Electronic Signatures and 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.
NOTE: See ETSI EN 319 403 [i.6]: "Electronic Signatures and Infrastructures (ESI); Requirements for
conformity assessment bodies assessing Trust Service Providers".

Elektronski podpisi in infrastruktura (ESI) - Splošne zahteve politike za ponudnike storitev zaupanja

Ta dokument določa splošne zahteve politike za ponudnike storitev zaupanja (TSP), ki niso odvisne od vrste ponudnika storitev zaupanja. Dokument 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 za predložitev informacij neodvisnim ocenjevalcem ali zahtevami glede takih ocenjevalcev.
OPOMBA: Glej standard ETSI EN 319 403 [i.6]: »Elektronski podpisi in infrastruktura (ESI); Zahteve za
ocenjevanje skladnosti organov, ki ocenjujejo ponudnike storitev zaupanja«.

General Information

Status
Published
Publication Date
13-Mar-2016
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
09-Mar-2016
Due Date
14-May-2016
Completion Date
14-Mar-2016
Mandate

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2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Elektronski podpisi in infrastruktura (ESI) - Splošne zahteve politike za ponudnike storitev zaupanjaElectronic Signatures and Infrastructures (ESI) - General Policy Requirements for Trust Service Providers35.040.01Kodiranje informacij na splošnoInformation coding in general35.030Informacijska varnostIT Security03.080.99Druge storitveOther servicesICS:Ta slovenski standard je istoveten z:ETSI EN 319 401 V2.1.1 (2016-02)SIST EN 319 401 V2.1.1:2016en01-maj-2016SIST EN 319 401 V2.1.1:2016SLOVENSKI

STANDARD
SIST EN 319 401 V2.1.1:2016

ETSI EN 319 401 V2.1.1 (2016-02) Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers

EUROPEAN STANDARD SIST EN 319 401 V2.1.1:2016
ETSI ETSI EN 319 401 V2.1.1 (2016-02) 2

Reference REN/ESI-0019401V211 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 - 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 only prevailing document is the print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat. 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.

© European Telecommunications Standards Institute 2016. All rights reserved.

DECTTM, PLUGTESTSTM, UMTSTM and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members. 3GPPTM and LTE™ are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM® and the GSM logo are Trade Marks registered and owned by the GSM Association. SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 3 Contents Intellectual Property Rights ................................................................................................................................ 4 Foreword ............................................................................................................................................................. 4 Modal verbs terminology .................................................................................................................................... 4 Introduction ........................................................................................................................................................ 4 1 Scope ........................................................................................................................................................ 6 2 References ................................................................................................................................................ 6 2.1 Normative references ......................................................................................................................................... 6 2.2 Informative references ........................................................................................................................................ 6 3 Definitions and abbreviations ................................................................................................................... 7 3.1 Definitions .......................................................................................................................................................... 7 3.2 Abbreviations ..................................................................................................................................................... 7 4 Overview .................................................................................................................................................. 8 5 Risk Assesment ........................................................................................................................................ 8 6 Policies and practices ............................................................................................................................... 8 6.1 Trust Service Practice statement ........................................................................................................................ 8 6.2 Terms and Conditions ........................................................................................................................................ 9 6.3 Information security policy ................................................................................................................................ 9 7 TSP management and operation ............................................................................................................. 10 7.1 Internal organization......................................................................................................................................... 10 7.1.1 Organization reliability ............................................................................................................................... 10 7.1.2 Segregation of duties .................................................................................................................................. 10 7.2 Human resources .............................................................................................................................................. 10 7.3 Asset management ............................................................................................................................................ 12 7.3.1 General requirements .................................................................................................................................. 12 7.3.2 Media handling ........................................................................................................................................... 12 7.4 Access control .................................................................................................................................................. 12 7.5 Cryptographic controls ..................................................................................................................................... 12 7.6 Physical and environmental security ................................................................................................................ 13 7.7 Operation security ............................................................................................................................................ 13 7.8 Network security .............................................................................................................................................. 14 7.9 Incident management ....................................................................................................................................... 15 7.10 Collection of evidence ...................................................................................................................................... 16 7.11 Business continuity management ..................................................................................................................... 16 7.12 TSP termination and termination plans ............................................................................................................ 16 7.13 Compliance....................................................................................................................................................... 17 Annex A (informative): Bibliography ................................................................................................... 18 History .............................................................................................................................................................. 19

SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 4 Intellectual Property Rights IPRs essential or potentially essential to the present document 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. 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: 22 February 2016 Date of latest announcement of this EN (doa): 31 May 2016 Date of latest publication of new National Standard or endorsement of this EN (dop/e):

30 November 2016 Date of withdrawal of any conflicting National Standard (dow): 30 June 2017

Modal verbs terminology In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and "cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of provisions). "must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation. Introduction Building trust in the online environment is key to economic and social development. Lack of trust, in particular because of a perceived lack of security, makes consumers, businesses and administrations hesitate to carry out transactions electronically and to adopt new services. Trust service providers are often an essential element to establish trust between parties transacting electronically, particularly in open public networks, and can be used, for example, to provide trusted identity information and help establish secure communications between transacting parties. Examples of such trust service providers are issuers of public key certificates, time-stamping service providers, providers of remote electronic signature generation or validation services. For participants of electronic commerce to have confidence in the security of these trust services they need to have confidence that the trust service providers (TSPs) have established a set of procedures, processes and security measures in order to minimize the operational and financial threats and risks associated. The present document specifies baseline policy requirements on the operation and management practices of TSP regardless the service they provide. Other standards, addressing particular type of trust service, can build on the present document to identify supplement requirements for particular type of trust service. SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 5 The present document is aiming to meet the general requirements to provide trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 [i.2] and those from CA Browser Forum [i.4]. EXAMPLE: ETSI EN 319 411-2 [i.11] annex A describes the application of the present document to the requirements of Regulation No 910/2014 [i.2] requirements for TSPs issuing EU qualified certificates. SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 6 1 Scope The present document specifies general policy requirements relating to trust service providers (TSPs) that are independent of the type of TSP. It defines policy requirements on the operation and management practices of TSPs. Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present document does not specify how the requirements identified can be assessed by an independent party, including requirements for information to be made available to such independent assessors, or requirements on such assessors. NOTE: See ETSI EN 319 403 [i.6]: "Electronic Signatures and Infrastructures (ESI); Requirements for conformity assessment bodies assessing Trust Service Providers". 2 References 2.1 Normative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the reference document (including any amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at http://docbox.etsi.org/Reference. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are necessary for the application of the present document. Not applicable. 2.2 Informative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the reference document (including any amendments) applies. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are not necessary for the application of the present document but they assist the user with regard to a particular subject area. [i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data. [i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. [i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for information security management". [i.4] CA/Browser Forum: "Guidelines for the issuance and management of extended validation certificates". [i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk management". [i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers". SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 7 [i.7] CA/Browser Forum: "Network and certificate system security requirements". [i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions". [i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing certificates; Part 1: General requirements". [i.10] ETSI EN 301 549: "Accessibility requirements suitable for public procurement of ICT products and services in Europe". [i.11] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust service providers issuing EU qualified certificates". 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the following terms and definitions apply: Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R TF.460-6 [i.8] relying party: natural or legal person that relies upon an electronic identification or a trust service NOTE: Relying parties include parties verifying a digital signature using a public key certificate. subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations trust service: electronic service for: • creation, verification, and validation of digital signatures and related certificates; • creation, verification, and validation of time-stamps and related certificates; • registered delivery and related certificates; • creation, verification and validation of certificates for website authentication; or • preservation of digital signatures or certificates related to those services. trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class of application with common security requirements NOTE: See clause 6 for further information on TSP policy. trust service practice statement: statement of the practices that a TSP employs in providing a trust service NOTE: See clause 6.2 for further information on practice statement. trust service provider: entity which provides one or more trust services trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service

NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses. 3.2 Abbreviations For the purposes of the present document, the following abbreviations apply: CA Certification Authority IP Internet Protocol IT Information Technology TSP Trust Service Provider UTC Coordinated Universal Time SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 8 4 Overview Trust services may encompass but should not be limited to the issuance of public key certificates, provision of registration services, time-stamping services, long term preservation services, e-delivery services and/or signature validation services. These policy requirements are not meant to imply any restrictions on charging for TSP services. The requirements are indicated in terms of the security objectives followed by more specific requirements for controls to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be met. When implementing controls of clause 7, ISO/IEC 27002:2013 [i.3] should be applied. NOTE: The details of controls required to meet an objective is a balance between achieving the necessary confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing services. 5 Risk Assesment The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into account business and technical issues.

The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results. The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk. NOTE: See ISO/IEC 27005 [i.5] for guidance on information security risk management as part of an information security management system. The TSP shall determine all security requirements and operational procedures that are necessary to implement the risk treatment measures chosen, as documented in the information security policy and the trust service practice statement (see clause 6). The risk assessment shall be regularly reviewed and revised. The TSP management shall approve the risk assessment and accept the residual risk identified. 6 Policies and practices 6.1 Trust Service Practice statement The TSP shall specify the set of policies and practices appropriate for the trust services it is providing. These shall be approved by management, published and communicated to employees and external parties as relevant. The TSP shall have a statement of the practices and procedures for the trust service provided. NOTE: The present document makes no requirement as to the structure of the trust service practice statement. In particular: a) The TSP shall have a statement of the practices and procedures used to address all the requirements identified for the applicable TSP policy. b) The TSP's trust service practice statement shall identify the obligations of all external organizations supporting the TSP services including the applicable policies and practices. c) The TSP shall make available to subscribers and relying parties its practice statement, and other relevant documentation, as necessary to assess conformance to the service policy. d) The TSP shall have a management body with overall responsibility for the TSP with final authority for approving the TSP practice statement. SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 9 e) The TSP management shall implement the practices. f) The TSP shall define a review process for the practices including responsibilities for maintaining the TSP practice statement. g) The TSP shall notify notice of changes it intends to make in its practice statement and shall, following approval as in (d) above, make the revised TSP practice statement immediately available as required under (c) above. h) The TSP shall state in its practices the provisions made for termination of service (see clause 7.12). 6.2 Terms and Conditions TSP shall make the terms and conditions regarding its services available to all subscribers and relying parties. These terms and conditions shall at least specify for each trust service policy supported by the TSP the following: a) the trust service policy being applied; b) any limitations on the use of the service; EXAMPLE 1: The expected life-time of public key certificates. c) the subscriber's obligations, if any; d) information for parties relying on the trust service; EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated with the trust service token. e) the period of time during which TSP event logs are retained; f) limitations of liability; g) limitations on the use of the services provided including the limitation for damages arising from the use of services exceeding such limitations; h) the applicable legal system; i) procedures for complaints and dispute settlement; j) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so through which conformity assessment scheme; k) the TSP contact information; and l) any undertaking regarding availability. Subscribers and parties relying on the trust service shall be informed of precise terms and conditions, including the items listed above, before entering into a contractual relationship. Terms and conditions shall be made available through a durable means of communication. This information shall be available in a readily understandable language. It may be transmitted electronically. 6.3 Information security policy The TSP shall define an information security policy which is approved by management and which sets out the organization's approach to managing its information security. Changes to the information security policy shall be communicated to third parties, where applicable. This includes subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies. In particular: a) A TSP's information security policy shall be documented, implemented and maintained including the security controls and operating procedures for TSP facilities, systems and information assets providing the services. SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 10 The TSP shall publish and communicate this information security policy to all employees who are impacted by it. NOTE 1: See clause 5.1.1 of ISO/IEC 27002:2013 [i.3] for guidance. b) The TSP shall retain overall responsibility for conformance with the procedures prescribed in its information security policy, even when the TSP functionality is undertaken by outsourcers. TSP shall define the outsourcers liability and ensure that outsourcer are bound to implement any controls required by the TSP. c) The TSP information security policy and inventory of assets for information security (see clause 7.3) shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. Any changes that will impact on the level of security provided shall be approved by the management body referred to in clause 6.1.d). The configuration of the TSPs systems shall be regularly checked for changes which violate the TSPs security policies. NOTE 2: Further specific recommendations are given in the CA Browser Forum network security guide [i.7], item 1. 7 TSP management and operation 7.1 Internal organization 7.1.1 Organization reliability The TSP organization shall be reliable. In particular: a) Trust service practices under which the TSP operates shall be non-discriminatory. b) The TSP should make its services accessible to all applicants whose activities fall within its declared field of operation and that agree to abide by their obligations as specified in the TSP terms and conditions. c) The TSP shall maintain sufficient financial resources and/or obtain appropriate liability insurance, in accordance with national law, to cover liabilities arising from its operations and/or activities. NOTE: For liability of TSPs operating in EU, see article 13 of the Regulation (EU) No 910/2014 [i.2]. d) The TSP shall have the financial stability and resources required to operate in conformity with this policy. e) The TSP shall have policies and procedures for the resolution of complaints and disputes received from customers or other relying parties about the provisioning of the services or any other related matters. f) The TSP shall have a documented agreement and contractual relationship in place where the provisioning of services involves subcontracting, outsourcing or other third party arrangements. 7.1.2 Segregation of duties Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of the TSP assets. 7.2 Human resources The TSP shall ensure that employees and contractors support the trustworthiness of the TSP's operations. NOTE 1: See clauses 6.1.1 and 7 of ISO/IEC 27002:2013 [i.3] for guidance. In particular: a) The TSP shall employ staff and, if applicable, subcontractors, who possess the necessary expertise, reliability, experience, and qualifications and who have received training regarding security and personal data protection rules as appropriate for the offered services and the job function. SIST EN 319 401 V2.1.1:2016

ETSI ETSI EN 319 401 V2.1.1 (2016-02) 11 b) TSP personnel should be able to fulfil the requirement of "expert knowledge, experience and qualifications" through formal training and credentials, or actual experience, or a combination of the two. This should include regular (at least every 12 months) updates on new threats and current security practices. NOTE 2: Personnel employed by a TSP include individual personnel contractually engaged in performing functions in support of the TSP's services. Personnel who can be involved in monitoring the TSP services need not be TSP personnel. c) Appropriate disciplinary sanctions shall be applied to personnel violating TSP policies or procedures. NOTE 3: See clause 7.2.3 of ISO/IEC 27002:2013 [i.3] for guidance. d) Security roles and responsibilities, as specified in the TSP's information security policy, shall be documented in job descriptions or in documents available to all concerned personnel. Trusted roles, on which the security of the TSP's operation is dependent, shall be clearly identified. Trusted roles shall be named by the management and shall be accepted by the management and the person to fulfil the role. NOTE 4: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in establishing roles and responsibilities. e) TSP personnel (both temporary and permanent) shall have job descriptions defined from the view point of roles fulfilled with segregation of duties and least privilege (see clause 7.1.2), determining position sensitivity based on the duties and access levels, background screening and employee training and awareness. Where appropriate, these shall differentiate between general functions and TSP specific functions. These should include skills and experience requirements. NOTE 5: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in establishing roles and responsibilities. f) Personnel shall exercise administrative and management procedures and processes that are in line with the TSP's information security management procedures. NOTE 6: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in establishing roles and responsibilities. g) Managerial personnel shall possess experience or training with respect to the trust service that is provided, familiarity with

...

ETSI EN 319 401 V2.1.1 (2016-02)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
---------------------- Page: 1 ----------------------
2 ETSI EN 319 401 V2.1.1 (2016-02)
Reference
REN/ESI-0019401V211
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 - 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 only prevailing document is the

print of the Portable Document Format (PDF) version kept on a specific network drive within ETSI Secretariat.

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.
© European Telecommunications Standards Institute 2016.
All rights reserved.
TM TM TM

DECT , PLUGTESTS , UMTS and the ETSI logo are Trade Marks of ETSI registered for the benefit of its Members.

3GPP and LTE™ are Trade Marks of ETSI registered for the benefit of its Members and

of the 3GPP Organizational Partners.

GSM® and the GSM logo are Trade Marks registered and owned by the GSM Association.

ETSI
---------------------- Page: 2 ----------------------
3 ETSI EN 319 401 V2.1.1 (2016-02)
Contents

Intellectual Property Rights ................................................................................................................................ 4

Foreword ............................................................................................................................................................. 4

Modal verbs terminology .................................................................................................................................... 4

Introduction ........................................................................................................................................................ 4

1 Scope ........................................................................................................................................................ 6

2 References ................................................................................................................................................ 6

2.1 Normative references ......................................................................................................................................... 6

2.2 Informative references ........................................................................................................................................ 6

3 Definitions and abbreviations ................................................................................................................... 7

3.1 Definitions .......................................................................................................................................................... 7

3.2 Abbreviations ..................................................................................................................................................... 7

4 Overview .................................................................................................................................................. 8

5 Risk Assesment ........................................................................................................................................ 8

6 Policies and practices ............................................................................................................................... 8

6.1 Trust Service Practice statement ........................................................................................................................ 8

6.2 Terms and Conditions ........................................................................................................................................ 9

6.3 Information security policy ................................................................................................................................ 9

7 TSP management and operation ............................................................................................................. 10

7.1 Internal organization......................................................................................................................................... 10

7.1.1 Organization reliability ............................................................................................................................... 10

7.1.2 Segregation of duties .................................................................................................................................. 10

7.2 Human resources .............................................................................................................................................. 10

7.3 Asset management ............................................................................................................................................ 12

7.3.1 General requirements .................................................................................................................................. 12

7.3.2 Media handling ........................................................................................................................................... 12

7.4 Access control .................................................................................................................................................. 12

7.5 Cryptographic controls ..................................................................................................................................... 12

7.6 Physical and environmental security ................................................................................................................ 13

7.7 Operation security ............................................................................................................................................ 13

7.8 Network security .............................................................................................................................................. 14

7.9 Incident management ....................................................................................................................................... 15

7.10 Collection of evidence ...................................................................................................................................... 16

7.11 Business continuity management ..................................................................................................................... 16

7.12 TSP termination and termination plans ............................................................................................................ 16

7.13 Compliance....................................................................................................................................................... 17

Annex A (informative): Bibliography ................................................................................................... 18

History .............................................................................................................................................................. 19

ETSI
---------------------- Page: 3 ----------------------
4 ETSI EN 319 401 V2.1.1 (2016-02)
Intellectual Property Rights

IPRs essential or potentially essential to the present document 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.
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: 22 February 2016
Date of latest announcement of this EN (doa): 31 May 2016
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 30 November 2016
Date of withdrawal of any conflicting National Standard (dow): 30 June 2017
Modal verbs terminology

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

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

provisions).

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

Introduction

Building trust in the online environment is key to economic and social development. Lack of trust, in particular because

of a perceived lack of security, makes consumers, businesses and administrations hesitate to carry out transactions

electronically and to adopt new services. Trust service providers are often an essential element to establish trust

between parties transacting electronically, particularly in open public networks, and can be used, for example, to

provide trusted identity information and help establish secure communications between transacting parties. Examples of

such trust service providers are issuers of public key certificates, time-stamping service providers, providers of remote

electronic signature generation or validation services.

For participants of electronic commerce to have confidence in the security of these trust services they need to have

confidence that the trust service providers (TSPs) have established a set of procedures, processes and security measures

in order to minimize the operational and financial threats and risks associated.

The present document specifies baseline policy requirements on the operation and management practices of TSP

regardless the service they provide. Other standards, addressing particular type of trust service, can build on the present

document to identify supplement requirements for particular type of trust service.

ETSI
---------------------- Page: 4 ----------------------
5 ETSI EN 319 401 V2.1.1 (2016-02)

The present document is aiming to meet the general requirements to provide trust and confidence in electronic

transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 [i.2] and those

from CA Browser Forum [i.4].

EXAMPLE: ETSI EN 319 411-2 [i.11] annex A describes the application of the present document to the

requirements of Regulation No 910/2014 [i.2] requirements for TSPs issuing EU qualified

certificates.
ETSI
---------------------- Page: 5 ----------------------
6 ETSI EN 319 401 V2.1.1 (2016-02)
1 Scope

The present document specifies general policy requirements relating to trust service providers (TSPs) that are

independent of the type of TSP. It defines policy requirements on the operation and management practices of TSPs.

Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present

document does not specify how the requirements identified can be assessed by an independent party, including

requirements for information to be made available to such independent assessors, or requirements on such assessors.

NOTE: See ETSI EN 319 403 [i.6]: "Electronic Signatures and Infrastructures (ESI); Requirements for

conformity assessment bodies assessing Trust Service Providers".
2 References
2.1 Normative references

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

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

reference document (including any amendments) applies.

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

http://docbox.etsi.org/Reference.

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

their long term validity.

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

Not applicable.
2.2 Informative references

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

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

reference document (including any amendments) applies.

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

their long term validity.

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

user with regard to a particular subject area.

[i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the

protection of individuals with regard to the processing of personal data and on the free movement

of such data.

[i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on

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

repealing Directive 1999/93/EC.

[i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for

information security management".

[i.4] CA/Browser Forum: "Guidelines for the issuance and management of extended validation

certificates".

[i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk

management".

[i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service

Providers".
ETSI
---------------------- Page: 6 ----------------------
7 ETSI EN 319 401 V2.1.1 (2016-02)
[i.7] CA/Browser Forum: "Network and certificate system security requirements".

[i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".

[i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security

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

[i.10] ETSI EN 301 549: "Accessibility requirements suitable for public procurement of ICT products

and services in Europe".

[i.11] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and Security

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

service providers issuing EU qualified certificates".
3 Definitions and abbreviations
3.1 Definitions

For the purposes of the present document, the following terms and definitions apply:

Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R

TF.460-6 [i.8]

relying party: natural or legal person that relies upon an electronic identification or a trust service

NOTE: Relying parties include parties verifying a digital signature using a public key certificate.

subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations

trust service: electronic service for:

• creation, verification, and validation of digital signatures and related certificates;

• creation, verification, and validation of time-stamps and related certificates;

• registered delivery and related certificates;

• creation, verification and validation of certificates for website authentication; or

• preservation of digital signatures or certificates related to those services.

trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class

of application with common security requirements
NOTE: See clause 6 for further information on TSP policy.

trust service practice statement: statement of the practices that a TSP employs in providing a trust service

NOTE: See clause 6.2 for further information on practice statement.
trust service provider: entity which provides one or more trust services

trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service

NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.

3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
IP Internet Protocol
IT Information Technology
TSP Trust Service Provider
UTC Coordinated Universal Time
ETSI
---------------------- Page: 7 ----------------------
8 ETSI EN 319 401 V2.1.1 (2016-02)
4 Overview

Trust services may encompass but should not be limited to the issuance of public key certificates, provision of

registration services, time-stamping services, long term preservation services, e-delivery services and/or signature

validation services.

These policy requirements are not meant to imply any restrictions on charging for TSP services.

The requirements are indicated in terms of the security objectives followed by more specific requirements for controls

to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be

met.

When implementing controls of clause 7, ISO/IEC 27002:2013 [i.3] should be applied.

NOTE: The details of controls required to meet an objective is a balance between achieving the necessary

confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing

services.
5 Risk Assesment

The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into account

business and technical issues.

The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results. The risk

treatment measures shall ensure that the level of security is commensurate to the degree of risk.

NOTE: See ISO/IEC 27005 [i.5] for guidance on information security risk management as part of an information

security management system.

The TSP shall determine all security requirements and operational procedures that are necessary to implement the risk

treatment measures chosen, as documented in the information security policy and the trust service practice statement

(see clause 6).
The risk assessment shall be regularly reviewed and revised.

The TSP management shall approve the risk assessment and accept the residual risk identified.

6 Policies and practices
6.1 Trust Service Practice statement

The TSP shall specify the set of policies and practices appropriate for the trust services it is providing. These shall be

approved by management, published and communicated to employees and external parties as relevant.

The TSP shall have a statement of the practices and procedures for the trust service provided.

NOTE: The present document makes no requirement as to the structure of the trust service practice statement.

In particular:

a) The TSP shall have a statement of the practices and procedures used to address all the requirements identified

for the applicable TSP policy.

b) The TSP's trust service practice statement shall identify the obligations of all external organizations supporting

the TSP services including the applicable policies and practices.

c) The TSP shall make available to subscribers and relying parties its practice statement, and other relevant

documentation, as necessary to assess conformance to the service policy.

d) The TSP shall have a management body with overall responsibility for the TSP with final authority for

approving the TSP practice statement.
ETSI
---------------------- Page: 8 ----------------------
9 ETSI EN 319 401 V2.1.1 (2016-02)
e) The TSP management shall implement the practices.

f) The TSP shall define a review process for the practices including responsibilities for maintaining the TSP

practice statement.

g) The TSP shall notify notice of changes it intends to make in its practice statement and shall, following

approval as in (d) above, make the revised TSP practice statement immediately available as required under (c)

above.

h) The TSP shall state in its practices the provisions made for termination of service (see clause 7.12).

6.2 Terms and Conditions

TSP shall make the terms and conditions regarding its services available to all subscribers and relying parties.

These terms and conditions shall at least specify for each trust service policy supported by the TSP the following:

a) the trust service policy being applied;
b) any limitations on the use of the service;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;

EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated

with the trust service token.
e) the period of time during which TSP event logs are retained;
f) limitations of liability;

g) limitations on the use of the services provided including the limitation for damages arising from the use of

services exceeding such limitations;
h) the applicable legal system;
i) procedures for complaints and dispute settlement;

j) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so

through which conformity assessment scheme;
k) the TSP contact information; and
l) any undertaking regarding availability.

Subscribers and parties relying on the trust service shall be informed of precise terms and conditions, including the

items listed above, before entering into a contractual relationship. Terms and conditions shall be made available through

a durable means of communication. This information shall be available in a readily understandable language. It may be

transmitted electronically.
6.3 Information security policy

The TSP shall define an information security policy which is approved by management and which sets out the

organization's approach to managing its information security.

Changes to the information security policy shall be communicated to third parties, where applicable. This includes

subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies.

In particular:

a) A TSP's information security policy shall be documented, implemented and maintained including the security

controls and operating procedures for TSP facilities, systems and information assets providing the services.

ETSI
---------------------- Page: 9 ----------------------
10 ETSI EN 319 401 V2.1.1 (2016-02)

The TSP shall publish and communicate this information security policy to all employees who are impacted by

it.
NOTE 1: See clause 5.1.1 of ISO/IEC 27002:2013 [i.3] for guidance.

b) The TSP shall retain overall responsibility for conformance with the procedures prescribed in its information

security policy, even when the TSP functionality is undertaken by outsourcers. TSP shall define the

outsourcers liability and ensure that outsourcer are bound to implement any controls required by the TSP.

c) The TSP information security policy and inventory of assets for information security (see clause 7.3) shall be

reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy

and effectiveness. Any changes that will impact on the level of security provided shall be approved by the

management body referred to in clause 6.1.d). The configuration of the TSPs systems shall be regularly

checked for changes which violate the TSPs security policies.

NOTE 2: Further specific recommendations are given in the CA Browser Forum network security guide [i.7],

item 1.
7 TSP management and operation
7.1 Internal organization
7.1.1 Organization reliability
The TSP organization shall be reliable.
In particular:

a) Trust service practices under which the TSP operates shall be non-discriminatory.

b) The TSP should make its services accessible to all applicants whose activities fall within its declared field of

operation and that agree to abide by their obligations as specified in the TSP terms and conditions.

c) The TSP shall maintain sufficient financial resources and/or obtain appropriate liability insurance, in

accordance with national law, to cover liabilities arising from its operations and/or activities.

NOTE: For liability of TSPs operating in EU, see article 13 of the Regulation (EU) No 910/2014 [i.2].

d) The TSP shall have the financial stability and resources required to operate in conformity with this policy.

e) The TSP shall have policies and procedures for the resolution of complaints and disputes received from

customers or other relying parties about the provisioning of the services or any other related matters.

f) The TSP shall have a documented agreement and contractual relationship in place where the provisioning of

services involves subcontracting, outsourcing or other third party arrangements.
7.1.2 Segregation of duties

Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or

unintentional modification or misuse of the TSP assets.
7.2 Human resources

The TSP shall ensure that employees and contractors support the trustworthiness of the TSP's operations.

NOTE 1: See clauses 6.1.1 and 7 of ISO/IEC 27002:2013 [i.3] for guidance.
In particular:

a) The TSP shall employ staff and, if applicable, subcontractors, who possess the necessary expertise, reliability,

experience, and qualifications and who have received training regarding security and personal data protection

rules as appropriate for the offered services and the job function.
ETSI
---------------------- Page: 10 ----------------------
11 ETSI EN 319 401 V2.1.1 (2016-02)

b) TSP personnel should be able to fulfil the requirement of "expert knowledge, experience and qualifications"

through formal training and credentials, or actual experience, or a combination of the two. This should include

regular (at least every 12 months) updates on new threats and current security practices.

NOTE 2: Personnel employed by a TSP include individual personnel contractually engaged in performing functions

in support of the TSP's services. Personnel who can be involved in monitoring the TSP services need not

be TSP personnel.

c) Appropriate disciplinary sanctions shall be applied to personnel violating TSP policies or procedures.

NOTE 3: See clause 7.2.3 of ISO/IEC 27002:2013 [i.3] for guidance.

d) Security roles and responsibilities, as specified in the TSP's information security policy, shall be documented

in job descriptions or in documents available to all concerned personnel. Trusted roles, on which the security

of the TSP's operation is dependent, shall be clearly identified. Trusted roles shall be named by the

management and shall be accepted by the management and the person to fulfil the role.

NOTE 4: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in

establishing roles and responsibilities.

e) TSP personnel (both temporary and permanent) shall have job descriptions defined from the view point of

roles fulfilled with segregation of duties and least privilege (see clause 7.1.2), determining position sensitivity

based on the duties and access levels, background screening and employee training and awareness. Where

appropriate, these shall differentiate between general functions and TSP specific functions. These should

include skills and experience requirements.

NOTE 5: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in

establishing roles and responsibilities.

f) Personnel shall exercise administrative and management procedures and processes that are in line with the

TSP's information security management procedures.

NOTE 6: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in

establishing roles and responsibilities.

g) Managerial personnel shall possess experience or training with respect to the trust service that is provided,

...

Draft ETSI EN 319 401 V2.0.0 (2015-06)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
---------------------- Page: 1 ----------------------
2 Draft ETSI EN 319 401 V2.0.0 (2015-06)
Reference
REN/ESI-0019401v211
Keywords
electronic signature, provider, security,
trust services
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ETSI
---------------------- Page: 2 ----------------------
3 Draft ETSI EN 319 401 V2.0.0 (2015-06)
Contents

Intellectual Property Rights ................................................................................................................................ 4

Foreword ............................................................................................................................................................. 4

Modal verbs terminology .................................................................................................................................... 4

Introduction ........................................................................................................................................................ 4

1 Scope ........................................................................................................................................................ 5

2 References ................................................................................................................................................ 5

2.1 Normative references ......................................................................................................................................... 5

2.2 Informative references ........................................................................................................................................ 5

3 Definitions and abbreviations ................................................................................................................... 6

3.1 Definitions .......................................................................................................................................................... 6

3.2 Abbreviations ..................................................................................................................................................... 6

4 Overview .................................................................................................................................................. 7

5 Risk Assesment ........................................................................................................................................ 7

6 Policies and practices ............................................................................................................................... 7

6.1 Trust Service Practice (TSP) statement .............................................................................................................. 7

6.2 Terms and Conditions ........................................................................................................................................ 8

6.3 Information security policy ................................................................................................................................ 8

7 TSP management and operation ............................................................................................................... 9

7.1 Internal organization........................................................................................................................................... 9

7.1.1 Organization reliability ................................................................................................................................. 9

7.1.2 Segregation of duties .................................................................................................................................... 9

7.2 Human resources ................................................................................................................................................ 9

7.3 Asset management ............................................................................................................................................ 11

7.3.1 General requirements .................................................................................................................................. 11

7.3.2 Media handling ........................................................................................................................................... 11

7.4 Access control .................................................................................................................................................. 11

7.5 Cryptographic controls ..................................................................................................................................... 11

7.6 Physical and environmental security ................................................................................................................ 11

7.7 Operation security ............................................................................................................................................ 12

7.8 Network security .............................................................................................................................................. 13

7.9 Incident management ....................................................................................................................................... 13

7.10 Collection of evidence ...................................................................................................................................... 14

7.11 Business continuity management ..................................................................................................................... 15

7.12 TSP termination and termination plans ............................................................................................................ 15

7.13 Compliance....................................................................................................................................................... 15

Annex A (informative): Bibliography ................................................................................................... 17

History .............................................................................................................................................................. 18

ETSI
---------------------- Page: 3 ----------------------
4 Draft ETSI EN 319 401 V2.0.0 (2015-06)
Intellectual Property Rights

IPRs essential or potentially essential to the present document 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 (http://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.
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): 12 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

Building trust in the online environment is key to economic and social development. Lack of trust, in particular because

of a perceived lack of security, makes consumers, businesses and administrations hesitate to carry out transactions

electronically and to adopt new services. Trust service providers are often an essential element to establish trust

between parties transacting electronically, particularly in open public networks, and can be used, for example, to

provide trusted identity information and help establish secure communications between transacting parties. Examples

of such trust service providers are issuers of public key certificates, time-stamping service providers, providers of

remote electronic signature generation or validation services.

For participants of electronic commerce to have confidence in the security of these trust services they need to have

confidence that the trust service providers (TSPs) have established a set of procedures, processes and security measures

in order to minimize the operational and financial threats and risks associated.

The present document specifies baseline policy requirements on the operation and management practices of TSP

regardless the service they provide. Other standards, addressing particular type of trust service, can build on this

standard to identify supplement requirements for particular type of trust service.

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.2] and those from CA Browser Forum [i.4].
ETSI
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5 Draft ETSI EN 319 401 V2.0.0 (2015-06)
1 Scope

The present document specifies general policy requirements relating to trust service providers (TSPs) that are

independent of the type of TSP whether certificate issuer (qualified or otherwise), timestamp issuer, signature verifier,

e-delivery provider or other form of trust service provider. It defines policy requirements on the operation and

management practices of TSPs.

Other specifications refine and extend these requirements as applicable to particular forms of TSP. The present

document does not specify how the requirements identified can be assessed by an independent party, including

requirements for information to be made available to such independent assessors, or requirements on such assessors.

NOTE: See ETSI EN 319 403 [i.6]: "Electronic Signatures and Infrastructures (ESI); Requirements for

conformity assessment bodies assessing Trust Service Providers".
2 References
2.1 Normative references

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

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

reference document (including any amendments) applies.

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

http://docbox.etsi.org/Reference.

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

their long term validity.

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

Not applicable.
2.2 Informative references

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

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

reference document (including any amendments) applies.

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

their long term validity.

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

user with regard to a particular subject area.

[i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the

protection of individuals with regard to the processing of personal data and on the free movement

of such data.

[i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on

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

repealing Directive 1999/93/EC.

[i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for

information security management".

[i.4] CA/Browser Forum: "Guidelines for the issuance and management of extended validation

certificates".

[i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk

management".
ETSI
---------------------- Page: 5 ----------------------
6 Draft ETSI EN 319 401 V2.0.0 (2015-06)

[i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider

Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service

Providers".
[i.7] Void.
[i.8] CA/Browser Forum: "Network and certificate system security requirements".
[i.9] Void.

[i.10] ETSI TS 119 312: "Electronic Signatures and Infrastructures (ESI); Cryptographic Suites".

[i.11] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".

[i.12] 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.13] ETSI EN 301 549: "Accessibility requirements suitable for public procurement of ICT products

and services in Europe".
3 Definitions and abbreviations
3.1 Definitions

For the purposes of the present document, the following terms and definitions apply:

Coordinated Universal Time (UTC): time scale based on the second as defined in Recommendation ITU-R

TF.460-6 [i.11]

relying party: natural or legal person that relies upon an electronic identification or a trust service

NOTE: Relying parties include parties verifying a digital signature using a public key certificate.

subscriber: legal or natural person bound by agreement with a trust service provider to any subscriber obligations

trust service: electronic service which enhances trust and confidence in electronic transactions

NOTE: Such trust services are typically but not necessarily using cryptographic techniques or involving

confidential material.

trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class

of application with common security requirements
NOTE: See clause 6 for further information on TSP policy.

trust service practice statement: statement of the practices that a TSP employs in providing a trust service

NOTE: See clause 6.2 for further information on practice statement.
trust service provider: entity which provides one or more trust services
3.2 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
IP Internet protocol
IT Information Technology
TSP Trust Service Provider
UTC Coordinated Universal Time
ETSI
---------------------- Page: 6 ----------------------
7 Draft ETSI EN 319 401 V2.0.0 (2015-06)
4 Overview

Trust services may encompass but should not be limited to the issuance of public key certificates, provision of

registration services, time-stamping services, long term preservation services, e-delivery services and/or signature

validation services.

These policy requirements are not meant to imply any restrictions on charging for TSP services.

The requirements are indicated in terms of the security objectives followed by more specific requirements for controls

to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be

met.

NOTE: The details of controls required to meet an objective is a balance between achieving the necessary

confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing

services.
5 Risk Assesment

The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into account

business and technical issues.

The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results. The risk

treatment measures shall ensure that the level of security is commensurate to the degree of risk.

NOTE: See ISO/IEC 27005 [i.5] for guidance on information security risk management as part of an information

security management system.

The TSP shall determine all security requirements and operational procedures that are necessary to implement the risk

treatment options measures chosen as documented in the information security policy and the trust service practice

statement (see clause 6).
The risk assessment shall be regularly reviewed and revised.
6 Policies and practices
6.1 Trust Service Practice (TSP) statement

The TSP shall specify the set of policies and practices appropriate for the trust services it is providing. These shall be

approved by management, published and communicated to employees and external parties as relevant.

The TSP shall have a statement of the practices and procedures for the trust service provided.

NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.

In particular:

a) The TSP shall have a statement of the practices and procedures used to address all the requirements identified

for the applicable TSP policy.

b) The TSP's trust service practice statement shall identify the obligations of all external organizations supporting

the TSP services including the applicable policies and practices.

c) The TSP shall make available to subscribers and relying parties its practice statement, and other relevant

documentation, as necessary to assess conformance to the service policy.

d) The TSP shall have a management body with overall responsibility for the TSP with final authority for

approving the TSP practice statement.
e) The TSP management shall implement the practices.

f) The TSP shall define a review process for the practices including responsibilities for maintaining the TSP

practice statement.
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8 Draft ETSI EN 319 401 V2.0.0 (2015-06)

g) The TSP shall notify notice of changes it intends to make in its practice statement and shall, following

approval as in (d) above, make the revised TSP practice statement immediately available as required under (c)

above.

h) The TSP shall state in its practices the provisions made for termination of service (as per 7..11)

6.2 Terms and Conditions

TSP shall make the terms and conditions regarding its services available to all subscribers and relying parties.

These terms and conditions shall at least specify for each trust service policy supported by the TSP the following:

a) the trust service policy being applied;
b) any limitations on the use of the service;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;

EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated

with the trust service token.
e) the period of time during which TSP event logs are retained;
f) limitations of liability;

g) limitations on the use of the services provided including the limitation for damages arising from the use of

services exceeding such limitations;
h) the applicable legal system;
i) procedures for complaints and dispute settlement;

j) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so

through which conformity assessment scheme; and
k) the TSP contact information.
Customers shall be informed about the limitations in advance.

Terms and conditions shall be made available through a durable means of communication. This information shall be

available in a readily understandable language. It may be transmitted electronically.

6.3 Information security policy

The TSP shall define an information security policy which is approved by management and which sets out the

organization's approach to managing its information security.
In particular:

a) A TSP's information security policy shall be documented, implemented and maintained including the security

controls and operating procedures for TSP facilities, systems and information assets providing the services.

The TSP shall publish and communicate this information security policy to all employees who are impacted by

it.
NOTE 1: See clause 5.1.1 of ISO/IEC 27002:2013 [i.3] for guidance.

b) The TSP shall retain overall responsibility for conformance with the procedures prescribed in its information

security policy, even when the TSP functionality is undertaken by outsourcers. TSP shall define the

outsourcers liability and ensure that outsourcer are bound to implement any controls required by the TSP.

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c) The TSP information security policy and inventory of assets for information security (see clause 7.3) shall be

reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy

and effectiveness. Any changes that will impact on the level of security provided shall be approved by the TSP

high level management body. The configuration of the TSPs systems shall be regularly checked for changes

which violate the TSPs security policies.

NOTE 2: Further specific recommendations are given in the CA Browser Forum network security guide [i.8],

item 1.

d) A TSP's management security policy shall be documented, implemented and maintained including the security

controls and operating procedures for TSP facilities, systems and information assets providing the services.

NOTE 3: See clause 5.1.1 of ISO/IEC 27002:2013 [i.3] for guidance.
7 TSP management and operation
7.1 Internal organization
7.1.1 Organization reliability
The TSP organization shall be reliable.
In particular:

a) Trust service practices under which the TSP operates shall be non-discriminatory.

b) The TSP shall make its services accessible to all applicants whose activities fall within its declared field of

operation and that agree to abide by their obligations as specified in the TSP terms and conditions.

c) The TSP shall maintain sufficient financial resources and/or obtain appropriate liability insurance, in

accordance with national law, to cover liabilities arising from its operations and/or activities.

NOTE: For liability of TSPs operating in EU, see article 13 of the Regulation (EU) No 910/2014 [i.2].

d) The TSP shall have the financial stability and resources required to operate in conformity with this policy.

e) The TSP shall have policies and procedures for the resolution of complaints and disputes received from

customers or other relying parties about the provisioning of the services or any other related matters.

f) The TSP shall have a documented agreement and contractual relationship in place where the provisioning of

services involves subcontracting, outsourcing or other third party arrangements.
7.1.2 Segregation of duties

Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or

unintentional modification or misuse of the TSP assets.
7.2 Human resources

The TSP shall ensure that employees and contractors support the trustworthiness of the TSP's operations.

NOTE 1: See clauses 6.1.1 and 7 of ISO/IEC 27002:2013 [i.3] for guidance.
In particular:

a) The TSP shall employ staff and, if applicable, subcontractors, who possess the necessary expertise, reliability,

experience, and qualifications and who have received training regarding security and personal data protection

rules as appropriate for the offered services and the job function.

b) TSP personnel should be able to fulfil the requirement of "expert knowledge, experience and qualifications"

through formal training and credentials, or actual experience, or a combination of the two. This should include

regular (at least every 12 months) updates on new threats and current security practices.

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NOTE 2: Personnel employed by a TSP include individual personnel contractually engaged in performing functions

in support of the TSP's services. Personnel who can be involved in monitoring the TSP services need not

be TSP personnel.

c) Appropriate disciplinary sanctions shall be applied to personnel violating TSP policies or procedures.

NOTE 3: See clause 7.2.3 of ISO/IEC 27002:2013 [i.3] for guidance.

d) Security roles and responsibilities, as specified in the TSP's management security policy, shall be documented

in job descriptions or in documents available to all concerned personnel. Trusted roles, on which the security

of the TSP's operation is dependent, shall be clearly identified. Trusted roles shall be named by the

management and shall be accepted by the management and the person to fulfil the role.

NOTE 4: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in

stablishing roles and responsibilities.

e) TSP personnel (both temporary and permanent) shall have job descriptions defined from the view point of

roles fulfilled with segregation of duties and least privilege (see clause 7.1.2), determining position sensitivity

based on the duties and access levels, background screening and employee training and awareness. Where

appropriate, these shall differentiate between general functions and TSP specific functions. These should

include skills and experience requirements.

NOTE 5: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in

stablishing roles and responsibilities.

f) Personnel shall exercise administrative and management procedures and processes that are in line with the

TSP's information security management procedures.

NOTE 6: See clause 7.2.1 of ISO/IEC 27002:2013 [i.3] for further guidance on management responsibilities in

stablishing roles and responsibilities.

g) Managerial personnel shall possess experience or training with respect to the trust service that is provided,

familiarity with security procedures for personnel with security responsibilities and experience with

information security and risk assessment sufficient to carry out management functions.

h) All TSP personnel in trusted roles shall be free from conflict of interest that might prejudice the impartiality of

the TSP operations.
NOTE 7: See clause 6.1.2 of ISO/IEC 27002:2013 [i.3] for guidance.

i) Trusted roles shall include roles that involve the following responsibilities:

i) Security Officers: Overall responsibility for administering the implementation of the security practices.

ii) System Administrators: Authorized to install, configure and maintain the TSP trustworthy systems for

service management.
iii) System Operators: Responsible for operating the TSP
...

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