SIST EN 319 401 V3.1.1:2024
(Main)Electronic Signatures and Trust Infrastructures (ESI) - General Policy Requirements for Trust Service Providers
Electronic Signatures and Trust Infrastructures (ESI) - General Policy Requirements for Trust Service Providers
The present document specifies general policy requirements relating to Trust Service Providers (TSPs) that are
independent of the type of TSP. It defines policy requirements on the operation and management practices of TSPs.
Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present
document does not specify how the requirements identified can be assessed by an independent party, including
requirements for information to be made available to such independent assessors, or requirements on such assessors.
The present document aims to support the requirements on NIS2 Directive [i.13] and addresses the general requirements
for security management and cybersecurity of trust services (qualified and non-qualified).
NOTE: See ETSI EN 319 403-1 [i.2] for details about requirements for conformity assessment bodies assessing
Trust Service Providers.
Elektronski podpisi in infrastrukture zaupanja (ESI) - Politika splošnih zahtev za ponudnike storitev zaupanja
Ta dokument določa splošne zahteve politike za ponudnike storitev zaupanja (TSP), ki niso odvisne od vrste ponudnika storitev zaupanja. Opredeljuje zahteve politike za delovanje in upravljanje ponudnikov storitev zaupanja.
Druge specifikacije natančneje določajo in razširjajo te zahteve, kot se uporabljajo za posamezne oblike ponudnikov storitev zaupanja. Ta dokument ne določa, kako lahko opredeljene zahteve oceni neodvisna stran, vključno z zahtevami glede informacij, ki jih je treba razkriti takim neodvisnim ocenjevalcem, ali zahtevami glede takih ocenjevalcev.
Namen tega dokumenta je podpreti zahteve glede direktive NIS2 [i.13] ter obravnava splošne zahteve za upravljanje varnosti in kibernetsko varnost storitev zaupanja (kvalificiranih in nekvalificiranih).
OPOMBA: Glej standard ETSI EN 319 403-1 [i.2] za podrobnosti glede zahtev za ocenjevanje skladnosti organov, ki ocenjujejo ponudnike storitev zaupanja.
General Information
Standards Content (Sample)
Draft ETSI EN 319 401 V3.1.0 (2024-03)
EUROPEAN STANDARD
Electronic Signatures and Trust Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
2 Draft ETSI EN 319 401 V3.1.0 (2024-03)
Reference
REN/ESI-0019401v311
Keywords
electronic signature, provider, 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 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871
Important notice
The present document can be downloaded from:
https://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
If you find a security vulnerability in the present document, please report it through our
Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.
Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
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 2024.
All rights reserved.
ETSI
3 Draft ETSI EN 319 401 V3.1.0 (2024-03)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols, abbreviations and notation . 8
3.1 Terms . 8
3.2 Symbols . 11
3.3 Abbreviations . 11
3.4 Notation . 11
4 Overview . 12
5 Risk Assessment . 12
6 Policies and practices . 12
6.1 Trust Service Practice statement . 12
6.2 Terms and Conditions . 13
6.3 Information security policy . 14
7 TSP management and operation . 14
7.1 Internal organization. 14
7.1.1 Organization reliability . 14
7.1.2 Segregation of duties . 15
7.2 Human resources . 15
7.3 Asset management . 17
7.3.1 General requirements . 17
7.3.2 Assets inventory and classification . 17
7.3.3 Storage media handling . 18
7.4 Access control . 18
7.5 Cryptographic controls . 19
7.6 Physical and environmental security . 19
7.7 Operation security . 19
7.8 Network security . 20
7.9 Vulnerabilities and Incident management . 21
7.9.1 Monitoring and logging . 21
7.9.2 Incident response . 22
7.9.3 Reporting . 22
7.9.4 Event assessment and classification . 23
7.9.5 Post-incident reviews . 23
7.10 Collection of evidence . 23
7.11 Business continuity management . 24
7.11.1 General . 24
7.11.2 Back up . 24
7.11.3 Crisis management . 24
7.12 TSP termination and termination plans . 25
7.13 Compliance. 25
7.14 Supply chain . 26
7.14.1 Supply chain policy . 26
7.14.2 Supply chain procedures and processes . 26
7.14.3 Responsibility, third parties agreements and SLA . 27
ETSI
4 Draft ETSI EN 319 401 V3.1.0 (2024-03)
Annex A (normative): Mapping ETSI EN 319 401 V2.3.1 requirement numbers to
Requirement numbers in the present document . 29
Annex B (informative): Mapping ETSI EN 319 401 requirements with eIDAS Regulation . 34
Annex C (informative): Change history . 36
History . 37
ETSI
5 Draft ETSI EN 319 401 V3.1.0 (2024-03)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be
found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to
ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the
ETSI Web server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,
essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its
Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the ®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This 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 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 Ru
...
EUROPEAN STANDARD
Electronic Signatures and Trust Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
2 ETSI EN 319 401 V3.1.1 (2024-06)
Reference
REN/ESI-0019401v311
Keywords
electronic signature, provider, security,
trust services
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 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871
Important notice
The present document can be downloaded from:
https://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
If you find a security vulnerability in the present document, please report it through our
Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.
Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
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 2024.
All rights reserved.
ETSI
3 ETSI EN 319 401 V3.1.1 (2024-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols, abbreviations and notation . 9
3.1 Terms . 9
3.2 Symbols . 11
3.3 Abbreviations . 11
3.4 Notation . 12
4 Overview . 12
5 Risk Assessment . 13
6 Policies and practices . 13
6.1 Trust Service Practice statement . 13
6.2 Terms and Conditions . 14
6.3 Information security policy . 14
7 TSP management and operation . 15
7.1 Internal organization. 15
7.1.1 Organization reliability . 15
7.1.2 Segregation of duties . 16
7.2 Human resources . 16
7.3 Asset management . 17
7.3.1 General requirements . 17
7.3.2 Assets inventory and classification . 17
7.3.3 Storage media handling . 18
7.4 Access control . 18
7.5 Cryptographic controls . 19
7.6 Physical and environmental security . 19
7.7 Operation security . 20
7.8 Network security . 21
7.9 Vulnerabilities and Incident management . 22
7.9.1 Monitoring and logging . 22
7.9.2 Incident response . 22
7.9.3 Reporting . 23
7.9.4 Event assessment and classification . 24
7.9.5 Post-incident reviews . 24
7.10 Collection of evidence . 24
7.11 Business continuity management . 25
7.11.1 General . 25
7.11.2 Back up . 25
7.11.3 Crisis management . 25
7.12 TSP termination and termination plans . 26
7.13 Compliance. 26
7.14 Supply chain . 27
7.14.1 Supply chain policy . 27
7.14.2 Supply chain procedures and processes . 27
7.14.3 Responsibility, third parties agreements and SLA . 28
ETSI
4 ETSI EN 319 401 V3.1.1 (2024-06)
Annex A (normative): Mapping ETSI EN 319 401 V2.3.1 requirement numbers to
Requirement numbers in the present document . 30
Annex B (informative): Mapping ETSI EN 319 401 requirements with eIDAS Regulation . 35
Annex C (informative): Change history . 37
History . 38
ETSI
5 ETSI EN 319 401 V3.1.1 (2024-06)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be
found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to
ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the
ETSI Web server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,
essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its
Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the ®
oneM2M Partners. GSM and the GSM logo are trademarks registered and owned by the GSM Association.
Foreword
This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI).
National transposition dates
Date of adoption of this EN: 30 May 2024
Date of latest announcement of this EN (doa): 31 August 2024
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2025
Date of withdrawal of any conflicting National Standard (dow): 28 February 2025
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when us
...
SLOVENSKI STANDARD
01-september-2024
Elektronski podpisi in infrastrukture zaupanja (ESI) - Politika splošnih zahtev za
ponudnike storitev zaupanja
Electronic Signatures and Trust Infrastructures (ESI) - General Policy Requirements for
Trust Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 401 V3.1.1 (2024-06)
ICS:
03.080.99 Druge storitve Other services
35.040.01 Kodiranje informacij na Information coding in general
splošno
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
EUROPEAN STANDARD
Electronic Signatures and Trust Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
2 ETSI EN 319 401 V3.1.1 (2024-06)
Reference
REN/ESI-0019401v311
Keywords
electronic signature, provider, security,
trust services
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 - APE 7112B
Association à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° w061004871
Important notice
The present document can be downloaded from:
https://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
If you find a security vulnerability in the present document, please report it through our
Coordinated Vulnerability Disclosure Program:
https://www.etsi.org/standards/coordinated-vulnerability-disclosure
Notice of disclaimer & limitation of liability
The information provided in the present deliverable is directed solely to professionals who have the appropriate degree of
experience to understand and interpret its content in accordance with generally accepted engineering or
other professional standard and applicable regulations.
No recommendation as to products and services or vendors is made or should be implied.
In no event shall ETSI be held liable for loss of profits or any other incidental or consequential damages.
Any software contained in this deliverable is provided "AS IS" with no warranties, express or implied, including but not
limited to, the warranties of merchantability, fitness for a particular purpose and non-infringement of intellectual property
rights and ETSI shall not be held liable in any event for any damages whatsoever (including, without limitation, damages
for loss of profits, business interruption, loss of information, or any other pecuniary loss) arising out of or related to the use
of or inability to use the software.
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 2024.
All rights reserved.
ETSI
3 ETSI EN 319 401 V3.1.1 (2024-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols, abbreviations and notation . 9
3.1 Terms . 9
3.2 Symbols . 11
3.3 Abbreviations . 11
3.4 Notation . 12
4 Overview . 12
5 Risk Assessment . 13
6 Policies and practices . 13
6.1 Trust Service Practice statement . 13
6.2 Terms and Conditions . 14
6.3 Information security policy . 14
7 TSP management and operation . 15
7.1 Internal organization. 15
7.1.1 Organization reliability . 15
7.1.2 Segregation of duties . 16
7.2 Human resources . 16
7.3 Asset management . 17
7.3.1 General requirements . 17
7.3.2 Assets inventory and classification . 17
7.3.3 Storage media handling . 18
7.4 Access control . 18
7.5 Cryptographic controls . 19
7.6 Physical and environmental security . 19
7.7 Operation security . 20
7.8 Network security . 21
7.9 Vulnerabilities and Incident management . 22
7.9.1 Monitoring and logging . 22
7.9.2 Incident response . 22
7.9.3 Reporting . 23
7.9.4 Event assessment and classification . 24
7.9.5 Post-incident reviews . 24
7.10 Collection of evidence . 24
7.11 Business continuity management . 25
7.11.1 General . 25
7.11.2 Back up . 25
7.11.3 Crisis management . 25
7.12 TSP termination and termination plans . 26
7.13 Compliance. 26
7.14 Supply chain . 27
7.14.1 Supply chain policy . 27
7.14.2 Supply chain procedures and processes . 27
7.14.3 Responsibility, third parties agreements and SLA . 28
ETSI
4 ETSI EN 319 401 V3.1.1 (2024-06)
Annex A (normative): Mapping ETSI EN 319 401 V2.3.1 requirement numbers to
Requirement numbers in the present document . 30
Annex B (informative): Mapping ETSI EN 319 401 requirements with eIDAS Regulation . 35
Annex C (informative): Change history . 37
History . 38
ETSI
5 ETSI EN 319 401 V3.1.1 (2024-06)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The declarations
pertaining to these essential IPRs, if any, are publicly available for ETSI members and non-members, and can be
found in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to
ETSI in respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the
ETSI Web server (https://ipr.etsi.org/).
Pursuant to the ETSI Directives including the ETSI IPR Policy, no investigation regarding the essentiality of IPRs,
including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not
referenced in ETSI SR 000 314 (or the updates on the ETSI Web server) which are, or may be, or may become,
essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its
Members. 3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and of the 3GPP
Organizational Partners. oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and of the ®
oneM
...
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