Information security, cybersecurity and privacy protection — Requirements for the competence of IT security testing and evaluation laboratories — Part 1: Evaluation for ISO/IEC 15408

This document complements and supplements the procedures and general requirements found in ISO/IEC 17025:2017 for laboratories performing evaluations based on the ISO/IEC 15408 series and ISO/IEC 18045.

Sécurité de l'information, cybersécurité et protection de la vie privée — Exigences relatives aux compétences des laboratoires d'essais et d'évaluation de la sécurité TI — Partie 1: Évaluation pour l'ISO/IEC 15408

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Published
Publication Date
11-Nov-2021
Current Stage
6060 - International Standard published
Start Date
12-Nov-2021
Completion Date
12-Nov-2021
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ISO/IEC TS 23532-1:2021 - Information security, cybersecurity and privacy protection -- Requirements for the competence of IT security testing and evaluation laboratories
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TECHNICAL ISO/IEC TS
SPECIFICATION 23532-1
First edition
2021-11
Information security, cybersecurity
and privacy protection —
Requirements for the competence
of IT security testing and evaluation
laboratories —
Part 1:
Evaluation for ISO/IEC 15408
Sécurité de l'information, cybersécurité et protection de la vie
privée — Exigences relatives aux compétences des laboratoires
d'essais et d'évaluation de la sécurité TI —
Partie 1: Évaluation pour l'ISO/IEC 15408
Reference number
ISO/IEC TS 23532-1:2021(E)
© ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC TS 23532-1:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on

the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below

or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
© ISO/IEC 2021 – All rights reserved
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ISO/IEC TS 23532-1:2021(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction .............................................................................................................................................................................................................................. vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ..................................................................................................................................................................................... 1

3 Terms and definitions .................................................................................................................................................................................... 1

4 General requirements .................................................................................................................................................................................... 2

4.1 Impartiality ............................................................................................................................................................................................... 2

4.2 Confidentiality ........................................................................................................................................................................................ 2

5 Structural requirements .............................................................................................................................................................................3

6 Resource requirements ................................................................................................................................................................................4

6.1 General ........................................................................................................................................................................................................... 4

6.2 Personnel ..................................................................................................................................................................................................... 4

6.3 Facilities and environmental conditions ......................................................................................................................... 5

6.4 Equipment ................................................................................................................................................................................................... 6

6.5 Metrological traceability ............................................................................................................................................................... 7

6.6 Externally provided products and services ................................................................................................................. 7

7 Process requirements .................................................................................................................................................................................... 8

7.1 Review of requests, tenders and contracts ................................................................................................................... 8

7.2 Selection, verification and validation of methods ................................................................................................... 8

7.2.1 Selection and verification of methods ............................................................................................................. 8

7.2.2 Validation of methods .................................................................................................................................................... 9

7.3 Sampling ....................................................................................................................................................................................................... 9

7.4 Handling of test or calibration items .................................................................................................................................. 9

7.5 Technical records .............................................................................................................................................................................. 10

7.6 Evaluation of measurement uncertainty ..................................................................................................................... 10

7.7 Ensuring the validity of results ............................................................................................................................................ 11

7.8 Reporting of results ........................................................................................................................................................................ 11

7.8.1 General ..................................................................................................................................................................................... 11

7.8.2 Common requirements for reports (test, calibration or sampling) ................................... 11

7.8.3 Specific requirements for test reports ........................................................................................................ 11

7.8.4 Specific requirements for calibration certificates ............................................................................12

7.8.5 Reporting sampling – specific requirements .........................................................................................12

7.8.6 Reporting statements of conformity .............................................................................................................12

7.8.7 Reporting opinions and interpretations ....................................................................................................12

7.8.8 Amendments to reports ............................................................................................................................................12

7.9 Complaints...............................................................................................................................................................................................13

7.10 Nonconforming work ..................................................................................................................................................................... 13

7.11 Control of data and information management ........................................................................................................ 13

8 Management system requirements ..............................................................................................................................................14

8.1 Options........................................................................................................................................................................................................ 14

8.1.1 General ..................................................................................................................................................................................... 14

8.1.2 Option A ................................................................................................................................................................................... 14

8.1.3 Option B ................................................................................................................................................................................... 14

8.2 Management system documentation (Option A)................................................................................................... 14

8.3 Control of management system documents (Option A) .................................................................................. 15

8.4 Records (Option A) ...........................................................................................................................................................................15

8.5 Actions to address risks and opportunities (Option A) .................................................................................. 16

8.6 Improvement (Option A) ............................................................................................................................................................. 16

8.7 Corrective actions (Option A) ........................................................................................................................................... ...... 16

8.8 Internal audits (Option A) ........................................................................................................................................... ............... 16

8.9 Management reviews (Option A) ......................................................................................................................................... 16

iii
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ISO/IEC TS 23532-1:2021(E)

Annex A (informative) Metrological traceability ................................................................................................................................17

Annex B (informative) Management system options ......................................................................................................................18

Annex C (informative) Standards relation in IT security evaluation ............................................................................19

Bibliography .............................................................................................................................................................................................................................20

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ISO/IEC TS 23532-1:2021(E)
Foreword

ISO (the International Organization for Standardization) and IEC (the International Electrotechnical

Commission) form the specialized system for worldwide standardization. National bodies that are

members of ISO or IEC participate in the development of International Standards through technical

committees established by the respective organization to deal with particular fields of technical

activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international

organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the

work.

The procedures used to develop this document and those intended for its further maintenance

are described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria

needed for the different types of document should be noted. This document was drafted in

accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives or

www.iec.ch/members_experts/refdocs).

Attention is drawn to the possibility that some of the elements of this document may be the subject

of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent

rights. Details of any patent rights identified during the development of the document will be in the

Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents) or the IEC

list of patent declarations received (see https://patents.iec.ch).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to

the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see

www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 27, Information security, cybersecurity and privacy protection.

A list of all parts in the ISO/IEC 23532 series can be found on the ISO and IEC websites.

Any feedback or questions on this document should be directed to the user’s national standards

body. A complete listing of these bodies can be found at www.iso.org/members.html and

www.iec.ch/national-committees.
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ISO/IEC TS 23532-1:2021(E)
Introduction

Laboratories performing evaluations for conformance to information security standards including the

ISO/IEC 15408 series may utilize and require conformance to ISO/IEC 17025:2017. ISO/IEC 17025:2017

gives generalized requirements for a broad range of testing and calibration laboratories to enable them

to demonstrate that they operate competently and are able to generate valid results.

Laboratories that perform such evaluations have specific requirements for competence to the

ISO/IEC 15408 series that will enable them to generate valid results.

By providing additional details and supplementary requirements to ISO/IEC 17025:2017 that are

specific to information security evaluation laboratories, this document will facilitate cooperation and

better conformity and harmonization between laboratories and other bodies. This document may be

used by countries and accreditation bodies as a set of requirements for laboratory assessments and

accreditations.

To help implementers, this document is numbered identically to ISO/IEC 17025:2017. Supplementary

requirements are presented as subclauses additional to ISO/IEC 17025:2017.
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TECHNICAL SPECIFICATION ISO/IEC TS 23532-1:2021(E)
Information security, cybersecurity and privacy
protection — Requirements for the competence of IT
security testing and evaluation laboratories —
Part 1:
Evaluation for ISO/IEC 15408
1 Scope

This document complements and supplements the procedures and general requirements found in

ISO/IEC 17025:2017 for laboratories performing evaluations based on the ISO/IEC 15408 series and

ISO/IEC 18045.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 15408-1, Information technology — Security techniques — Evaluation criteria for IT security —

Part 1: Introduction and general model
ISO/IEC 17000, Conformity assessment — Vocabulary and general principles

ISO/IEC 17025:2017, General requirements for the competence of testing and calibration laboratories

ISO/IEC 19896-1, IT security techniques — Competence requirements for information security testers and

evaluators — Part 1: Introduction, concepts and general requirements

ISO/IEC 19896-3, IT security techniques — Competence requirements for information security testers and

evaluators — Part 3: Knowledge, skills and effectiveness requirements for ISO/IEC 15408 evaluators

3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO/IEC 17000, ISO/IEC 17025:2017,

ISO/IEC 15408-1, ISO/IEC 19896-1, ISO/IEC 19896-3 and the following apply.

ISO and IEC maintain terminology databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
evaluation laboratory

organization with a management system providing evaluation in accordance with a defined set of

policies and procedures and utilizing a defined methodology for evaluating the security functionality of

IT products

Note 1 to entry: These organizations are often given alternative names by various evaluation authorities. For

example, IT Security Evaluation Facility (ITSEF), Commercial Evaluation Facility (CLEF).

Note 2 to entry: The defined methodology is given ISO/IEC 18045.
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ISO/IEC TS 23532-1:2021(E)
4 General requirements
4.1 Impartiality
4.1.1 ISO/IEC 17025:2017, 4.1.1 applies.
4.1.1.1 ISO/IEC 17025:2017, 4.1.1 applies with the following additions.

The evaluation laboratory shall establish and maintain policies and procedures for maintaining

laboratory impartiality and integrity in the conduct of information technology security evaluations.

When conducting evaluations, the laboratory policies and procedures shall ensure that:

a) evaluators cannot both develop and evaluate the same protection profile, security target, or IT

product, and

b) evaluators cannot both provide consulting services for and participate in the evaluation or testing

of the same protection profile, security target, or IT product.
4.1.2 ISO/IEC 17025:2017, 4.1.2 applies.
4.1.2.1 ISO/IEC 17025:2017, 4.1.2 applies with the following additions.

The organization to which the evaluator belongs shall not be the same as the organization to which the

department that develops the target of evaluation (TOE) belongs.
4.1.3 ISO/IEC 17025:2017, 4.1.3 applies.
4.1.4 ISO/IEC 17025:2017, 4.1.4 applies.
4.1.5 ISO/IEC 17025:2017, 4.1.5 applies.
4.1.6 ISO/IEC 17025:2017, 4.1 applies with the following additions.

To maintain impartiality, the laboratory shall maintain proper separation between evaluators and

other personnel inside the laboratory or outside the laboratory, but inside the parent organization.

4.2 Confidentiality
4.2.1 ISO/IEC 17025:2017, 4.2.1 applies.
4.2.2 ISO/IEC 17025:2017, 4.2.2 applies.
4.2.3 ISO/IEC 17025:2017, 4.2.3 applies.
4.2.4 ISO/IEC 17025:2017, 4.2.4 applies.
4.2.5 ISO/IEC 17025:2017, 4.2 applies with the following additions.

Confidentiality mechanisms shall be employed to ensure that the evaluation report cannot be disclosed

to anyone other than the intended recipient(s).
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ISO/IEC TS 23532-1:2021(E)
4.2.6 ISO/IEC 17025:2017, 4.2 applies with the following additions.

Because of confidentiality requirements of the evaluation laboratory and client, some evaluation output

may need to exclude:
a) proprietary information (e.g. source code);
b) TOE-specific sampling and test information;
c) effort estimates;
d) commercially sensitive information.
4.2.7 ISO/IEC 17025:2017, 4.2 applies with the following additions.

The evaluation laboratory shall have physical and electronic controls augmented with an explicit

policy and a set of procedures for maintaining separation, both physical and electronic, between the

laboratory, evaluators and laboratory consultants, product developers, system integrators, and others

who may have an interest in and/or may unduly influence the evaluation outcome.
4.2.8 ISO/IEC 17025:2017, 4.2 applies with the following additions.

The management system shall include policies and procedures to ensure the protection of proprietary

information. This protection shall specify how proprietary information will be protected from persons

outside the laboratory, from visitors to the laboratory, from laboratory personnel without a need to

know, and from other unauthorized persons. The evaluation laboratory shall possess its own security

manual that sets out the procedures and responsibilities to be undertaken by all the evaluators of the

evaluation laboratory, to maintain the security required to protect commercially sensitive information.

5 Structural requirements
5.1 ISO/IEC 17025:2017, 5.1 applies.
5.2 ISO/IEC 17025:2017, 5.2 applies.
5.3 ISO/IEC 17025:2017, 5.3 applies.
5.3.1 ISO/IEC 17025:2017, 5.3 applies with the following additions.

The evaluation laboratory shall create and maintain a cross-referenced document mapping Clauses 4 to

8 to the laboratory’s management system documentation.
5.4 ISO/IEC 17025:2017, 5.4 applies.
5.5 ISO/IEC 17025:2017, 5.5 applies.
5.6 ISO/IEC 17025:2017, 5.6 applies.
5.7 ISO/IEC 17025:2017, 5.7 applies.
5.8 ISO/IEC 17025:2017, Clause 5 applies with the following additions.

There shall be a nominated person within the evaluation laboratory with overall responsibility for the

security of the evaluation laboratory and the production of the evaluation laboratory security manual.

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ISO/IEC TS 23532-1:2021(E)
6 Resource requirements
6.1 General
ISO/IEC 17025:2017, 6.1 applies.
6.2 Personnel
6.2.1 ISO/IEC 17025:2017, 6.2.1 applies.
6.2.2 ISO/IEC 17025:2017, 6.2.2 applies.

NOTE Laboratories document the required qualifications for each staff position. The staff information can

be kept in the official personnel folders.
6.2.2.1 ISO/IEC 17025:2017, 6.2.2 applies with the following additions.

The evaluation laboratory shall maintain a list of personnel designated to fulfil laboratory requirements

including:
a) laboratory director,
b) approved report signatories,
c) evaluation team leaders, and
d) evaluators.

An individual may be assigned or appointed to serve in more than one position; however, to the extent

possible, the laboratory director position should be independently staffed.

NOTE Significant change in a laboratory’s key technical personnel or facilities can result in a laboratory no

longer being deemed proficient by relevant scheme owner(s).
6.2.3 ISO/IEC 17025:2017, 6.2.3 applies.
6.2.4 ISO/IEC 17025:2017, 6.2.4 applies.
6.2.5 ISO/IEC 17025:2017, 6.2.5 applies.
6.2.5.1 ISO/IEC 17025:2017, 6.2.5 applies with the following additions.

The evaluation laboratory shall have procedure(s) and retain records for determining the competence

requirements for personnel in ISO/IEC 19896-3.
6.2.5.2 ISO/IEC 17025:2017, 6.2.5 applies with the following additions.

The evaluation laboratory has documented a detailed description of its training program for new and

current evaluators. Each new evaluator is trained for assigned duties. The training program is updated

and current evaluators shall be retrained when the ISO/IEC 15408 series or ISO/IEC 18045 changes, as

new technology specific assurance activities are defined in protection profiles, or when the individuals

are assigned new responsibilities. Each evaluator may receive training for assigned duties either

through on-the-job training, formal classroom study, attendance at conferences, or another appropriate

mechanism. Training materials that are maintained within the laboratory shall be kept up-to-date.

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ISO/IEC TS 23532-1:2021(E)
6.2.5.3 ISO/IEC 17025:2017, 6.2.5 applies with the following additions.

The laboratory shall have a procedure(s) and retain records for monitoring of competence of personnel

according to ISO/IEC 19896-3.
6.2.5.4 ISO/IEC 17025:2017, 6.2.5 applies with the following additions.

The laboratory reviews annually the competence of each evaluator for each test method the evaluator is

authorized to conduct. The evaluator’s immediate supervisor, or a designee appointed by the laboratory

director, conducts annually an assessment and an observation of performance for each evaluator. A

record of the annual review of each evaluator is dated and signed by the supervisor and the employee. A

description of competency review programs is maintained in the management system.

6.2.6 ISO/IEC 17025:2017, 6.2.6 applies.

NOTE Laboratory evaluator collectively has knowledge or experience for any specific technologies upon

which an evaluation is conducted in ISO/IEC 19896-3.
6.2.7 ISO/IEC 17025:2017, 6.2 applies with the following additions.

The evaluation laboratory shall maintain a competent administrative and technical personnel

appropriate for IT security evaluation on the ISO/IEC 15408 series. The laboratory shall maintain

position descriptions, training records, and resumes for responsible supervisory personnel and

laboratory evaluators who influence the outcome of security evaluations.
6.3 Facilities and environmental conditions
6.3.1 ISO/IEC 17025:2017, 6.3.1 applies.
6.3.1.1 ISO/IEC 17025:2017, 6.3.1 applies with the following additions.

Laboratory networks used to conduct Test Documentation and the Test Activity (ATE) and Vulnerability

Assessment Activity (AVA) evaluation activities shall be effectively isolated to ensure that there are no

external influences on test results.
6.3.2 ISO/IEC 17025:2017, 6.3.2 applies.
6.3.3 ISO/IEC 17025:2017, 6.3.3 applies.
6.3.4 ISO/IEC 17025:2017, 6.3.4 applies.
6.3.5 ISO/IEC 17025:2017, 6.3.5 applies.
6.3.5.1 ISO/IEC 17025:2017, 6.3.5 applies with the following additions.

If the evaluation laboratory or the evaluator is conducting its evaluation at the client site or other location

outside the laboratory facility, the environment shall conform, as appropriate, to the requirements for

the laboratory environment. If a client’s system on which an evaluation is conducted is potentially open

to access by unauthorized entities during evaluation, the evaluation laboratory or the evaluator shall

control the evaluation environment. This is to ensure that the systems are in a defined state compliant

with the requirements for the evaluation before starting to perform evaluation work and that the

systems ensure that unauthorized entities do not gain access to the system during evaluation.

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ISO/IEC TS 23532-1:2021(E)
6.3.6 ISO/IEC 17025:2017, 6.3 applies with the following additions.

A protection system shall be in place to safeguard client proprietary hardware, software, test data,

electronic and paper records and other materials. This system shall protect the proprietary materials

and information from personnel outside the laboratory, visitors to the laboratory, laboratory personnel

without a need to know, and other unauthorized persons. The laboratory shall have protection systems

(e.g. firewall, intrusion detection) in place to protect internal systems from untrusted external entities.

If evaluation activities are conducted at more than one location, all locations shall meet the requirements

related to this document and mechanisms shall be in place to ensure secure communication between

all locations.
6.3.7 ISO/IEC 17025:2017, 6.3 applies with the following additions.

Security audit and logs shall be used to monitor physical and logical access control.

6.3.8 ISO/IEC 17025:2017, 6.3 applies with the following additions.

The evaluation laboratory shall have regularly updated protection for all systems against viruses and

other malware. The laboratory shall have an effective backup system to ensure that data and records

can be restored in the event of their loss.
6.3.9 ISO/IEC 17025:2017, 6.3 applies with the following additions.

A secure system to protect the electronic mail may be required for communications between the

evaluation laboratory, scheme owner(s) or the client.
6.4 Equipment
6.4.1 ISO/IEC 17025:2017, 6.4.1 applies.
6.4.1.1 ISO/IEC 17025:2017, 6.4.1 applies with the following additions.

In cases where the evaluation laboratory does not have access to equipment or tools needed to conduct

all the tests, it will be acceptable for the laboratory to use equipment on loan, provided that this is

detailed in the test report.
6.4.2 ISO/IEC 17025:2017, 6.4.2 applies.
6.4.3 ISO/IEC 17025:2017, 6.4.3 applies.
6.4.3.1 ISO/IEC 17025:2017, 6.4.3 applies with the following additions.

The equipment used for conducting security evaluations shall be maintained in accordance with

the manufacturer’s recommendations, or in accordance with internally documented laboratory

procedures, as applicable. Test equipment refers to software and hardware products or other

assessment mechanisms used by t
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