SIST EN 319 401 V2.3.1:2021
(Main)Electronic Signatures and Infrastructures (ESI) - General Policy Requirements for Trust Service Providers
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] for details about requirements for conformity assessment bodies assessing
Trust Service Providers.
Elektronski podpisi in infrastruktura (ESI) - Splošne zahteve politike za ponudnike storitev zaupanja
General Information
Buy Standard
Standards Content (Sample)
ETSI EN 319 401 V2.3.1 (2021-05)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
---------------------- Page: 1 ----------------------
2 ETSI EN 319 401 V2.3.1 (2021-05)
Reference
REN/ESI-0019401v231
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:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
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 2021.
All rights reserved.
ETSI
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3 ETSI EN 319 401 V2.3.1 (2021-05)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Introduction . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 6
3 Definition of terms, symbols, abbreviations and notation . 7
3.1 Terms . 7
3.2 Symbols . 8
3.3 Abbreviations . 8
3.4 Notation . 8
4 Overview . 9
5 Risk Assessment . 9
6 Policies and practices . 9
6.1 Trust Service Practice statement . 9
6.2 Terms and Conditions . 10
6.3 Information security policy . 11
7 TSP management and operation . 12
7.1 Internal organization. 12
7.1.1 Organization reliability . 12
7.1.2 Segregation of duties . 12
7.2 Human resources . 12
7.3 Asset management . 14
7.3.1 General requirements . 14
7.3.2 Media handling . 14
7.4 Access control . 14
7.5 Cryptographic controls . 15
7.6 Physical and environmental security . 15
7.7 Operation security . 16
7.8 Network security . 16
7.9 Incident management . 17
7.10 Collection of evidence . 18
7.11 Business continuity management . 19
7.12 TSP termination and termination plans . 19
7.13 Compliance. 20
Annex A (informative): Bibliography . 21
Annex B (informative): Change history . 22
History . 23
ETSI
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4 ETSI EN 319 401 V2.3.1 (2021-05)
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: 12 May 2021
Date of latest announcement of this EN (doa): 31 August 2021
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2022
Date of withdrawal of any conflicting National Standard (dow): 28 February 2022
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI
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5 ETSI EN 319 401 V2.3.1 (2021-05)
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.
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 (EU) No 910/2014 [i.2] requirements for TSPs issuing EU qualified
certificates.
ETSI
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6 ETSI EN 319 401 V2.3.1 (2021-05)
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] for details about requirements for conformity assessment bodies assessing
Trust Service Providers.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
Not applicable.
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing of personal data and on the free movement
of such data.
[i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
[i.4] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-
Trusted Certificates".
[i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk
management".
ETSI
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7 ETSI EN 319 401 V2.3.1 (2021-05)
[i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.7] CA/Browser Forum: "Network and certificate system security requirements".
[i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".
[i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[i.10] ETSI EN 301 549: "Accessibility requirements for ICT products and services".
[i.11] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust
service providers issuing EU qualified certificates".
[i.12] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC.
[i.13] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.14] ISO/IEC 27701:2019: "Security techniques - Extension to ISO/IEC 27001 and ISO/IEC 27002 for
privacy information management - Requirements and guidelines".
3 Definition of terms, symbols, abbreviations and
notation
3.1 Terms
For the purposes of the present document, the following terms 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 component: one part of the overall service of a TSP
EXAMPLE: Those identified in clause 4.4 of ETSI EN 319 411-1 [i.9]. Also, ETSI TS 119 431-1 [i.13] defines
requirements for a Server Signing Application Service Component (SSASC) which can be
implemented as part of TSP's service which also includes other service components.
ETSI
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8 ETSI EN 319 401 V2.3.1 (2021-05)
NOTE: Other standards, including ETSI standards, can specify requirements for other service components which
can form part of a wider TSP's service.
trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class
of application with common security requirements
NOTE: A trust service policy describes what is offered and provides information about the level of the service. It
is defined independently of the specific details of the specific operating environment of a TSP; a trust
service policy can apply to a community to which several TSPs belong that abide by the common set of
rules specified in that policy. It can be defined for example by the TSP, by standards, by national
(e.g. government) or international organizations, by the customers (subscribers) of the TSP and it is not
necessarily part of the TSP's documentation.
trust service practice statement: statement of the practices that a TSP employs in providing a trust service
NOTE: See clause 6.2 for further information on practice statement.
Trust Service Provider (TSP): entity which provides one or more trust services
trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service
NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
IP Internet Protocol
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
UTC Coordinated Universal Time
3.4 Notation
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The management of the requirement identifiers throughout subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish a new requirement.
• The requirement identifier for deleted requirements are left and completed with "Void".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
ETSI
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9 ETSI EN 319 401 V2.3.1 (2021-05)
4 Overview
Trust services can encompass but is not limited to the issuance of public key certificates, provision of registration
services, time-stamping services, long term preservation services, e-delivery services and/or signature validation
services.
These policy requirements are not meant to imply any restrictions on charging for TSP's services.
The requirements are indicated in terms of the security objectives followed by more specific requirements for controls
to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be
met.
When implementing controls of clause 7, ISO/IEC 27002:2013 [i.3] should be applied.
NOTE: The details of controls required to meet an objective is a balance between achieving the necessary
confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing
services.
5 Risk Assessment
REQ-5-01: The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into
account business and technical issues.
REQ-5-02: The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results.
The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.
NOTE: See ISO/IEC 27005:2011 [i.5] for guidance on information security risk management as part of an
information security management system.
REQ-5-03: The TSP shall determine all security requirements and operational procedures that are necessary to
implement the risk treatment measures chosen, as documented in the information security policy and the trust service
practice statement (see clause 6).
REQ-5-04: The risk assessment shall be regularly reviewed and revised.
REQ-5-05: The TSP's management shall approve the risk assessment and accept the residual risk identified.
6 Policies and practices
6.1 Trust Service Practice statement
REQ-6.1-01: The TSP shall specify the set of policies and practices appropriate for the trust services it is providing.
REQ-6.1-02: The set of policies and practices shall be approved by management, published and communicated to
employees and external parties as relevant.
In particular:
• REQ-6.1-03: Void.
• REQ-6.1-03A: The TSP shall have a statement of the practices and procedures used to address all the
requirements of the applicable trust service policy as identified by the TSP.
NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.
• REQ-6.1-04: The TSP's trust service practice statement shall identify the obligations of all external
organizations supporting the TSP's services including the applicable policies and practices.
• REQ-6.1-05: Void.
ETSI
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10 ETSI EN 319 401 V2.3.1 (2021-05)
• REQ-6.1-05A: The TSP shall make available to subscribers and relying parties its practice statement, and
other relevant documentation, as necessary to demonstrate conformance to the trust service policy.
NOTE 2: The TSP need not disclose any aspects containing sensitive information in the documentation that is made
available to subscribers and relying parties.
• REQ-6.1-06: The TSP shall have a management body with overall responsibility for the TSP with final
authority for approving the TSP's practice statement.
• REQ-6.1-07: The TSP's management shall implement the practices.
• REQ-6.1-08: The TSP shall define a review process for the practices including responsibilities for maintaining
the TSP's practice statement.
• REQ-6.1-09: Void.
• REQ-6.1-09A [CONDITIONAL]: When the TSP intends to make changes in its practice statement that
might affect the acceptance of the service by the subject, subscriber or relying parties, it shall give due notice
of changes to subscribers and relying parties.
NOTE 3: The due notice does not need to provide the details of the changes. The due notice can be published on the
TSP's repository.
• REQ-6.1-10: The TSP shall, following approval as in REQ-6.1-06 above, make the revised TSP's practice
statement immediately available as required under REQ-6.1-05 above.
• REQ-6.1-11: The TSP shall state in its practices the provisions made for termination of service (see
clause 7.12).
6.2 Terms and Conditions
REQ-6.2-01: TSP shall make the terms and conditions regarding its services available to all subscribers and relying
parties.
REQ-6.2-02: The terms and conditions shall at least specify for each trust service policy supported by the TSP the
following:
a) the trust service policy being applied;
b) any limitations on the use of the service provided including the limitation for damages arising from the
use of services exceeding such limitations;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;
EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated
with the trust service token.
e) the period of time during which TSP's event logs are retained;
f) limitations of liability;
g) the applicable legal system;
h) procedures for complaints and dispute settlement;
i) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so
through which conformity assessment scheme;
j) the TSP's contact information; and
k) any undertaking regarding availability.
ETSI
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11 ETSI EN 319 401 V2.3.1 (2021-05)
REQ-6.2-03: Subscribers and parties relying on the trust service shall be informed of precise terms and conditions,
including the items listed above, before entering into a contractual relationship.
REQ-6.2-04: Terms and conditions shall be made available through a durable means of communication.
REQ-6.2-05: Terms and conditions shall be available in a readily understandable language.
REQ-6.2-06: Terms and conditions may be transmitted electronically.
6.3 Information security policy
REQ-6.3-01: The TSP shall define an information security policy which is approved by management and which sets
out the organization's approach to managing its information security.
REQ-6.3-02: Changes to the information security policy shall be communicated to third parties, where applicable. This
includes subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies.
In particular:
• REQ-6.3-03: A TSP's information security policy shall be documented, implemented and maintained
including the security controls and operating procedures for TSP's facilities, systems and information assets
providing the services.
• REQ-6.3-04: The TS
...
SLOVENSKI STANDARD
SIST EN 319 401 V2.3.1:2021
01-julij-2021
Elektronski podpisi in infrastruktura (ESI) - Splošne zahteve politike za ponudnike
storitev zaupanja
Electronic Signatures and Infrastructures (ESI) - General Policy Requirements for Trust
Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 401 V2.3.1 (2021-05)
ICS:
03.080.99 Druge storitve Other services
35.040.01 Kodiranje informacij na Information coding in general
splošno
SIST EN 319 401 V2.3.1:2021 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST EN 319 401 V2.3.1:2021
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SIST EN 319 401 V2.3.1:2021
ETSI EN 319 401 V2.3.1 (2021-05)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
---------------------- Page: 3 ----------------------
SIST EN 319 401 V2.3.1:2021
2 ETSI EN 319 401 V2.3.1 (2021-05)
Reference
REN/ESI-0019401v231
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:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the prevailing version of an ETSI
deliverable is the one made publicly available in PDF format at www.etsi.org/deliver.
Users of the present document should be aware that the document may be subject to revision or change of status.
Information on the current status of this and other ETSI documents is available at
https://portal.etsi.org/TB/ETSIDeliverableStatus.aspx
If you find errors in the present document, please send your comment to one of the following services:
https://portal.etsi.org/People/CommiteeSupportStaff.aspx
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 2021.
All rights reserved.
ETSI
---------------------- Page: 4 ----------------------
SIST EN 319 401 V2.3.1:2021
3 ETSI EN 319 401 V2.3.1 (2021-05)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Introduction . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 6
3 Definition of terms, symbols, abbreviations and notation . 7
3.1 Terms . 7
3.2 Symbols . 8
3.3 Abbreviations . 8
3.4 Notation . 8
4 Overview . 9
5 Risk Assessment . 9
6 Policies and practices . 9
6.1 Trust Service Practice statement . 9
6.2 Terms and Conditions . 10
6.3 Information security policy . 11
7 TSP management and operation . 12
7.1 Internal organization. 12
7.1.1 Organization reliability . 12
7.1.2 Segregation of duties . 12
7.2 Human resources . 12
7.3 Asset management . 14
7.3.1 General requirements . 14
7.3.2 Media handling . 14
7.4 Access control . 14
7.5 Cryptographic controls . 15
7.6 Physical and environmental security . 15
7.7 Operation security . 16
7.8 Network security . 16
7.9 Incident management . 17
7.10 Collection of evidence . 18
7.11 Business continuity management . 19
7.12 TSP termination and termination plans . 19
7.13 Compliance. 20
Annex A (informative): Bibliography . 21
Annex B (informative): Change history . 22
History . 23
ETSI
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SIST EN 319 401 V2.3.1:2021
4 ETSI EN 319 401 V2.3.1 (2021-05)
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: 12 May 2021
Date of latest announcement of this EN (doa): 31 August 2021
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 28 February 2022
Date of withdrawal of any conflicting National Standard (dow): 28 February 2022
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI
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SIST EN 319 401 V2.3.1:2021
5 ETSI EN 319 401 V2.3.1 (2021-05)
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.
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 (EU) No 910/2014 [i.2] requirements for TSPs issuing EU qualified
certificates.
ETSI
---------------------- Page: 7 ----------------------
SIST EN 319 401 V2.3.1:2021
6 ETSI EN 319 401 V2.3.1 (2021-05)
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] for details about requirements for conformity assessment bodies assessing
Trust Service Providers.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
Not applicable.
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing of personal data and on the free movement
of such data.
[i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
[i.4] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-
Trusted Certificates".
[i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk
management".
ETSI
---------------------- Page: 8 ----------------------
SIST EN 319 401 V2.3.1:2021
7 ETSI EN 319 401 V2.3.1 (2021-05)
[i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.7] CA/Browser Forum: "Network and certificate system security requirements".
[i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".
[i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[i.10] ETSI EN 301 549: "Accessibility requirements for ICT products and services".
[i.11] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust
service providers issuing EU qualified certificates".
[i.12] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC.
[i.13] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.14] ISO/IEC 27701:2019: "Security techniques - Extension to ISO/IEC 27001 and ISO/IEC 27002 for
privacy information management - Requirements and guidelines".
3 Definition of terms, symbols, abbreviations and
notation
3.1 Terms
For the purposes of the present document, the following terms 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 component: one part of the overall service of a TSP
EXAMPLE: Those identified in clause 4.4 of ETSI EN 319 411-1 [i.9]. Also, ETSI TS 119 431-1 [i.13] defines
requirements for a Server Signing Application Service Component (SSASC) which can be
implemented as part of TSP's service which also includes other service components.
ETSI
---------------------- Page: 9 ----------------------
SIST EN 319 401 V2.3.1:2021
8 ETSI EN 319 401 V2.3.1 (2021-05)
NOTE: Other standards, including ETSI standards, can specify requirements for other service components which
can form part of a wider TSP's service.
trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class
of application with common security requirements
NOTE: A trust service policy describes what is offered and provides information about the level of the service. It
is defined independently of the specific details of the specific operating environment of a TSP; a trust
service policy can apply to a community to which several TSPs belong that abide by the common set of
rules specified in that policy. It can be defined for example by the TSP, by standards, by national
(e.g. government) or international organizations, by the customers (subscribers) of the TSP and it is not
necessarily part of the TSP's documentation.
trust service practice statement: statement of the practices that a TSP employs in providing a trust service
NOTE: See clause 6.2 for further information on practice statement.
Trust Service Provider (TSP): entity which provides one or more trust services
trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service
NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
IP Internet Protocol
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
UTC Coordinated Universal Time
3.4 Notation
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The management of the requirement identifiers throughout subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish a new requirement.
• The requirement identifier for deleted requirements are left and completed with "Void".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
ETSI
---------------------- Page: 10 ----------------------
SIST EN 319 401 V2.3.1:2021
9 ETSI EN 319 401 V2.3.1 (2021-05)
4 Overview
Trust services can encompass but is not limited to the issuance of public key certificates, provision of registration
services, time-stamping services, long term preservation services, e-delivery services and/or signature validation
services.
These policy requirements are not meant to imply any restrictions on charging for TSP's services.
The requirements are indicated in terms of the security objectives followed by more specific requirements for controls
to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be
met.
When implementing controls of clause 7, ISO/IEC 27002:2013 [i.3] should be applied.
NOTE: The details of controls required to meet an objective is a balance between achieving the necessary
confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing
services.
5 Risk Assessment
REQ-5-01: The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into
account business and technical issues.
REQ-5-02: The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results.
The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.
NOTE: See ISO/IEC 27005:2011 [i.5] for guidance on information security risk management as part of an
information security management system.
REQ-5-03: The TSP shall determine all security requirements and operational procedures that are necessary to
implement the risk treatment measures chosen, as documented in the information security policy and the trust service
practice statement (see clause 6).
REQ-5-04: The risk assessment shall be regularly reviewed and revised.
REQ-5-05: The TSP's management shall approve the risk assessment and accept the residual risk identified.
6 Policies and practices
6.1 Trust Service Practice statement
REQ-6.1-01: The TSP shall specify the set of policies and practices appropriate for the trust services it is providing.
REQ-6.1-02: The set of policies and practices shall be approved by management, published and communicated to
employees and external parties as relevant.
In particular:
• REQ-6.1-03: Void.
• REQ-6.1-03A: The TSP shall have a statement of the practices and procedures used to address all the
requirements of the applicable trust service policy as identified by the TSP.
NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.
• REQ-6.1-04: The TSP's trust service practice statement shall identify the obligations of all external
organizations supporting the TSP's services including the applicable policies and practices.
• REQ-6.1-05: Void.
ETSI
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SIST EN 319 401 V2.3.1:2021
10 ETSI EN 319 401 V2.3.1 (2021-05)
• REQ-6.1-05A: The TSP shall make available to subscribers and relying parties its practice statement, and
other relevant documentation, as necessary to demonstrate conformance to the trust service policy.
NOTE 2: The TSP need not disclose any aspects containing sensitive information in the documentation that is made
available to subscribers and relying parties.
• REQ-6.1-06: The TSP shall have a management body with overall responsibility for the TSP with final
authority for approving the TSP's practice statement.
• REQ-6.1-07: The TSP's management shall implement the practices.
• REQ-6.1-08: The TSP shall define a review process for the practices including responsibilities for maintaining
the TSP's practice statement.
• REQ-6.1-09: Void.
• REQ-6.1-09A [CONDITIONAL]: When the TSP intends to make changes in its practice statement that
might affect the acceptance of the service by the subject, subscriber or relying parties, it shall give due notice
of changes to subscribers and relying parties.
NOTE 3: The due notice does not need to provide the details of the changes. The due notice can be published on the
TSP's repository.
• REQ-6.1-10: The TSP shall, following approval as in REQ-6.1-06 above, make the revised TSP's practice
statement immediately available as required under REQ-6.1-05 above.
• REQ-6.1-11: The TSP shall state in its practices the provisions made for termination of service (see
clause 7.12).
6.2 Terms and Conditions
REQ-6.2-01: TSP shall make the terms and conditions regarding its services available to all subscribers and relying
parties.
REQ-6.2-02: The terms and conditions shall at least specify for each trust service policy supported by the TSP the
following:
a) the trust service policy being applied;
b) any limitations on the use of the service provided including the limitation for damages arising from the
use of services exceeding such limitations;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;
EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated
with the trust service token.
e) the period of time during which TSP's event logs are retained;
f) limitations of liability;
g) the applicable legal system;
h) procedures for complaints and dispute settlement;
i) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so
through which conformity assessment scheme;
j) the TSP's contact information; and
k) any undertaking regarding availability.
ETSI
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SIST EN 319 401 V2.3.1:2021
11 ETSI EN 319 401 V2.3.1 (2021-05)
REQ-6.2-03: Subscribers and parties relying on the trust service shall be informed
...
Draft ETSI EN 319 401 V2.3.0 (2021-02)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
---------------------- Page: 1 ----------------------
2 Draft ETSI EN 319 401 V2.3.0 (2021-02)
Reference
REN/ESI-0019401v231
Keywords
electronic signature, provider, security, trust
services
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No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying
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© ETSI 2021.
All rights reserved.
DECT™, PLUGTESTS™, UMTS™ and the ETSI logo are trademarks of ETSI registered for the benefit of its Members.
3GPP™ and LTE™ are trademarks of ETSI registered for the benefit of its Members and
of the 3GPP Organizational Partners.
oneM2M™ logo is a trademark of ETSI registered for the benefit of its Members and
of the oneM2M Partners.
®
GSM and the GSM logo are trademarks registered and owned by the GSM Association.
ETSI
---------------------- Page: 2 ----------------------
3 Draft ETSI EN 319 401 V2.3.0 (2021-02)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Introduction . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 6
3 Definition of terms, symbols, abbreviations and notation . 7
3.1 Terms . 7
3.2 Symbols . 8
3.3 Abbreviations . 8
3.4 Notation . 8
4 Overview . 9
5 Risk Assessment . 9
6 Policies and practices . 9
6.1 Trust Service Practice statement . 9
6.2 Terms and Conditions . 10
6.3 Information security policy . 11
7 TSP management and operation . 12
7.1 Internal organization. 12
7.1.1 Organization reliability . 12
7.1.2 Segregation of duties . 12
7.2 Human resources . 12
7.3 Asset management . 14
7.3.1 General requirements . 14
7.3.2 Media handling . 14
7.4 Access control . 14
7.5 Cryptographic controls . 15
7.6 Physical and environmental security . 15
7.7 Operation security . 16
7.8 Network security . 16
7.9 Incident management . 17
7.10 Collection of evidence . 18
7.11 Business continuity management . 19
7.12 TSP termination and termination plans . 19
7.13 Compliance. 20
Annex A (informative): Bibliography . 21
Annex B (informative): Change history . 22
History . 23
ETSI
---------------------- Page: 3 ----------------------
4 Draft ETSI EN 319 401 V2.3.0 (2021-02)
Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards EN
Approval Procedure.
Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa
Date of withdrawal of any conflicting National Standard (dow): 6 months after doa
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
ETSI
---------------------- Page: 4 ----------------------
5 Draft ETSI EN 319 401 V2.3.0 (2021-02)
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.
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 (EU) No 910/2014 [i.2] requirements for TSPs issuing EU qualified
certificates.
ETSI
---------------------- Page: 5 ----------------------
6 Draft ETSI EN 319 401 V2.3.0 (2021-02)
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] for details about requirements for conformity assessment bodies assessing
Trust Service Providers.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
Not applicable.
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing of personal data and on the free movement
of such data.
[i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
[i.4] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-
Trusted Certificates".
[i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk
management".
ETSI
---------------------- Page: 6 ----------------------
7 Draft ETSI EN 319 401 V2.3.0 (2021-02)
[i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.7] CA/Browser Forum: "Network and certificate system security requirements".
[i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".
[i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[i.10] ETSI EN 301 549: "Accessibility requirements for ICT products and services".
[i.11] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust
service providers issuing EU qualified certificates".
[i.12] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC.
[i.13] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.14] ISO/IEC 27701:2019: "Security techniques - Extension to ISO/IEC 27001 and ISO/IEC 27002 for
privacy information management - Requirements and guidelines".
3 Definition of terms, symbols, abbreviations and
notation
3.1 Terms
For the purposes of the present document, the following terms 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 component: one part of the overall service of a TSP
EXAMPLE: Those identified in clause 4.4 of ETSI EN 319 411-1 [i.9]. Also, ETSI TS 119 431-1 [i.13] defines
requirements for a Server Signing Application Service Component (SSASC) which can be
implemented as part of TSP's service which also includes other service components.
ETSI
---------------------- Page: 7 ----------------------
8 Draft ETSI EN 319 401 V2.3.0 (2021-02)
NOTE: Other standards, including ETSI standards, can specify requirements for other service components which
can form part of a wider TSP's service.
trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class
of application with common security requirements
NOTE: A trust service policy describes what is offered and provides information about the level of the service. It
is defined independently of the specific details of the specific operating environment of a TSP; a trust
service policy can apply to a community to which several TSPs belong that abide by the common set of
rules specified in that policy. It can be defined for example by the TSP, by standards, by national
(e.g. government) or international organizations, by the customers (subscribers) of the TSP and it is not
necessarily part of the TSP's documentation.
trust service practice statement: statement of the practices that a TSP employs in providing a trust service
NOTE: See clause 6.2 for further information on practice statement.
Trust Service Provider (TSP): entity which provides one or more trust services
trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service
NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
IP Internet Protocol
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
UTC Coordinated Universal Time
3.4 Notation
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The management of the requirement identifiers throughout subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish a new requirement.
• The requirement identifier for deleted requirements are left and completed with "Void".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
ETSI
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9 Draft ETSI EN 319 401 V2.3.0 (2021-02)
4 Overview
Trust services can encompass but is not limited to the issuance of public key certificates, provision of registration
services, time-stamping services, long term preservation services, e-delivery services and/or signature validation
services.
These policy requirements are not meant to imply any restrictions on charging for TSP's services.
The requirements are indicated in terms of the security objectives followed by more specific requirements for controls
to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be
met.
When implementing controls of clause 7, ISO/IEC 27002:2013 [i.3] should be applied.
NOTE: The details of controls required to meet an objective is a balance between achieving the necessary
confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing
services.
5 Risk Assessment
REQ-5-01: The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into
account business and technical issues.
REQ-5-02: The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results.
The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.
NOTE: See ISO/IEC 27005:2011 [i.5] for guidance on information security risk management as part of an
information security management system.
REQ-5-03: The TSP shall determine all security requirements and operational procedures that are necessary to
implement the risk treatment measures chosen, as documented in the information security policy and the trust service
practice statement (see clause 6).
REQ-5-04: The risk assessment shall be regularly reviewed and revised.
REQ-5-05: The TSP's management shall approve the risk assessment and accept the residual risk identified.
6 Policies and practices
6.1 Trust Service Practice statement
REQ-6.1-01: The TSP shall specify the set of policies and practices appropriate for the trust services it is providing.
REQ-6.1-02: The set of policies and practices shall be approved by management, published and communicated to
employees and external parties as relevant.
In particular:
• REQ-6.1-03: Void.
• REQ-6.1-03A: The TSP shall have a statement of the practices and procedures used to address all the
requirements of the applicable trust service policy as identified by the TSP.
NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.
• REQ-6.1-04: The TSP's trust service practice statement shall identify the obligations of all external
organizations supporting the TSP's services including the applicable policies and practices.
• REQ-6.1-05: Void.
ETSI
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10 Draft ETSI EN 319 401 V2.3.0 (2021-02)
• REQ-6.1-05A: The TSP shall make available to subscribers and relying parties its practice statement, and
other relevant documentation, as necessary to demonstrate conformance to the trust service policy.
NOTE 2: The TSP need not disclose any aspects containing sensitive information in the documentation that is made
available to subscribers and relying parties.
• REQ-6.1-06: The TSP shall have a management body with overall responsibility for the TSP with final
authority for approving the TSP's practice statement.
• REQ-6.1-07: The TSP's management shall implement the practices.
• REQ-6.1-08: The TSP shall define a review process for the practices including responsibilities for maintaining
the TSP's practice statement.
• REQ-6.1-09: Void.
• REQ-6.1-09A [CONDITIONAL]: When the TSP intends to make changes in its practice statement that
might affect the acceptance of the service by the subject, subscriber or relying parties, it shall give due notice
of changes to subscribers and relying parties.
NOTE 3: The due notice does not need to provide the details of the changes. The due notice can be published on the
TSP's repository.
• REQ-6.1-10: The TSP shall, following approval as in REQ-6.1-06 above, make the revised TSP's practice
statement immediately available as required under REQ-6.1-05 above.
• REQ-6.1-11: The TSP shall state in its practices the provisions made for termination of service (see
clause 7.12).
6.2 Terms and Conditions
REQ-6.2-01: TSP shall make the terms and conditions regarding its services available to all subscribers and relying
parties.
REQ-6.2-02: The terms and conditions shall at least specify for each trust service policy supported by the TSP the
following:
a) the trust service policy being applied;
b) any limitations on the use of the service provided including the limitation for damages arising from the
use of services exceeding such limitations;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;
EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated
with the trust service token.
e) the period of time during which TSP's event logs are retained;
f) limitations of liability;
g) the applicable legal system;
h) procedures for complaints and dispute settlement;
i) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so
through which conformity assessment scheme;
j) the TSP's contact information; and
k) any undertaking regarding availability.
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REQ-6.2-03: Subscribers and parties relying on the trust service shall be informed of precise terms and conditions,
including the items listed above, before entering into a contractual relationship.
REQ-6.2-04: Terms and conditions shall be made available through a durable means of communication.
REQ-6.2-05: Terms and conditions shall be available in a readily understandable language.
REQ-6.2-06: Terms and conditions may be transmitted electronically.
6.3 Information security policy
REQ-6.3-01: The TSP shall define an information security policy which is approved by management and which sets
out the organization's approach to managing its information security.
REQ-6.3-02: Changes to the information security policy shall be communicated to third parties, where applicable. This
includes subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies.
In particular:
• REQ-6.3-03: A TSP's information security policy shall be documented, implemented and maintained
including the security controls and operating procedures for TSP's facilities, systems and information assets
providing the services.
• REQ-6.3-04: The TSP shall publish and communicate the information security policy to all employees who
are impacted by it.
NOTE 1: See clause 5.1.1 of ISO/IEC 27002:2013 [i.3] for guidance.
• REQ-6.3-05: The TSP shall retain overall responsibility for conformance with the procedures prescribed in its
information security policy, even when the TSP's functionality is undertaken by outsourcers.
• REQ-6.3-06: TSP shall define the outsourcers' liability and ensure that outsourcer are bound to implement any
controls required by the TSP.
• REQ-6.3-07: The TSP's information security policy and inventory of assets for information security (see
clause 7.3) shall be reviewed at planned intervals or if significant changes occur to ensure their continuing
suitability, adequacy and effectiveness.
• REQ-6.3-08: Any changes that will impact on the level of security provided shall be approved by the
management body referred to in REQ-6.1-07.
• REQ-6.3-09: The configuration of th
...
SLOVENSKI STANDARD
oSIST prEN 319 401 V2.3.0:2021
01-april-2021
Elektronski podpisi in infrastruktura (ESI) - Splošne zahteve politike za ponudnike
storitev zaupanja
Electronic Signatures and Infrastructures (ESI) - General Policy Requirements for Trust
Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 401 V2.3.0 (2021-02)
ICS:
03.080.99 Druge storitve Other services
35.040.01 Kodiranje informacij na Information coding in general
splošno
oSIST prEN 319 401 V2.3.0:2021 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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oSIST prEN 319 401 V2.3.0:2021
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oSIST prEN 319 401 V2.3.0:2021
Draft ETSI EN 319 401 V2.3.0 (2021-02)
EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
General Policy Requirements for
Trust Service Providers
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oSIST prEN 319 401 V2.3.0:2021
2 Draft ETSI EN 319 401 V2.3.0 (2021-02)
Reference
REN/ESI-0019401v231
Keywords
electronic signature, provider, security, trust
services
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ETSI
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3 Draft ETSI EN 319 401 V2.3.0 (2021-02)
Contents
Intellectual Property Rights . 4
Foreword . 4
Modal verbs terminology . 4
Introduction . 5
1 Scope . 6
2 References . 6
2.1 Normative references . 6
2.2 Informative references . 6
3 Definition of terms, symbols, abbreviations and notation . 7
3.1 Terms . 7
3.2 Symbols . 8
3.3 Abbreviations . 8
3.4 Notation . 8
4 Overview . 9
5 Risk Assessment . 9
6 Policies and practices . 9
6.1 Trust Service Practice statement . 9
6.2 Terms and Conditions . 10
6.3 Information security policy . 11
7 TSP management and operation . 12
7.1 Internal organization. 12
7.1.1 Organization reliability . 12
7.1.2 Segregation of duties . 12
7.2 Human resources . 12
7.3 Asset management . 14
7.3.1 General requirements . 14
7.3.2 Media handling . 14
7.4 Access control . 14
7.5 Cryptographic controls . 15
7.6 Physical and environmental security . 15
7.7 Operation security . 16
7.8 Network security . 16
7.9 Incident management . 17
7.10 Collection of evidence . 18
7.11 Business continuity management . 19
7.12 TSP termination and termination plans . 19
7.13 Compliance. 20
Annex A (informative): Bibliography . 21
Annex B (informative): Change history . 22
History . 23
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Intellectual Property Rights
Essential patents
IPRs essential or potentially essential to normative deliverables may have been declared to ETSI. The information
pertaining to these essential IPRs, if any, is publicly available for ETSI members and non-members, and can be found
in ETSI SR 000 314: "Intellectual Property Rights (IPRs); Essential, or potentially Essential, IPRs notified to ETSI in
respect of ETSI standards", which is available from the ETSI Secretariat. Latest updates are available on the ETSI Web
server (https://ipr.etsi.org/).
Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee
can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the ETSI Web
server) which are, or may be, or may become, essential to the present document.
Trademarks
The present document may include trademarks and/or tradenames which are asserted and/or registered by their owners.
ETSI claims no ownership of these except for any which are indicated as being the property of ETSI, and conveys no
right to use or reproduce any trademark and/or tradename. Mention of those trademarks in the present document does
not constitute an endorsement by ETSI of products, services or organizations associated with those trademarks.
Foreword
This draft European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and
Infrastructures (ESI), and is now submitted for the combined Public Enquiry and Vote phase of the ETSI standards EN
Approval Procedure.
Proposed national transposition dates
Date of latest announcement of this EN (doa): 3 months after ETSI publication
Date of latest publication of new National Standard
or endorsement of this EN (dop/e): 6 months after doa
Date of withdrawal of any conflicting National Standard (dow): 6 months after doa
Modal verbs terminology
In the present document "shall", "shall not", "should", "should not", "may", "need not", "will", "will not", "can" and
"cannot" are to be interpreted as described in clause 3.2 of the ETSI Drafting Rules (Verbal forms for the expression of
provisions).
"must" and "must not" are NOT allowed in ETSI deliverables except when used in direct citation.
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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.
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 (EU) No 910/2014 [i.2] requirements for TSPs issuing EU qualified
certificates.
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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] for details about requirements for conformity assessment bodies assessing
Trust Service Providers.
2 References
2.1 Normative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
Referenced documents which are not found to be publicly available in the expected location might be found at
https://docbox.etsi.org/Reference.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are necessary for the application of the present document.
Not applicable.
2.2 Informative references
References are either specific (identified by date of publication and/or edition number or version number) or
non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the
referenced document (including any amendments) applies.
NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee
their long term validity.
The following referenced documents are not necessary for the application of the present document but they assist the
user with regard to a particular subject area.
[i.1] Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the
protection of individuals with regard to the processing of personal data and on the free movement
of such data.
[i.2] Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on
electronic identification and trust services for electronic transactions in the internal market and
repealing Directive 1999/93/EC.
[i.3] ISO/IEC 27002:2013: "Information technology - Security techniques - Code of practice for
information security management".
[i.4] CA/Browser Forum: "Baseline Requirements for the Issuance and Management of Publicly-
Trusted Certificates".
[i.5] ISO/IEC 27005:2011: "Information technology - Security techniques - Information security risk
management".
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[i.6] ETSI EN 319 403: "Electronic Signatures and Infrastructures (ESI); Trust Service Provider
Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service
Providers".
[i.7] CA/Browser Forum: "Network and certificate system security requirements".
[i.8] Recommendation ITU-R TF.460-6 (2002): "Standard-frequency and time-signal emissions".
[i.9] ETSI EN 319 411-1: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 1: General requirements".
[i.10] ETSI EN 301 549: "Accessibility requirements for ICT products and services".
[i.11] ETSI EN 319 411-2: "Electronic Signatures and Infrastructures (ESI); Policy and Security
Requirements for Trust Service Providers issuing certificates; Part 2: Requirements for trust
service providers issuing EU qualified certificates".
[i.12] Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the
protection of natural persons with regard to the processing of personal data and on the free
movement of such data, and repealing Directive 95/46/EC.
[i.13] ETSI TS 119 431-1: "Electronic Signatures and Infrastructures (ESI); Policy and security
requirements for trust service providers; Part 1: TSP service components operating a remote
QSCD / SCDev".
[i.14] ISO/IEC 27701:2019: "Security techniques - Extension to ISO/IEC 27001 and ISO/IEC 27002 for
privacy information management - Requirements and guidelines".
3 Definition of terms, symbols, abbreviations and
notation
3.1 Terms
For the purposes of the present document, the following terms 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 component: one part of the overall service of a TSP
EXAMPLE: Those identified in clause 4.4 of ETSI EN 319 411-1 [i.9]. Also, ETSI TS 119 431-1 [i.13] defines
requirements for a Server Signing Application Service Component (SSASC) which can be
implemented as part of TSP's service which also includes other service components.
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NOTE: Other standards, including ETSI standards, can specify requirements for other service components which
can form part of a wider TSP's service.
trust service policy: set of rules that indicates the applicability of a trust service to a particular community and/or class
of application with common security requirements
NOTE: A trust service policy describes what is offered and provides information about the level of the service. It
is defined independently of the specific details of the specific operating environment of a TSP; a trust
service policy can apply to a community to which several TSPs belong that abide by the common set of
rules specified in that policy. It can be defined for example by the TSP, by standards, by national
(e.g. government) or international organizations, by the customers (subscribers) of the TSP and it is not
necessarily part of the TSP's documentation.
trust service practice statement: statement of the practices that a TSP employs in providing a trust service
NOTE: See clause 6.2 for further information on practice statement.
Trust Service Provider (TSP): entity which provides one or more trust services
trust service token: physical or binary (logical) object generated or issued as a result of the use of a trust service
NOTE: Examples of trust service tokens are: certificates, CRLs, time-stamp tokens, OCSP responses.
3.2 Symbols
Void.
3.3 Abbreviations
For the purposes of the present document, the following abbreviations apply:
CA Certification Authority
IP Internet Protocol
IT Information Technology
SSASC Server Signing Application Service Component
TSP Trust Service Provider
UTC Coordinated Universal Time
3.4 Notation
The requirements in the present document are identified as follows:
- < the clause number> - <2 digit number - incremental>
The management of the requirement identifiers throughout subsequent editions of the present document is as follows:
• When a requirement is inserted at the end of a clause, the 2 digit number above is incremented to the next
available digit.
• When a requirement is inserted between two existing requirements, capital letters appended to the previous
requirement identifier are used to distinguish a new requirement.
• The requirement identifier for deleted requirements are left and completed with "Void".
• The requirement identifier for modified requirement are left void and the modified requirement is identified by
capital letter(s) appended to the initial requirement number.
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4 Overview
Trust services can encompass but is not limited to the issuance of public key certificates, provision of registration
services, time-stamping services, long term preservation services, e-delivery services and/or signature validation
services.
These policy requirements are not meant to imply any restrictions on charging for TSP's services.
The requirements are indicated in terms of the security objectives followed by more specific requirements for controls
to meet those objectives where considered necessary to provide the necessary confidence that those objectives will be
met.
When implementing controls of clause 7, ISO/IEC 27002:2013 [i.3] should be applied.
NOTE: The details of controls required to meet an objective is a balance between achieving the necessary
confidence whilst minimizing the restrictions on the techniques that a TSP can employ in providing
services.
5 Risk Assessment
REQ-5-01: The TSP shall carry out a risk assessment to identify, analyse and evaluate trust service risks taking into
account business and technical issues.
REQ-5-02: The TSP shall select the appropriate risk treatment measures, taking account of the risk assessment results.
The risk treatment measures shall ensure that the level of security is commensurate to the degree of risk.
NOTE: See ISO/IEC 27005:2011 [i.5] for guidance on information security risk management as part of an
information security management system.
REQ-5-03: The TSP shall determine all security requirements and operational procedures that are necessary to
implement the risk treatment measures chosen, as documented in the information security policy and the trust service
practice statement (see clause 6).
REQ-5-04: The risk assessment shall be regularly reviewed and revised.
REQ-5-05: The TSP's management shall approve the risk assessment and accept the residual risk identified.
6 Policies and practices
6.1 Trust Service Practice statement
REQ-6.1-01: The TSP shall specify the set of policies and practices appropriate for the trust services it is providing.
REQ-6.1-02: The set of policies and practices shall be approved by management, published and communicated to
employees and external parties as relevant.
In particular:
• REQ-6.1-03: Void.
• REQ-6.1-03A: The TSP shall have a statement of the practices and procedures used to address all the
requirements of the applicable trust service policy as identified by the TSP.
NOTE 1: The present document makes no requirement as to the structure of the trust service practice statement.
• REQ-6.1-04: The TSP's trust service practice statement shall identify the obligations of all external
organizations supporting the TSP's services including the applicable policies and practices.
• REQ-6.1-05: Void.
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• REQ-6.1-05A: The TSP shall make available to subscribers and relying parties its practice statement, and
other relevant documentation, as necessary to demonstrate conformance to the trust service policy.
NOTE 2: The TSP need not disclose any aspects containing sensitive information in the documentation that is made
available to subscribers and relying parties.
• REQ-6.1-06: The TSP shall have a management body with overall responsibility for the TSP with final
authority for approving the TSP's practice statement.
• REQ-6.1-07: The TSP's management shall implement the practices.
• REQ-6.1-08: The TSP shall define a review process for the practices including responsibilities for maintaining
the TSP's practice statement.
• REQ-6.1-09: Void.
• REQ-6.1-09A [CONDITIONAL]: When the TSP intends to make changes in its practice statement that
might affect the acceptance of the service by the subject, subscriber or relying parties, it shall give due notice
of changes to subscribers and relying parties.
NOTE 3: The due notice does not need to provide the details of the changes. The due notice can be published on the
TSP's repository.
• REQ-6.1-10: The TSP shall, following approval as in REQ-6.1-06 above, make the revised TSP's practice
statement immediately available as required under REQ-6.1-05 above.
• REQ-6.1-11: The TSP shall state in its practices the provisions made for termination of service (see
clause 7.12).
6.2 Terms and Conditions
REQ-6.2-01: TSP shall make the terms and conditions regarding its services available to all subscribers and relying
parties.
REQ-6.2-02: The terms and conditions shall at least specify for each trust service policy supported by the TSP the
following:
a) the trust service policy being applied;
b) any limitations on the use of the service provided including the limitation for damages arising from the
use of services exceeding such limitations;
EXAMPLE 1: The expected life-time of public key certificates.
c) the subscriber's obligations, if any;
d) information for parties relying on the trust service;
EXAMPLE 2: How to verify the trust service token, any possible limitations on the validity period associated
with the trust service token.
e) the period of time during which TSP's event logs are retained;
f) limitations of liability;
g) the applicable legal system;
h) procedures for complaints and dispute settlement;
i) whether the TSP's trust service has been assessed to be conformant with the trust service policy, and if so
through which conformity assessment scheme;
j) the TSP's contact information; and
k) any undertaking regarding availability.
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REQ-6.2-03: Subscribers and parties relying on the trust service shall be informed of precise terms and conditions,
including the items listed above, before entering into a contractual relationship.
REQ-6.2-04: Terms and conditions shall be made available through a durable means of communication.
REQ-6.2-05: Terms and conditions shall be available in a readily understandable language.
REQ-6.2-06: Terms and conditions may be transmitted electronically.
6.3 Information security policy
REQ-6.3-01: The TSP shall define an information security policy which is approved by management and which sets
out the organization's approach to managing its information security.
REQ-6.3-02: Changes to the information security policy shall be communicated to third parties, where applicable. This
includes subscribers, relying parties, assessment bodies, supervisory or other regulatory bodies.
In particular:
• REQ-6.3-03: A TSP's information security policy shall be documented, implemented and maintained
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