1、 ETSI EN 319 403 V2.2.2 (2015-08) Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers EUROPEAN STANDARD ETSI ETSI EN 319 403 V2.2.2 (2015-08) 2 Reference REN/ESI-0019403 Keywor
2、ds conformity, e-commerce, electronic signature, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N 348 623 562 00017 - NAF 742 C Association but non lucratif enregistre la Sous-Prfecture de Grasse (06)
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9、s Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 7g32 References 7g32.1 Normative references . 7g32.2 Informative references 7g33 Definitions and abbreviations . 8g33.1 Definitions 8g33.2 Abbreviations . 9g34 General requirements . 9g34.1 Legal and c
10、ontractual matters . 9g34.1.1 Legal responsibility. 9g34.1.2 Certification agreement . 9g34.1.3 Use of license, certificates and marks of conformity 9g34.2 Management of impartiality . 9g34.2.0 General requirements 9g34.2.1 Activities not conflicting with impartiality . 9g34.3 Liability and financin
11、g . 9g34.4 Non-discriminatory conditions . 10g34.5 Confidentiality 10g34.6 Publicly available information . 10g35 Structural requirements 10g35.1 Organizational structure and top management . 10g35.2 Mechanism for safeguarding impartiality . 10g36 Resource requirements . 10g36.1 Conformity Assessmen
12、t Body personnel . 10g36.1.1 General 10g36.1.2 Management of competence for personnel involved in the audit process. 10g36.1.2.0 General requirements 10g36.1.2.1 Management of competence 10g36.1.2.2 Training of audit teams . 10g36.2 Resources for evaluation 11g36.2.0 General requirements 11g36.2.1 I
13、nternal resources 11g36.2.1.0 General requirement 11g36.2.1.1 Competence of Conformity Assessment Body personnel . 11g36.2.1.2 Competences for all functions . 11g36.2.1.3 Competences for application review . 11g36.2.1.4 Competences and prerequisites for auditing 12g36.2.1.5 Competences for review 12
14、g36.2.1.6 Competences for certification decision . 12g36.2.1.7 Competences for Technical Experts 12g36.2.1.8 Audit team. 13g36.2.1.9 Audit team leader 13g37 Process requirements 13g37.1 General requirements . 13g37.2 Application . 14g37.3 Application Review 14g37.4 Audit . 14g37.4.0 General requirem
15、ents 14g3ETSI ETSI EN 319 403 V2.2.2 (2015-08) 4 7.4.1 Audit Scope 14g37.4.1.0 Audit Scope General . 14g37.4.1.1 Audit Team Mandate. 15g37.4.1.2 Audit Methodology . 15g37.4.2 Audit time . 15g37.4.3 Multiple sites 16g37.4.3.1 When to Consider Sample Based Approach . 16g37.4.3.2 Requirements of Sample
16、 Based Approach 16g37.4.4 Audit Report . 17g37.4.4.1 Report contents . 17g37.4.4.2 Report contents details to be provided 17g37.4.5 Audit process 18g37.4.5.1 General preparation for the initial audit 18g37.4.5.2 Audit Process 18g37.4.5.3 Stage 1 audit 18g37.4.5.4 Stage 2 audit 19g37.4.6 Audit Freque
17、ncy . 19g37.5 Review 19g37.6 Certification decision . 20g37.7 Certification documentation . 20g37.8 Directory of certified products . 20g37.9 Surveillance 20g37.10 Changes affecting certification . 21g37.11 Termination, reduction, suspension or withdrawal of certification 21g37.12 Records . 21g37.13
18、 Complaints and appeals 21g38 Management system requirements . 21g38.1 Options . 21g38.2 General management system documentation . 21g38.3 Control of documents . 21g38.4 Control of records . 22g38.5 Management review . 22g38.6 Internal audits . 22g38.7 Corrective actions . 22g38.8 Preventive actions
19、. 22g3Annex A (informative): Auditors code of conduct 23g3Annex B (informative): Bibliography . 24g3History 25g3ETSI ETSI EN 319 403 V2.2.2 (2015-08) 5 Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to ETSI. The information pertain
20、ing 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 Secretari
21、at. Latest updates are available on the ETSI Web server (http:/ipr.etsi.org). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000 314 (or the updates on the
22、ETSI Web server) which are, or may be, or may become, essential to the present document. Foreword This European Standard (EN) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). National transposition dates Date of adoption of this EN: 21 August 2015 Date o
23、f latest announcement of this EN (doa): 30 November 2015 Date of latest publication of new National Standard or endorsement of this EN (dop/e): 31 May 2016 Date of withdrawal of any conflicting National Standard (dow): 30 June 2017 Modal verbs terminology In the present document “shall“, “shall not“
24、, “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 citat
25、ion. Introduction ISO/IEC 17065 1 is an international standard which specifies general requirements for conformity assessment bodies (CABs) performing certification of products, processes, or services. These requirements are not focussed on any specific application domain where CABs work. In the pre
26、sent document the general requirements are supplemented to provide additional dedicated requirements for CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined criteria against which they claim conformance. The present document is aiming t
27、o meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 i.1, and from CA Browser Forum i.10. The present documents aims include support of national ac
28、creditation bodies as specified in Regulation (EC) No. 765/2008 i.4 in applying ISO/IEC 17065 1 for the accreditation of CABs that certify TSPs and the trust services they provide so that this is carried out in a consistent manner. In accordance with i.4, attestations issued by conformity assessment
29、 bodies accredited by a national accreditation body can be formally recognized across Europe. ETSI ETSI EN 319 403 V2.2.2 (2015-08) 6 The present document does not repeat requirements from ISO/IEC 17065 1 but follows its document structure. Where needed, additional requirements are specified. This i
30、s mainly the case for requirements on resources (clause 6) and on the assessment process (clause 7). For all other chapters of ISO/IEC 17065 1 few or no additional requirements are needed. The present document also incorporates many requirements relating to the audit of a TSPs management system, as
31、defined in ISO/IEC 17021 i.12 and in ISO/IEC 27006 i.11. These requirements are incorporated by including text to derived from these documents in the present document, as well indirectly through references to requirements of ISO/IEC 17021 i.12. ETSI ETSI EN 319 403 V2.2.2 (2015-08) 7 1 Scope The pre
32、sent document contains requirements for the competence, consistent operation and impartiality of conformity assessment bodies assessing and certifying conformity of trust service providers (TSPs) and the trust services they provide towards defined criteria against which they claim conformance. NOTE:
33、 Those requirements are independent of the type and class of trust service provided. The present document applies the general requirements of ISO/IEC 17065 1 to the specific requirements of conformity assessment of TSPs. 2 References 2.1 Normative references References are either specific (identifie
34、d by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the reference document (including any amendments) applies. Referenced documents which are not found to be pub
35、licly available in the expected location might be found at http:/docbox.etsi.org/Reference. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The following referenced documents are necessary for the application o
36、f the present document. 1 ISO/IEC 17065: “Conformity assessment - Requirements for bodies certifying products, processes and services“. 2.2 Informative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific
37、references, only the cited version applies. For non-specific references, the latest version of the reference document (including any amendments) applies. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity. The foll
38、owing referenced documents are not necessary for the application of the present document but they assist the user with regard to a particular subject area. i.1 Regulation 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electr
39、onic transactions in the internal market and repealing Directive 1999/93/EC. i.2 ETSI EN 319 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 1: General Requirements for Trust Service Providers issuing ce
40、rtificates“. i.3 ETSI EN 319 411-2: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 2: Requirements for Trust Service Providers issuing qualified certificates“. i.4 EC Regulation No 765/2008 of the European Par
41、liament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93. i.5 ISO/IEC 17000:2004: “Conformity assessment - Vocabulary and general principles“. i.6 ETSI EN 319 401: “
42、Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers supporting Electronic Signatures“. ETSI ETSI EN 319 403 V2.2.2 (2015-08) 8 i.7 ISO/IEC 15408: “Information technology - Security techniques - Evaluation criteria for IT security“. i.8 ISO/IEC 270
43、01: “Information technology - Security techniques - Information security management systems - Requirements“. i.9 ETSI EN 319 421: “Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers providing Time-Stamping Services“. i.10 CA/Browser Forum Ba
44、seline Requirements for the Issuance and Management of Publicly-Trusted Certificates. i.11 ISO/IEC 27006: “Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems“. i.12 ISO/IEC 17021: “Conformity assessment
45、- Requirements for bodies providing audit and certification of management systems“. i.13 ISO/IEC 27002: “Information technology - Security techniques - Code of practice for information security controls“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the present document, the t
46、erms and definitions given in ISO/IEC 17065 1 and the following apply: auditor: person who assesses conformity to requirements as specified in a given requirements document competence: ability to apply knowledge and skills to achieve intended results conformity assessment: process demonstrating whet
47、her specified requirements relating to a product, process, service, system, person or body have been fulfilled NOTE: From Regulation (EC) No 765/2008 i.4 and section 2.1 of ISO/IEC 17000:2004 i.5. conformity assessment body: body that performs conformity assessment services which is accredited as co
48、mpetent to carry out conformity assessment of a qualified trust service provider and the qualified trust services it provides NOTE: This is equivalent to conformity assessment body as specified in point 13 Article 2 of Regulation (EC) No 765/2008 i.4. national accreditation body: sole body in a Stat
49、e that performs accreditation with authority derived from the State NOTE: This is equivalent to national accreditation body as specified in point 11 Article 2 of Regulation (EC) No 765/2008 i.4. technical expert: person who provides specific knowledge or expertise to the audit team NOTE 1: Specific knowledge or expertise relates to the organization, the process or activity to be audited, or language or culture. NOTE 2: A technical expert does not act as an auditor in the audit team. trust service: el
