Requirements for bodies providing audit and certification of information security management systems

This document specifies requirements and provides guidance for bodies providing audit and certification of a privacy information management system (PIMS) according to ISO/IEC 27701 in combination with ISO/IEC 27001, in addition to the requirements contained within ISO/IEC 27006 and ISO/IEC 27701. It is primarily intended to support the accreditation of certification bodies providing PIMS certification. The requirements contained in this document need to be demonstrated in terms of competence and reliability by anybody providing PIMS certification, and the guidance contained in this document provides additional interpretation of these requirements for any body providing PIMS certification. NOTE This document can be used as a criteria document for accreditation, peer assessment or other audit processes.

Exigences pour les organismes procédant à l’audit et à la certification des systèmes de management des informations de sécurité

General Information

Status
Published
Publication Date
25-Feb-2021
Current Stage
9092 - International Standard to be revised
Start Date
19-Apr-2021
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ISO/IEC TS 27006-2:2021 - Requirements for bodies providing audit and certification of information security management systems
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TECHNICAL ISO/IEC TS
SPECIFICATION 27006-2
First edition
2021-02
Requirements for bodies providing
audit and certification of information
security management systems —
Part 2:
Privacy information management
systems
Exigences pour les organismes procédant à l’audit et à la certification
des systèmes de management des informations de sécurité —
Partie 2: Systèmes de management des informations de sécurité
Reference number
ISO/IEC TS 27006-2:2021(E)
ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC TS 27006-2:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021

All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO/IEC 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC TS 27006-2:2021(E)
Contents Page

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

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

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

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

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

4 Principles ..................................................................................................................................................................................................................... 2

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

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

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

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

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

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

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

7.1.1 PS 7.1.1 General considerations ......................................................................................................................... 2

7.1.2 PS 7.1.2 Determination of competence criteria .................................................................................... 2

7.2 Personnel involved in the certification activities ...................................................................................................... 3

7.2.1 PS 7.2 Demonstration of auditor knowledge and experience ................................................... 4

7.2.2 PS 7.2.1.1 Selecting auditors .................................................................................................................................. 4

7.3 Use of individual external auditors and external technical experts .......................................................... 4

7.4 Personnel records................................................................................................................................................................................. 4

7.5 Outsourcing................................................................................................................................................................................................ 4

8 Information requirements ......................................................................................................................................................................... 4

8.1 Public information ............................................................................................................................................................................... 4

8.2 Certification documents .................................................................................................................................................................. 4

8.2.1 PS 8.2 PIMS Certification documents ............................................................................................................. 4

8.3 Reference to certification and use of marks .................................................................................................................. 5

8.4 Confidentiality ......................................................................................................................................................................................... 5

8.5 Information exchange between a certification body and its clients ......................................................... 5

9 Process requirements ..................................................................................................................................................................................... 5

9.1 Pre-certification activities ............................................................................................................................................................. 5

9.1.1 Application ............................................................................................................................................................................ 5

9.1.2 Application review ......................................................................................................................................................... 5

9.1.3 Audit programme ............................................................................................................................................................ 5

9.1.4 Determining audit time .............................................................................................................................................. 6

9.1.5 Multi-site sampling ........................................................................................................................................................ 7

9.1.6 Multiple management systems ............................................................................................................................ 7

9.2 Planning audits ....................................................................................................................................................................................... 7

9.2.1 Determining audit objectives, scope and criteria ................................................................................ 7

9.2.2 Audit team selection and assignments ......................................................................................................... 7

9.2.3 Audit plan ............................................................................................................................................................................... 7

9.3 Initial certification ............................................................................................................................................................................... 7

9.4 Conducting audits ................................................................................................................................................................................. 7

9.4.1 IS 9.4 General ...................................................................................................................................................................... 7

9.4.2 IS 9.4 Specific elements of the ISMS audit ................................................................................................. 7

9.4.3 IS 9.4 Audit report .......................................................................................................................................................... 7

9.5 Certification decision ......................................................................................................................................................................... 7

9.6 Maintaining certification ................................................................................................................................................................ 8

9.6.1 General...................................................................................................................................................................................... 8

9.6.2 Surveillance activities .................................................................................................................................................. 8

9.6.3 Re-certification .................................................................................................................................................................. 8

9.6.4 Special audits ...................................................................................................................................................................... 8

© ISO/IEC 2021 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/IEC TS 27006-2:2021(E)

9.6.5 Suspending, withdrawing or reducing the scope of certification .......................................... 8

9.7 Appeals .......................................................................................................................................................................................................... 8

9.8 Complaints .................................................................................................................................................................................................. 8

9.9 Client records ........................................................................................................................................................................................... 8

10 Management system requirements for certification bodies .................................................................................. 8

10.1 Options ........................................................................................................................................................................................................... 8

10.2 Option A: General management system requirements ........................................................................................ 8

10.3 Option B: Management system requirements in accordance with ISO 9001.................................... 9

iv © ISO/IEC 2021 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC TS 27006-2:2021(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.

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) or the IEC

list of patent declarations received (see patents.iec.ch).

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

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www .iso .org/

iso/ foreword .html.

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

Subcommittee SC 27, Information security, cybersecurity and privacy protection.
A list of all parts in the ISO/IEC 27006 series can be found on the ISO website.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
© ISO/IEC 2021 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO/IEC TS 27006-2:2021(E)
Introduction

ISO/IEC 27006 sets out criteria for bodies providing audit and certification of information security

management systems. If such bodies are also to be accredited as complying with ISO/IEC 27006 with

the objective of auditing and certifying privacy information management systems (PIMS) in accordance

with ISO/IEC 27701:2019, some additional requirements and guidance to ISO/IEC 27006 are necessary.

These are provided by this document.

The text in this document follows the structure of ISO/IEC 27006 and the additional PIMS-specific

requirements and guidance on the application of ISO/IEC 27006 for PIMS certification are identified by

the letters “PS”.

The primary purpose of this document is to enable accreditation bodies to more effectively harmonize

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

vi © ISO/IEC 2021 – All rights reserved
---------------------- Page: 6 ----------------------
TECHNICAL SPECIFICATION ISO/IEC TS 27006-2:2021(E)
Requirements for bodies providing audit and certification
of information security management systems —
Part 2:
Privacy information management systems
1 Scope

This document specifies requirements and provides guidance for bodies providing audit and

certification of a privacy information management system (PIMS) according to ISO/IEC 27701 in

combination with ISO/IEC 27001, in addition to the requirements contained within ISO/IEC 27006 and

ISO/IEC 27701. It is primarily intended to support the accreditation of certification bodies providing

PIMS certification.

The requirements contained in this document need to be demonstrated in terms of competence and

reliability by anybody providing PIMS certification, and the guidance contained in this document

provides additional interpretation of these requirements for any b
...

TECHNICAL ISO/IEC TS
SPECIFICATION 27006-2
First edition
Requirements for bodies providing
audit and certification of information
security management systems —
Part 2:
Privacy information management
systems
Exigences pour les organismes procédant à l’audit et à la certification
des systèmes de management des informations de sécurité —
Partie 2: Systèmes de management des informations de sécurité
PROOF/ÉPREUVE
Reference number
ISO/IEC TS 27006-2:2021(E)
ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC TS 27006-2:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021

All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC TS 27006-2:2021(E)
Contents Page

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

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

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

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

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

4 Principles ..................................................................................................................................................................................................................... 2

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

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

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

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

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

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

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

7.1.1 PS 7.1.1 General considerations ......................................................................................................................... 2

7.1.2 PS 7.1.2 Determination of competence criteria .................................................................................... 2

7.2 Personnel involved in the certification activities ...................................................................................................... 3

7.2.1 PS 7.2 Demonstration of auditor knowledge and experience ................................................... 4

7.2.2 PS 7.2.1.1 Selecting auditors .................................................................................................................................. 4

7.3 Use of individual external auditors and external technical experts .......................................................... 4

7.4 Personnel records................................................................................................................................................................................. 4

7.5 Outsourcing................................................................................................................................................................................................ 4

8 Information requirements ......................................................................................................................................................................... 4

8.1 Public information ............................................................................................................................................................................... 4

8.2 Certification documents .................................................................................................................................................................. 4

8.2.1 PS 8.2 PIMS Certification documents ............................................................................................................. 4

8.3 Reference to certification and use of marks .................................................................................................................. 5

8.4 Confidentiality ......................................................................................................................................................................................... 5

8.5 Information exchange between a certification body and its clients ......................................................... 5

9 Process requirements ..................................................................................................................................................................................... 5

9.1 Pre-certification activities ............................................................................................................................................................. 5

9.1.1 Application ............................................................................................................................................................................ 5

9.1.2 Application review ......................................................................................................................................................... 5

9.1.3 Audit programme ............................................................................................................................................................ 5

9.1.4 Determining audit time .............................................................................................................................................. 6

9.1.5 Multi-site sampling ........................................................................................................................................................ 7

9.1.6 Multiple management systems ............................................................................................................................ 7

9.2 Planning audits ....................................................................................................................................................................................... 7

9.2.1 Determining audit objectives, scope and criteria ................................................................................ 7

9.2.2 Audit team selection and assignments ......................................................................................................... 7

9.2.3 Audit plan ............................................................................................................................................................................... 7

9.3 Initial certification ............................................................................................................................................................................... 7

9.4 Conducting audits ................................................................................................................................................................................. 7

9.4.1 IS 9.4 General ...................................................................................................................................................................... 7

9.4.2 IS 9.4 Specific elements of the ISMS audit ................................................................................................. 7

9.4.3 IS 9.4 Audit report .......................................................................................................................................................... 7

9.5 Certification decision ......................................................................................................................................................................... 7

9.6 Maintaining certification ................................................................................................................................................................ 8

9.6.1 General...................................................................................................................................................................................... 8

9.6.2 Surveillance activities .................................................................................................................................................. 8

9.6.3 Re-certification .................................................................................................................................................................. 8

9.6.4 Special audits ...................................................................................................................................................................... 8

© ISO/IEC 2021 – All rights reserved PROOF/ÉPREUVE iii
---------------------- Page: 3 ----------------------
ISO/IEC TS 27006-2:2021(E)

9.6.5 Suspending, withdrawing or reducing the scope of certification .......................................... 8

9.7 Appeals .......................................................................................................................................................................................................... 8

9.8 Complaints .................................................................................................................................................................................................. 8

9.9 Client records ........................................................................................................................................................................................... 8

10 Management system requirements for certification bodies .................................................................................. 8

10.1 Options ........................................................................................................................................................................................................... 8

10.2 Option A: General management system requirements ........................................................................................ 8

10.3 Option B: Management system requirements in accordance with ISO 9001.................................... 9

iv PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC TS 27006-2:2021(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.

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) or the IEC

list of patent declarations received (see patents.iec.ch).

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

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www .iso .org/

iso/ foreword .html.

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

Subcommittee SC 27, Information security, cybersecurity and privacy protection.
A list of all parts in the ISO/IEC 27006 series can be found on the ISO website.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html.
© ISO/IEC 2021 – All rights reserved PROOF/ÉPREUVE v
---------------------- Page: 5 ----------------------
ISO/IEC TS 27006-2:2021(E)
Introduction

ISO/IEC 27006 sets out criteria for bodies providing audit and certification of information security

management systems. If such bodies are also to be accredited as complying with ISO/IEC 27006 with

the objective of auditing and certifying privacy information management systems (PIMS) in accordance

with ISO/IEC 27701:2019, some additional requirements and guidance to ISO/IEC 27006 are necessary.

These are provided by this document.

The text in this document follows the structure of ISO/IEC 27006 and the additional PIMS-specific

requirements and guidance on the application of ISO/IEC 27006 for PIMS certification are identified by

the letters “PS”.

The primary purpose of this document is to enable accreditation bodies to more effectively harmonize

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

vi PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 6 ----------------------
TECHNICAL SPECIFICATION ISO/IEC TS 27006-2:2021(E)
Requirements for bodies providing audit and certification
of information security management systems —
Part 2:
Privacy information management systems
1 Scope

This document specifies requirements and provides guidance for bodies providing audit and

certification of a privacy information management system (PIMS) according to ISO/IEC 27701 in

combination with ISO/IEC 27001, in addition to the requirements contained within ISO/IEC 27006 and

ISO/IEC 27701. It is primarily intended to support the accreditation of certification bodies providing

PIMS certification.

The requirements contained in this document need to be demonstrated in terms of competence and

reliability by anybody providing PIMS certification, and the guidance contained in this document

provides additional interpretation of these requirements for any body providing PIMS certificati

...

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