Information technology -- Security techniques -- Guidelines for information security management systems auditing

ISO/IEC 27007 provides guidance on managing an information security management system (ISMS) audit programme, on conducting audits, and on the competence of ISMS auditors, in addition to the guidance contained in ISO 19011:2011. ISO/IEC 27007 is applicable to those needing to understand or conduct internal or external audits of an ISMS or to manage an ISMS audit programme.

Technologies de l'information -- Techniques de sécurité -- Lignes directrices pour l'audit des systèmes de management de la sécurité de l'information

Informacijska tehnologija - Varnostne tehnike - Smernice za presojanje sistemov upravljanja informacijske varnosti

Ta dokument podaja smernice za upravljanje programa presojanja sistemov upravljanja informacijske varnosti (ISMS), izvajanje presojanj in določanje pristojnosti presojevalcev sistemov upravljanja informacijske varnosti, ki se uporabljajo poleg smernic iz standarda ISO 19011:2011.
Ta dokument se uporablja za tiste, ki morajo razumeti ali izvajati notranja ali zunanja presojanja sistemov upravljanja informacijske varnosti ali upravljati program presojanja sistemov upravljanja informacijske varnosti.

General Information

Status
Replaced
Publication Date
11-Oct-2017
Withdrawal Date
11-Oct-2017
Current Stage
6060 - International Standard published
Start Date
02-Sep-2017
Completion Date
12-Oct-2017

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SLOVENSKI STANDARD
SIST ISO/IEC 27007:2018
01-september-2018
1DGRPHãþD
SIST ISO/IEC 27007:2015
Informacijska tehnologija - Varnostne tehnike - Smernice za presojanje sistemov
upravljanja informacijske varnosti

Information technology - Security techniques - Guidelines for information security

management systems auditing

Technologies de l'information - Techniques de sécurité - Lignes directrices pour l'audit

des systèmes de management de la sécurité de l'information
Ta slovenski standard je istoveten z: ISO/IEC 27007:2017
ICS:
03.100.70 Sistemi vodenja Management systems
35.030 Informacijska varnost IT Security
SIST ISO/IEC 27007:2018 en,fr,de

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

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SIST ISO/IEC 27007:2018
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SIST ISO/IEC 27007:2018
INTERNATIONAL ISO/IEC
STANDARD 27007
Second edition
2017-10
Information technology — Security
techniques — Guidelines for
information security management
systems auditing
Technologies de l'information — Techniques de sécurité — Lignes
directrices pour l'audit des systèmes de management de la sécurité de
l'information
Reference number
ISO/IEC 27007:2017(E)
ISO/IEC 2017
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SIST ISO/IEC 27007:2018
ISO/IEC 27007:2017(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2017, Published in Switzerland

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

the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO/IEC 2017 – All rights reserved
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Contents Page

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

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

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

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

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

4 Principles of auditing ...................................................................................................................................................................................... 1

5 Managing an audit programme ............................................................................................................................................................. 1

5.1 General ........................................................................................................................................................................................................... 1

5.1.1 IS 5.1 General ...................................................................................................................................................................... 2

5.2 Establishing the audit programme objectives ............................................................................................................. 2

5.2.1 IS 5.2 Establishing the audit programme objectives ......................................................................... 2

5.3 Establishing the audit programme ........................................................................................................................................ 2

5.3.1 Role and responsibilities of the person managing the audit programme ...................... 2

5.3.2 Competence of the person managing the audit programme ..................................................... 2

5.3.3 Establishing the extent of the audit programme .................................................................................. 2

5.3.4 Identifying and evaluating audit programme risks ........................................................................... 3

5.3.5 Establishing procedures for the audit programme ............................................................................ 3

5.3.6 Identifying audit programme resources...................................................................................................... 3

5.4 Implementing the audit programme .................................................................................................................................... 4

5.4.1 General...................................................................................................................................................................................... 4

5.4.2 Defining the objectives, scope and criteria for an individual audit ...................................... 4

5.4.3 Selecting the audit methods ................................................................................................................................... 4

5.4.4 Selecting the audit team members ................................................................................................................... 5

5.4.5 Assigning responsibility for an individual audit to the audit team leader..................... 5

5.4.6 Managing the audit programme outcome .................................................................................................. 5

5.4.7 Managing and maintaining audit programme records ................................................................... 5

5.5 Monitoring the audit programme ........................................................................................................................................... 5

5.6 Reviewing and improving the audit programme ...................................................................................................... 5

6 Performing an audit .......................................................................................................................................................................................... 5

6.1 General ........................................................................................................................................................................................................... 5

6.2 Initiating the audit ............................................................................................................................................................................... 5

6.2.1 General...................................................................................................................................................................................... 5

6.2.2 Establishing initial contact with the auditee ........................................................................................... 5

6.2.3 Determining the feasibility of the audit ....................................................................................................... 6

6.3 Preparing audit activities ............................................................................................................................................................... 6

6.3.1 Performing document review in preparation for the audit ........................................................ 6

6.3.2 Preparing the audit plan ........................................................................................................................................... 6

6.3.3 Assigning work to the audit team ..................................................................................................................... 6

6.3.4 Preparing work documents .................................................................................................................................... 6

6.4 Conducting the audit activities ................................................................................................................................................. 7

6.4.1 General...................................................................................................................................................................................... 7

6.4.2 Conducting the opening meeting ....................................................................................................................... 7

6.4.3 Performing document review while conducting the audit .......................................................... 7

6.4.4 Communicating during the audit ....................................................................................................................... 7

6.4.5 Assigning roles and responsibilities of guides and observers .................................................. 7

6.4.6 Collecting and verifying information ............................................................................................................. 7

6.4.7 Generating audit findings ......................................................................................................................................... 8

6.4.8 Preparing audit conclusions .................................................................................................................................. 8

6.4.9 Conducting the closing meeting ......................................................................................................................... 8

6.5 Preparing and distributing the audit report.................................................................................................................. 8

6.5.1 Preparing the audit report ...................................................................................................................................... 8

6.5.2 Distributing the audit report ................................................................................................................................. 8

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6.6 Completing the audit ......................................................................................................................................................................... 8

6.7 Conducting audit follow-up.......................................................................................................................................................... 8

7 Competence and evaluation of auditors ....................................................................................................................................... 8

7.1 General ........................................................................................................................................................................................................... 8

7.2 Determining auditor competence to fulfil the needs of the audit programme ................................ 9

7.2.1 General...................................................................................................................................................................................... 9

7.2.2 Personal behaviour ........................................................................................................................................................ 9

7.2.3 Knowledge and skills ................................................................................................................................................... 9

7.2.4 Achieving auditor competence ............................................................................................................................ 9

7.2.5 Audit team leader .........................................................................................................................................................10

7.3 Establishing the auditor evaluation criteria ...............................................................................................................10

7.4 Selecting the appropriate auditor evaluation method .......................................................................................10

7.5 Conducting auditor evaluation ...............................................................................................................................................10

7.6 Maintaining and improving auditor competence...................................................................................................10

Annex A (informative) Guidance for ISMS auditing practice ....................................................................................................11

Bibliography .............................................................................................................................................................................................................................41

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Foreword

ISO (the International Organization for Standardization) and IEC (the International Electrotechnical

Commission) form the specialized system for worldwide standardization. National bodies that are

members of ISO or IEC participate in the development of International Standards through technical

committees established by the respective organization to deal with particular fields of technical

activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international

organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the

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

ISO/IEC JTC 1.

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 on 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 the following

URL: www.iso.org/iso/foreword.html.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 27, IT Security techniques.

This second edition cancels and replaces the first edition (ISO/IEC 27007:2011), which has been

technically revised.
The main changes compared to the previous edition are as follows:
— Annex A has been completely reworked to align to ISO/IEC 27001:2013;
— the main part of this document has been aligned with ISO/IEC 27001:2013.
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Introduction
This document provides guidance on:

a) the management of an information security management system (ISMS) audit programme;

b) the conduct of internal and external ISMS audits in accordance with ISO/IEC 27001;

c) the competence and evaluation of ISMS auditors.

This document should be used in conjunction with the guidance contained in ISO 19011:2011.

This document follows the structure of ISO 19011:2011. Additional ISMS-specific guidance on the

application of ISO 19011:2011 for ISMS audits is identified by the letters “IS”.

ISO 19011:2011 provides guidance on the management of audit programmes, the conduct of internal or

external audits of management systems, as well as on the competence and evaluation of management

system auditors.

NOTE For accredited certification, auditor requirements are given in ISO/IEC 27006.

This document does not state requirements and is intended for all users, including small and medium-

sized organizations.
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INTERNATIONAL STANDARD ISO/IEC 27007:2017(E)
Information technology — Security techniques —
Guidelines for information security management systems
auditing
1 Scope

This document provides guidance on managing an information security management system (ISMS)

audit programme, on conducting audits, and on the competence of ISMS auditors, in addition to the

guidance contained in ISO 19011:2011.

This document is applicable to those needing to understand or conduct internal or external audits of an

ISMS or to manage an ISMS audit programme.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

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

ISO 19011:2011, Guidelines for auditing management systems

ISO/IEC 27000:2016, Information technology — Security techniques — Information security management

systems — Overview and vocabulary

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

systems — Requirements
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 19011:2011 and

ISO/IEC 27000 apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
4 Principles of auditing
The principles of auditing of ISO 19011:2011, Clause 4 apply.
5 Managing an audit programme
5.1 General

The guidelines of ISO 19011:2011, 5.1 apply. In addition, the following guidance applies.

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5.1.1 IS 5.1 General

An organization needing to conduct audits should establish the audit programme, taking account of

the risks and opportunities determined when planning the ISMS.
5.2 Establishing the audit programme objectives

The guidelines of ISO 19011:2011, 5.2 apply. In addition, the following guidance applies.

5.2.1 IS 5.2 Establishing the audit programme objectives

ISMS-specific considerations for determining audit programme objectives can include:

a) identified information security requirements;
b) requirements of ISO/IEC 27001;

c) auditee’s level of performance, as reflected in the occurrence of information security events and

incidents and effectiveness of the ISMS;

NOTE Further information about performance monitoring, measurement, analysis and evaluation can

be found in ISO/IEC 27004.
d) risks and opportunities determined when planning the ISMS of the auditee;

e) information security risks to the relevant parties, i.e. the auditee and audit client.

Examples of ISMS-specific audit programme objectives include:

— verification of conformity with the relevant legal and contractual requirements and other

requirements and their security implications;

— obtaining and maintaining confidence in the risk management capability of the auditee;

— evaluating the effectiveness of the actions to address information security risks and opportunities.

5.3 Establishing the audit programme
5.3.1 Role and responsibilities of the person managing the audit programme
The guidelines of ISO 19011:2011, 5.3.1 apply.
5.3.2 Competence of the person managing the audit programme
The guidelines of ISO 19011:2011, 5.3.2 apply.
5.3.3 Establishing the extent of the audit programme

The guidelines of ISO 19011:2011, 5.3.3 apply. In addition, the following guidance applies.

5.3.3.1 IS 5.3.3 Establishing the extent of the audit programme

The extent of an audit programme can vary and can be influenced by the following factors:

a) the size of the ISMS, including:

1) the total number of persons doing work under the organization's control and relationships

with interested parties and contractors that are relevant to the ISMS;
1) For the purpose of this document, the term “audit” refers to ISMS audits.
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2) the number of information systems;
3) the number of sites covered by the ISMS;

b) the complexity of the ISMS (including the number and criticality of processes and activities) taking

into account differences between sites within the ISMS scope;

c) the significance of the information security risks identified for the ISMS in relation to the business;

d) the significance of the risks and opportunities determined when planning the ISMS;

e) the importance of preserving the confidentiality, integrity and availability of information within

the scope of the ISMS;

f) the complexity of the information systems to be audited, including complexity of information

technology deployed;
g) the number of similar sites.

Consideration should be given in the audit programme to setting priorities that warrant more detailed

examination based on the significance of information security risks and business requirements in

respect to the scope of the ISMS.

NOTE Further information about determining audit time can be found in ISO/IEC 27006. Further information

on multi-site sampling can be found in ISO/IEC 27006 and mandatory document 1 from the International

Accreditation Forum (IAF MD1, see Reference [12]). The information contained in ISO/IEC 27006 and IAF MD 1

only relates to certification audits.
5.3.4 Identifying and evaluating audit programme risks

The guidelines of ISO 19011:2011, 5.3.4 apply. In addition, the following guidance applies.

5.3.4.1 IS 5.3.4 Identifying and evaluating audit programme risks

Audit programme risks can be additionally associated with risks related to confidentiality requirements.

5.3.5 Establishing procedures for the audit programme

The guidelines of ISO 19011:2011, 5.3.5 apply. In addition, the following guidance applies.

5.3.5.1 IS 5.3.5 Establishing procedures for the audit programme

Measures to ensure information security and confidentiality should be determined considering

auditees and other relevant party requirements. Other party requirements can include relevant legal

and contractual requirements.
5.3.6 Identifying audit programme resources

The guidelines of ISO 19011:2011, 5.3.6 apply. In addition, the following guidance applies.

5.3.6.1 IS 5.3.6 Identifying audit programme resources

In particular, for all significant risks applicable to the auditee and relevant to the audit programme

objectives, ISMS auditors should be allocated sufficient time to review the effectiveness of the actions

to address information security risks and ISMS related risks and opportunities.
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5.4 Implementing the audit programme
5.4.1 General
The guidelines of ISO 19011:2011, 5.4.1 apply
5.4.2 Defining the objectives, scope and criteria for an individual audit

The guidelines of ISO 19011:2011, 5.4.2 apply. In addition, the following guidance applies.

5.4.2.1 IS 5.4.2 Defining the objectives, scope and criteria for an individual audit

The audit objectives can include the following:

a) evaluation of whether the ISMS adequately identifies and addresses information security

requirements;

b) evaluation of the processes for the maintenance and effective improvement of the ISMS;

c) determination of the extent of conformity of information security controls with the requirements

and procedures of the ISMS.

The audit scope should take into account information security risks and relevant risks and opportunities

affecting the ISMS of relevant parties, i.e. the audit client and the auditee.

If ISMS is in the scope of the audit, then the audit team should verify that the scope and boundaries of the

ISMS of the auditee are clearly defined based on internal and external issues and the needs and expectations

of interested parties. The audit team should confirm that the auditee addresses the requirements stated

in ISO/IEC 27001:2013, 4.3 within the scope of the ISMS, as relevant to the audit scope.

The following topics can be considered as audit criteria and used as a reference against which

conformity is determined:

a) the information security policy, information security objectives, policies and procedures adopted

by the auditee;

b) legal and contractual requirements and other requirements relevant to the auditee;

c) the auditee's information security risk criteria, information security risk assessment process and

risk treatment process;

d) the Statement of Applicability, the identification of any sector-specific or other necessary controls,

justification for inclusions, whether they are implemented or not and the justification for exclusions

of controls of ISO/IEC 27001:2013, Annex A;
e) the definition of controls to treat risks appropriately;

f) the methods and criteria for monitoring, measurement, analysis and evaluation of the information

security performance and the effectiveness of the ISMS;
g) information security requirements provided by a customer;
h) information security requirements applied by a supplier or outsourcer.
5.4.3 Selecting the audit methods

The guidelines of ISO 19011:2011, 5.4.3 apply. In addition, the following guidance applies.

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5.4.3.1 IS 5.4.3 Selecting the audit methods

If a joint audit is conducted, particular attention should be paid to the disclosure of information between

the relevant parties. Agreement on this should be reached with all interested parties before the audit

commences.
5.4.4 Selecting the audit team members

The guidelines of ISO 19011:2011, 5.4.4 apply. In addition, the following guidance applies.

5.4.4.1 IS 5.4.4 Selecting the audit team members

The competence of the overall audit team should include adequate knowledge and understanding of:

a) information security risk management sufficient to evaluate the methods used by the auditee;

b) information security and information security management sufficient to evaluate control

determination, planning, implementation, maintenance and effectiveness of the ISMS.

5.4.5 Assigning responsibility for an individual audit to the audit team leader
The guidelines of ISO 19011:2011, 5.4.5 apply.
5.4.6 Managing the audit programme outcome
The guidelines of ISO 19011:2011, 5.4.6 apply.
5.4.7 Managing and maintaining audit programme records
The guidelines of ISO 19011:2011, 5.4.7 apply.
5.5 Monitoring the audit programme
The guidelines of ISO 19011:2011, 5.5 apply.
5.6 Reviewing and improving the audit programme
The guidelines of ISO 19011:2011, 5.6 apply.
6 Performing an audit
6.1 General
The guidelines of ISO 19011:2011, 6.1 apply.
6.2 Initiating the audit
6.2.1 General
The guidelines of ISO 19011:2011, 6.2.1 apply.
6.2.2 Establishing initial contact with the auditee

The guidelines of ISO 19011:2011, 6.2.2 apply. In addition, the following guidance applies.

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6.2.2.1 IS 6.2.2 Establishing initial contact with the auditee

Where necessary, care should be taken to ensure that the auditors have obtained the necessary

security clearance to access documented information or other information required for audit activities

(including but not limited to confidential or sensitive information).
6.2.3 Determining the feasibility of the audit

The guidelines of ISO 19011:2011, 6.2.3 apply. In addition, the following guidance applies.

6.2.3.1 IS 6.2.3 Determining the feasibility of the audit

Before the audit commences, the auditee should be asked whether any ISMS audit evidence is unavailable

for review by the audit team, e.g. because the evidence contains personally identifiable information or

other confidential/sensitive information. The person responsible for managing the audit programme

should det
...

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