ETSI EN 319 403-1 V2.3.1 (2020-06)

Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)

EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers

2 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)

Reference
REN/ESI-0019403v231
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 à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the 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
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 2020.
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
3 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 General requirements . 10
4.1 Legal and contractual matters . 10
4.1.1 Legal responsibility. 10
4.1.2 Certification agreement . 10
4.1.3 Use of license, certificates and marks of conformity . 10
4.2 Management of impartiality . 10
4.2.0 General requirements . 10
4.2.1 Activities not conflicting with impartiality . 10
4.3 Liability and financing . 10
4.4 Non-discriminatory conditions . 10
4.5 Confidentiality . 11
4.6 Publicly available information . 11
5 Structural requirements . 11
5.1 Organizational structure and top management . 11
5.2 Mechanism for safeguarding impartiality . 11
6 Resource requirements . 11
6.1 Conformity Assessment Body personnel . 11
6.1.1 General . 11
6.1.2 Management of competence for personnel involved in the audit process. 11
6.1.2.0 General requirements . 11
6.1.2.1 Management of competence. 11
6.1.2.2 Training of audit teams . 12
6.2 Resources for evaluation . 12
6.2.0 General requirements . 12
6.2.1 Internal resources . 12
6.2.1.0 General requirement . 12
6.2.1.1 Competence of Conformity Assessment Body personnel . 12
6.2.1.2 Competences for all functions . 12
6.2.1.3 Competences for application review . 13
6.2.1.4 Competences and prerequisites for auditing. 13
6.2.1.5 Competences for review . 13
6.2.1.6 Competences for certification decision . 14
6.2.1.7 Competences for Technical Experts . 14
6.2.1.8 Audit team . 14
6.2.1.9 Audit team leader . 15
7 Process requirements . 15
7.1 General requirements . 15
7.2 Application . 15
7.3 Application Review . 15
ETSI
4 Final draft ETSI EN 319 403-1 V2.3.1 (2020-04)
7.4 Audit . 15
7.4.0 General requirements . 15
7.4.1 Audit Scope . 16
7.4.1.0 Audit Scope General . 16
7.4.1.1 Audit Team Mandate. 16
7.4.1.2 Audit Methodology . 16
7.4.2 Audit time . 17
7.4.3 Multiple sites . 17
7.4.3.1 When to Consider Sample Based Approach . 17
7.4.3.2 Requirements of Sample Based Approach . 18
7.4.4 Audit process . 18
7.4.4.1 General preparation for the audit . 18
7.4.4.2 Audit Process . 19
7.4.4.3 Stage 1 audit . 19
7.4.4.4 Stage 2 audit . 20
7.4.4.5 Audit Report . 20
7.4.4.6 Corrective Actions . 21
7.4.5 Audit Frequency . 21
7.5 Review . 22
7.6 Certification decision . 22
7.7 Certification documentation . 22
7.8 Directory of certified products . 22
7.9 Surveillance . 22
7.10 Changes affecting certification . 23
7.11 Termination, reduction, suspension or withdrawal of certification . 23
7.12 Records .
...

EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers

2 ETSI EN 319 403-1 V2.3.1 (2020-06)

Reference
REN/ESI-0019403v231
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 à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the 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
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 2020.
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
3 ETSI EN 319 403-1 V2.3.1 (2020-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 General requirements . 10
4.1 Legal and contractual matters . 10
4.1.1 Legal responsibility. 10
4.1.2 Certification agreement . 10
4.1.3 Use of license, certificates and marks of conformity . 10
4.2 Management of impartiality . 10
4.2.0 General requirements . 10
4.2.1 Activities not conflicting with impartiality . 10
4.3 Liability and financing . 10
4.4 Non-discriminatory conditions . 10
4.5 Confidentiality . 11
4.6 Publicly available information . 11
5 Structural requirements . 11
5.1 Organizational structure and top management . 11
5.2 Mechanism for safeguarding impartiality . 11
6 Resource requirements . 11
6.1 Conformity Assessment Body personnel . 11
6.1.1 General . 11
6.1.2 Management of competence for personnel involved in the audit process. 11
6.1.2.0 General requirements . 11
6.1.2.1 Management of competence. 11
6.1.2.2 Training of audit teams . 12
6.2 Resources for evaluation . 12
6.2.0 General requirements . 12
6.2.1 Internal resources . 12
6.2.1.0 General requirement . 12
6.2.1.1 Competence of Conformity Assessment Body personnel . 12
6.2.1.2 Competences for all functions . 12
6.2.1.3 Competences for application review . 13
6.2.1.4 Competences and prerequisites for auditing. 13
6.2.1.5 Competences for review . 13
6.2.1.6 Competences for certification decision . 14
6.2.1.7 Competences for Technical Experts . 14
6.2.1.8 Audit team . 14
6.2.1.9 Audit team leader . 15
7 Process requirements . 15
7.1 General requirements . 15
7.2 Application . 15
7.3 Application Review . 15
7.4 Audit . 15
ETSI
4 ETSI EN 319 403-1 V2.3.1 (2020-06)
7.4.0 General requirements . 15
7.4.1 Audit Scope . 16
7.4.1.0 Audit Scope General . 16
7.4.1.1 Audit Team Mandate. 16
7.4.1.2 Audit Methodology . 16
7.4.2 Audit time . 17
7.4.3 Multiple sites . 17
7.4.3.1 When to Consider Sample Based Approach . 17
7.4.3.2 Requirements of Sample Based Approach . 18
7.4.4 Audit process . 18
7.4.4.1 General preparation for the audit . 18
7.4.4.2 Audit Process . 19
7.4.4.3 Stage 1 audit . 19
7.4.4.4 Stage 2 audit . 20
7.4.4.5 Audit Report . 20
7.4.4.6 Corrective Actions . 21
7.4.5 Audit Frequency . 21
7.5 Review . 22
7.6 Certification decision . 22
7.7 Certification documentation . 22
7.8 Directory of certified products . 22
7.9 Surveillance . 22
7.10 Changes affecting certification . 23
7.11 Termination, reduction, suspension or withdrawal of certification . 23
7.12 Records .
...

SLOVENSKI STANDARD
01-september-2020
Elektronski podpisi in infrastruktura (ESI) - Ocenjevanje skladnosti ponudnikov
storitev zaupanja - 1. del: Zahteve za ocenjevanje skladnosti organov, ki
ocenjujejo ponudnike storitev zaupanja
Electronic Signatures and Infrastructures (ESI) - Trust Service Provider Conformity
Assessment - Part 1: Requirements for conformity assessment bodies assessing Trust
Service Providers
Ta slovenski standard je istoveten z: ETSI EN 319 403-1 V2.3.1 (2020-06)
ICS:
03.080.99 Druge storitve Other services
35.040.01 Kodiranje informacij na Information coding in general
splošno
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

EUROPEAN STANDARD
Electronic Signatures and Infrastructures (ESI);
Trust Service Provider Conformity Assessment;
Part 1: Requirements for conformity assessment bodies
assessing Trust Service Providers

2 ETSI EN 319 403-1 V2.3.1 (2020-06)

Reference
REN/ESI-0019403v231
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 à but non lucratif enregistrée à la
Sous-Préfecture de Grasse (06) N° 7803/88

Important notice
The present document can be downloaded from:
http://www.etsi.org/standards-search
The present document may be made available in electronic versions and/or in print. The content of any electronic and/or
print versions of the present document shall not be modified without the prior written authorization of ETSI. In case of any
existing or perceived difference in contents between such versions and/or in print, the 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
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 2020.
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
3 ETSI EN 319 403-1 V2.3.1 (2020-06)
Contents
Intellectual Property Rights . 5
Foreword . 5
Modal verbs terminology . 5
Introduction . 6
1 Scope . 7
2 References . 7
2.1 Normative references . 7
2.2 Informative references . 7
3 Definition of terms, symbols and abbreviations . 8
3.1 Terms . 8
3.2 Symbols . 9
3.3 Abbreviations . 9
4 General requirements . 10
4.1 Legal and contractual matters . 10
4.1.1 Legal responsibility. 10
4.1.2 Certification agreement . 10
4.1.3 Use of license, certificates and marks of conformity . 10
4.2 Management of impartiality . 10
4.2.0 General requirements . 10
4.2.1 Activities not conflicting with impartiality . 10
4.3 Liability and financing . 10
4.4 Non-discriminatory conditions . 10
4.5 Confidentiality . 11
4.6 Publicly available information . 11
5 Structural requirements . 11
5.1 Organizational structure and top management . 11
5.2 Mechanism for safeguarding impartiality . 11
6 Resource requirements . 11
6.1 Conformity Assessment Body personnel . 11
6.1.1 General . 11
6.1.2 Management of competence for personnel involved in the audit process. 11
6.1.2.0 General requirements . 11
6.1.2.1 Management of competence. 11
6.1.2.2 Training of audit teams . 12
6.2 Resources for evaluation . 12
6.2.0 General requirements . 12
6.2.1 Internal resources . 12
6.2.1.0 General requirement . 12
6.2.1.1 Competence of Conformity Assessment Body personnel . 12
6.2.1.2 Competences for all functions . 12
6.2.1.3 Competences for application review . 13
6.2.1.4 Competences and prerequisites for auditing. 13
6.2.1.5 Competences for review . 13
6.2.1.6 Competences for certification decision . 14
6.2.1.7 Competences for Technical Experts . 14
6.2.1.8 Audit team . 14
6.2.1.9 Audit team leader . 15
7 Process requirements . 15
7.1 General requirements . 15
7.2 Application . 15
7.3 Application Review . 15
7.4 Audit . 15
ETSI
4 ETSI EN 319 403-1 V2.3.1 (2020-06)
7.4.0 General requirements . 15
7.4.1 Audit Scope . 16
7.4.1.0 Audit Scope General . 16
7.4.1.1 Audit Team Mandate. 16
7.4.1.2 Audit Methodology . 16
7.4.2 Audit time . 17
7.4.3 Multiple sites . 17
7.4.3.1 When to Consider Sample Based Approach . 17
7.4.3.2 Requirements of Sample Based Approach . 18
7.4.4 Audit process . 18
7.4.4.1 General preparation for the audit . 18
7.4.4.2 Audit Process . 19
7.4.4.3 Stage 1 audit . 19
7.4.4.4 Stage 2 audit . 20
7.4.4.5 Audit Report . 20
7.4.4.6 Corrective Actions . 21
7.4.5 Audit Frequency . 21
7.5 Review . 22
7.6 Cert
...