prEN ISO/IEC 27006

SLOVENSKI STANDARD
oSIST prEN ISO/IEC 27006:2020
01-oktober-2020
Informacijska tehnologija - Varnostne tehnike - Zahteve za organe, ki izvajajo

presojanje in certificiranje sistemov upravljanja informacijske varnosti (ISO/IEC

Information technology - Security techniques - Requirements for bodies providing audit

and certification of information security management systems (ISO/IEC 27006:2015,

Informationstechnik - IT-Sicherheitsverfahren - Anforderungen an Institutionen, die Audits

Technologies de l'information - Techniques de sécurité - Exigences pour les organismes

procédant à l'audit et à la certification des systèmes de management de la sécurité de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

All rights reserved. Unless otherwise specified, 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

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

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

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

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

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

4 Principles ..................................................................................................................................................................................................................... 1

5 General requirements ..................................................................................................................................................................................... 2

5.1 Legal and contractual matters ................................................................................................................................................... 2

5.2 Management of impartiality ........................................................................................................................................................ 2

5.2.1 IS 5.2 Conflicts of interest ........................................................................................................................................ 2

5.3 Liability and financing ...................................................................................................................................................................... 2

6 Structural requirements .............................................................................................................................................................................. 2

7 Resource requirements ................................................................................................................................................................................. 2

7.1 Competence of personnel .............................................................................................................................................................. 2

7.1.1 IS 7.1.1 General considerations ........................................................................................................................... 3

7.1.2 IS 7.1.2 Determination of Competence Criteria .................................................................................... 3

7.2 Personnel involved in the certification activities ...................................................................................................... 6

7.2.1 IS 7.2 Demonstration of auditor knowledge and experience .................................................... 6

7.3 Use of individual external auditors and external technical experts .......................................................... 7

7.3.1 IS 7.3 Using external auditors or external technical experts as part of the

audit team .............................................................................................................................................................................. 7

7.4 Personnel records................................................................................................................................................................................. 7

7.5 Outsourcing................................................................................................................................................................................................ 7

8 Information requirements ......................................................................................................................................................................... 8

8.1 Public information ............................................................................................................................................................................... 8

8.2 Certification documents .................................................................................................................................................................. 8

8.2.1 IS 8.2 ISMS Certification documents ............................................................................................................... 8

8.3 Reference to certification and use of marks .................................................................................................................. 8

8.4 Confidentiality ......................................................................................................................................................................................... 8

8.4.1 IS 8.4 Access to organizational records ........................................................................................................ 8

8.5 Information exchange between a certification body and its clients ......................................................... 8

9 Process requirements ..................................................................................................................................................................................... 8

9.1 Pre-certification activities ............................................................................................................................................................. 8

9.1.1 Application ............................................................................................................................................................................ 8

9.1.2 Application review ......................................................................................................................................................... 9

9.1.3 Audit programme ............................................................................................................................................................ 9

9.1.4 Determining audit time ...........................................................................................................................................10

9.1.5 Multi-site sampling .....................................................................................................................................................10

9.1.6 Multiple management systems .........................................................................................................................11

9.2 Planning audits ....................................................................................................................................................................................11

9.2.1 Determining audit objectives, scope and criteria .............................................................................11

9.2.2 Audit team selection and assignments ......................................................................................................12

9.2.3 Audit plan ............................................................................................................................................................................12

9.3 Initial certification ............................................................................................................................................................................13

9.3.1 IS 9.3.1 Initial certification audit .....................................................................................................................13

9.4 Conducting audits ..............................................................................................................................................................................14

9.4.1 IS 9.4 General ...................................................................................................................................................................14

9.4.2 IS 9.4 Specific elements of the ISMS audit ..............................................................................................14

9.4.3 IS 9.4 Audit report .......................................................................................................................................................14

9.5 Certification decision ......................................................................................................................................................................15

9.5.1 IS 9.5 Certification decision .................................................................................................................................15

9.6 Maintaining certification .............................................................................................................................................................15

9.6.1 General...................................................................................................................................................................................15

9.6.2 Surveillance activities ...............................................................................................................................................15

9.6.3 Re-certification ...............................................................................................................................................................16

9.6.4 Special audits ...................................................................................................................................................................17

9.6.5 Suspending, withdrawing or reducing the scope of certification .......................................17

9.7 Appeals .......................................................................................................................................................................................................17

9.8 Complaints ...............................................................................................................................................................................................17

9.8.1 IS 9.8 Complaints ..........................................................................................................................................................17

9.9 Client records ........................................................................................................................................................................................17

10 Management system requirements for certification bodies ...............................................................................17

10.1 Options ........................................................................................................................................................................................................17

10.1.1 IS 10.1 ISMS implementation .............................................................................................................................17

10.2 Option A: General management system requirements .....................................................................................17

10.3 Option B: Management system requirements in accordance with ISO 9001.................................17

Annex A (informative) Knowledge and skills for ISMS auditing and certification .............................................18

Annex B (normative) Audit time ............................................................................................................................................................................20

Annex C (informative) Methods for audit time calculations .....................................................................................................25

Annex A controls ................................................................................................................................................................................................28

Bibliography .............................................................................................................................................................................................................................35

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. In the field of information technology, ISO and IEC have established a joint technical committee,

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

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).

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

For an explanation on the meaning of ISO specific terms and expressions related to conformity

assessment, as well as information about ISO’s adherence to the WTO principles in the Technical

Barriers to Trade (TBT) see the following URL: Foreword - Supplementary information

The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 27, IT

ISO/IEC 27006 was prepared by the Joint Technical Committee ISO/IEC JTC 1, Information technology,

This third edition cancels and replaces the second edition (ISO/IEC 27006:2011), which has been

ISO/IEC 17021-1 sets out criteria for bodies operating audit and certification of management systems. If

such bodies are to be accredited as complying with ISO/IEC 17021-1 with the objective of auditing and

certifying information security management systems (ISMS) in accordance with ISO/IEC 27001:2013,

some additional requirements and guidance to ISO/IEC 17021-1 are necessary. These are provided by

The text in this International Standard follows the structure of ISO/IEC 17021-1 and the additional

ISMS-specific requirements and guidance on the application of ISO/IEC 17021-1 for ISMS certification

The term “shall” is used throughout this International Standard to indicate those provisions which,

reflecting the requirements of ISO/IEC 17021-1 and ISO/IEC 27001, are mandatory. The term “should” is

The primary purpose of this International Standard is to enable accreditation bodies to more effectively

harmonize their application of the standards against which they are bound to assess certification bodies.

Throughout this International Standard, the terms “management system” and “system” are used

interchangeably. The definition of a management system can be found in ISO 9000:2005. The

management system as used in this International Standard is not to be confused with other types of

This International Standard specifies requirements and provides guidance for bodies providing

audit and certification of an information security management system (ISMS), in addition to the

requirements contained within ISO/IEC 17021-1 and ISO/IEC 27001. It is primarily intended to support

The requirements contained in this International Standard need to be demonstrated in terms of

competence and reliability by any body providing ISMS certification, and the guidance contained in

this International Standard provides additional interpretation of these requirements for any body

NOTE This International Standard can be used as a criteria document for accreditation, peer assessment or

The following documents, in whole or in part, are normatively referenced in this document and are

indispensable for its application. For dated references, only the edition cited applies. For undated

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

ISO/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and certification

ISO/IEC 27000, Information technology — Security techniques — Information security management

ISO/IEC 27001:2013, Information technology — Security techniques — Information security management

For the purposes of this document, the terms and definitions given in ISO/IEC 17021-1, ISO/IEC 27000

documents indicating that a client’s ISMS conforms to specified ISMS standards and any supplementary

The requirements of ISO/IEC 17021-1, 5.2 apply. In addition, the following requirements and

Certification bodies may carry out the following duties without them being considered as consultancy

a) arranging and participating as a lecturer in training courses, provided that, where these

courses relate to information security management, related management systems or auditing,

certification bodies shall confine themselves to the provision of generic information and advice

which is publicly available, i.e. they shall not provide company-specific advice which contravenes

b) making available or publishing on request information describing the certification body’s

interpretation of the requirements of the certification audit standards (see 9.1.3.6);

c) activities prior to audit, solely aimed at determining readiness for certification audit; however, such

activities shall not result in the provision of recommendations or advice that would contravene this

clause and the certification body shall be able to confirm that such activities do not contravene

these requirements and that they are not used to justify a reduction in the eventual certification

d) performing second and third-party audits according to standards or regulations other than those

e) adding value during certification audits and surveillance visits, e.g. by identifying opportunities for

improvement, as they become evident during the audit, without recommending specific solutions.

The certification body shall not provide internal information security reviews of the client’s ISMS

subject to certification. Furthermore, the certification body shall be independent from the body or

The requirements of ISO/IEC 17021-1, 7.1 apply. In addition, the following requirements and

The certification body shall ensure that it has knowledge of the technological, legal and regulatory

The certification body shall define the competence requirements for each certification function as

referenced in Table A.1 of ISO/IEC 17021-1. The certification body shall take into account all the

requirements specified in ISO/IEC 17021-1 and 7.1.2 and 7.2.1 of this International Standard that are

NOTE Annex A provides a summary of the competence requirements for personnel involved in specific

The certification body shall have criteria for verifying the background experience, specific training or

NOTE Further information on the principles of auditing can be found in ISO 19011.

These above requirements a) to e) apply to all auditors being part of the audit team, with the exception

The audit team shall be competent to trace indications of information security incidents in the client’s

The audit team shall have appropriate work experience of the items above and practical application

of these items (this does not mean that an auditor needs a complete range of experience of all areas of

information security, but the audit team as a whole shall have enough appreciation and experience to

7.1.2.1.2 Information security management terminology, principles, practices and techniques

b) information security management related tools, methods, techniques and their application;

e) the current technology where information security may be relevant or an issue.

7.1.2.1.3 Information security management system standards and normative documents

b) all controls contained in ISO/IEC 27002 (if determined as necessary also from sector specific

9) communications security, including network security management and information transfer;

13) information security aspects of business continuity management, including redundancies;

a) industry information security good practices and information security procedures;

c) general business management concepts, practices and the inter-relationship between policy,

NOTE These processes also include human resources management, internal and external communication

a) the legal and regulatory requirements in the particular information security field, geography and

NOTE Knowledge of legal and regulatory requirements does not imply a profound legal background.

c) generic terminology, processes and technologies related to the client business sector;