SIST ISO 14298:2022
(Main)Graphic technology - Management of security printing processes
Graphic technology - Management of security printing processes
This document specifies requirements for a security printing management system for security printers.
This document specifies a minimum set of security printing management system requirements. Organizations ensure that customer security requirements are met as appropriate, provided these do not conflict with the requirements of this document.
Technologie graphique - Management des procédés d'impression de sécurité
Grafična tehnologija - Upravljanje procesov v varnostnem tisku
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Ta dokument določa minimalni sklop zahtev za sisteme upravljanja varnostnega tiska. Organizacije zagotovijo, da so varnostne zahteve strank ustrezno izpolnjene, pod pogojem, da te niso v nasprotju z zahtevami tega dokumenta.
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SLOVENSKI STANDARD
SIST ISO 14298:2022
01-maj-2022
Nadomešča:
SIST ISO 14298:2020
Grafična tehnologija - Upravljanje procesov v varnostnem tisku
Graphic technology - Management of security printing processes
Technologie graphique - Management des procédés d'impression de sécurité
Ta slovenski standard je istoveten z: ISO 14298:2021
ICS:
37.100.01 Grafična tehnologija na Graphic technology in
splošno general
SIST ISO 14298:2022 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST ISO 14298:2022
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SIST ISO 14298:2022
INTERNATIONAL ISO
STANDARD 14298
Second edition
2021-08
Graphic technology — Management of
security printing processes
Technologie graphique — Management des procédés d'impression de
sécurité
Reference number
ISO 14298:2021(E)
©
ISO 2021
---------------------- Page: 3 ----------------------
SIST ISO 14298:2022
ISO 14298:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 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
ii © ISO 2021 – All rights reserved
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SIST ISO 14298:2022
ISO 14298:2021(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Context of the organization . 5
4.1 Understanding the organization and its context . 5
4.2 Understanding the needs and expectations of interested parties . 5
4.3 Determining the scope of the security printing management system . 6
4.4 Security printing management system . 6
5 Leadership . 7
5.1 Leadership and commitment . 7
5.2 Policy . 8
5.3 Organization roles, responsibilities and authorities . 8
6 Planning . 8
6.1 Actions to address risk and opportunities . 8
6.2 Security objectives and planning to achieve them . 9
6.3 Security printing management system planning . 9
7 Support .10
7.1 Resources .10
7.2 Competence .10
7.3 Awareness .10
7.4 Communication .11
7.5 Documented information .11
7.5.1 General.11
7.5.2 Creating and updating .12
7.5.3 Control of documented information .12
8 Operation .13
9 Performance evaluation .13
9.1 Monitoring, measurement, analysis and evaluation .13
9.2 Internal audit .14
9.3 Management review .14
10 Improvement .15
10.1 Nonconformity, security breaches and corrective actions .15
10.2 Preventive actions .15
10.3 Continual improvement .16
Annex A (normative) Determination of security requirements related to the security
printing management system .17
Bibliography .21
© ISO 2021 – All rights reserved iii
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SIST ISO 14298:2022
ISO 14298:2021(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
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 ISO documents 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).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO 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).
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.
This document was prepared by Technical Committee ISO/TC130, Graphic technology.
This second edition cancels and replaces the first edition (ISO 14298:2013), which has been technically
revised.
The main changes compared to the previous edition are as follows:
— definitions have been updated according to the latest version of ISO/IEC Directives, Part 1,
Consolidated ISO Supplement;
— editorial changes have been applied;
— the lay-out has been updated.
A list of all parts in the ISO 14298 series can be found on the ISO website.
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.
iv © ISO 2021 – All rights reserved
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SIST ISO 14298:2022
ISO 14298:2021(E)
Introduction
0.1 General
This document specifies requirements for a security printing management system for security printers.
Current security printing management practices lack sufficient guarantees that effective security
controls are maintained to protect the interest of the customer as well as the general public. Using this
document, the organization establishes, documents, implements and maintains a security printing
management system. This security printing management system is regularly reviewed to continually
improve its effectiveness. It is recognized that customer requirements sometimes exceed the
requirements of this document, so the security printing management system also addresses customer
requirements that are beyond the scope of this document.
The adoption of a security printing management system is a strategic decision of an organization. The
design and implementation of an organization’s security printing management system is influenced by
varying needs, particular objectives, products provided, processes employed, security environment,
cultural issues, legal limitations, risk assessment and by size and structure of the organization.
To achieve the objectives of this security printing management system standard, measures are taken to
mitigate all of the security threats determined by an organizational risk assessment. Such controls focus
upon reducing, eliminating and preventing acts that compromise the security printing management
system of the organization.
It is not the intent of this document to obtain uniformity in the structure of the security printing
management system or uniformity of documented information. The security printing management
system complies with laws and regulations in force. The requirements specified in this document are
supplementary to requirements for products and processes of an organization and allow for additional
specific requirements from the customer.
This document is intended to apply to security printers. It contains requirements that when
implemented by a security printer may be objectively audited for certification/registration purposes.
0.2 Process approach
This document promotes the adoption of a process approach when developing, implementing and
improving the effectiveness of a security printing management system.
The application of a system of processes within an organization, together with the identification
and interaction of these processes, and their management, is referred to as a “process approach”. An
advantage of a “process approach” is the ongoing control that it provides over the interaction between
individual processes within the system of processes, as well as over their combination.
0.3 Basic principles
When implemented, the security printing management system:
a) achieves the security of products, processes, means of production, premises, information, raw
material supplies;
b) is used to continue to meet demonstrably the requirements, and naturally, the needs of customers;
c) affords management the confidence that the targeted degree of security is actually achieved and
remains effective;
d) affords the customers the confidence that the agreed nature and degree of security is or will be
attained.
This document prescribes which elements a security printing management system contains and not
how a specific organization implements these elements.
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SIST ISO 14298:2022
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SIST ISO 14298:2022
INTERNATIONAL STANDARD ISO 14298:2021(E)
Graphic technology — Management of security printing
processes
1 Scope
This document specifies requirements for a security printing management system for security printers.
This document specifies a minimum set of security printing management system requirements.
Organizations ensure that customer security requirements are met as appropriate, provided these do
not conflict with the requirements of this document.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological 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
organization
person or group of people that has its own functions with responsibilities, authorities and relationships
to achieve its objectives (3.8)
Note 1 to entry: The concept of organization includes but is not limited to sole-trader, company, corporation, firm,
enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated
or not, public or private.
3.2
interested party
stakeholder
person or organization (3.1) that can affect, be affected by, or perceive itself to be affected by a decision
or activity
3.3
requirement
need or expectation that is stated, generally implied or obligatory
Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and
interested parties that the need or expectation under consideration is implied.
Note 2 to entry: A specified requirement is one that is stated, for example in documented information.
3.4
management system
set of interrelated or interacting elements of an organization (3.1) to establish policies (3.7) and
objectives (3.8), and processes (3.12) to achieve those objectives
Note 1 to entry: A management system can address a single discipline or several disciplines.
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SIST ISO 14298:2022
ISO 14298:2021(E)
Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning
and operation.
Note 3 to entry: The scope of a management system may include the whole of the organization, specific and
identified functions of the organization, specific and identified sections of the organization, or one or more
functions across a group of organizations.
3.5
top management
person or group of people who directs and controls an organization (3.1) at the highest level
Note 1 to entry: Top management has the power to delegate authority and provide resources within the
organization.
Note 2 to entry: If the scope of the management system (3.4) covers only part of an organization then top
management refers to those who direct and control that part of the organization.
3.6
effectiveness
extent to which planned activities are realized and planned results achieved
3.7
policy
intentions and direction of an organization (3.1) as formally expressed by its top management (3.5)
3.8
objective
result to be achieved
Note 1 to entry: An objective can be strategic, tactical, or operational.
Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and
environmental goals) and can apply at different levels [such as strategic, organization-wide, project, product and
process (3.12)].
Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an
operational criterion, as a security objective (3.32) or by the use of other words with similar meaning (e.g. aim,
goal, or target).
Note 4 to entry: In the context of security printing management systems security objectives (3.32) are set by the
organization, consistent with the security policy, to achieve specific results.
3.9
risk
effect of uncertainty
Note 1 to entry: An effect is a deviation from the expected — positive or negative.
Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or
knowledge of, an event, its consequence, or likelihood.
Note 3 to entry: Risk is often characterized by reference to potential “events” (see ISO Guide 73:2009, 3.5.1.3) and
“consequences” (see ISO Guide 73:2009, 3.6.1.3), or a combination of these.
Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated “likelihood” (see ISO Guide 73:2009, 3.6.1.1) of occurrence.
3.10
competence
ability to apply knowledge and skills to achieve intended results
2 © ISO 2021 – All rights reserved
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SIST ISO 14298:2022
ISO 14298:2021(E)
3.11
documented information
information required to be controlled and maintained by an organization (3.1) and the medium on
which it is contained
Note 1 to entry: Documented information can be in any format and media and from any source.
Note 2 to entry: Documented information can refer to the management system (3.4), including related processes
(3.12); information created in order for the organization to operate (documentation); and evidence of results
achieved (records).
3.12
process
set of interrelated or interacting activities which transforms inputs into outputs
3.13
performance
measurable result
Note 1 to entry: Performance can relate either to quantitative or qualitative findings.
Note 2 to entry: Performance can relate to the management of activities, processes (3.12), products (including
services), systems or organizations (3.1).
3.14
outsource (verb)
make an arrangement where an external organization (3.1) performs part of an organization’s function
or process (3.12)
Note 1 to entry: An external organization is outside the scope of the management system (3.4), although the
outsourced function or process is within the scope.
3.15
monitoring
determining the status of a system, a process (3.12) or an activity
Note 1 to entry: To determine the status there may be a need to check, measure, supervise or critically observe.
3.16
measurement
process (3.12) to determine a value
3.17
audit
systematic, independent and documented process (3.12) for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party),
or it can be a combined audit (combining two or more disciplines).
Note 2 to entry: An internal audit is conducted by the organization itself, or by an external party on its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” (see ISO 19011).
3.18
conformity
fulfilment of a requirement (3.3)
3.19
nonconformity
non-fulfilment of a requirement (3.3)
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SIST ISO 14298:2022
ISO 14298:2021(E)
3.20
correction
action to eliminate a detected nonconformity (3.19)
3.21
corrective action
action to eliminate the cause of a nonconformity (3.19) and to prevent recurrence
3.22
continual improvement
recurring activity to enhance performance (3.13)
3.23
risk assessment
overall process of risk identification, risk analysis and risk evaluation
[SOURCE: ISO Guide 73:2009, 3.4.1]
3.24
security printer
producer of printed documents or products of value or entitlement, ID documents or security foils (3.26)
which are physically protected against forgery, counterfeiting and alteration by security features (3.27)
3.25
security printing
set of processes (3.12) which transform raw materials into documents or products of value or
entitlement, ID documents or security foils (3.26) physically protected by security features (3.27)
3.26
security foil
thin film material that contains an optical variable element or similar security feature (3.27), which
is applied onto documents or products to physically protect them against forgery, counterfeiting and
alteration
3.27
security feature
component integrated in the product to protect against forgery, counterfeiting and alteration
3.28
security
protection of products, processes, information, means of production, security features and the supply
chain
3.29
threat
action or potential occurrence, whether or not malicious, to breach the security (3.28) of the system
3.30
security breach
infraction or violation of security
3.31
documented procedure
established way of working, documented, implemented and maintained
3.32
security objective
result to be achieved with regard to security (3.28)
Note 1 to entry: Security objectives are in general based on the security policy of the organization.
Note 2 to entry: Security objectives are in general specified for relevant functions and levels in the organization.
4 © ISO 2021 – All rights reserved
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SIST ISO 14298:2022
ISO 14298:2021(E)
3.33
security management
coordinated activities to direct and control an organization with regard to security (3.28)
Note 1 to entry: “Direct and control” in general entails the establishment of the policy, objectives, planning,
control, security assurance and improvements with regards to security (3.28). Security assurance represents all
planned and systematic actions needed to give a sufficient degree of confidence that a product or process (3.12)
meets the security requirements.
3.34
security plan
documented information that specifies the procedures and resources to satisfy the security
requirements of the organization
3.35
security control
aspect of security management (3.33) aimed at the fulfilment of the security requirements
3.36
preventive action
action to prevent the cause of a nonconformity (3.19)
3.37
traceability
ability to trace the history, application or location of an object
Note 1 to entry: When considering a product or a service, traceability can relate to the origin of materials and
parts, the processing history and the distribution and location of the product or service after delivery.
(SOURCE: ISO 9000:2015, 3.6.13, modified — Note 2 to entry has been omitted.)
3.38
resource
personnel, information, premises, process equipment (software and hardware) and tools
3.39
supply chain
set of interconnected processes (3.12) and resources (3.38) that starts with the sourcing of raw materials
and ends with the delivery of products and services to the customer
Note 1 to entry: Supply chains include producers, suppliers, manufacturers, distributors, wholesalers, vendors,
and logistics providers. They include facilities, plants, offices, warehouses, and branches and can be both internal
and external to an organization.
Note 2 to entry: Supply chain management as related to this document includes the vetting of suppliers and
customers from the point of initial security value, which is the point at which security is added to the product.
4 Context of the organization
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are relevant to its purpose and that
affect its ability to achieve the intended outcome(s) of its security printing management system.
4.2 Understanding the needs and expectations of interested parties
The organization shall determine:
— the interested parties that are relevant to the security printing management system;
— the relevant requirements of these interested parties.
© ISO 2021 – All rights reserved 5
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SIST ISO 14298:2022
ISO 14298:2021(E)
Certification is only possible if the organization has followed the regulations of the certification
procedure and if it has established a security printing management system in accordance with the
specifications of this procedure.
4.3 Determining the scope of the security printing management system
The organization shall determine the boundaries and applicability of the security printing management
system to establish its scope.
When determining this scope, the organization shall consider:
— the external and internal issues referred to in 4.1;
— the requirements referred to in 4.2.
The scope shall be available as documented information.
4.4 Security printing management system
The organization shall establish, implement, maintain and continually improve a security printing
management system including the processes needed and their interactions in accordance with the
requirements of this document and including the processes needed as outlined in Annex A and their
interactions.
It is recognized that customer requirements may exceed the requirements of this document, so the
security printing management system also addresses customer requirements that are beyond the
scope of this document.
The organization shall conduct a risk assessment on at least the following:
a) Customer-related risk
EXAMPLE 1 Unauthorized purchase, distribution or illegal use of a product by a customer.
b) Information-related risk
EXAMPLE 2 Unwanted, unintended, prompted or unprompted disclosure of information.
c) Security material, product and waste-related risk
EXAMPLE 3 Theft, damage, sabotage or loss of security materials.
d) Supply chain-related risk
EXAMPLE 4 Any subversion or compromise of the security of the organization's security products and
related services at any point in the supply chain.
e) Physical intrusion and access-related risk
EXAMPLE 5 Intrusion into sensitive physical areas.
f) Personnel-related risk
EXAMPLE 6 Personnel fraud or unauthorized actions.
g) Disaster-related risk
EXAMPLE 7 Security breakdowns that result from either man-made or natural disasters.
h) Security failure-related risk
EXAMPLE 8 Occurrence of security breaches.
i) Security management-related risk
6 © ISO 2021 – All rights reserved
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SIST ISO 14298:2022
ISO 14298:2021(E)
EXAMPLE 9 Lack of security management competences.
j) Use of machinery-related risk
EXAMPLE 10 Unauthorized use of the means of p
...
INTERNATIONAL ISO
STANDARD 14298
Second edition
2021-08
Graphic technology — Management of
security printing processes
Technologie graphique — Management des procédés d'impression de
sécurité
Reference number
ISO 14298:2021(E)
©
ISO 2021
---------------------- Page: 1 ----------------------
ISO 14298:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 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
ii © ISO 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 14298:2021(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Context of the organization . 5
4.1 Understanding the organization and its context . 5
4.2 Understanding the needs and expectations of interested parties . 5
4.3 Determining the scope of the security printing management system . 6
4.4 Security printing management system . 6
5 Leadership . 7
5.1 Leadership and commitment . 7
5.2 Policy . 8
5.3 Organization roles, responsibilities and authorities . 8
6 Planning . 8
6.1 Actions to address risk and opportunities . 8
6.2 Security objectives and planning to achieve them . 9
6.3 Security printing management system planning . 9
7 Support .10
7.1 Resources .10
7.2 Competence .10
7.3 Awareness .10
7.4 Communication .11
7.5 Documented information .11
7.5.1 General.11
7.5.2 Creating and updating .12
7.5.3 Control of documented information .12
8 Operation .13
9 Performance evaluation .13
9.1 Monitoring, measurement, analysis and evaluation .13
9.2 Internal audit .14
9.3 Management review .14
10 Improvement .15
10.1 Nonconformity, security breaches and corrective actions .15
10.2 Preventive actions .15
10.3 Continual improvement .16
Annex A (normative) Determination of security requirements related to the security
printing management system .17
Bibliography .21
© ISO 2021 – All rights reserved iii
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ISO 14298:2021(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
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 ISO documents 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).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO 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).
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.
This document was prepared by Technical Committee ISO/TC130, Graphic technology.
This second edition cancels and replaces the first edition (ISO 14298:2013), which has been technically
revised.
The main changes compared to the previous edition are as follows:
— definitions have been updated according to the latest version of ISO/IEC Directives, Part 1,
Consolidated ISO Supplement;
— editorial changes have been applied;
— the lay-out has been updated.
A list of all parts in the ISO 14298 series can be found on the ISO website.
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.
iv © ISO 2021 – All rights reserved
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ISO 14298:2021(E)
Introduction
0.1 General
This document specifies requirements for a security printing management system for security printers.
Current security printing management practices lack sufficient guarantees that effective security
controls are maintained to protect the interest of the customer as well as the general public. Using this
document, the organization establishes, documents, implements and maintains a security printing
management system. This security printing management system is regularly reviewed to continually
improve its effectiveness. It is recognized that customer requirements sometimes exceed the
requirements of this document, so the security printing management system also addresses customer
requirements that are beyond the scope of this document.
The adoption of a security printing management system is a strategic decision of an organization. The
design and implementation of an organization’s security printing management system is influenced by
varying needs, particular objectives, products provided, processes employed, security environment,
cultural issues, legal limitations, risk assessment and by size and structure of the organization.
To achieve the objectives of this security printing management system standard, measures are taken to
mitigate all of the security threats determined by an organizational risk assessment. Such controls focus
upon reducing, eliminating and preventing acts that compromise the security printing management
system of the organization.
It is not the intent of this document to obtain uniformity in the structure of the security printing
management system or uniformity of documented information. The security printing management
system complies with laws and regulations in force. The requirements specified in this document are
supplementary to requirements for products and processes of an organization and allow for additional
specific requirements from the customer.
This document is intended to apply to security printers. It contains requirements that when
implemented by a security printer may be objectively audited for certification/registration purposes.
0.2 Process approach
This document promotes the adoption of a process approach when developing, implementing and
improving the effectiveness of a security printing management system.
The application of a system of processes within an organization, together with the identification
and interaction of these processes, and their management, is referred to as a “process approach”. An
advantage of a “process approach” is the ongoing control that it provides over the interaction between
individual processes within the system of processes, as well as over their combination.
0.3 Basic principles
When implemented, the security printing management system:
a) achieves the security of products, processes, means of production, premises, information, raw
material supplies;
b) is used to continue to meet demonstrably the requirements, and naturally, the needs of customers;
c) affords management the confidence that the targeted degree of security is actually achieved and
remains effective;
d) affords the customers the confidence that the agreed nature and degree of security is or will be
attained.
This document prescribes which elements a security printing management system contains and not
how a specific organization implements these elements.
© ISO 2021 – All rights reserved v
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INTERNATIONAL STANDARD ISO 14298:2021(E)
Graphic technology — Management of security printing
processes
1 Scope
This document specifies requirements for a security printing management system for security printers.
This document specifies a minimum set of security printing management system requirements.
Organizations ensure that customer security requirements are met as appropriate, provided these do
not conflict with the requirements of this document.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological 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
organization
person or group of people that has its own functions with responsibilities, authorities and relationships
to achieve its objectives (3.8)
Note 1 to entry: The concept of organization includes but is not limited to sole-trader, company, corporation, firm,
enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated
or not, public or private.
3.2
interested party
stakeholder
person or organization (3.1) that can affect, be affected by, or perceive itself to be affected by a decision
or activity
3.3
requirement
need or expectation that is stated, generally implied or obligatory
Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and
interested parties that the need or expectation under consideration is implied.
Note 2 to entry: A specified requirement is one that is stated, for example in documented information.
3.4
management system
set of interrelated or interacting elements of an organization (3.1) to establish policies (3.7) and
objectives (3.8), and processes (3.12) to achieve those objectives
Note 1 to entry: A management system can address a single discipline or several disciplines.
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ISO 14298:2021(E)
Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning
and operation.
Note 3 to entry: The scope of a management system may include the whole of the organization, specific and
identified functions of the organization, specific and identified sections of the organization, or one or more
functions across a group of organizations.
3.5
top management
person or group of people who directs and controls an organization (3.1) at the highest level
Note 1 to entry: Top management has the power to delegate authority and provide resources within the
organization.
Note 2 to entry: If the scope of the management system (3.4) covers only part of an organization then top
management refers to those who direct and control that part of the organization.
3.6
effectiveness
extent to which planned activities are realized and planned results achieved
3.7
policy
intentions and direction of an organization (3.1) as formally expressed by its top management (3.5)
3.8
objective
result to be achieved
Note 1 to entry: An objective can be strategic, tactical, or operational.
Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and
environmental goals) and can apply at different levels [such as strategic, organization-wide, project, product and
process (3.12)].
Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an
operational criterion, as a security objective (3.32) or by the use of other words with similar meaning (e.g. aim,
goal, or target).
Note 4 to entry: In the context of security printing management systems security objectives (3.32) are set by the
organization, consistent with the security policy, to achieve specific results.
3.9
risk
effect of uncertainty
Note 1 to entry: An effect is a deviation from the expected — positive or negative.
Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or
knowledge of, an event, its consequence, or likelihood.
Note 3 to entry: Risk is often characterized by reference to potential “events” (see ISO Guide 73:2009, 3.5.1.3) and
“consequences” (see ISO Guide 73:2009, 3.6.1.3), or a combination of these.
Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated “likelihood” (see ISO Guide 73:2009, 3.6.1.1) of occurrence.
3.10
competence
ability to apply knowledge and skills to achieve intended results
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ISO 14298:2021(E)
3.11
documented information
information required to be controlled and maintained by an organization (3.1) and the medium on
which it is contained
Note 1 to entry: Documented information can be in any format and media and from any source.
Note 2 to entry: Documented information can refer to the management system (3.4), including related processes
(3.12); information created in order for the organization to operate (documentation); and evidence of results
achieved (records).
3.12
process
set of interrelated or interacting activities which transforms inputs into outputs
3.13
performance
measurable result
Note 1 to entry: Performance can relate either to quantitative or qualitative findings.
Note 2 to entry: Performance can relate to the management of activities, processes (3.12), products (including
services), systems or organizations (3.1).
3.14
outsource (verb)
make an arrangement where an external organization (3.1) performs part of an organization’s function
or process (3.12)
Note 1 to entry: An external organization is outside the scope of the management system (3.4), although the
outsourced function or process is within the scope.
3.15
monitoring
determining the status of a system, a process (3.12) or an activity
Note 1 to entry: To determine the status there may be a need to check, measure, supervise or critically observe.
3.16
measurement
process (3.12) to determine a value
3.17
audit
systematic, independent and documented process (3.12) for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party),
or it can be a combined audit (combining two or more disciplines).
Note 2 to entry: An internal audit is conducted by the organization itself, or by an external party on its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” (see ISO 19011).
3.18
conformity
fulfilment of a requirement (3.3)
3.19
nonconformity
non-fulfilment of a requirement (3.3)
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3.20
correction
action to eliminate a detected nonconformity (3.19)
3.21
corrective action
action to eliminate the cause of a nonconformity (3.19) and to prevent recurrence
3.22
continual improvement
recurring activity to enhance performance (3.13)
3.23
risk assessment
overall process of risk identification, risk analysis and risk evaluation
[SOURCE: ISO Guide 73:2009, 3.4.1]
3.24
security printer
producer of printed documents or products of value or entitlement, ID documents or security foils (3.26)
which are physically protected against forgery, counterfeiting and alteration by security features (3.27)
3.25
security printing
set of processes (3.12) which transform raw materials into documents or products of value or
entitlement, ID documents or security foils (3.26) physically protected by security features (3.27)
3.26
security foil
thin film material that contains an optical variable element or similar security feature (3.27), which
is applied onto documents or products to physically protect them against forgery, counterfeiting and
alteration
3.27
security feature
component integrated in the product to protect against forgery, counterfeiting and alteration
3.28
security
protection of products, processes, information, means of production, security features and the supply
chain
3.29
threat
action or potential occurrence, whether or not malicious, to breach the security (3.28) of the system
3.30
security breach
infraction or violation of security
3.31
documented procedure
established way of working, documented, implemented and maintained
3.32
security objective
result to be achieved with regard to security (3.28)
Note 1 to entry: Security objectives are in general based on the security policy of the organization.
Note 2 to entry: Security objectives are in general specified for relevant functions and levels in the organization.
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ISO 14298:2021(E)
3.33
security management
coordinated activities to direct and control an organization with regard to security (3.28)
Note 1 to entry: “Direct and control” in general entails the establishment of the policy, objectives, planning,
control, security assurance and improvements with regards to security (3.28). Security assurance represents all
planned and systematic actions needed to give a sufficient degree of confidence that a product or process (3.12)
meets the security requirements.
3.34
security plan
documented information that specifies the procedures and resources to satisfy the security
requirements of the organization
3.35
security control
aspect of security management (3.33) aimed at the fulfilment of the security requirements
3.36
preventive action
action to prevent the cause of a nonconformity (3.19)
3.37
traceability
ability to trace the history, application or location of an object
Note 1 to entry: When considering a product or a service, traceability can relate to the origin of materials and
parts, the processing history and the distribution and location of the product or service after delivery.
(SOURCE: ISO 9000:2015, 3.6.13, modified — Note 2 to entry has been omitted.)
3.38
resource
personnel, information, premises, process equipment (software and hardware) and tools
3.39
supply chain
set of interconnected processes (3.12) and resources (3.38) that starts with the sourcing of raw materials
and ends with the delivery of products and services to the customer
Note 1 to entry: Supply chains include producers, suppliers, manufacturers, distributors, wholesalers, vendors,
and logistics providers. They include facilities, plants, offices, warehouses, and branches and can be both internal
and external to an organization.
Note 2 to entry: Supply chain management as related to this document includes the vetting of suppliers and
customers from the point of initial security value, which is the point at which security is added to the product.
4 Context of the organization
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are relevant to its purpose and that
affect its ability to achieve the intended outcome(s) of its security printing management system.
4.2 Understanding the needs and expectations of interested parties
The organization shall determine:
— the interested parties that are relevant to the security printing management system;
— the relevant requirements of these interested parties.
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ISO 14298:2021(E)
Certification is only possible if the organization has followed the regulations of the certification
procedure and if it has established a security printing management system in accordance with the
specifications of this procedure.
4.3 Determining the scope of the security printing management system
The organization shall determine the boundaries and applicability of the security printing management
system to establish its scope.
When determining this scope, the organization shall consider:
— the external and internal issues referred to in 4.1;
— the requirements referred to in 4.2.
The scope shall be available as documented information.
4.4 Security printing management system
The organization shall establish, implement, maintain and continually improve a security printing
management system including the processes needed and their interactions in accordance with the
requirements of this document and including the processes needed as outlined in Annex A and their
interactions.
It is recognized that customer requirements may exceed the requirements of this document, so the
security printing management system also addresses customer requirements that are beyond the
scope of this document.
The organization shall conduct a risk assessment on at least the following:
a) Customer-related risk
EXAMPLE 1 Unauthorized purchase, distribution or illegal use of a product by a customer.
b) Information-related risk
EXAMPLE 2 Unwanted, unintended, prompted or unprompted disclosure of information.
c) Security material, product and waste-related risk
EXAMPLE 3 Theft, damage, sabotage or loss of security materials.
d) Supply chain-related risk
EXAMPLE 4 Any subversion or compromise of the security of the organization's security products and
related services at any point in the supply chain.
e) Physical intrusion and access-related risk
EXAMPLE 5 Intrusion into sensitive physical areas.
f) Personnel-related risk
EXAMPLE 6 Personnel fraud or unauthorized actions.
g) Disaster-related risk
EXAMPLE 7 Security breakdowns that result from either man-made or natural disasters.
h) Security failure-related risk
EXAMPLE 8 Occurrence of security breaches.
i) Security management-related risk
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ISO 14298:2021(E)
EXAMPLE 9 Lack of security management competences.
j) Use of machinery-related risk
EXAMPLE 10 Unauthorized use of the means of production.
k) Sales of equipment-related risk
EXAMPLE 11 Sale, distribution of any equipment or component for illegal use.
l) Transportation-related risk
EXAMPLE 12 Theft, modification, damage or destruction of products, security raw materials and security
features during loading, unloading, storage and transportation.
m) Any additional security-related risks unique to the organization
This risk assessment shall be the basis for the establishment of a security plan (see 6.3).
[4]
NOTE ISO 31000 contains guidance for risk assessment.
5 Leadership
5.1 Leadership and commitment
Top management shall demonstrate leadership and commitment with respect to the security printing
management system by:
— ensuring that the security policy and security objectives are established and are compatible with
the strategic direction of the organization;
— ensuring the integration of the security printing management system requirements into the
organization’s business processes;
— ensuring that the resources
...
INTERNATIONAL ISO
STANDARD 14298
Second edition
Graphic technology — Management of
security printing processes
Technologie graphique — Management des procédés d'impression de
sécurité
PROOF/ÉPREUVE
Reference number
ISO 14298:2021(E)
©
ISO 2021
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ISO 14298:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 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
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Phone: +41 22 749 01 11
Email: copyright@iso.org
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Published in Switzerland
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ISO 14298:2021(E)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Context of the organization . 5
4.1 Understanding the organization and its context . 5
4.2 Understanding the needs and expectations of interested parties . 5
4.3 Determining the scope of the security printing management system . 6
4.4 Security printing management system . 6
5 Leadership . 7
5.1 Leadership and commitment . 7
5.2 Policy . 8
5.3 Organization roles, responsibilities and authorities . 8
6 Planning . 8
6.1 Actions to address risk and opportunities . 8
6.2 Security objectives and planning to achieve them . 9
6.3 Security printing management system planning . 9
7 Support .10
7.1 Resources .10
7.2 Competence .10
7.3 Awareness .10
7.4 Communication .11
7.5 Documented information .11
7.5.1 General.11
7.5.2 Creating and updating .12
7.5.3 Control of documented information .12
8 Operation .13
9 Performance evaluation .13
9.1 Monitoring, measurement, analysis and evaluation .13
9.2 Internal audit .14
9.3 Management review .14
10 Improvement .15
10.1 Nonconformity, security breaches and corrective actions .15
10.2 Preventive actions .15
10.3 Continual improvement .16
Annex A (normative) Determination of security requirements related to the security
printing management system .17
Bibliography .21
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ISO 14298:2021(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
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 ISO documents 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).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO 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).
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.
This document was prepared by Technical Committee ISO/TC130, Graphic technology.
This second edition cancels and replaces the first edition (ISO 14298:2013), which has been technically
revised.
The main changes compared to the previous edition are as follows:
— definitions have been updated according to the latest version of ISO/IEC Directives, Part 1,
Consolidated ISO Supplement;
— editorial changes have been applied;
— the lay-out has been updated.
A list of all parts in the ISO 14298 series can be found on the ISO website.
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.
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ISO 14298:2021(E)
Introduction
0.1 General
This document specifies requirements for a security printing management system for security printers.
Current security printing management practices lack sufficient guarantees that effective security
controls are maintained to protect the interest of the customer as well as the general public. Using this
document, the organization establishes, documents, implements and maintains a security printing
management system. This security printing management system is regularly reviewed to continually
improve its effectiveness. It is recognized that customer requirements sometimes exceed the
requirements of this document, so the security printing management system also addresses customer
requirements that are beyond the scope of this document.
The adoption of a security printing management system is a strategic decision of an organization. The
design and implementation of an organization’s security printing management system is influenced by
varying needs, particular objectives, products provided, processes employed, security environment,
cultural issues, legal limitations, risk assessment and by size and structure of the organization.
To achieve the objectives of this security printing management system standard, measures are taken to
mitigate all of the security threats determined by an organizational risk assessment. Such controls focus
upon reducing, eliminating and preventing acts that compromise the security printing management
system of the organization.
It is not the intent of this document to obtain uniformity in the structure of the security printing
management system or uniformity of documented information. The security printing management
system complies with laws and regulations in force. The requirements specified in this document are
supplementary to requirements for products and processes of an organization and allow for additional
specific requirements from the customer.
This document is intended to apply to security printers. It contains requirements that when
implemented by a security printer may be objectively audited for certification/registration purposes.
0.2 Process approach
This document promotes the adoption of a process approach when developing, implementing and
improving the effectiveness of a security printing management system.
The application of a system of processes within an organization, together with the identification
and interaction of these processes, and their management, is referred to as a “process approach”. An
advantage of a “process approach” is the ongoing control that it provides over the interaction between
individual processes within the system of processes, as well as over their combination.
0.3 Basic principles
When implemented, the security printing management system:
a) achieves the security of products, processes, means of production, premises, information, raw
material supplies;
b) is used to continue to meet demonstrably the requirements, and naturally, the needs of customers;
c) affords management the confidence that the targeted degree of security is actually achieved and
remains effective;
d) affords the customers the confidence that the agreed nature and degree of security is or will be
attained.
This document prescribes which elements a security printing management system contains and not
how a specific organization implements these elements.
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INTERNATIONAL STANDARD ISO 14298:2021(E)
Graphic technology — Management of security printing
processes
1 Scope
This document specifies requirements for a security printing management system for security printers.
This document specifies a minimum set of security printing management system requirements.
Organizations ensure that customer security requirements are met as appropriate, provided these do
not conflict with the requirements of this document.
2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological 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
organization
person or group of people that has its own functions with responsibilities, authorities and relationships
to achieve its objectives (3.8)
Note 1 to entry: The concept of organization includes but is not limited to sole-trader, company, corporation, firm,
enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated
or not, public or private.
3.2
interested party
stakeholder
person or organization (3.1) that can affect, be affected by, or perceive itself to be affected by a decision
or activity
3.3
requirement
need or expectation that is stated, generally implied or obligatory
Note 1 to entry: “Generally implied” means that it is custom or common practice for the organization and
interested parties that the need or expectation under consideration is implied.
Note 2 to entry: A specified requirement is one that is stated, for example in documented information.
3.4
management system
set of interrelated or interacting elements of an organization (3.1) to establish policies (3.7) and
objectives (3.8), and processes (3.12) to achieve those objectives
Note 1 to entry: A management system can address a single discipline or several disciplines.
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ISO 14298:2021(E)
Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning
and operation.
Note 3 to entry: The scope of a management system may include the whole of the organization, specific and
identified functions of the organization, specific and identified sections of the organization, or one or more
functions across a group of organizations.
3.5
top management
person or group of people who directs and controls an organization (3.1) at the highest level
Note 1 to entry: Top management has the power to delegate authority and provide resources within the
organization.
Note 2 to entry: If the scope of the management system (3.4) covers only part of an organization then top
management refers to those who direct and control that part of the organization.
3.6
effectiveness
extent to which planned activities are realized and planned results achieved
3.7
policy
intentions and direction of an organization (3.1) as formally expressed by its top management (3.5)
3.8
objective
result to be achieved
Note 1 to entry: An objective can be strategic, tactical, or operational.
Note 2 to entry: Objectives can relate to different disciplines (such as financial, health and safety, and
environmental goals) and can apply at different levels [such as strategic, organization-wide, project, product and
process (3.12)].
Note 3 to entry: An objective can be expressed in other ways, e.g. as an intended outcome, a purpose, an
operational criterion, as a security objective (3.32) or by the use of other words with similar meaning (e.g. aim,
goal, or target).
Note 4 to entry: In the context of security printing management systems security objectives (3.32) are set by the
organization, consistent with the security policy, to achieve specific results.
3.9
risk
effect of uncertainty
Note 1 to entry: An effect is a deviation from the expected — positive or negative.
Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or
knowledge of, an event, its consequence, or likelihood.
Note 3 to entry: Risk is often characterized by reference to potential “events” (see ISO Guide 73:2009, 3.5.1.3) and
“consequences” (see ISO Guide 73:2009, 3.6.1.3), or a combination of these.
Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated “likelihood” (see ISO Guide 73:2009, 3.6.1.1) of occurrence.
3.10
competence
ability to apply knowledge and skills to achieve intended results
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ISO 14298:2021(E)
3.11
documented information
information required to be controlled and maintained by an organization (3.1) and the medium on
which it is contained
Note 1 to entry: Documented information can be in any format and media and from any source.
Note 2 to entry: Documented information can refer to the management system (3.4), including related processes
(3.12); information created in order for the organization to operate (documentation); and evidence of results
achieved (records).
3.12
process
set of interrelated or interacting activities which transforms inputs into outputs
3.13
performance
measurable result
Note 1 to entry: Performance can relate either to quantitative or qualitative findings.
Note 2 to entry: Performance can relate to the management of activities, processes (3.12), products (including
services), systems or organizations (3.1).
3.14
outsource (verb)
make an arrangement where an external organization (3.1) performs part of an organization’s function
or process (3.12)
Note 1 to entry: An external organization is outside the scope of the management system (3.4), although the
outsourced function or process is within the scope.
3.15
monitoring
determining the status of a system, a process (3.12) or an activity
Note 1 to entry: To determine the status there may be a need to check, measure, supervise or critically observe.
3.16
measurement
process (3.12) to determine a value
3.17
audit
systematic, independent and documented process (3.12) for obtaining audit evidence and evaluating it
objectively to determine the extent to which the audit criteria are fulfilled
Note 1 to entry: An audit can be an internal audit (first party) or an external audit (second party or third party),
or it can be a combined audit (combining two or more disciplines).
Note 2 to entry: An internal audit is conducted by the organization itself, or by an external party on its behalf.
Note 3 to entry: “Audit evidence” and “audit criteria” (see ISO 19011).
3.18
conformity
fulfilment of a requirement (3.3)
3.19
nonconformity
non-fulfilment of a requirement (3.3)
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3.20
correction
action to eliminate a detected nonconformity (3.19)
3.21
corrective action
action to eliminate the cause of a nonconformity (3.19) and to prevent recurrence
3.22
continual improvement
recurring activity to enhance performance (3.13)
3.23
risk assessment
overall process of risk identification, risk analysis and risk evaluation
[SOURCE: ISO Guide 73:2009, 3.4.1]
3.24
security printer
producer of printed documents or products of value or entitlement, ID documents or security foils (3.26)
which are physically protected against forgery, counterfeiting and alteration by security features (3.27)
3.25
security printing
set of processes (3.12) which transform raw materials into documents or products of value or
entitlement, ID documents or security foils (3.26) physically protected by security features (3.27)
3.26
security foil
thin film material that contains an optical variable element or similar security feature (3.27), which
is applied onto documents or products to physically protect them against forgery, counterfeiting and
alteration
3.27
security feature
component integrated in the product to protect against forgery, counterfeiting and alteration
3.28
security
protection of products, processes, information, means of production, security features and the supply
chain
3.29
threat
action or potential occurrence, whether or not malicious, to breach the security (3.28) of the system
3.30
security breach
infraction or violation of security
3.31
documented procedure
established way of working, documented, implemented and maintained
3.32
security objective
result to be achieved with regard to security (3.28)
Note 1 to entry: Security objectives are in general based on the security policy of the organization.
Note 2 to entry: Security objectives are in general specified for relevant functions and levels in the organization.
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ISO 14298:2021(E)
3.33
security management
coordinated activities to direct and control an organization with regard to security (3.28)
Note 1 to entry: “Direct and control” in general entails the establishment of the policy, objectives, planning,
control, security assurance and improvements with regards to security (3.28). Security assurance represents all
planned and systematic actions needed to give a sufficient degree of confidence that a product or process (3.12)
meets the security requirements.
3.34
security plan
documented information that specifies the procedures and resources to satisfy the security
requirements of the organization
3.35
security control
aspect of security management (3.33) aimed at the fulfilment of the security requirements
3.36
preventive action
action to prevent the cause of a nonconformity (3.19)
3.37
traceability
ability to trace the history, application or location of an object
Note 1 to entry: When considering a product or a service, traceability can relate to the origin of materials and
parts, the processing history and the distribution and location of the product or service after delivery.
(SOURCE: ISO 9000:2015, 3.6.13, modified — Note 2 to entry has been omitted.)
3.38
resource
personnel, information, premises, process equipment (software and hardware) and tools
3.39
supply chain
set of interconnected processes (3.12) and resources (3.38) that starts with the sourcing of raw materials
and ends with the delivery of products and services to the customer
Note 1 to entry: Supply chains include producers, suppliers, manufacturers, distributors, wholesalers, vendors,
and logistics providers. They include facilities, plants, offices, warehouses, and branches and can be both internal
and external to an organization.
Note 2 to entry: Supply chain management as related to this document includes the vetting of suppliers and
customers from the point of initial security value, which is the point at which security is added to the product.
4 Context of the organization
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are relevant to its purpose and that
affect its ability to achieve the intended outcome(s) of its security printing management system.
4.2 Understanding the needs and expectations of interested parties
The organization shall determine:
— the interested parties that are relevant to the security printing management system;
— the relevant requirements of these interested parties.
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Certification is only possible if the organization has followed the regulations of the certification
procedure and if it has established a security printing management system in accordance with the
specifications of this procedure.
4.3 Determining the scope of the security printing management system
The organization shall determine the boundaries and applicability of the security printing management
system to establish its scope.
When determining this scope, the organization shall consider:
— the external and internal issues referred to in 4.1;
— the requirements referred to in 4.2.
The scope shall be available as documented information.
4.4 Security printing management system
The organization shall establish, implement, maintain and continually improve a security printing
management system including the processes needed and their interactions in accordance with the
requirements of this document and including the processes needed as outlined in Annex A and their
interactions.
It is recognized that customer requirements may exceed the requirements of this document, so the
security printing management system also addresses customer requirements that are beyond the
scope of this document.
The organization shall conduct a risk assessment on at least the following:
a) Customer-related risk
EXAMPLE 1 Unauthorized purchase, distribution or illegal use of a product by a customer.
b) Information-related risk
EXAMPLE 2 Unwanted, unintended, prompted or unprompted disclosure of information.
c) Security material, product and waste-related risk
EXAMPLE 3 Theft, damage, sabotage or loss of security materials.
d) Supply chain-related risk
EXAMPLE 4 Any subversion or compromise of the security of the organization's security products and
related services at any point in the supply chain.
e) Physical intrusion and access-related risk
EXAMPLE 5 Intrusion into sensitive physical areas.
f) Personnel-related risk
EXAMPLE 6 Personnel fraud or unauthorized actions.
g) Disaster-related risk
EXAMPLE 7 Security breakdowns that result from either man-made or natural disasters.
h) Security failure-related risk
EXAMPLE 8 Occurrence of security breaches.
i) Security management-related risk
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EXAMPLE 9 Lack of security management competences.
j) Use of machinery-related risk
EXAMPLE 10 Unauthorized use of the means of production.
k) Sales of equipment-related risk
EXAMPLE 11 Sale, distribution of any equipment or component for illegal use.
l) Transportation-related risk
EXAMPLE 12 Theft, modification, damage or destruction of products, security raw materials and security
features during loading, unloading, storage and transportation.
m) Any additional security-related risks unique to the organization
This risk assessment shall be the basis for the establishment of a security plan (see 6.3).
[4]
NOTE ISO 31000 contains guidance for risk assessment.
5 Leadership
5.1 Leadership and commitment
Top management shall demonstrate leadership and commitment with respect to the security printing
management system by:
— ensuring that the security policy and security objectives are established and are compatible with
the strategic direction of the organization;
— ensuring the integra
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