Information technology -- Security techniques -- Requirements for bodies providing audit and certification of information security management systems

ISO/IEC 27006:2015 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 accreditation of certification bodies providing ISMS certification. 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 providing ISMS certification. NOTE This International Standard can be used as a criteria document for accreditation, peer assessment or other audit processes.

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 l'information

La présente Norme internationale spécifie les exigences et fournit des recommandations pour les organismes procédant ŕ l'audit et ŕ la certification d'un systčme de management de la sécurité de l'information (SMSI), en plus des exigences contenues dans l'ISO/IEC 17021‑1 et l'ISO/IEC 27001. Elle a pour principal objet de soutenir l'accréditation des organismes de certification qui procčdent ŕ la certification de SMSI. Il est nécessaire que tout organisme qui procčde ŕ la certification de SMSI démontre qu'il respecte les exigences stipulées dans la présente Norme internationale en termes de compétences et de fiabilité, et les recommandations contenues dans la présente Norme internationale fournissent une interprétation supplémentaire de ces exigences pour tout organisme procédant ŕ la certification de SMSI. NOTE La présente Norme internationale peut ętre utilisée comme référentiel pour l'accréditation, l'évaluation par des pairs ou d'autres processus d'audit.

Informacijska tehnologija - Varnostne tehnike - Zahteve za organe, ki izvajajo presojanje in certificiranje sistemov upravljanja informacijske varnosti

Ta mednarodni standard določa zahteve in podaja navodila za organe, ki izvajajo presojanje in certificiranje sistemov upravljanja informacijske varnosti (ISMS), ter se uporablja kot dodatek k zahtevam, določenim v standardih ISO/IEC 17021-1 in ISO/IEC 27001. Uporablja se predvsem kot podpora
za akreditacijo certifikacijskih organov, ki izvajajo certifikacijo ISMS.
Za izpolnjevanje zahtev, ki jih vsebuje ta mednarodni standard, mora vsak organ, ki izvaja certifikacijo ISMS, izkazati kompetentnost in zanesljivost, navodila v tem mednarodnem standardu pa podajajo dodatno interpretacijo teh zahtev za vsak organ, ki izvaja certifikacijo ISMS.
OPOMBA: Ta mednarodni standard se lahko uporablja kot dokument z merili za akreditacijo, medsebojno ocenjevanje ali druge procese presojanja.

General Information

Status
Published
Publication Date
29-Sep-2015
Current Stage
9020 - International Standard under periodical review
Start Date
15-Jul-2020

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INTERNATIONAL ISO/IEC
STANDARD 27006
Third edition
2015-10-01
Information technology — Security
techniques — Requirements
for bodies providing audit and
certification of information security
management systems
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 l’information
Reference number
ISO/IEC 27006:2015(E)
ISO/IEC 2015
---------------------- Page: 1 ----------------------
ISO/IEC 27006:2015(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2015, 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 2015 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC 27006:2015(E)
Contents Page

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

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ISO/IEC 27006:2015(E)

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 D (informative) Guidance for review of implemented ISO/IEC 27001:2013,

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

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

iv © ISO/IEC 2015 – All rights reserved
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ISO/IEC 27006:2015(E)
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 document 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 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

constitute an endorsement.

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

Security techniques.

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

Subcommittee SC 27, IT Security techniques.

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

technically revised.
© ISO/IEC 2015 – All rights reserved v
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ISO/IEC 27006:2015(E)
Introduction

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

this International Standard.

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

are identified by the letters “IS”.

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

used to indicate recommendation.

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

systems, such as IT systems.
vi © ISO/IEC 2015 – All rights reserved
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INTERNATIONAL STANDARD ISO/IEC 27006:2015(E)
Information technology — Security techniques —
Requirements for bodies providing audit and certification
of information security management systems
1 Scope

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 accreditation of certification bodies providing ISMS certification.

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

providing ISMS certification.

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

other audit processes.
2 Normative references

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

of management systems — Part 1: Requirements

ISO/IEC 27000, 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/IEC 17021-1, ISO/IEC 27000

and the following apply.
3.1
certification documents

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

documentation required under the system
4 Principles
The principles from ISO/IEC 17021-1, 4 apply.
© ISO/IEC 2015 – All rights reserved 1
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ISO/IEC 27006:2015(E)
5 General requirements
5.1 Legal and contractual matters
The requirements of ISO/IEC 17021-1, 5.1 apply.
5.2 Management of impartiality

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

guidance apply.
5.2.1 IS 5.2 Conflicts of interest

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

or having a potential conflict of interest:

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

the requirements of b) below;

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

audit duration;

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

being part of the scope of accreditation;

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

bodies (including any individuals) which provide the internal ISMS audit.
5.3 Liability and financing
The requirements of ISO/IEC 17021-1, 5.3 apply.
6 Structural requirements
The requirements of ISO/IEC 17021-1, 6 apply.
7 Resource requirements
7.1 Competence of personnel

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

guidance apply.
2 © ISO/IEC 2015 – All rights reserved
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ISO/IEC 27006:2015(E)
7.1.1 IS 7.1.1 General considerations
7.1.1.1 Generic competence requirements

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

developments relevant to the ISMS of the client which it assesses.

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

relevant for the ISMS technical areas as determined by the certification body.

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

certification functions.
7.1.2 IS 7.1.2 Determination of Competence Criteria
7.1.2.1 Competence requirements for ISMS auditing
7.1.2.1.1 General requirements

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

briefing of audit team members that ensures at least:
a) knowledge of information security;
b) technical knowledge of the activity to be audited;
c) knowledge of management systems;
d) knowledge of the principles of auditing;

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

e) knowledge of ISMS monitoring, measurement, analysis and evaluation.

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

of b), which can be shared among auditors being part of the audit team.

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

ISMS back to the appropriate elements of the ISMS.

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

cover the ISMS scope being audited).

7.1.2.1.2 Information security management terminology, principles, practices and techniques

Collectively, all members of the audit team shall have knowledge of:
a) ISMS specific documentation structures, hierarchy and interrelationships;

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

c) information security risk assessment and risk management;
d) processes applicable to ISMS;

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

© ISO/IEC 2015 – All rights reserved 3
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ISO/IEC 27006:2015(E)
Every auditor shall fulfil a), c) and d).

7.1.2.1.3 Information security management system standards and normative documents

Auditors involved in ISMS auditing shall have knowledge of:
a) all requirements contained in ISO/IEC 27001.
Collectively, all members of the audit team shall have knowledge of:

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

standards) and their implementation, categorized as:
1) information security policies;
2) organization of information security;
3) human resource security;
4) asset management;
5) access control, including authorization;
6) cryptography;
7) physical and environmental security;
8) operations security, including IT-services;

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

10) system acquisition, development and maintenance;
11) supplier relationships, including outsourced services;
12) information security incident management;

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

14) compliance, including information security reviews.
7.1.2.1.4 Business management practices
Auditors involved in ISMS auditing shall have knowledge of:

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

b) policies and business requirements for information security;

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

objectives and results;
d) management processes and related terminology.

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

and other relevant support processes.
7.1.2.1.5 Client business sector
Auditors involved in ISMS auditing shall have knowledge of:

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

jurisdiction(s);
4 © ISO/IEC 2015 – All rights reserved
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ISO/IEC 27006:2015(E)

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

b) information security risks related to business sector;

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

d) the relevant business sector practices.
The criteria a) may be shared amongst the audit team.
7.1.2.1.6 Client products, processes and organization
Collectively, auditors involved in ISMS auditing shall have knowledge of:

a) the impact of organization type, size, governance, structure, functions and relationships on

development and implementation of the ISMS and certification activities, including outsourcing;

b) complex operations in a broad perspective;
c) legal and regulatory requirements applicable to the product or service.
7.1.2.2 Competence requirements for leading the ISMS audit team

In addition to the requirements in 7.1.2.1, audit team leaders shall fulfil the following requirements,

which shall be demonstrated in audits under guidance and supervision:

a) knowledge and skills to manage the certification audit process and the audit team;

b) demonstration of the capability to communicate effectively, both orally and in writing.

7.1.2.3 Competence requirements for conducting the application review

7.1.2.3.1 Information security management system standards and normative documents

Personnel conducting the application review to determine audit team competence required, to select

the audit team members and to determine the audit time shall have knowledge of:

a) relevant ISMS standards and other normative documents used in the certification process.

7.1.2.3.2 Client business sector

Personnel conducting the application review to determine the audit team competence required, to

select the audit team members and to determine the audit time shall have knowledge of:

a) generic terminology, processes, technologies and risks related to the client business sector.

7.1.2.3.3 Client products, processes and organization

Personnel conducting the application review to determine audit team competence required, to select

the audit team membe
...

SLOVENSKI STANDARD
SIST ISO/IEC 27006:2018
01-november-2018
1DGRPHãþD
SIST ISO/IEC 27006:2012
Informacijska tehnologija - Varnostne tehnike - Zahteve za organe, ki izvajajo
presojanje in certificiranje sistemov upravljanja informacijske varnosti

Information technology -- Security techniques -- Requirements for bodies providing audit

and certification of information security management systems
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 l'information
Ta slovenski standard je istoveten z: ISO/IEC 27006:2015
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
35.030 Informacijska varnost IT Security
SIST ISO/IEC 27006:2018 en,fr,de

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

---------------------- Page: 1 ----------------------
SIST ISO/IEC 27006:2018
---------------------- Page: 2 ----------------------
SIST ISO/IEC 27006:2018
INTERNATIONAL ISO/IEC
STANDARD 27006
Third edition
2015-10-01
Information technology — Security
techniques — Requirements
for bodies providing audit and
certification of information security
management systems
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 l’information
Reference number
ISO/IEC 27006:2015(E)
ISO/IEC 2015
---------------------- Page: 3 ----------------------
SIST ISO/IEC 27006:2018
ISO/IEC 27006:2015(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2015, 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 2015 – All rights reserved
---------------------- Page: 4 ----------------------
SIST ISO/IEC 27006:2018
ISO/IEC 27006:2015(E)
Contents Page

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

© ISO/IEC 2015 – All rights reserved iii
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SIST ISO/IEC 27006:2018
ISO/IEC 27006:2015(E)

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 D (informative) Guidance for review of implemented ISO/IEC 27001:2013,

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

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

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ISO/IEC 27006:2015(E)
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 document 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 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

constitute an endorsement.

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

Security techniques.

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

Subcommittee SC 27, IT Security techniques.

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

technically revised.
© ISO/IEC 2015 – All rights reserved v
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ISO/IEC 27006:2015(E)
Introduction

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

this International Standard.

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

are identified by the letters “IS”.

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

used to indicate recommendation.

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

systems, such as IT systems.
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SIST ISO/IEC 27006:2018
INTERNATIONAL STANDARD ISO/IEC 27006:2015(E)
Information technology — Security techniques —
Requirements for bodies providing audit and certification
of information security management systems
1 Scope

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 accreditation of certification bodies providing ISMS certification.

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

providing ISMS certification.

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

other audit processes.
2 Normative references

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

of management systems — Part 1: Requirements

ISO/IEC 27000, 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/IEC 17021-1, ISO/IEC 27000

and the following apply.
3.1
certification documents

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

documentation required under the system
4 Principles
The principles from ISO/IEC 17021-1, 4 apply.
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ISO/IEC 27006:2015(E)
5 General requirements
5.1 Legal and contractual matters
The requirements of ISO/IEC 17021-1, 5.1 apply.
5.2 Management of impartiality

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

guidance apply.
5.2.1 IS 5.2 Conflicts of interest

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

or having a potential conflict of interest:

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

the requirements of b) below;

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

audit duration;

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

being part of the scope of accreditation;

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

bodies (including any individuals) which provide the internal ISMS audit.
5.3 Liability and financing
The requirements of ISO/IEC 17021-1, 5.3 apply.
6 Structural requirements
The requirements of ISO/IEC 17021-1, 6 apply.
7 Resource requirements
7.1 Competence of personnel

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

guidance apply.
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7.1.1 IS 7.1.1 General considerations
7.1.1.1 Generic competence requirements

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

developments relevant to the ISMS of the client which it assesses.

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

relevant for the ISMS technical areas as determined by the certification body.

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

certification functions.
7.1.2 IS 7.1.2 Determination of Competence Criteria
7.1.2.1 Competence requirements for ISMS auditing
7.1.2.1.1 General requirements

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

briefing of audit team members that ensures at least:
a) knowledge of information security;
b) technical knowledge of the activity to be audited;
c) knowledge of management systems;
d) knowledge of the principles of auditing;

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

e) knowledge of ISMS monitoring, measurement, analysis and evaluation.

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

of b), which can be shared among auditors being part of the audit team.

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

ISMS back to the appropriate elements of the ISMS.

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

cover the ISMS scope being audited).

7.1.2.1.2 Information security management terminology, principles, practices and techniques

Collectively, all members of the audit team shall have knowledge of:
a) ISMS specific documentation structures, hierarchy and interrelationships;

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

c) information security risk assessment and risk management;
d) processes applicable to ISMS;

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

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ISO/IEC 27006:2015(E)
Every auditor shall fulfil a), c) and d).

7.1.2.1.3 Information security management system standards and normative documents

Auditors involved in ISMS auditing shall have knowledge of:
a) all requirements contained in ISO/IEC 27001.
Collectively, all members of the audit team shall have knowledge of:

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

standards) and their implementation, categorized as:
1) information security policies;
2) organization of information security;
3) human resource security;
4) asset management;
5) access control, including authorization;
6) cryptography;
7) physical and environmental security;
8) operations security, including IT-services;

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

10) system acquisition, development and maintenance;
11) supplier relationships, including outsourced services;
12) information security incident management;

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

14) compliance, including information security reviews.
7.1.2.1.4 Business management practices
Auditors involved in ISMS auditing shall have knowledge of:

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

b) policies and business requirements for information security;

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

objectives and results;
d) management processes and related terminology.

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

and other relevant support processes.
7.1.2.1.5 Client business sector
Auditors involved in ISMS auditing shall have knowledge of:

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

jurisdiction(s);
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NOTE Knowledge of legal and regulatory requirements does not imply a profound legal background.

b) information security risks related to business sector;

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

d) the relevant business sector practices.
The criteria a) may be shared amongst the audit team.
7.1.2.1.6 Client products, processes and organization
Collectively, auditors involved in ISMS auditing shall have knowledge of:

a) the impact of organization type, size, governance, structure, functions and relationships on

development and implementation of the ISMS and certification activities, including outsourcing;

b) compl
...

NORME ISO/IEC
INTERNATIONALE 27006
Troisième édition
2015-10
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 l'information
Information technology — Security techniques — Requirements
for bodies providing audit and certification of information security
management systems
Numéro de référence
ISO/IEC 27006:2015(F)
ISO/IEC 2015
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ISO/IEC 27006:2015(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO/IEC 2015

Tous droits réservés. Sauf prescription différente ou nécessité dans le contexte de sa mise en œuvre, aucune partie de cette

publication ne peut être reproduite ni utilisée sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique,

y compris la photocopie, ou la diffusion sur l’internet ou sur un intranet, sans autorisation écrite préalable. Une autorisation peut

être demandée à l’ISO à l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.

ISO copyright office
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Publié en Suisse
ii © ISO/IEC 2015 – Tous droits réservés
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ISO/IEC 27006:2015(F)
Sommaire Page

Avant-propos ................................................................................................................................................................................................................................v

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

1 Domaine d'application ................................................................................................................................................................................... 1

2 Références normatives ................................................................................................................................................................................... 1

3 Termes et définitions ....................................................................................................................................................................................... 1

4 Principes ....................................................................................................................................................................................................................... 1

5 Exigences générales .......................................................................................................................................................................................... 2

5.1 Domaine juridique et contractuel ........................................................................................................................................... 2

5.2 Gestion de l’impartialité .................................................................................................................................................................. 2

5.2.1 SI 5.2 Conflits d'intérêts ........................................................................................................................................... .. 2

5.3 Responsabilité et situation financière ................................................................................................................................ 2

6 Exigences structurelles .................................................................................................................................................................................. 2

7 Exigences relatives aux ressources ................................................................................................................................................... 2

7.1 Compétence du personnel ............................................................................................................................................................ 2

7.1.1 SI 7.1.1 Considérations générales ..................................................................................................................... 3

7.1.2 SI 7.1.2 Détermination des critères de compétence .......................................................................... 3

7.2 Personnel intervenant dans les activités de certification .................................................................................. 7

7.2.1 SI 7.2 Démonstration des connaissances et de l'expérience des auditeurs .................. 7

7.3 Intervention d’auditeurs et d’experts techniques externes individuels ................................................ 8

7.3.1 SI 7.3 Intervention d'auditeurs externes ou d'experts techniques externes

au sein de l'équipe d'audit ....................................................................................................................................... 8

7.4 Enregistrements relatifs au personnel ............................................................................................................................... 8

7.5 Externalisation ........................................................................................................................................................................................ 8

8 Exigences relatives aux informations ............................................................................................................................................. 8

8.1 Informations publiques ................................................................................................................................................................... 8

8.2 Documents de certification .......................................................................................................................................................... 8

8.2.1 SI 8.2 Documents de certification SMSI ....................................................................................................... 8

8.3 Référence à la certification et utilisation des marques ........................................................................................ 9

8.4 Confidentialité ......................................................................................................................................................................................... 9

8.4.1 SI 8.4 Accès aux enregistrements de l'organisation .......................................................................... 9

8.5 Échange d’informations entre l’organisme de certification et ses clients ........................................... 9

9 Exigences relatives aux processus ..................................................................................................................................................... 9

9.1 Activités préalables à la certification ................................................................................................................................... 9

9.1.1 Demande de certification ......................................................................................................................................... 9

9.1.2 Revue de la demande ................................................................................................................................................... 9

9.1.3 Programme d’audit ........................................................................................................................................................ 9

9.1.4 Détermination du temps d'audit .....................................................................................................................10

9.1.5 Échantillonnage multisite .....................................................................................................................................11

9.1.6 Systèmes de management multiples ...........................................................................................................12

9.2 Planification des audits.................................................................................................................................................................12

9.2.1 Détermination des objectifs, du domaine d’application et des critères de

l’audit ......................................................................................................................................................................................12

9.2.2 Constitution de l’équipe d’audit et affectation des missions ..................................................12

9.2.3 Plan d’audit ........................................................................................................................................................................13

9.3 Certification initiale .........................................................................................................................................................................14

9.3.1 SI 9.3.1 Audit de certification initiale ..........................................................................................................14

9.4 Réalisation des audits ....................................................................................................................................................................15

9.4.1 SI 9.4 Généralités ..........................................................................................................................................................15

9.4.2 SI 9.4 Éléments spécifiques de l'audit de SMSI ...................................................................................15

9.4.3 SI 9.4 Rapport d'audit ...............................................................................................................................................15

9.5 Décision de certification ..............................................................................................................................................................16

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ISO/IEC 27006:2015(F)

9.5.1 SI 9.5 Décision de certification .........................................................................................................................16

9.6 Maintien de la certification........................................................................................................................................................16

9.6.1 Généralités .........................................................................................................................................................................16

9.6.2 Activités de surveillance .........................................................................................................................................16

9.6.3 Recertification .................................................................................................................................................................17

9.6.4 Audits particuliers .......................................................................................................................................................18

9.6.5 Suspension, retrait ou réduction du domaine d’application de la certification .....18

9.7 Appels ..........................................................................................................................................................................................................18

9.8 Plaintes .......................................................................................................................................................................................................18

9.8.1 SI 9.8 Plaintes...................................................................................................................................................................18

9.9 Enregistrements relatifs au client .......................................................................................................................................18

10 Exigences relatives au système de management des organismes de certification .......................18

10.1 Options ........................................................................................................................................................................................................18

10.1.1 SI 10.1 Mise en œuvre du SMSI ........................................................................................................................18

10.2 Option A : Exigences générales relatives au système de management ...............................................18

10.3 Option B : Exigences relatives au système de management conformément à l’ISO 9001 ...18

Annexe A (informative) Connaissances et savoir-faire requis pour l'audit et la certification

d'un SMSI ...................................................................................................................................................................................................................19

Annexe B (normative) Temps d'audit ...............................................................................................................................................................21

Annexe C (informative) Méthodes de calcul du temps d'audit ...............................................................................................26

Annexe D (informative) Recommandations pour la revue des mesures mises en œuvre de

l'Annexe A de l'ISO/IEC 27001:2013..............................................................................................................................................30

Bibliographie ...........................................................................................................................................................................................................................39

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ISO/IEC 27006:2015(F)
Avant-propos

L'ISO (Organisation internationale de normalisation) et l'IEC (Commission électrotechnique

internationale) forment le système spécialisé de la normalisation mondiale. Les organismes

nationaux membres de l'ISO ou de l'IEC participent au développement de Normes internationales

par l'intermédiaire des comités techniques créés par l'organisation concernée afin de s'occuper des

domaines particuliers de l'activité technique. Les comités techniques de l'ISO et de l'IEC collaborent

dans des domaines d'intérêt commun. D'autres organisations internationales, gouvernementales et non

gouvernementales, en liaison avec l'ISO et l'IEC participent également aux travaux. Dans le domaine des

technologies de l'information, l'ISO et l'IEC ont créé un comité technique mixte, l'ISO/IEC JTC 1.

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier, de prendre note des différents

critères d'approbation requis pour les différents types de document. Le présent document a été rédigé

conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2 (voir www .iso

.org/ directives).

L'attention est attirée sur le fait que certains des éléments du présent document peuvent faire l'objet

de droits de propriété intellectuelle ou de droits analogues. L'ISO et l'IEC ne sauraient être tenues pour

responsables de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails

concernant les références aux droits de propriété intellectuelle ou autres droits analogues identifiés

lors de l'élaboration du document sont indiqués dans l'Introduction et/ou dans la liste des déclarations

de brevets reçues par l'ISO (voir www .iso .org/ brevets).

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l'intention des utilisateurs et ne sauraient constituer un

engagement.

Pour une explication de la signification des termes et expressions spécifiques de l'ISO liés à l'évaluation

de la conformité, ou pour toute information au sujet de l'adhésion de l'ISO aux principes de l'Organisation

mondiale du commerce (OMC) concernant les obstacles techniques au commerce (OTC), voir le lien

suivant : Avant-propos — Informations supplémentaires.

Le comité chargé de l'élaboration du présent document est l'ISO/IEC JTC 1, Technologies de l'information,

sous-comité SC 27, Sécurité de l’information, cybersécurité et protection de la vie privée.

L'ISO/IEC 27006 a été élaborée par le comité technique mixte ISO/IEC TC JTC 1, Technologies de

l'information, sous-comité SC 27, Sécurité de l’information, cybersécurité et protection de la vie privée.

La présente troisième édition annule et remplace la deuxième édition (ISO/IEC 27006:2011) qui a fait

l'objet d'une révision technique.
© ISO/IEC 2015 – Tous droits réservés v
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ISO/IEC 27006:2015(F)
Introduction

L'ISO/IEC 17021-1 énonce les critères applicables aux organismes procédant à l'audit et à la certification

des systèmes de management. Si lesdits organismes sont à accréditer comme étant conformes

à l'ISO/IEC 17021-1 dans le but de procéder à l'audit et de certifier les systèmes de management de

la sécurité de l'information (SMSI) conformément à l'ISO/IEC 27001:2013, certaines exigences et

recommandations complémentaires de l'ISO/IEC 17021-1 sont nécessaires. Celles-ci sont fournies par la

présente Norme internationale.

Le texte de la présente Norme internationale suit la structure de l'ISO/IEC 17021-1, et les exigences

et recommandations spécifiques aux SMSI relatives à l'application de l'ISO/IEC 17021-1 pour la

certification de SMSI sont identifiées par les lettres « SI ».

Le terme « shall » (doit) est utilisé dans la version en langue anglaise de la présente Norme

internationale pour indiquer les dispositions qui, conformément aux exigences de l'ISO/IEC 17021-1 et

de l'ISO/IEC 27001, revêtent un caractère obligatoire. Le terme « should » (il convient de/que) est utilisé

pour indiquer une recommandation.

L'objectif principal de la présente Norme internationale est de permettre aux organismes d'accréditation

d'harmoniser plus efficacement l’application des normes sur la base desquelles ils sont tenus d'évaluer

les organismes de certification.

Dans l'ensemble de la présente Norme internationale, les termes « système de management » et

« système » sont utilisés de façon interchangeable. La définition d'un système de management

est disponible dans l'ISO 9000:2005. Le système de management utilisé dans la présente Norme

internationale n'est pas à confondre avec d'autres types de systèmes, tels que les systèmes d’information.

vi © ISO/IEC 2015 – Tous droits réservés
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NORME INTERNATIONALE ISO/IEC 27006:2015(F)
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 l'information
1 Domaine d'application

La présente Norme internationale spécifie les exigences et fournit des recommandations pour les

organismes procédant à l'audit et à la certification d'un système de management de la sécurité de

l'information (SMSI), en plus des exigences contenues dans l'ISO/IEC 17021-1 et l'ISO/IEC 27001. Elle

a pour principal objet de soutenir l'accréditation des organismes de certification qui procèdent à la

certification de SMSI.

Il est nécessaire que tout organisme qui procède à la certification de SMSI démontre qu'il respecte les

exigences stipulées dans la présente Norme internationale en termes de compétences et de fiabilité, et

les recommandations contenues dans la présente Norme internationale fournissent une interprétation

supplémentaire de ces exigences pour tout organisme procédant à la certification de SMSI.

NOTE La présente Norme internationale peut être utilisée comme référentiel pour l'accréditation,

l'évaluation par des pairs ou d'autres processus d'audit.
2 Références normatives

Les documents ci-après, dans leur intégralité ou non, sont des références normatives indispensables à

l'application du présent document. Pour les références datées, seule l'édition citée s'applique. Pour les

références non datées, la dernière édition du document de référence s'applique (y compris les éventuels

amendements).

ISO/IEC 17021-1:2015, Évaluation de la conformité — Exigences pour les organismes procédant à l'audit et

à la certification des systèmes de management — Partie 1: Exigences

ISO/IEC 27000, Technologies de l'information — Techniques de sécurité — Systèmes de management de la

sécurité de l'information — Vue d'ensemble et vocabulaire

ISO/IEC 27001:2013, Technologies de l'information — Techniques de sécurité — Systèmes de management

de la sécurité de l'information — Exigences
3 Termes et définitions

Pour les besoins du présent document, les termes et définitions donnés dans l'ISO/IEC 17021-1,

l'ISO/IEC 27000 et les suivants s’appliquent.
3.1
documents de certification

documents indiquant que le SMSI d'un client est conforme à des normes de SMSI spécifiées et à toute

documentation supplémentaire requise en vertu du système
4 Principes
Les principes de l'ISO/IEC 17021-1, 4 s'appliquent.
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ISO/IEC 27006:2015(F)
5 Exigences générales
5.1 Domaine juridique et contractuel
Les exigences de l'ISO/IEC 17021-1, 5.1 s'appliquent.
5.2 Gestion de l’impartialité

Les exigences de l'ISO/IEC 17021-1, 5.2 s'appliquent. De plus, les exigences et recommandations

suivantes s'appliquent.
5.2.1 SI 5.2 Conflits d'intérêts

Les organismes de certification peuvent effectuer les tâches suivantes sans que celles-ci soient

considérées comme des activités de conseil ou qu’elles génèrent un potentiel conflit d'intérêts :

a) organiser et participer en tant que formateur à des formations, à condition que, lorsque ces cours se

rapportent au management de la sécurité de l'information, aux systèmes de management associés

ou à l'audit, les organismes de certification doivent se limiter à la fourniture d'informations et de

conseils génériques qui sont publiquement disponibles, c'est-à-dire qu'ils ne doivent pas fournir de

conseils spécifiques à une entreprise qui enfreigne les exigences du point b) ci-dessous ;

b) mettre à disposition ou publier sur demande des informations décrivant l'interprétation que fait

l'organisme de certification des exigences des normes d'audit de certification (voir 9.1.3.6) ;

c) activités préalables à l'audit uniquement destinées à déterminer l'état de préparation en vue

de l'audit de certification ; toutefois, de ces activités ne doit pas résulter la production de

recommandations ou de conseils qui contreviendraient au présent paragraphe et l'organisme

de certification doit être en mesure de confirmer que ces activités ne contreviennent pas à ces

exigences et qu'elles ne sont pas utilisées pour justifier une réduction de la durée finale de l'audit de

certification ;

d) réaliser des audits seconde partie ou tierce partie conformément à des normes ou règlementations

autres que celles relevant du domaine d’application de l'accréditation ;

e) apporter de la plus-value pendant les audits de certification et les visites de surveillance, par

exemple en identifiant des opportunités d'amélioration, lorsqu'elles apparaissent pendant l'audit,

sans recommander de solutions spécifiques.

L'organisme de certification ne doit pas fournir de revues internes de la sécurité de l'information du

SMSI du client soumis à certification. De plus, l'organisme de certification doit être indépendant du ou

des organismes (y compris de toutes personnes) qui effectuent l'audit interne du SMSI.

5.3 Responsabilité et situation financière
Les exigences de l'ISO/IEC 17021-1, 5.3 s'appliquent.
6 Exigences structurelles
Les exigences de l'ISO/IEC 17021-1, 6 s'appliquent.
7 Exigences relatives aux ressources
7.1 Compétence du personnel

Les exigences de l'ISO/IEC 17021-1, 7.1 s'appliquent. De plus, les exigences et recommandations

suivantes s'appliquent.
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ISO/IEC 27006:2015(F)
7.1.1 SI 7.1.1 Considérations générales
7.1.1.1 Exigences génériques en matière de compétence

L'organisme de certification doit s'assurer d'avoir la connaissance des développements technologiques,

juridiques et règlementaires pertinentes pour le SMSI du client qu'il évalue.

L'organisme de certification doit définir les exigences en matière de compétence pour chaque fonction

de certification référencée au Tableau A.1 de l'ISO/IEC 17021-1. L'organisme de certification doit prendre

en compte l'ensemble des exigences spécifiées dans l'ISO/IEC 17021-1 et les paragraphes 7.1.2 et 7.2.1

de la présente Norme internationale qui sont pertinentes pour les secteurs techniques du SMSI tel que

déterminé par l'organisme de certification.

NOTE L'Annexe A fournit une synthèse des exigences en matière de compétence applicables au personnel

impliqué dans certaines fonctions de certification spécifiques.
7.1.2 SI 7.1.2 Détermination des critères de compétence
7.1.2.1 Exigences de compétence pour l'audit de SMSI
7.1.2.1.1 Exigences générales

L'organisme de certification doit avoir mis en place des critères permettant de vérifier l'expérience

professionnelle, la formation spécifique ou l'information des membres de l'équipe d'audit qui

garantissent au moins :
a) la connaissance de la sécurité de l'information ;
b) les connaissances techniques de l'activité à auditer ;
c) la connaissance des systèmes de management ;
d) la connaissance des principes de l'audit ;

NOTE Des informations supplémentaires sur les principes de l'audit sont disponibles dans l'ISO 19011.

e) connaissance de la surveillance, de la mesure, de l'analyse et de l'évaluation des SMSI.

Les exigences a) à e) ci-dessus s'appliquent à tous les auditeurs qui font partie de l'équipe d'audit, à

l'exception de b), qui peut être partagée entre les auditeurs qui font partie de l'équipe d'audit.

L'équipe d'audit doit avoir les compétences lui permettant d'établir le lien entre les traces d'incidents de

sécurité de l'information dans le SMSI du client et les éléments appropriés du SMSI.

L'équipe d'audit doit avoir une expérience professionnelle appropriée sur les sujets ci-dessus et une

application pratique de ces sujets (cela ne signifie pas qu'il est nécessaire qu'un auditeur possède un

éventail complet d'expériences dans tous les domaines de la sécurité de l'information, mais l'équipe

d'audit dans son ensemble doit posséder une compréhension et une expérience suffisantes pour couvrir

le domaine d’application du SMSI soumis à l'audit).

7.1.2.1.2 Terminologie, principes, pratiques et techniques du management de la sécurité de

l'information
Collectivement, les membres de l'équipe d'audit doivent avoir la connaissance :

a) des structures, de la hiérarchie de la documentation spécifique aux SMSI et des relations entre les

documents ;

b) des outils, des méthodes et des techniques de management de la sécurité de l'information, et leur

application ;
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ISO/IEC 27006:2015(F)

c) de l’appréciation du risque et management du risque de la sécurité de l'information ;

d) des processus applicables aux SMSI ;

e) de la technologie existante quand la sécurité de l'information présente un intérêt ou pose un

problème
Chaque auditeur doit satisfaire aux points a), c) et d).

7.1.2.1.3 Normes et documents normatifs relatifs aux systèmes de management de la sécurité

de l'information
Les auditeurs procédant à l'audit de SMSI doivent avoir connaissance :
a) de toutes les exigences contenues dans l'ISO/IEC 27001.
Collectivement, les membres de l'équipe d'audit doivent avoir connaissance :

b) de toutes les mesures contenues dans l'ISO/IEC 27002 (si cela est aussi identifié comme nécessaire

par les normes spécifiques au secteur) et leur mise en œuvre, réparties dans les catégories

suivantes :
1) politiques de sécurité de l'information ;
2) organisation de la sécurité de l'information ;
3) sécurité des ressources humaines ;
4) gestion des actifs ;
5) contrôle d’accès, y compris l'autorisation ;
6) cryptographie ;
7) sécurité physique et environnementale ;
8) sécurité liée à l'exploitation, y compris les services d’information ;

9) sécurité des communications, y compris la gestion de la sécurité des réseaux et le transfert de

l'information ;
10) acquisition, développement et maintenance des systèmes d'information ;
11) relations avec les fournisseurs, y compris les services externalisés ;
12) gestion des incidents liés à la sécurité de l'information ;

13) aspects de la sécurité de l'information dans la gestion de la continuité de l'activité, y compris

les redondances ;
14) conformité, y compris les revues de la sécurité de l'information.
7.1.2.1.4 Pratiques managériales des entreprises
Les auditeurs procédant à l'audit de SMSI doivent avoir la connaissance :

a) des bonnes pratiques de sécurité de l'information de l’industrie et les procédures de sécurité de

l'information ;
b) des politiques et exigences métier en matière de sécurité de l'information ;

c) des pratiques et concepts généraux en matière de gestion d'activité, et de la relation entre politique,

objectifs et résultats ;
4 © ISO/IEC 2015 – Tous droits
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