Module 3.1

Evaluation Process © Crown Copyright (2000)

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MODULE 3 - SCHEME RULES AND PROCEDURES M3.1 Evaluation Process M3.2 Evaluation Management

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 Preparation Phase Conduct Phase Conclusion Phase

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