Cybersecurity — Supplier relationships — Part 3: Guidelines for hardware, software, and services supply chain security

This document provides guidance for product and service acquirers, as well as suppliers of hardware, software and services, regarding: a) gaining visibility into and managing the information security risks caused by physically dispersed and multi-layered hardware, software, and services supply chains; b) responding to risks stemming from this physically dispersed and multi-layered hardware, software, and services supply chain that can have an information security impact on the organizations using these products and services; c) integrating information security processes and practices into the system and software life cycle processes, as described in ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207, while supporting information security controls, as described in ISO/IEC 27002. This document does not include business continuity management/resiliency issues involved with the hardware, software, and services supply chain. ISO/IEC 27031 addresses information and communication technology readiness for business continuity.

Cybersécurité — Relations avec le fournisseur — Partie 3: Lignes directrices pour la sécurité de la chaîne de fourniture en matériel, logiciels et services

General Information

Status
Published
Publication Date
12-Jun-2023
Current Stage
6060 - International Standard published
Start Date
13-Jun-2023
Due Date
19-Apr-2024
Completion Date
13-Jun-2023
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INTERNATIONAL ISO/IEC
STANDARD 27036-3
Second edition
2023-06
Cybersecurity — Supplier
relationships —
Part 3:
Guidelines for hardware, software,
and services supply chain security
Cybersécurité — Relations avec le fournisseur —
Partie 3: Lignes directrices pour la sécurité de la chaîne de fourniture
en matériel, logiciels et services
Reference number
ISO/IEC 27036-3:2023(E)
© ISO/IEC 2023

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ISO/IEC 27036-3:2023(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2023
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
ii
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ISO/IEC 27036-3:2023(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Structure . 2
5 Key concepts . 2
5.1 Business case for hardware, software, and services supply chain security . 2
5.2 Hardware, software, and services supply chain risks and associated threats . 3
5.3 Acquirer and supplier relationship types . 3
5.4 Organizational capability . 4
5.5 System life cycle processes . 4
5.6 ISMS processes in relation to system life cycle processes . 5
5.7 ISMS controls in relation to hardware, software, and services supply chain security . 6
5.8 Essential hardware, software, and services supply chain security practices . 6
6 Hardware, software, and services supply chain security in life cycle processes .7
6.1 Agreement processes . 7
6.1.1 Acquisition process . 7
6.1.2 Supply process . 9
6.2 Organizational project-enabling processes . 11
6.2.1 Life cycle model management process . 11
6.2.2 Infrastructure management process . 11
6.2.3 Project portfolio management process .12
6.2.4 Human resource management process .12
6.2.5 Quality management process . 13
6.2.6 Knowledge management process . 13
6.3 Technical management processes . 13
6.3.1 Project planning process . . 13
6.3.2 Project assessment and control process . 14
6.3.3 Decision management process. 14
6.3.4 Risk management process . 14
6.3.5 Configuration management process . 15
6.3.6 Information management process . 16
6.3.7 Measurement process . 16
6.3.8 Quality assurance process . 16
6.4 Technical processes . . 16
6.4.1 Business or mission analysis process . 16
6.4.2 Stakeholder needs and requirements definition process . 16
6.4.3 System requirements definition process. 17
6.4.4 System architecture definition process . 18
6.4.5 Design definition process . 19
6.4.6 System analysis process . 19
6.4.7 Implementation process . 19
6.4.8 Integration process . 20
6.4.9 Verification process . 20
6.4.10 Transition process . 21
6.4.11 Validation process .22
6.4.12 Operation process .23
6.4.13 Maintenance process . 23
6.4.14 Disposal process . 24
Annex A (informative) Correspondence between the controls in ISO/IEC 27002 and this
document .26
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ISO/IEC 27036-3:2023(E)
Annex B (informative) Essential elements of a software bill of materials .29
Bibliography .34
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ISO/IEC 27036-3:2023(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).
ISO and IEC draw attention to the possibility that the implementation of this document may involve the
use of (a) patent(s). ISO and IEC take no position concerning the evidence, validity or applicability of
any claimed patent rights in respect thereof. As of the date of publication of this document, ISO and IEC
had not received notice of (a) patent(s) which may be required to implement this document. However,
implementers are cautioned that this may not represent the latest information, which may be obtained
from the patent database available at www.iso.org/patents and https://patents.iec.ch. ISO and IEC shall
not be held responsible for identifying any or all such patent rights.
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.
This second edition cancels and replaces the first edition (ISO/IEC 27036-3:2013), which has been
technically revised.
The main changes are as follows:
— the structure and content have been aligned with the most recent version of ISO/IEC/IEEE 15288;
— former Annex A has been removed;
— Annex B has been added.
A list of all parts in the ISO/IEC 27036 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 27036-3:2023(E)
Introduction
Hardware and software products and information technology services are developed, integrated, and
delivered globally through deep and physically dispersed supply chains. The supply chain can be a
point-to-point or a many-to-many structure and can also be referred to as a supply network. Hardware
and software are assembled from many components provided by many suppliers. Information
technology services throughout the entire supplier relationship are also delivered through multiple
tiers of outsourcing and supply chaining. Acquirers do not have visibility into the practices of hardware,
software, and service providers beyond first or possibly second link of the supply chain. With the
substantial increase in the number of organizations and people who “touch” a hardware, software,
or service, the visibility into the practices by which these products and services are put together
has decreased dramatically. This lack of visibility, transparency, and traceability into the hardware,
software and service supply chain poses risks to acquiring organizations.
This document provides guidance to hardware, software and service acquirers and suppliers to reduce
or manage information security risk. This document identifies the business case for hardware, software,
and service supply chain security, specific risks and relationship types, as well as how to develop an
organizational capability to manage information security aspects and incorporate a life cycle approach
to manage risks supported by specific controls and practices. Its application is expected to result in:
— increased hardware, software, and services supply chain visibility and traceability to enhance
information security capability;
— increased understanding by the acquirers of where their products or services are coming from, and
of the practices used to develop, integrate, or operate these products or services, to enhance the
implementation of information security requirements;
— in case of an information security compromise, the availability of information about what may have
been compromised and who the involved actors may be.
This document is intended to be used by all types of organizations that acquire or supply hardware,
software, and services. The guidance is primarily focused on the initial link of the first acquirer and
supplier, but the principal steps should be applied throughout the chain, starting when the first supplier
becomes an acquirer. This change of roles and applying the same steps for each new acquirer-supplier
link in the chain is the essential intention of this document. By following this document, information
security implications can be communicated among organizations in the chain. This helps identify
information security risks and their causes, and may enhance the transparency throughout the chain.
Information security concerns related to supplier relationships cover a broad range of scenarios.
Organizations desiring to improve trust within their hardware, software, and services supply chain
should define their trust boundaries. They should evaluate the risk associated with their supply chain
activities, and then define and implement appropriate risk identification and mitigation techniques
to reduce the vulnerabilities being introduced through their hardware, software and services supply
chain.
The framework and controls outlined in ISO/IEC 27001 and ISO/IEC 27002 provide a useful starting
point for identifying appropriate requirements for acquirers and suppliers. The ISO/IEC 27036 series
provides further detail on how to establish and monitor supplier relationships. This document has been
structured to be harmonized with ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207.
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INTERNATIONAL STANDARD ISO/IEC 27036-3:2023(E)
Cybersecurity — Supplier relationships —
Part 3:
Guidelines for hardware, software, and services supply
chain security
1 Scope
This document provides guidance for product and service acquirers, as well as suppliers of hardware,
software and services, regarding:
a) gaining visibility into and managing the information security risks caused by physically dispersed
and multi-layered hardware, software, and services supply chains;
b) responding to risks stemming from this physically dispersed and multi-layered hardware, software,
and services supply chain that can have an information security impact on the organizations using
these products and services;
c) integrating information security processes and practices into the system and software life cycle
processes, as described in ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207, while supporting
information security controls, as described in ISO/IEC 27002.
This document does not include business continuity management/resiliency issues involved with
the hardware, software, and services supply chain. ISO/IEC 27031 addresses information and
communication technology readiness for business continuity.
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 27000, Information technology — Security techniques — Information security management
systems — Overview and vocabulary
ISO/IEC 27036-1, Cybersecurity — Supplier relationships — Part 1: Overview and concepts
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 27000, ISO/IEC 27036-1
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
software bill of materials
SBoM
inventory of software components, sub-components and dependencies with associated information
1
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ISO/IEC 27036-3:2023(E)
3.2
system element
member of a set of elements that constitute a system
EXAMPLE Hardware, software, data, humans, processes (e.g. processes for providing service to users),
procedures (e.g. operator instructions), facilities, materials, and naturally occurring entities or any combination.
Note 1 to entry: A system element is a discrete part of a system that can be implemented to fulfil specified
requirements.
[SOURCE: ISO/IEC/IEEE 15288:2015, 4.1.47]
3.3
traceability
property that allows the tracking of the activity of an identity, process, or an element throughout the
supply chain
3.4
transparency
property of a system or process to imply openness and accountability
3.5
validation
confirmation, through the provision of objective evidence, that the requirements for a specific intended
use or application have been fulfilled
Note 1 to entry: A system is able to accomplish its intended use, goals and objectives (i.e. meet stakeholder
requirements) in the intended operational environment. The right system was built.
[SOURCE: ISO/IEC/IEEE 15288:2015, 4.1.53]
3.6
verification
confirmation, through the provision of objective evidence, that specified requirements have been
fulfilled
Note 1 to entry: Verification is a set of activities that compares a system or system element against the required
characteristics. This includes, but is not limited to, specified requirements, design description and the system
itself. The system was built right.
[SOURCE: ISO/IEC/IEEE 15288:2015, 4.1.54]
4 Structure
The structure of this document is harmonized with ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207.
Clause 6 mirrors life cycle processes provided in those two standards. This document is also
harmonized with ISO/IEC 27002 and references relevant information security controls within the life
cycle processes with the mapping provided in Annex A.
5 Key concepts
5.1 Business case for hardware, software, and services supply chain security
Organizations acquire hardware, software, and services from numerous suppliers who can in turn
acquire components from other suppliers. The information security risks associated with these
dispersed and multi-layered hardware, software, and services supply chains can be managed through
the application of risk management practices and trusted relationships, thereby increasing visibility,
traceability and transparency in the hardware, software, and services supply chain.
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ISO/IEC 27036-3:2023(E)
For example, increased visibility into the hardware, software, and services supply chain is obtained by
defining adequate information security and quality requirements, and ongoing monitoring of suppliers
and their products and services once a supplier relationship is in operation. Identifying and tracking
supply chain entities accountable for quality and security for critical elements provides greater
traceability. Establishing contractual requirements and expectations, as well as reviewing processes
and practices provides much needed transparency.
Acquirers should establish an understanding within their organizations regarding the hardware,
software, and services supply chain risks and their possible impacts on businesses. Specifically, the
acquirer’s management should be aware that practices of suppliers throughout the supply chain can
have impacts on whether resulting products and services can be trusted to protect the acquirer’s
business, information, and information systems.
5.2 Hardware, software, and services supply chain risks and associated threats
In a supply chain, information security management of an individual organization (acquirer or supplier)
is not sufficient to maintain information security of hardware, software, and services throughout their
supply chain. The acquirer’s management of the sourcing of suppliers, products or services is essential
for information security.
Acquiring hardware, software, and services presents special information security risks to acquirers.
As supply chains get more complex and physically dispersed and traverse multiple international and
organizational boundaries, specific manufacturing and operation practices applied to individual
elements (hardware, software, services, and their components) become more difficult to trace, including
identifying the individuals who are accountable for the quality and security of those elements. This
creates a general lack of traceability throughout the supply chain which in turn results in higher risk of
compromise to the acquirers’ information security and therefore to business operations, from:
— intentional events such as malicious code insertion and presence of counterfeit products in the
supply chain;
— unintentional events, such as poor software development practices or software vulnerabilities.
Both intentional and unintentional events can result in a compromise to the acquirer’s data and
operations including intellectual property theft, data leakage, and reduced ability by acquirers to
perform their business functions. Any of these identified concerns, if they were to occur, can harm the
reputation of the organization, leading to further impacts such as loss of business.
5.3 Acquirer and supplier relationship types
Hardware, software, and services acquirers and suppliers can involve multiple entities in a variety of
supply chain-based relationships, including but not limited to:
a) information or operational system management support where systems are owned by the acquirer
and managed by the supplier;
b) information or operational systems or services providers where systems or resources are owned
and managed by the supplier;
c) product development, design, engineering, etc. where the supplier provides all or part of the service
associated with creating hardware and software;
d) commercial-off-the-shelf product suppliers;
e) open source product suppliers and distributors.
When acquirers grant suppliers access to acquirers' information and information systems, acquirers
assume greater dependency on the supplied hardware, software, and services. By doing so, they assume
more risk and therefore require greater trust from suppliers. For example, acquiring information or
operational system management support has sometimes higher risk than acquiring open source or
3
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ISO/IEC 27036-3:2023(E)
commercial off-the-shelf products. From the supplier’s perspective, any compromises to the acquirer’s
information can harm the supplier's reputation and trust with the specific acquirer whose information
and information systems have been compromised.
To help manage the uncertainty and risks associated with supplier relationships, acquirers and
suppliers should establish a dialogue and reach an understanding regarding mutual expectations about
protecting each other's information and information systems.
5.4 Organizational capability
To manage risks associated with the hardware, software, and services supply chain throughout
their life cycle, acquirers and suppliers should implement an organizational capability for managing
information security aspects of supplier relationships. This capability should establish and monitor
hardware, software, and services supply chain security objectives for the acquirer organization and
monitor achievement of these objectives, including at least the following:
a) Define, select, and implement the strategy for management of information security risks caused by
hardware, software, and services supply chain vulnerabilities:
1) Establish and maintain a plan for identifying potential hardware, software, and services supply
chain-related vulnerabilities before they are exploited; in addition, have a plan for mitigating
adverse impacts.
2) Identify and document information security risks associated with the supply chain-related
threats and vulnerabilities (see 6.3.4).
b) Establish and adhere to baseline information security controls as a prerequisite to robust supplier
relationships (see Annex A for a mapping of Clause 6 to ISO/IEC 27002).
c) Establish and adhere to baseline system and software life cycle processes and practices for
establishing robust supplier relationships in regard to hardware, software, and services supply
chain information security risk management concerns (see Clause 6).
d) Have a set of baseline information security requirements that apply to all supplier relationships
and tailor them for specific suppliers as needed.
e) Establish a repeatable and testable process for establishing information security requirements
associated with new supplier relationships, managing existing supplier relationships, verifying and
validating that suppliers are complying with acquirer’s information security requirements, and
ending supplier relationships.
f) Establish change management processes to ensure that changes which potentially affect
information security are approved and applied in a timely manner.
g) Define methods for identifying and managing incidents related to or caused by the supply chain
and for sharing information about the incidents with suppliers and acquirers.
5.5 System life cycle processes
Life cycle processes can help set expectations between acquirers and suppliers for rigor and
accountability with regards to information security. Acquirers can implement life cycle processes
internally, to increase the rigor with which they establish and manage supplier relationships. Suppliers
can implement life cycle processes to help demonstrate rigor that suppliers apply to system and
software processes with respect to supplier relationships. While having those processes in place is
helpful for both acquirers and suppliers to
...

© ISO/IEC 2022 – All rights reserved
Date: 2023-01-25 Style Definition: Emphasis
ISO/IEC JTC 1/SC 27 N Formatted: English (United Kingdom)
Formatted: English (United Kingdom)
Date: FDIS 27036-3:2022-07-19(E)
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ISO/IEC DIS 27036-3
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ISO/IEC JTC 1/SC 27/WG 4
Formatted: English (United Kingdom)
Secretariat: DIN
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Cybersecurity –— Supplier relationships –— Part 3: Guidelines for hardware, software,
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ISO/IEC DISFDIS 27036-3:20222023(E)
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ISO/IEC DISFDIS 27036-3:20222023(E)
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Contents Page
Foreword.v
Introduction.vi Formatted: Highlight
Foreword . 9
Introduction . 10
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Structure. 2
5 Key concepts . 3
5.1 Business case for hardware, software, and services supply chain security . 3
5.2 Hardware, software, and services supply chain risks and associated threats . 3
5.3 Acquirer and supplier relationship types . 3
5.4 Organizational capability . 4
5.5 System life cycle processes . 5
5.6 ISMS processes in relation to system life cycle processes . 6
5.7 ISMS controls in relation to hardware, software, and services supply chain security . 6
5.8 Essential hardware, software, and services supply chain security practices . 7
6 Hardware, software, and services supply chain security in life cycle processes . 8
6.1 Agreement processes . 8
6.1.1 Acquisition process . 8
6.1.2 Supply process . 10
6.2 Organizational project-enabling processes . 12
6.2.1 Life cycle model management process . 12
6.2.2 Infrastructure management process . 13
6.2.3 Project portfolio management process . 13
6.2.4 Human resource management process . 13
6.2.5 Quality management process . 14
6.2.6 Knowledge management process . 15
6.3 Technical management processes . 15
6.3.1 Project planning process . 15
6.3.2 Project assessment and control process . 15
6.3.3 Decision management process . 16
6.3.4 Risk management process . 16
6.3.5 Configuration management process . 17
6.3.6 Information management process . 18
6.3.7 Measurement process . 18
6.3.8 Quality assurance process . 18
6.4 Technical processes . 18
6.4.1 Business or mission analysis process . 18
6.4.2 Stakeholder needs and requirements definition process . 19
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6.4.3 System requirements definition process . 19
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6.4.4 System architecture definition process. 20
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6.4.5 Design definition process . 21
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ISO/IEC DISFDIS 27036-3:20222023(E)
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6.4.6 System analysis process . 22
6.4.7 Implementation process . 22
6.4.8 Integration process . 23
6.4.9 Verification process . 23
6.4.10 Transition process . 24
6.4.11 Validation process . 25
6.4.12 Operation process . 26
6.4.13 Maintenance process . 26
6.4.14 Disposal process . 27
Annex A (informative) Correspondence between controls in ISO/IEC 27002 and this
document . 29
Table A.1 — Correspondence between controls in ISO/IEC 27002 and this document . 29
Annex B (informative) Essential elements of a software bill of materials . 32
B.1 General . 32
B.1.1 Overview . 32
B.1.2 Audience . 32
B.2 Essential SBoM elements . 33
B.2.1 Overview . 33
B.2.2 Author . 33
B.2.3 Timestamp . 33
B.2.4 Lifecycle . 33
B.2.5 Supplier name . 34
B.2.6 Component name . 34
B.2.7 Version . 34
B.2.8 Cryptographic hash . 34
B.2.9 Unique identifier . 34
B.2.10 Relationship . 35
B.2.11 Source . 35
B.3 Essential SBoM processes . 36
B.3.1 Overview . 36
B.3.2 Frequency . 36
B.3.3 Depth and extent . 36
B.3.4 Availability . 36
B.3.5 Errors in SBoMs . 36
B.3.6 Non-repudiation . 36
Bibliography . 38

1 Scope . 1
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2 Normative references . 1
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ISO/IEC DISFDIS 27036-3:20222023(E)
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3 Terms and definitions . 1
4 Structure. 2
5 Key concepts . 3
5.1 Business case for hardware, software, and services supply chain security . 3
5.2 Hardware, software, and services supply chain risks and associated threats . 3
5.3 Acquirer and supplier relationship types . 3
5.4 Organizational capability . 4
5.5 System life cycle processes . 5
5.6 ISMS processes in relation to system life cycle processes . 6
5.7 ISMS controls in relation to hardware, software, and services supply chain security . 6
5.8 Essential hardware, software, and services supply chain security practices . 7
6 Hardware, software, and services supply chain security in life cycle processes . 8
6.1 Agreement processes . 8
6.1.1 Acquisition process . 8
6.1.2 Supply process . 10
6.2 Organizational project-enabling processes . 12
6.2.1 Life cycle model management process . 12
6.2.2 Infrastructure management process . 13
6.2.3 Project portfolio management process . 13
6.2.4 Human resource management process . 13
6.2.5 Quality management process . 14
6.2.6 Knowledge management process . 15
6.3 Technical management processes . 15
6.3.1 Project planning process . 15
6.3.2 Project assessment and control process . 15
6.3.3 Decision management process . 16
6.3.4 Risk management process . 16
6.3.5 Configuration management process . 17
6.3.6 Information management process . 18
6.3.7 Measurement process . 18
6.3.8 Quality assurance process . 18
6.4 Technical processes . 18
6.4.1 Business or mission analysis process . 18
6.4.2 Stakeholder needs and requirements definition process . 19
6.4.3 System requirements definition process . 19
6.4.4 System architecture definition process. 20
6.4.5 Design definition process . 21
6.4.6 System analysis process . 22
6.4.7 Implementation process . 22
6.4.8 Integration process . 23
6.4.9 Verification process . 23
6.4.10 Transition process . 24
6.4.11 Validation process . 25
6.4.12 Operation process . 26
6.4.13 Maintenance process . 26
6.4.14 Disposal process . 27
Annex A (informative) Correspondence between the controls in ISO/IEC 27002 and this
document . 29
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Table A.1 — Correspondence between controls in ISO/IEC 27002 and this document . 29
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Annex B (informative) Essential elements of a software bill of materials . 32
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ISO/IEC DISFDIS 27036-3:20222023(E)
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B.1 General . 32
B.1.1 Overview . 32
B.1.2 Audience . 32
B.2 Essential SBoM elements . 33
B.2.1 Overview . 33
B.2.2 Author . 33
B.2.3 Timestamp . 33
B.2.4 Life cycle . 33
B.2.5 Supplier name . 34
B.2.6 Component name . 34
B.2.7 Version . 34
B.2.8 Cryptographic hash . 34
B.2.9 Unique identifier . 34
B.2.10 Relationship . 35
B.2.11 Source . 35
B.3 Essential SBoM processes . 36
B.3.1 Overview . 36
B.3.2 Frequency . 36
B.3.3 Depth and extent . 36
B.3.4 Availability . 36
B.3.5 Errors in SBoMs . 36
B.3.6 Non-repudiation . 36
Bibliography . 38
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ISO/IEC DISFDIS 27036-3:20222023(E)
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Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
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Commission) form the specialized system for worldwide standardization. National bodies that are
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members of ISO or IEC participate in the development of International Standards through technical
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committees established by the respective organization to deal with particular fields of technical activity.
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ISO and IEC technical committees collaborate in fields of mutual interest. Other international
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work. Formatted
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The procedures used to develop this document and those intended for its further maintenance are
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described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
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different types of document should be noted. This document was drafted in accordance with the
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editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives or
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patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights.
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Details of any patent rights identified during the development of the document will be in the
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Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents) or the
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FINAL
INTERNATIONAL ISO/IEC
DRAFT
STANDARD FDIS
27036-3
ISO/IEC JTC 1/SC 27
Cybersecurity — Supplier
Secretariat: DIN
relationships —
Voting begins on:
2023-02-08
Part 3:
Voting terminates on:
Guidelines for hardware, software,
2023-04-05
and services supply chain security
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/IEC FDIS 27036-3:2023(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. © ISO/IEC 2023

---------------------- Page: 1 ----------------------
ISO/IEC FDIS 27036-3:2023(E)
FINAL
INTERNATIONAL ISO/IEC
DRAFT
STANDARD FDIS
27036-3
ISO/IEC JTC 1/SC 27
Cybersecurity — Supplier
Secretariat: DIN
relationships —
Voting begins on:
Part 3:
Voting terminates on:
Guidelines for hardware, software,
and services supply chain security
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2023
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.
RECIPIENTS OF THIS DRAFT ARE INVITED TO
ISO copyright office
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
CP 401 • Ch. de Blandonnet 8
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
CH-1214 Vernier, Geneva
DOCUMENTATION.
Phone: +41 22 749 01 11
IN ADDITION TO THEIR EVALUATION AS
Reference number
Email: copyright@iso.org
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO­
ISO/IEC FDIS 27036­3:2023(E)
Website: www.iso.org
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
Published in Switzerland
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN­
DARDS TO WHICH REFERENCE MAY BE MADE IN
ii
  © ISO/IEC 2023 – All rights reserved
NATIONAL REGULATIONS. © ISO/IEC 2023

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ISO/IEC FDIS 27036-3:2023(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Structure . 2
5 Key concepts . 2
5.1 Business case for hardware, software, and services supply chain security . 2
5.2 Hardware, software, and services supply chain risks and associated threats . 3
5.3 Acquirer and supplier relationship types . 3
5.4 Organizational capability . 4
5.5 System life cycle processes . 4
5.6 ISMS processes in relation to system life cycle processes . 5
5.7 ISMS controls in relation to hardware, software, and services supply chain security . 6
5.8 Essential hardware, software, and services supply chain security practices . 6
6 Hardware, software, and services supply chain security in life cycle processes .7
6.1 Agreement processes . 7
6.1.1 Acquisition process . 7
6.1.2 Supply process . 9
6.2 Organizational project­enabling processes . 11
6.2.1 Life cycle model management process . 11
6.2.2 Infrastructure management process . 11
6.2.3 Project portfolio management process .12
6.2.4 Human resource management process .12
6.2.5 Quality management process . 13
6.2.6 Knowledge management process . 13
6.3 Technical management processes . 13
6.3.1 Project planning process . . 13
6.3.2 Project assessment and control process . 14
6.3.3 Decision management process. 14
6.3.4 Risk management process . 14
6.3.5 Configuration management process . 15
6.3.6 Information management process . 16
6.3.7 Measurement process . 16
6.3.8 Quality assurance process . 16
6.4 Technical processes . . 16
6.4.1 Business or mission analysis process . 16
6.4.2 Stakeholder needs and requirements definition process . 16
6.4.3 System requirements definition process. 17
6.4.4 System architecture definition process . 18
6.4.5 Design definition process . 19
6.4.6 System analysis process . 19
6.4.7 Implementation process . 19
6.4.8 Integration process . 20
6.4.9 Verification process . 20
6.4.10 Transition process . 21
6.4.11 Validation process .22
6.4.12 Operation process .23
6.4.13 Maintenance process . 23
6.4.14 Disposal process . 24
Annex A (informative) Correspondence between the controls in ISO/IEC 27002 and this
document .26
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ISO/IEC FDIS 27036-3:2023(E)
Annex B (informative) Essential elements of a software bill of materials .29
Bibliography .34
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ISO/IEC FDIS 27036-3:2023(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/understanding­standards.
ISO/IEC 27036-3 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 27, Information security, cybersecurity, and privacy protection.
This second edition cancels and replaces the first edition (ISO/IEC 27036-3:2013), which has been
technically revised.
The main changes are as follows:
— the structure and content have been aligned with the most recent version of ISO/IEC/IEEE 15288;
— former Annex A has been removed;
— Annex B has been added.
A list of all parts in the ISO/IEC 27036 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/national­committees.
v
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ISO/IEC FDIS 27036-3:2023(E)
Introduction
Hardware and software products and information technology services are developed, integrated, and
delivered globally through deep and physically dispersed supply chains. The supply chain can be a
point-to-point or a many-to-many structure and can also be referred to as a supply network. Hardware
and software are assembled from many components provided by many suppliers. Information
technology services throughout the entire supplier relationship are also delivered through multiple
tiers of outsourcing and supply chaining. Acquirers do not have visibility into the practices of hardware,
software, and service providers beyond first or possibly second link of the supply chain. With the
substantial increase in the number of organizations and people who “touch” a hardware, software,
or service, the visibility into the practices by which these products and services are put together
has decreased dramatically. This lack of visibility, transparency, and traceability into the hardware,
software and service supply chain poses risks to acquiring organizations.
This document provides guidance to hardware, software and service acquirers and suppliers to reduce
or manage information security risk. This document identifies the business case for hardware, software,
and service supply chain security, specific risks and relationship types, as well as how to develop an
organizational capability to manage information security aspects and incorporate a life cycle approach
to manage risks supported by specific controls and practices. Its application is expected to result in:
— increased hardware, software, and services supply chain visibility and traceability to enhance
information security capability;
— increased understanding by the acquirers of where their products or services are coming from, and
of the practices used to develop, integrate, or operate these products or services, to enhance the
implementation of information security requirements;
— in case of an information security compromise, the availability of information about what may have
been compromised and who the involved actors may be.
This document is intended to be used by all types of organizations that acquire or supply hardware,
software, and services. The guidance is primarily focused on the initial link of the first acquirer and
supplier, but the principal steps should be applied throughout the chain, starting when the first supplier
becomes an acquirer. This change of roles and applying the same steps for each new acquirer-supplier
link in the chain is the essential intention of this document. By following this document, information
security implications can be communicated among organizations in the chain. This helps identify
information security risks and their causes and may enhance the transparency throughout the chain.
Information security concerns related to supplier relationships cover a broad range of scenarios.
Organizations desiring to improve trust within their hardware, software, and services supply chain
should define their trust boundaries. They should evaluate the risk associated with their supply chain
activities, and then define and implement appropriate risk identification and mitigation techniques
to reduce the vulnerabilities being introduced through their hardware, software and services supply
chain.
The framework and controls outlined in ISO/IEC 27001 and ISO/IEC 27002 provide a useful starting
point for identifying appropriate requirements for acquirers and suppliers. The ISO/IEC 27036 series
provides further detail on how to establish and monitor supplier relationships. This document has been
structured to be harmonized with ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207.
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FINAL DRAFT INTERNATIONAL STANDARD ISO/IEC FDIS 27036-3:2023(E)
Cybersecurity — Supplier relationships —
Part 3:
Guidelines for hardware, software, and services supply
chain security
1 Scope
This document provides guidance for product and service acquirers, as well as suppliers of hardware,
software and services, regarding:
a) gaining visibility into and managing the information security risks caused by physically dispersed
and multi-layered hardware, software, and services supply chains;
b) responding to risks stemming from this physically dispersed and multi-layered hardware, software,
and services supply chain that can have an information security impact on the organizations using
these products and services;
c) integrating information security processes and practices into the system and software life cycle
processes, as described in ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207, while supporting
information security controls, as described in ISO/IEC 27002.
This document does not include business continuity management/resiliency issues involved with
the hardware, software, and services supply chain. ISO/IEC 27031 addresses information and
communication technology readiness for business continuity.
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 27000, Information technology — Security techniques — Information security management
systems — Overview and vocabulary
ISO/IEC 27036­1, Cybersecurity — Supplier relationships — Part 1: Overview and concepts
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 27000, ISO/IEC 27036-1
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
software bill of materials
SBoM
inventory of software components, sub-components and dependencies with associated information
1
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ISO/IEC FDIS 27036-3:2023(E)
3.2
system element
member of a set of elements that constitute a system
EXAMPLE Hardware, software, data, humans, processes (e.g. processes for providing service to users),
procedures (e.g. operator instructions), facilities, materials, and naturally occurring entities or any combination.
Note 1 to entry: A system element is a discrete part of a system that can be implemented to fulfil specified
requirements.
[SOURCE: ISO/IEC/IEEE 15288:2015, 4.1.47]
3.3
traceability
property that allows the tracking of the activity of an identity, process, or an element throughout the
supply chain
3.4
transparency
property of a system or process to imply openness and accountability
3.5
validation
confirmation, through the provision of objective evidence, that the requirements for a specific intended
use or application have been fulfilled
Note 1 to entry: A system is able to accomplish its intended use, goals and objectives (i.e. meet stakeholder
requirements) in the intended operational environment. The right system was built.
[SOURCE: ISO/IEC/IEEE 15288:2015, 4.1.53]
3.6
verification
confirmation, through the provision of objective evidence, that specified requirements have been
fulfilled
Note 1 to entry: Verification is a set of activities that compares a system or system element against the required
characteristics. This includes, but is not limited to, specified requirements, design description and the system
itself. The system was built right.
[SOURCE: ISO/IEC/IEEE 15288:2015, 4.1.54]
4 Structure
This structure of this document is harmonized with ISO/IEC/IEEE 15288 and ISO/IEC/IEEE 12207.
Clause 6 mirrors life cycle processes provided in those two standards. This document is also
harmonized with ISO/IEC 27002 and references relevant information security controls within the life
cycle processes with the mapping provided in Annex A.
5 Key concepts
5.1 Business case for hardware, software, and services supply chain security
Organizations acquire hardware, software, and services from numerous suppliers who can in turn
acquire components from other suppliers. The information security risks associated with these
dispersed and multi-layered hardware, software, and services supply chains can be managed through
the application of risk management practices and trusted relationships, thereby increasing visibility,
traceability and transparency in the hardware, software, and services supply chain.
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ISO/IEC FDIS 27036-3:2023(E)
For example, increased visibility into the hardware, software, and services supply chain is obtained by
defining adequate information security and quality requirements, and ongoing monitoring of suppliers
and their products and services once a supplier relationship is in operation. Identifying and tracking
supply chain entities accountable for quality and security for critical elements provides greater
traceability. Establishing contractual requirements and expectations, as well as reviewing processes
and practices provides much needed transparency.
Acquirers should establish an understanding within their organizations regarding the hardware,
software, and services supply chain risks and their possible impacts on businesses. Specifically, the
acquirer’s management should be aware that practices of suppliers throughout the supply chain can
have impacts on whether resulting products and services can be trusted to protect the acquirer’s
business, information, and information systems.
5.2 Hardware, software, and services supply chain risks and associated threats
In a supply chain, information security management of an individual organization (acquirer or supplier)
is not sufficient to maintain information security of hardware, software, and services throughout their
supply chain. The acquirer’s management of the sourcing of suppliers, products or services is essential
for information security.
Acquiring hardware, software, and services presents special information security risks to acquirers.
As supply chains get more complex and physically dispersed and traverse multiple international and
organizational boundaries, specific manufacturing and operation practices applied to individual
elements (hardware, software, services, and their components) become more difficult to trace, including
identifying the individuals who are accountable for the quality and security of those elements. This
creates a general lack of traceability throughout the supply chain which in turn results in higher risk of
compromise to the acquirers’ information security and therefore to business operations, from:
— intentional events such as malicious code insertion and presence of counterfeit products in the
supply chain;
— unintentional events, such as poor software development practices or software vulnerabilities.
Both intentional and unintentional events can result in a compromise to the acquirer’s data and
operations including intellectual property theft, data leakage, and reduced ability by acquirers to
perform their business functions. Any of these identified concerns, if they were to occur, can harm the
reputation of the organization, leading to further impacts such as loss of business.
5.3 Acquirer and supplier relationship types
Hardware, software, and services acquirers and suppliers can involve multiple entities in a variety of
supply chain-based relationships, including but not limited to:
a) information or operational system management support where systems are owned by the acquirer
and managed by the supplier;
b) information or operational systems or services providers where systems or resources are owned
and managed by the supplier;
c) product development, design, engineering, etc. where the supplier provides all or part of the service
associated with creating hardware and software;
d) commercial­off­the­shelf product suppliers;
e) open source product suppliers and distributors.
When acquirers grant suppliers access to acquirers‘ information and information systems, acquirers
assume greater dependency on the supplied hardware, software, and services. By doing so, they assume
more risk and therefore require greater trust from suppliers. For example, acquiring information or
operational system management support has sometimes higher risk than acquiring open source or
3
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ISO/IEC FDIS 27036-3:2023(E)
commercial off-the-shelf products. From the supplier’s perspective, any compromises to the acquirer’s
information can harm the supplier's reputation and trust with the specific acquirer whose information
and information systems have been compromised.
To help manage the uncertainty and risks associated with supplier relationships, acquirers and
suppliers should establish a dialogue and reach an understanding regarding mutual expectations about
protecting each other's information and information systems.
5.4 Organizational capability
To manage risks associated with the hardware, software, and services supply chain throughout
their life cycle, acquirers and suppliers should implement an organizational capability for managing
information security aspects of supplier relationships. This capability should establish and monitor
hardware, software, and services supply chain security objectives for the acquirer organization and
monitor achievement of these objectives, including at least the following:
a) Define, select, and implement the strategy for management of information security risks caused by
hardware, software, and services supply chain vulnerabilities:
1) Establish and maintain a plan for identifying potential hardware, software, and services supply
chain-related vulnerabilities before they are exploited; in addition, have a plan for mitigating
adverse impacts.
2) Identify and document information security risks associated with the supply chain-related
threats and vulnerabilities (see 6.3.4).
b) Establish and adhere to baseline information security controls as a prerequisite to robust supplier
relationships (see Annex A for a mapping of Clause 6 to ISO/IEC 27002).
c) Establish and adhere to baseline system and software life cycle processes and practices for
establishing robust supplier relationships in regard to hardware, software, and services supply
chain information security risk management concerns (see Clause 6).
d) Have a set of baseline information security requirements that apply to all supplier relationships
and tailor them for specific suppliers as needed.
e) Establish a repeatable and testable process for establishing information security requirements
associated with new supplier relationships, managing existing
...

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