conduct .............................................................................. 25

Annex B (informative): Procedure to determine audit time ............................................................... 26

Annex C (informative): Bibliography ................................................................................................... 27

Annex D (informative): Change History .............................................................................................. 28

History .............................................................................................................................................................. 29

ETSI
---------------------- Page: 6 ----------------------
SIST EN 319 403-1 V2.3.1:2020
5 ETSI EN 319 403-1 V2.3.1 (2020-06)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information

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

in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in

respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web

server (https://ipr.etsi.org/).

Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee

can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web

server) which are, or may be, or may become, essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

Foreword

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

Infrastructures (ESI).

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

identified below:

ETSI EN 319 403-1: "Requirements for conformity assessment bodies assessing Trust Service Providers";

ETSI TS 119 403-2: "Additional requirements for Conformity Assessment Bodies auditing Trust Service Providers that

issue Publicly-Trusted Certificates";

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

providers".
National transposition dates
Date of adoption of this EN: 15 June 2020
Date of latest announcement of this EN (doa): 30 September 2020
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 March 2021
Date of withdrawal of any conflicting National Standard (dow): 31 March 2021
Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

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

ETSI
---------------------- Page: 7 ----------------------
SIST EN 319 403-1 V2.3.1:2020
6 ETSI EN 319 403-1 V2.3.1 (2020-06)
Introduction

ISO/IEC 17065 [1] is an international standard which specifies general requirements for Conformity Assessment

Bodies (CABs) performing certification of products, processes, or services. These requirements are not focussed on any

specific application domain where CABs work.

In the present document the general requirements are supplemented to provide additional dedicated requirements for

CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined

criteria against which they claim conformance.

The present document is aiming to meet the general requirements of the international community to provide trust and

confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)

No 910/2014 [i.1], and from CA Browser Forum [i.10].

The present document's aims include support of national accreditation bodies as specified in Regulation (EC)

No 765/2008 [i.4] in applying ISO/IEC 17065 [1] for the accreditation of CABs that certify TSPs and the trust services

they provide so that this is carried out in a consistent manner. In accordance with [i.4], attestations issued by conformity

assessment bodies accredited by a national accreditation body can be formally recognized across Europe.

The present document does not repeat requirements from ISO/IEC 17065 [1] but follows its document structure. Where

needed, additional requirements are specified. This is mainly the case for requirements on resources (clause 6) and on

the assessment process (clause 7). For all other chapters of ISO/IEC 17065 [1] few or no additional requirements are

needed.

The present document also incorporates many requirements relating to the audit of a TSP's management system, as

defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to

derived from these documents in the present document, as well indirectly through references to requirements of

ISO/IEC 17021 [i.12].
ETSI
---------------------- Page: 8 ----------------------
SIST EN 319 403-1 V2.3.1:2020
7 ETSI EN 319 403-1 V2.3.1 (2020-06)
1 Scope

The present document contains requirements for the competence, consistent operation and impartiality of conformity

assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they

provide towards defined criteria against which they claim conformance.

NOTE 1: Those requirements are independent of the type and class of trust service provided.

The present document also contains requirements for the conformity assessment of trust services component services,

which later forms part of a separate conformity assessment of a TSP.

NOTE 2: This enables a provider of such component services, which are used as part of the service provided by

several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based

just on a component service or collection of components whether or not they are recognized as a trust

service under Regulation (EU) No 910/2014 [i.1].

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

conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:

• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service

Providers that issue Publicly-Trusted Certificates".

• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust

service providers".
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

https://docbox.etsi.org/Reference/.

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

their long term validity.

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

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

processes and services".
2.2 Informative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

their long term validity.

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

user with regard to a particular subject area.
ETSI
---------------------- Page: 9 ----------------------
SIST EN 319 403-1 V2.3.1:2020
8 ETSI EN 319 403-1 V2.3.1 (2020-06)

[i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on

electronic identification and trust services for electronic transactions in the internal market and

repealing Directive 1999/93/EC.

[i.2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 1: General requirements".

[i.3] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service

providers issuing EU qualified certificates".

[i.4] Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008

setting out the requirements for accreditation and market surveillance relating to the marketing of

products and repealing Regulation (EEC) No 339/93.

[i.5] ISO/IEC 17000:2004: "Conformity assessment -- Vocabulary and general principles".

[i.6] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

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

security".

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

management systems -- Requirements".

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

Requirements for Trust Service Providers issuing Time-Stamps".

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

Certificates.

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

providing audit and certification of information security management systems".

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

certification of management systems".

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

information security controls".

[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies

auditing Trust Service Providers that issue Publicly-Trusted Certificates".

[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies

assessing EU qualified trust service providers".

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

requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms

For the purposes of the present document, the terms given in ISO/IEC 17065 [1] and the following apply:

auditor: person who assesses conformity to requirements as specified in a given requirements document

competence: ability to apply knowledge and skills to ac
...

ETSI EN 319 403-1 V2.3.1 (2020-06)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers
---------------------- Page: 1 ----------------------
2 ETSI EN 319 403-1 V2.3.1 (2020-06)
Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
ETSI
650 Route des Lucioles
F-06921 Sophia Antipolis Cedex - FRANCE
Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16
Siret N° 348 623 562 00017 - NAF 742 C
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88
Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search

The present document may be made available in electronic versions and/or in print. The content of any electronic and/or

print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any

existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI

deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.

Users of the present document should be aware that the document may be subject to revision or change of status.

Information on the current status of this and other ETSI documents is available at

https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx

If you find errors in the present document, please send your comment to one of the following services:

https://portal.etsi.org/People/CommiteeSupportStaff.aspx
Copyright Notification

No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying

and microfilm except as authorized by written permission of ETSI.

The content of the PDF version shall not be modified without the written authorization of ETSI.

The copyright and the foregoing restriction extend to reproduction in all media.
© ETSI 2020.
All rights reserved.

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.
ETSI
---------------------- Page: 2 ----------------------
3 ETSI EN 319 403-1 V2.3.1 (2020-06)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 5

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 9

3.3 Abbreviations ..................................................................................................................................................... 9

4 General requirements ............................................................................................................................. 10

4.1 Legal and contractual matters ........................................................................................................................... 10

4.1.1 Legal responsibility..................................................................................................................................... 10

4.1.2 Certification agreement ............................................................................................................................... 10

4.1.3 Use of license, certificates and marks of conformity .................................................................................. 10

4.2 Management of impartiality ............................................................................................................................. 10

4.2.0 General requirements .................................................................................................................................. 10

4.2.1 Activities not conflicting with impartiality ................................................................................................. 10

4.3 Liability and financing ..................................................................................................................................... 10

4.4 Non-discriminatory conditions ......................................................................................................................... 10

4.5 Confidentiality .................................................................................................................................................. 11

4.6 Publicly available information ......................................................................................................................... 11

5 Structural requirements .......................................................................................................................... 11

5.1 Organizational structure and top management ................................................................................................. 11

5.2 Mechanism for safeguarding impartiality ......................................................................................................... 11

6 Resource requirements ........................................................................................................................... 11

6.1 Conformity Assessment Body personnel ......................................................................................................... 11

6.1.1 General ........................................................................................................................................................ 11

6.1.2 Management of competence for personnel involved in the audit process................................................... 11

6.1.2.0 General requirements ............................................................................................................................ 11

6.1.2.1 Management of competence.................................................................................................................. 11

6.1.2.2 Training of audit teams ......................................................................................................................... 12

6.2 Resources for evaluation .................................................................................................................................. 12

6.2.0 General requirements .................................................................................................................................. 12

6.2.1 Internal resources ........................................................................................................................................ 12

6.2.1.0 General requirement .............................................................................................................................. 12

6.2.1.1 Competence of Conformity Assessment Body personnel ..................................................................... 12

6.2.1.2 Competences for all functions ............................................................................................................... 12

6.2.1.3 Competences for application review ..................................................................................................... 13

6.2.1.4 Competences and prerequisites for auditing.......................................................................................... 13

6.2.1.5 Competences for review ........................................................................................................................ 13

6.2.1.6 Competences for certification decision ................................................................................................. 14

6.2.1.7 Competences for Technical Experts ...................................................................................................... 14

6.2.1.8 Audit team ............................................................................................................................................. 14

6.2.1.9 Audit team leader .................................................................................................................................. 15

7 Process requirements .............................................................................................................................. 15

7.1 General requirements ....................................................................................................................................... 15

7.2 Application ....................................................................................................................................................... 15

7.3 Application Review .......................................................................................................................................... 15

7.4 Audit ................................................................................................................................................................. 15

ETSI
---------------------- Page: 3 ----------------------
4 ETSI EN 319 403-1 V2.3.1 (2020-06)

7.4.0 General requirements .................................................................................................................................. 15

7.4.1 Audit Scope ................................................................................................................................................ 16

7.4.1.0 Audit Scope General ............................................................................................................................. 16

7.4.1.1 Audit Team Mandate............................................................................................................................. 16

7.4.1.2 Audit Methodology ............................................................................................................................... 16

7.4.2 Audit time ................................................................................................................................................... 17

7.4.3 Multiple sites .............................................................................................................................................. 17

7.4.3.1 When to Consider Sample Based Approach ......................................................................................... 17

7.4.3.2 Requirements of Sample Based Approach ............................................................................................ 18

7.4.4 Audit process .............................................................................................................................................. 18

7.4.4.1 General preparation for the audit .......................................................................................................... 18

7.4.4.2 Audit Process ........................................................................................................................................ 19

7.4.4.3 Stage 1 audit .......................................................................................................................................... 19

7.4.4.4 Stage 2 audit .......................................................................................................................................... 20

7.4.4.5 Audit Report .......................................................................................................................................... 20

7.4.4.6 Corrective Actions ................................................................................................................................ 21

7.4.5 Audit Frequency ......................................................................................................................................... 21

7.5 Review .............................................................................................................................................................. 22

7.6 Certification decision ....................................................................................................................................... 22

7.7 Certification documentation ............................................................................................................................. 22

7.8 Directory of certified products ......................................................................................................................... 22

7.9 Surveillance ...................................................................................................................................................... 22

7.10 Changes affecting certification ......................................................................................................................... 23

7.11 Termination, reduction, suspension or withdrawal of certification .................................................................. 23

7.12 Records ............................................................................................................................................................. 23

7.13 Complaints and appeals .................................................................................................................................... 23

8 Management system requirements ......................................................................................................... 24

8.1 Options ............................................................................................................................................................. 24

8.2 General management system documentation ................................................................................................... 24

8.3 Control of documents ....................................................................................................................................... 24

8.4 Control of records ............................................................................................................................................. 24

8.5 Management review ......................................................................................................................................... 24

8.6 Internal audits ................................................................................................................................................... 24

8.7 Corrective actions ............................................................................................................................................. 24

8.8 Preventive actions............................................................................................................................................. 24

Annex A (informative): Auditors' code of conduct .............................................................................. 25

Annex B (informative): Procedure to determine audit time ............................................................... 26

Annex C (informative): Bibliography ................................................................................................... 27

Annex D (informative): Change History .............................................................................................. 28

History .............................................................................................................................................................. 29

ETSI
---------------------- Page: 4 ----------------------
5 ETSI EN 319 403-1 V2.3.1 (2020-06)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information

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

in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in

respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web

server (https://ipr.etsi.org/).

Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee

can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web

server) which are, or may be, or may become, essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

Foreword

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

Infrastructures (ESI).

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

identified below:

ETSI EN 319 403-1: "Requirements for conformity assessment bodies assessing Trust Service Providers";

ETSI TS 119 403-2: "Additional requirements for Conformity Assessment Bodies auditing Trust Service Providers that

issue Publicly-Trusted Certificates";

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

providers".
National transposition dates
Date of adoption of this EN: 15 June 2020
Date of latest announcement of this EN (doa): 30 September 2020
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 31 March 2021
Date of withdrawal of any conflicting National Standard (dow): 31 March 2021
Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

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

ETSI
---------------------- Page: 5 ----------------------
6 ETSI EN 319 403-1 V2.3.1 (2020-06)
Introduction

ISO/IEC 17065 [1] is an international standard which specifies general requirements for Conformity Assessment

Bodies (CABs) performing certification of products, processes, or services. These requirements are not focussed on any

specific application domain where CABs work.

In the present document the general requirements are supplemented to provide additional dedicated requirements for

CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined

criteria against which they claim conformance.

The present document is aiming to meet the general requirements of the international community to provide trust and

confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)

No 910/2014 [i.1], and from CA Browser Forum [i.10].

The present document's aims include support of national accreditation bodies as specified in Regulation (EC)

No 765/2008 [i.4] in applying ISO/IEC 17065 [1] for the accreditation of CABs that certify TSPs and the trust services

they provide so that this is carried out in a consistent manner. In accordance with [i.4], attestations issued by conformity

assessment bodies accredited by a national accreditation body can be formally recognized across Europe.

The present document does not repeat requirements from ISO/IEC 17065 [1] but follows its document structure. Where

needed, additional requirements are specified. This is mainly the case for requirements on resources (clause 6) and on

the assessment process (clause 7). For all other chapters of ISO/IEC 17065 [1] few or no additional requirements are

needed.

The present document also incorporates many requirements relating to the audit of a TSP's management system, as

defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to

derived from these documents in the present document, as well indirectly through references to requirements of

ISO/IEC 17021 [i.12].
ETSI
---------------------- Page: 6 ----------------------
7 ETSI EN 319 403-1 V2.3.1 (2020-06)
1 Scope

The present document contains requirements for the competence, consistent operation and impartiality of conformity

assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they

provide towards defined criteria against which they claim conformance.

NOTE 1: Those requirements are independent of the type and class of trust service provided.

The present document also contains requirements for the conformity assessment of trust services component services,

which later forms part of a separate conformity assessment of a TSP.

NOTE 2: This enables a provider of such component services, which are used as part of the service provided by

several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based

just on a component service or collection of components whether or not they are recognized as a trust

service under Regulation (EU) No 910/2014 [i.1].

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

conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:

• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service

Providers that issue Publicly-Trusted Certificates".

• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust

service providers".
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

https://docbox.etsi.org/Reference/.

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

their long term validity.

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

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

processes and services".
2.2 Informative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

their long term validity.

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

user with regard to a particular subject area.
ETSI
---------------------- Page: 7 ----------------------
8 ETSI EN 319 403-1 V2.3.1 (2020-06)

[i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on

electronic identification and trust services for electronic transactions in the internal market and

repealing Directive 1999/93/EC.

[i.2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 1: General requirements".

[i.3] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service

providers issuing EU qualified certificates".

[i.4] Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008

setting out the requirements for accreditation and market surveillance relating to the marketing of

products and repealing Regulation (EEC) No 339/93.

[i.5] ISO/IEC 17000:2004: "Conformity assessment -- Vocabulary and general principles".

[i.6] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

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

security".

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

management systems -- Requirements".

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

Requirements for Trust Service Providers issuing Time-Stamps".

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

Certificates.

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

providing audit and certification of information security management systems".

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

certification of management systems".

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

information security controls".

[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies

auditing Trust Service Providers that issue Publicly-Trusted Certificates".

[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies

assessing EU qualified trust service providers".

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

requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms

For the purposes of the present document, the terms given in ISO/IEC 17065 [1] and the following apply:

auditor: person who assesses conformity to requirements as specified in a given requirements document

competence: ability to apply knowledge and skills to achieve intended results
ETSI
---------------------- Page: 8 ----------------------
9 ETSI EN 319 403-1 V2.3.1 (2020-06)

conformity assessment: process demonstrating whether specified requirements relating to a product, process, service,

system, person or body have been fulfilled

NOTE: From Regulation (EC) No 765/2008 [i.4] and section 2.1 of ISO/IEC 17000:2004 [i.5].

conformity assessment body: body that performs conformity assessment services which is accredited as competent to

carry out conformity assessment of a qualified trust service provider and the qualified trust services it provides

NOTE: This is equivalent to conformity assessment body as specified in point 13 Article 2 of Regulation (EC)

No 765/2008 [i.4].

minor nonconformity: non-fulfilment of a specified requirement that does not have any major security impact, and

does not have any major impact on the ability of the TSP to meet the intended service

national accreditation body: sole body in a State that performs accreditation with authority derived from the State

NOTE: This is equivalent to national accreditation body as specified in point 11 Article 2 of Regulation (EC)

No 765/2008 [i.4].
...

Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers
---------------------- Page: 1 ----------------------
2 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
ETSI
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ETSI
---------------------- Page: 2 ----------------------
3 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 5

Introduction ........................................................................................................................................................ 6

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 9

3.3 Abbreviations ..................................................................................................................................................... 9

4 General requirements ............................................................................................................................. 10

4.1 Legal and contractual matters ........................................................................................................................... 10

4.1.1 Legal responsibility..................................................................................................................................... 10

4.1.2 Certification agreement ............................................................................................................................... 10

4.1.3 Use of license, certificates and marks of conformity .................................................................................. 10

4.2 Management of impartiality ............................................................................................................................. 10

4.2.0 General requirements .................................................................................................................................. 10

4.2.1 Activities not conflicting with impartiality ................................................................................................. 10

4.3 Liability and financing ..................................................................................................................................... 10

4.4 Non-discriminatory conditions ......................................................................................................................... 10

4.5 Confidentiality .................................................................................................................................................. 11

4.6 Publicly available information ......................................................................................................................... 11

5 Structural requirements .......................................................................................................................... 11

5.1 Organizational structure and top management ................................................................................................. 11

5.2 Mechanism for safeguarding impartiality ......................................................................................................... 11

6 Resource requirements ........................................................................................................................... 11

6.1 Conformity Assessment Body personnel ......................................................................................................... 11

6.1.1 General ........................................................................................................................................................ 11

6.1.2 Management of competence for personnel involved in the audit process................................................... 11

6.1.2.0 General requirements ............................................................................................................................ 11

6.1.2.1 Management of competence.................................................................................................................. 11

6.1.2.2 Training of audit teams ......................................................................................................................... 12

6.2 Resources for evaluation .................................................................................................................................. 12

6.2.0 General requirements .................................................................................................................................. 12

6.2.1 Internal resources ........................................................................................................................................ 12

6.2.1.0 General requirement .............................................................................................................................. 12

6.2.1.1 Competence of Conformity Assessment Body personnel ..................................................................... 12

6.2.1.2 Competences for all functions ............................................................................................................... 12

6.2.1.3 Competences for application review ..................................................................................................... 13

6.2.1.4 Competences and prerequisites for auditing.......................................................................................... 13

6.2.1.5 Competences for review ........................................................................................................................ 13

6.2.1.6 Competences for certification decision ................................................................................................. 14

6.2.1.7 Competences for Technical Experts ...................................................................................................... 14

6.2.1.8 Audit team ............................................................................................................................................. 14

6.2.1.9 Audit team leader .................................................................................................................................. 15

7 Process requirements .............................................................................................................................. 15

7.1 General requirements ....................................................................................................................................... 15

7.2 Application ....................................................................................................................................................... 15

7.3 Application Review .......................................................................................................................................... 15

ETSI
---------------------- Page: 3 ----------------------
4 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)

7.4 Audit ................................................................................................................................................................. 15

7.4.0 General requirements .................................................................................................................................. 15

7.4.1 Audit Scope ................................................................................................................................................ 16

7.4.1.0 Audit Scope General ............................................................................................................................. 16

7.4.1.1 Audit Team Mandate............................................................................................................................. 16

7.4.1.2 Audit Methodology ............................................................................................................................... 16

7.4.2 Audit time ................................................................................................................................................... 17

7.4.3 Multiple sites .............................................................................................................................................. 17

7.4.3.1 When to Consider Sample Based Approach ......................................................................................... 17

7.4.3.2 Requirements of Sample Based Approach ............................................................................................ 18

7.4.4 Audit process .............................................................................................................................................. 18

7.4.4.1 General preparation for the audit .......................................................................................................... 18

7.4.4.2 Audit Process ........................................................................................................................................ 19

7.4.4.3 Stage 1 audit .......................................................................................................................................... 19

7.4.4.4 Stage 2 audit .......................................................................................................................................... 20

7.4.4.5 Audit Report .......................................................................................................................................... 20

7.4.4.6 Corrective Actions ................................................................................................................................ 21

7.4.5 Audit Frequency ......................................................................................................................................... 21

7.5 Review .............................................................................................................................................................. 22

7.6 Certification decision ....................................................................................................................................... 22

7.7 Certification documentation ............................................................................................................................. 22

7.8 Directory of certified products ......................................................................................................................... 22

7.9 Surveillance ...................................................................................................................................................... 22

7.10 Changes affecting certification ......................................................................................................................... 23

7.11 Termination, reduction, suspension or withdrawal of certification .................................................................. 23

7.12 Records ............................................................................................................................................................. 23

7.13 Complaints and appeals .................................................................................................................................... 24

8 Management system requirements ......................................................................................................... 24

8.1 Options ............................................................................................................................................................. 24

8.2 General management system documentation ................................................................................................... 24

8.3 Control of documents ....................................................................................................................................... 24

8.4 Control of records ............................................................................................................................................. 24

8.5 Management review ......................................................................................................................................... 24

8.6 Internal audits ................................................................................................................................................... 24

8.7 Corrective actions ............................................................................................................................................. 24

8.8 Preventive actions............................................................................................................................................. 24

Annex A (informative): Auditors' code of conduct .............................................................................. 25

Annex B (informative): Procedure to determine audit time ............................................................... 26

Annex C (informative): Bibliography ................................................................................................... 27

Annex D (informative): Change History .............................................................................................. 28

History .............................................................................................................................................................. 29

ETSI
---------------------- Page: 4 ----------------------
5 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Intellectual Property Rights
Essential patents

IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information

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

in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in

respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web

server (https://ipr.etsi.org/).

Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee

can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web

server) which are, or may be, or may become, essential to the present document.
Trademarks

The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.

ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no

right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does

not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.

Foreword

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

Infrastructures (ESI), and is now submitted for the Vote phase of the ETSI standards EN Approval Procedure.

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

identified below:

ETSI EN 319 403-1: "Requirements for conformity assessment bodies assessing Trust Service Providers"

ETSI TS 119 403-2: "Additional requirements for Conformity Assessment Bodies auditing Trust Service Providers

that issue Publicly-Trusted Certificates";

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

providers against the eIDAS Regulation requirements".
Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa

Date of withdrawal of any conflicting National Standard (dow): 6 months after doa

Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

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

ETSI
---------------------- Page: 5 ----------------------
6 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Introduction

ISO/IEC 17065 [1] is an international standard which specifies general requirements for Conformity Assessment

Bodies (CABs) performing certification of products, processes, or services. These requirements are not focussed on any

specific application domain where CABs work.

In the present document the general requirements are supplemented to provide additional dedicated requirements for

CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined

criteria against which they claim conformance.

The present document is aiming to meet the general requirements of the international community to provide trust and

confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)

No 910/2014 [i.1], and from CA Browser Forum [i.10].

The present document's aims include support of national accreditation bodies as specified in Regulation (EC)

No 765/2008 [i.4] in applying ISO/IEC 17065 [1] for the accreditation of CABs that certify TSPs and the trust services

they provide so that this is carried out in a consistent manner. In accordance with [i.4], attestations issued by conformity

assessment bodies accredited by a national accreditation body can be formally recognized across Europe.

The present document does not repeat requirements from ISO/IEC 17065 [1] but follows its document structure. Where

needed, additional requirements are specified. This is mainly the case for requirements on resources (clause 6) and on

the assessment process (clause 7). For all other chapters of ISO/IEC 17065 [1] few or no additional requirements are

needed.

The present document also incorporates many requirements relating to the audit of a TSP's management system, as

defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to

derived from these documents in the present document, as well indirectly through references to requirements of

ISO/IEC 17021 [i.12].
ETSI
---------------------- Page: 6 ----------------------
7 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
1 Scope

The present document contains requirements for the competence, consistent operation and impartiality of conformity

assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they

provide towards defined criteria against which they claim conformance.

NOTE 1: Those requirements are independent of the type and class of trust service provided.

The present document also contains requirements for the conformity assessment of trust services component services,

which later forms part of a separate conformity assessment of a TSP.

NOTE 2: This enables a provider of such component services, which are used as part of the service provided by

several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based

just on a component service or collection of components whether or not they are recognized as a trust

service under Regulation (EU) No 910/2014 [i.1].

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

conformity assessment of TSPs.
The present document is part 1 of a multi-part deliverable. Other parts include:

• ETSI TS 119 403-2 [i.14]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service

Providers that issue Publicly-Trusted Certificates".

• ETSI TS 119 403-3 [i.15]: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust

service providers".
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

https://docbox.etsi.org/Reference/.

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

their long term validity.

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

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

processes and services".
2.2 Informative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

their long term validity.
ETSI
---------------------- Page: 7 ----------------------
8 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)

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

user with regard to a particular subject area.

[i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on

electronic identification and trust services for electronic transactions in the internal market and

repealing Directive 1999/93/EC.

[i.2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 1: General requirements".

[i.3] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service

providers issuing EU qualified certificates".

[i.4] Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008

setting out the requirements for accreditation and market surveillance relating to the marketing of

products and repealing Regulation (EEC) No 339/93.

[i.5] ISO/IEC 17000:2004: "Conformity assessment -- Vocabulary and general principles".

[i.6] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

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

security".

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

management systems -- Requirements".

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

Requirements for Trust Service Providers issuing Time-Stamps".

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

Certificates.

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

providing audit and certification of information security management systems".

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

certification of management systems".

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

information security controls".

[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies

auditing Trust Service Providers that issue Publicly-Trusted Certificates".

[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies

assessing EU qualified trust service providers".

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

requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms

For the purposes of the present document, the terms given in ISO/IEC 17065 [1] and the following apply:

auditor: person who assesses conformity to requirements as specified in a given requirements document

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9 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
competence: ability to apply knowledge and skills to achieve intended results

conformity assessment: process demonstrating whether specified requirements relating to a product, process, service,

system, person or body have been fulfilled

NOTE: From Regulation (EC) No 765/2008 [i.4] and section 2.1 of ISO/IEC 17000:2004 [i.5].

conformity assessment body: body that performs conformity assessment services which is accredited as competent to

carry out conformity assessment of a qualified trust service provider and the qualified trust services it provides

NOTE: This is equivalent to conformity assessment body as specified in point 13 Article 2 of Regulation (EC)

No 765/2008 [i.4].

minor nonconformity: non-fulfilment of a specified requirement that does not have any major security impact, and

does not have any major impact on the ability of the TSP to meet the intended service

national accr
...

Draft ETSI EN 319 403-1 V2.3.0 (2019-11)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers
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2 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)
Reference
REN/ESI-0019403v231
Keywords
conformity, e-commerce, electronic signature,
security, trust services
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3 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)
Contents

Intellectual Property Rights ................................................................................................................................ 5

Foreword ............................................................................................................................................................. 5

Modal verbs terminology .................................................................................................................................... 5

Introduction ........................................................................................................................................................ 5

1 Scope ........................................................................................................................................................ 7

2 References ................................................................................................................................................ 7

2.1 Normative references ......................................................................................................................................... 7

2.2 Informative references ........................................................................................................................................ 7

3 Definition of terms, symbols and abbreviations ....................................................................................... 8

3.1 Terms .................................................................................................................................................................. 8

3.2 Symbols .............................................................................................................................................................. 9

3.3 Abbreviations ..................................................................................................................................................... 9

4 General requirements ............................................................................................................................. 10

4.1 Legal and contractual matters ........................................................................................................................... 10

4.1.1 Legal responsibility..................................................................................................................................... 10

4.1.2 Certification agreement ............................................................................................................................... 10

4.1.3 Use of license, certificates and marks of conformity .................................................................................. 10

4.2 Management of impartiality ............................................................................................................................. 10

4.2.0 General requirements .................................................................................................................................. 10

4.2.1 Activities not conflicting with impartiality ................................................................................................. 10

4.3 Liability and financing ..................................................................................................................................... 10

4.4 Non-discriminatory conditions ......................................................................................................................... 10

4.5 Confidentiality .................................................................................................................................................. 11

4.6 Publicly available information ......................................................................................................................... 11

5 Structural requirements .......................................................................................................................... 11

5.1 Organizational structure and top management ................................................................................................. 11

5.2 Mechanism for safeguarding impartiality ......................................................................................................... 11

6 Resource requirements ........................................................................................................................... 11

6.1 Conformity Assessment Body personnel ......................................................................................................... 11

6.1.1 General ........................................................................................................................................................ 11

6.1.2 Management of competence for personnel involved in the audit process................................................... 11

6.1.2.0 General requirements ............................................................................................................................ 11

6.1.2.1 Management of competence.................................................................................................................. 11

6.1.2.2 Training of audit teams ......................................................................................................................... 12

6.2 Resources for evaluation .................................................................................................................................. 12

6.2.0 General requirements .................................................................................................................................. 12

6.2.1 Internal resources ........................................................................................................................................ 12

6.2.1.0 General requirement .............................................................................................................................. 12

6.2.1.1 Competence of Conformity Assessment Body personnel ..................................................................... 12

6.2.1.2 Competences for all functions ............................................................................................................... 12

6.2.1.3 Competences for application review ..................................................................................................... 13

6.2.1.4 Competences and prerequisites for auditing.......................................................................................... 13

6.2.1.5 Competences for review ........................................................................................................................ 13

6.2.1.6 Competences for certification decision ................................................................................................. 14

6.2.1.7 Competences for Technical Experts ...................................................................................................... 14

6.2.1.8 Audit team ............................................................................................................................................. 14

6.2.1.9 Audit team leader .................................................................................................................................. 14

7 Process requirements .............................................................................................................................. 15

7.1 General requirements ....................................................................................................................................... 15

7.2 Application ....................................................................................................................................................... 15

7.3 Application Review .......................................................................................................................................... 15

7.4 Audit ................................................................................................................................................................. 15

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4 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)

7.4.0 General requirements .................................................................................................................................. 15

7.4.1 Audit Scope ................................................................................................................................................ 16

7.4.1.0 Audit Scope General ............................................................................................................................. 16

7.4.1.1 Audit Team Mandate............................................................................................................................. 16

7.4.1.2 Audit Methodology ............................................................................................................................... 16

7.4.2 Audit time ................................................................................................................................................... 17

7.4.3 Multiple sites .............................................................................................................................................. 17

7.4.3.1 When to Consider Sample Based Approach ......................................................................................... 17

7.4.3.2 Requirements of Sample Based Approach ............................................................................................ 18

7.4.4 Audit process .............................................................................................................................................. 18

7.4.4.1 General preparation for the audit .......................................................................................................... 18

7.4.4.2 Audit Process ........................................................................................................................................ 19

7.4.4.3 Stage 1 audit .......................................................................................................................................... 19

7.4.4.4 Stage 2 audit .......................................................................................................................................... 20

7.4.4.5 Audit Report .......................................................................................................................................... 20

7.4.4.6 Corrective Actions ................................................................................................................................ 21

7.4.5 Audit Frequency ......................................................................................................................................... 21

7.5 Review .............................................................................................................................................................. 22

7.6 Certification decision ....................................................................................................................................... 22

7.7 Certification documentation ............................................................................................................................. 22

7.8 Directory of certified products ......................................................................................................................... 22

7.9 Surveillance ...................................................................................................................................................... 22

7.10 Changes affecting certification ......................................................................................................................... 23

7.11 Termination, reduction, suspension or withdrawal of certification .................................................................. 23

7.12 Records ............................................................................................................................................................. 23

7.13 Complaints and appeals .................................................................................................................................... 24

8 Management system requirements ......................................................................................................... 24

8.1 Options ............................................................................................................................................................. 24

8.2 General management system documentation ................................................................................................... 24

8.3 Control of documents ....................................................................................................................................... 24

8.4 Control of records ............................................................................................................................................. 24

8.5 Management review ......................................................................................................................................... 24

8.6 Internal audits ................................................................................................................................................... 24

8.7 Corrective actions ............................................................................................................................................. 24

8.8 Preventive actions............................................................................................................................................. 24

Annex A (informative): Auditors' code of conduct .............................................................................. 25

Annex B (informative): Procedure to determine audit time ............................................................... 26

Annex C (informative): Bibliography ................................................................................................... 27

Annex D (informative): Change History .............................................................................................. 28

History .............................................................................................................................................................. 29

ETSI
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5 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)
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 draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and

Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards EN

Approval Procedure.
Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa

Date of withdrawal of any conflicting National Standard (dow): 6 months after doa

Modal verbs terminology

In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and

"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of

provisions).

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

Introduction

ISO/IEC 17065 [1] is an international standard which specifies general requirements for Conformity Assessment

Bodies (CABs) performing certification of products, processes, or services. These requirements are not focussed on any

specific application domain where CABs work.

In the present document the general requirements are supplemented to provide additional dedicated requirements for

CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined

criteria against which they claim conformance.
ETSI
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6 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)

The present document is aiming to meet the general requirements of the international community to provide trust and

confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU)

No 910/2014 [i.1], and from CA Browser Forum [i.10].

The present document's aims include support of national accreditation bodies as specified in Regulation (EC)

No. 765/2008 [i.4] in applying ISO/IEC 17065 [1] for the accreditation of CABs that certify TSPs and the trust services

they provide so that this is carried out in a consistent manner. In accordance with [i.4], attestations issued by conformity

assessment bodies accredited by a national accreditation body can be formally recognized across Europe.

The present document does not repeat requirements from ISO/IEC 17065 [1] but follows its document structure. Where

needed, additional requirements are specified. This is mainly the case for requirements on resources (clause 6) and on

the assessment process (clause 7). For all other chapters of ISO/IEC 17065 [1] few or no additional requirements are

needed.

The present document also incorporates many requirements relating to the audit of a TSP's management system, as

defined in ISO/IEC 17021 [i.12] and in ISO/IEC 27006 [i.11]. These requirements are incorporated by including text to

derived from these documents in the present document, as well indirectly through references to requirements of

ISO/IEC 17021 [i.12].
ETSI
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7 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)
1 Scope

The present document contains requirements for the competence, consistent operation and impartiality of conformity

assessment bodies assessing and certifying the conformity of Trust Service Providers (TSPs) and the trust services they

provide towards defined criteria against which they claim conformance.

NOTE 1: Those requirements are independent of the type and class of trust service provided.

The present document also contains requirements for the conformity assessment of trust services component services,

which later forms part of a separate conformity assessment of a TSP.

NOTE 2: This enables a provider of such component services, which are used as part of the service provided by

several TSPs, to avoid having to be assessed several times, or even for a TSP to provide a service based

just on a component service or collection of components whether or not they are recognized as a trust

service under Regulation (EU) No 910/2014 [i.1].

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

conformity assessment of TSPs.
The present document is part 1 of a multipart standard. Other parts include:

• ETSI TS 119 403-2 [i.14]: Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 2: Additional requirements for Conformity Assessment Bodies auditing Trust Service

Providers that issue Publicly-Trusted Certificates.

• ETSI TS 119 403-3 [i.15]: Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity

Assessment; Part 3: Additional requirements for conformity assessment bodies assessing EU qualified trust

service providers.
2 References
2.1 Normative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

https://docbox.etsi.org/Reference/.

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

their long term validity.

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

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

processes and services".
2.2 Informative references

References are either specific (identified by date of publication and/or edition number or version number) or

non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the

referenced document (including any amendments) applies.

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

their long term validity.

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

user with regard to a particular subject area.
ETSI
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8 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)

[i.1] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on

electronic identification and trust services for electronic transactions in the internal market and

repealing Directive 1999/93/EC.

[i.2] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 1: General requirements".

[i.3] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and security

requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service

providers issuing EU qualified certificates".

[i.4] Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008

setting out the requirements for accreditation and market surveillance relating to the marketing of

products and repealing Regulation (EEC) No 339/93.

[i.5] ISO/IEC 17000:2004: "Conformity assessment -- Vocabulary and general principles".

[i.6] ETSI EN 319 401: "Electronic Signatures and Infrastructures (ESI); General Policy Requirements

for Trust Service Providers".

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

security".

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

management systems -- Requirements".

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

Requirements for Trust Service Providers issuing Time-Stamps".

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

Certificates.

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

providing audit and certification of information security management systems".

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

certification of management systems".

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

information security controls".

[i.14] ETSI TS 119 403-2: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 2: Additional requirements for Conformity Assessment Bodies

auditing Trust Service Providers that issue Publicly-Trusted Certificates".

[i.15] ETSI TS 119 403-3: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment; Part 3: Additional requirements for conformity assessment bodies

assessing EU qualified trust service providers".

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

requirements for trust service providers".
3 Definition of terms, symbols and abbreviations
3.1 Terms

For the purposes of the present document, the terms given in ISO/IEC 17065 [1] and the following apply:

auditor: person who assesses conformity to requirements as specified in a given requirements document

competence: ability to apply knowledge and skills to achieve intended results
ETSI
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9 Draft ETSI EN 319 403-1 V2.3.0 (2019-11)

conformity assessment: process demonstrating whether specified requirements relating to a product, process, service,

system, person or body have been fulfilled

NOTE: From Regulation (EC) No 765/2008 [i.4] and section 2.1 of ISO/IEC 17000:2004 [i.5].

conformity assessment body: body that performs conformity assessment services which is accredited as competent to

carry out conformity assessment of a qualified trust service provider and the qualified trust services it provides

NOTE: This is equivalent to conformity assessment body as specified in point 13 Article 2 of Regulation (EC)

No 765/2008 [i.4].

minor nonconformity: non-fulfilment of a specified requirement that does not have any major security impact, and

does not have any major impact on the ability of the TSP to meet the intended service

national accreditation body: sole body in a State that performs accreditation with authority derived from the State

NOTE: This is equivalent to national accreditation body as specified in point 11 Article 2 of Regulation (EC)

No 765/2008 [i.4].

technical expert: person who provides specific knowledge or expertise to the audit team

NOTE 1: Specific knowledge or expertise relates to the organization, the process or activity to be audited, or

language or culture.
NOTE 2: A technical expert does not act as an auditor in the audit team.

trust service: electronic service which enhances trust and confidence in electronic transactions

...

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