© Crown Copyright (2000) Module 3.1 Evaluation Process.

© Crown Copyright (2000)

Module 3.1

Evaluation Process

“You Are Here”

M3.1 Evaluation Process

M3.2 Evaluation Management

MODULE 3 - SCHEME RULES AND PROCEDURES

People Involved

• Sponsor

• Developer

• Evaluator

• Certification Body

• Accreditor

Role of Sponsor

• Pay for the evaluation

• Sponsor may also be the developer

• Point of contact between CLEF and Developer

• Produce/Help in production of deliverables

• Resolution of Problem Reports

Role of Developer

• Provision of TOE

• Design/Development Documentation

• Guidance Documents

• Support during evaluator testing

• Support during Development Environment Assessment

• Resolution of Problem Reports

Role of Evaluator

• Assess evaluation deliverables to identify whether they meet criteria requirements

• Assess, through the deliverables provided for the appropriate level of assurance, whether the TOE meets the security requirements specified in the Security Target

Role of Certification Body

• Oversight of evaluations conducted under UK Scheme

• Guidance on evaluation methodology

• Provide Certification Report/Certificate

Role of Accreditor

• Responsibility for granting authority to operate a system processing protectively marked data

• Mandates security requirements of system and level of assurance required

• May use results of an evaluation on which to base decision to grant Accreditation

Evaluation Process

PreparationPhase

Conduct Phase

ConclusionPhase

Preparation Phase

• Inputs– Security Target– Certification Body Questionnaire – UKSP 06 Entry

• Task Start-Up Meeting

• Outputs– Acceptance into Scheme

Conduct Phase

• Inputs– Deliverables

• Evaluation Progress Meetings

• Outputs– Observation Reports– Work Package Reports

Conduct Phase - Deliverables

• Deliverables List

• Schedule

• Management– under configuration control– timescales and impact on evaluation

Conduct Phase - Evaluation Progress Meetings

• Standard Agenda

• Who attends

• Purpose:– discuss issues affecting evaluation progress or

results– keep all parties informed of progress

Conduct Phase - Observation Reports

• Types– Level 1

– Level 2

– Level 3

– Level 4

• Raised by Evaluators and sent to:– CB, Developer, Sponsor

• May force change to TOE or deliverables

Conduct Phase - Work Package Reports

• One for each Work Package (Activity)

• Results of evaluator actions– Evidence of why the conclusion was reached

• Observation Reports– identify where an observation report has been

raised– provide justification for satisfactory resolution

Conclusion Phase

• Evaluation Technical Report– includes Work Package Reports– main input into Certification process

• Certification Report/Certificate– summary of evaluation results– recommendations for use

• UKSP06 Entry– update to indicate result of evaluation

Certification Process

• Results from ETR– discuss any concerns/queries with CLEF

• Outstanding Observation Reports

• Constraints/Limitations of evaluation

• Report to Accreditor, if required

CLEF Quality Manual

• UKAS - Categories 0 and 1

• Procedures, minimum:– Review of evaluation outputs– Handling of evaluation items– Records– Handling of Complaints/Anomalies– Security (covered in later slide)– Site Testing

CLEF Security Manual

• Security Operating Procedures:– Task separation: need to know principle– Document security: Storage of deliverables and

results– Physical security: access to CLEF/Task Cells

Summary - 1

• Security Target - (Developer/Sponsor)

• Deliverables - (Sponsor/Developer)

• Observation Reports - (Evaluator)

• Evaluation Technical Report (Evaluator)

• Certification Report/Certificate (CB)

Further Reading

• UKSP 01

• UKSP 04 Part 1

• UKSP 05 Part 1

• CEM Part 2, Chapter 2