1、 ETSI TS 119 403 V2.2.1 (2015-08) Electronic Signatures and Infrastructures (ESI); Trust Service Provider Conformity Assessment - Requirements for conformity assessment bodies assessing Trust Service Providers TECHNICAL SPECIFICATION ETSI ETSI TS 119 403 V2.2.1 (2015-08)2 Reference RTS/ESI-0019403-T
2、Sv221 Keywords conformity, e-commerce, electronic signature, security, trust services ETSI 650 Route des Lucioles F-06921 Sophia Antipolis Cedex - FRANCE Tel.: +33 4 92 94 42 00 Fax: +33 4 93 65 47 16 Siret N 348 623 562 00017 - NAF 742 C Association but non lucratif enregistre la Sous-Prfecture de
3、Grasse (06) N 7803/88 Important notice The present document can be downloaded from: http:/www.etsi.org/standards-search The present document may be made available in electronic versions and/or in print. The content of any electronic and/or print versions of the present document shall not be modified
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6、t to one of the following services: https:/portal.etsi.org/People/CommiteeSupportStaff.aspx Copyright Notification No part may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm except as authorized by written permission of ETSI. The
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8、ade Marks of ETSI registered for the benefit of its Members. 3GPPTM and LTE are Trade Marks of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners. GSM and the GSM logo are Trade Marks registered and owned by the GSM Association. ETSI ETSI TS 119 403 V2.2.1 (2015-0
9、8)3 Contents Intellectual Property Rights 5g3Foreword . 5g3Modal verbs terminology 5g3Introduction 5g31 Scope 6g32 References 6g32.1 Normative references . 6g32.2 Informative references 6g33 Definitions and abbreviations . 7g33.1 Definitions 7g33.2 Abbreviations . 8g34 General requirements . 8g34.1
10、Legal and contractual matters . 8g34.1.1 Legal responsibility. 8g34.1.2 Certification agreement . 8g34.1.3 Use of license, certificates and marks of conformity 8g34.2 Management of impartiality . 8g34.2.0 General requirements 8g34.2.1 Activities not conflicting with impartiality . 8g34.3 Liability a
11、nd financing . 8g34.4 Non-discriminatory conditions . 9g34.5 Confidentiality 9g34.6 Publicly available information . 9g35 Structural requirements 9g35.1 Organizational structure and top management . 9g35.2 Mechanism for safeguarding impartiality . 9g36 Resource requirements . 9g36.1 Conformity Asses
12、sment Body personnel . 9g36.1.1 General 9g36.1.2 Management of competence for personnel involved in the audit process. 9 g36.1.2.0 General requirements 9g36.1.2.1 Management of competence 9g36.1.2.2 Training of audit teams . 9g36.2 Resources for evaluation 10g36.2.0 General requirements 10g36.2.1 In
13、ternal resources 10g36.2.1.0 General requirement 10g36.2.1.1 Competence of Conformity Assessment Body personnel . 10g36.2.1.2 Competences for all functions . 10g36.2.1.3 Competences for application review . 10g36.2.1.4 Competences and prerequisites for auditing 11g36.2.1.5 Competences for review 11g
14、36.2.1.6 Competences for certification decision . 11g36.2.1.7 Competences for Technical Experts 11g36.2.1.8 Audit team. 12g36.2.1.9 Audit team leader 12g37 Process requirements 13g37.1 General requirements . 13g37.2 Application . 13g37.3 Application Review 13g37.3.0 General requirements 13g37.4 Audi
15、t . 13g3ETSI ETSI TS 119 403 V2.2.1 (2015-08)4 7.4.0 General requirements 13g37.4.1 Audit Scope 13g37.4.1.0 Audit Scope General . 13g37.4.1.1 Audit Team Mandate. 14g37.4.1.2 Audit Methodology . 14g37.4.2 Audit time . 15g37.4.3 Multiple sites 15g37.4.3.1 When to Consider Sample Based Approach . 15g37
16、.4.3.2 Requirements of Sample Based Approach 15g37.4.4 Audit Report . 16g37.4.4.1 Report contents . 16g37.4.4.2 Report contents details to be provided 16g37.4.5 Audit process 17g37.4.5.1 General preparation for the initial audit 17g37.4.5.2 Audit Process 17g37.4.5.3 Stage 1 audit 17g37.4.5.4 Stage 2
17、 audit 18g37.4.6 Audit Frequency . 19g37.5 Review 19g37.6 Certification decision . 19g37.7 Certification documentation . 19g37.8 Directory of certified products . 19g37.9 Surveillance 19g37.10 Changes affecting certification . 20g37.11 Termination, reduction, suspension or withdrawal of certificatio
18、n 20g37.12 Records . 20g37.13 Complaints and appeals 20g38 Management system requirements . 21g38.1 Options . 21g38.2 General management system documentation . 21g38.3 Control of documents . 21g38.4 Control of records . 21g38.5 Management review . 21g38.6 Internal audits . 21g38.7 Corrective actions
19、 . 21g38.8 Preventive actions. 21g3Annex A (informative): Auditors code of conduct 22g3Annex B (informative): Bibliography . 23g3History 24g3ETSI ETSI TS 119 403 V2.2.1 (2015-08)5 Intellectual Property Rights IPRs essential or potentially essential to the present document may have been declared to E
20、TSI. 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 avail
21、able from the ETSI Secretariat. Latest updates are available on the ETSI Web server (http:/ipr.etsi.org). Pursuant to the ETSI IPR Policy, no investigation, including IPR searches, has been carried out by ETSI. No guarantee can be given as to the existence of other IPRs not referenced in ETSI SR 000
22、 314 (or the updates on the ETSI Web server) which are, or may be, or may become, essential to the present document. Foreword This Technical Specification (TS) has been produced by ETSI Technical Committee Electronic Signatures and Infrastructures (ESI). Modal verbs terminology In the present docume
23、nt “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 wh
24、en used in direct citation. Introduction ISO/IEC 17065 1 is an international standard which specifies general requirements for conformity assessment bodies (CABs) performing certification of products, processes, or services. These requirements are not focussed on any specific application domain wher
25、e CABs work. In the present document the general requirements are supplemented to provide additional dedicated requirements for CABs performing certification of Trust Service Providers (TSPs) and the trust services they provide towards defined criteria against which they claim conformance. The prese
26、nt document is aiming to meet the general requirements of the international community to provide trust and confidence in electronic transactions including, amongst others, applicable requirements from Regulation (EU) No 910/2014 i.1, and from CA Browser Forum i.10. The present documents aims include
27、 support of national accreditation bodies as specified in Regulation (EC) No. 765/2008 i.4 in applying ISO/IEC 17065 1 for the accreditation of CABs that certify TSPs and the trust services they provide so that this is carried out in a consistent manner. In accordance with i.4, attestations issued b
28、y conformity assessment bodies accredited by a national accreditation body can be formally recognized across Europe. The present document does not repeat requirements from ISO/IEC 17065 1 but follows its document structure. Where needed, additional requirements are specified. This is mainly the case
29、 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 defined in ISO/IE
30、C 17021 i.12. In particular this relates to the information security management system (ISMS), as defined 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
31、/IEC 17021 i.12. ETSI ETSI TS 119 403 V2.2.1 (2015-08)6 1 Scope The present 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 provi
32、de towards defined criteria against which they claim conformance. NOTE: 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 Refere
33、nces 2.1 Normative references References are either specific (identified by date of publication and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the reference document (including any
34、amendments) applies. Referenced documents which are not found to be publicly available in the expected location might be found at http:/docbox.etsi.org/Reference. NOTE: While any hyperlinks included in this clause were valid at the time of publication, ETSI cannot guarantee their long term validity.
35、 The following referenced documents are necessary for the application of the present document. 1 ISO/IEC 17065: “Conformity assessment - Requirements for bodies certifying products, processes and services“. 2.2 Informative references References are either specific (identified by date of publication
36、and/or edition number or version number) or non-specific. For specific references, only the cited version applies. For non-specific references, the latest version of the reference document (including any amendments) applies. NOTE: While any hyperlinks included in this clause were valid at the time o
37、f 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 Regulation 910/2014 of the European Parliament and of the Council of
38、23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC. i.2 ETSI EN 319 411-1: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificat
39、es; Part 1: General requirements“. i.3 ETSI EN 319 411-2: “Electronic Signatures and Infrastructures (ESI); Policy and security requirements for Trust Service Providers issuing certificates; Part 2: Policy requirements for certification authorities issuing qualified certificates“. i.4 EC Regulation
40、No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93. i.5 ISO/IEC 17000:2004: “Conformity assessment - Vocabulary and general prin
41、ciples“. i.6 ETSI EN 319 401: “Electronic Signatures and Infrastructures (ESI); General Policy Requirements for Trust Service Providers supporting Electronic Signatures“. ETSI ETSI TS 119 403 V2.2.1 (2015-08)7 i.7 ISO/IEC 15408: “Information technology - Security techniques - Evaluation criteria for
42、 IT security“. i.8 ISO/IEC 27001: “Information technology - Security techniques - Information security management systems - Requirements“. i.9 ETSI EN 319 421: “Electronic Signatures and Infrastructures (ESI); Policy and Security Requirements for Trust Service Providers issuing Time-Stamps“. i.10 CA
43、/Browser Forum Baseline Requirements for the Issuance and Management of Publicly-Trusted Certificates. i.11 ISO/IEC 27006: “Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems“. i.12 ISO/IEC 17021: “Confo
44、rmity assessment - Requirements for bodies providing audit and certification of management systems“. i.13 ISO/IEC 27002: “Information technology - Security techniques - Code of practice for information security controls“. 3 Definitions and abbreviations 3.1 Definitions For the purposes of the presen
45、t document, the terms 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 d
46、emonstrating whether specified requirements relating to a product, process, service, system, person or body have been fulfilled NOTE: From Regulation (EC) No 765/2008 i.4 and section 2.1 of ISO/IEC 17000:2004 i.5. conformity assessment body: body that performs conformity assessment services which is
47、 accredited as competent to carry out conformity assessment of a qualified trust service provider and the qualified trust services it provides NOTE: This is equivalent to conformity assessment body as specified in point 13 Article 2 of Regulation (EC) No 765/2008 i.4. national accreditation body: so
48、le body in a State that performs accreditation with authority derived from the State NOTE: This is equivalent to national accreditation body as specified in point 11 Article 2 of Regulation (EC) No 765/2008 i.4. technical expert: person who provides specific knowledge or expertise to the audit team
49、NOTE 1: Specific knowledge or expertise relates to the organization, the process or activity to be audited, or language or culture. NOTE 2: A technical expert does not act as an auditor in the audit team. trust service: electronic service which enhances trust and confidence in electronic transactions NOTE: Such trust services are typically but not necessarily using cryptographic techniques or involving confidential material. Trust Service Provider (TSP): entity which provides one or more electronic trust service
