ISO IEC 27001-2013.pdf

INTERNATIONAL ISO/IEC...

INTERNATIONAL ISO/IEC STANDARD 27001 Second edition 2013-10-01 Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 Information technology — Security techniques — Information security Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. management systems — Requirements Technologies de l’information — Techniques de sécurité — Systèmes de management de la sécurité de l’information — Exigences Reference number ISO/IEC 27001:2013(E) © ISO/IEC 2013  ISO/IEC 27001:2013(E)  Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. COPYRIGHT PROTECTED DOCUMENT © ISO/IEC 2013 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 Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail [email protected] Web www.iso.org Published in Switzerland ii  © ISO/IEC 2013 – All rights reserved  ISO/IEC 27001:2013(E)  Contents Page Foreword......................................................................................................................................................................................................................................... iv 0 Introduction................................................................................................................................................................................................................v 1 Scope.................................................................................................................................................................................................................................. 1 Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 2 Normative references....................................................................................................................................................................................... 1 3 Terms and definitions...................................................................................................................................................................................... 1 4 Context of the organization........................................................................................................................................................................ 1 4.1 Understanding the organization and its context........................................................................................................ 1 4.2 Understanding the needs and expectations of interested parties............................................................... 1 4.3 Determining the scope of the information security management system........................................... 1 4.4 Information security management system...................................................................................................................... 2 5 Leadership................................................................................................................................................................................................................... 2 Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. 5.1 Leadership and commitment...................................................................................................................................................... 2 5.2 Policy................................................................................................................................................................................................................ 2 5.3 Organizational roles, responsibilities and authorities.......................................................................................... 3 6 Planning.......................................................................................................................................................................................................................... 3 6.1 Actions to address risks and opportunities.................................................................................................................... 3 6.2 Information security objectives and planning to achieve them.................................................................... 5 7 Support............................................................................................................................................................................................................................ 5 7.1 Resources...................................................................................................................................................................................................... 5 7.2 Competence................................................................................................................................................................................................ 5 7.3 Awareness.................................................................................................................................................................................................... 5 7.4 Communication....................................................................................................................................................................................... 6 7.5 Documented information................................................................................................................................................................ 6 8 Operation...................................................................................................................................................................................................................... 7 8.1 Operational planning and control........................................................................................................................................... 7 8.2 Information security risk assessment................................................................................................................................. 7 8.3 Information security risk treatment..................................................................................................................................... 7 9 Performance evaluation................................................................................................................................................................................ 7 9.1 Monitoring, measurement, analysis and evaluation................................................................................................ 7 9.2 Internal audit............................................................................................................................................................................................. 8 9.3 Management review............................................................................................................................................................................ 8 10 Improvement............................................................................................................................................................................................................. 9 10.1 Nonconformity and corrective action.................................................................................................................................. 9 10.2 Continual improvement................................................................................................................................................................... 9 Annex A (normative) Reference control objectives and controls.........................................................................................10 Bibliography.............................................................................................................................................................................................................................. 23 © ISO/IEC 2013 – All rights reserved  iii  ISO/IEC 27001:2013(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 Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 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. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of the joint technical committee is to prepare International Standards. Draft International Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as an International Standard requires approval by at least 75 % of the national bodies Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. casting a vote. 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. ISO/IEC 27001 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques. This second edition cancels and replaces the first edition (ISO/IEC 27001:2005), which has been technically revised. iv  © ISO/IEC 2013 – All rights reserved  ISO/IEC 27001:2013(E)  0 Introduction 0.1 General This International Standard has been prepared to provide requirements for establishing, implementing, maintaining and continually improving an information security management system. The adoption of an Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 information security management system is a strategic decision for an organization. The establishment and implementation of an organization’s information security management system is influenced by the organization’s needs and objectives, security requirements, the organizational processes used and the size and structure of the organization. All of these influencing factors are expected to change over time. The information security management system preserves the confidentiality, integrity and availability of information by applying a risk management process and gives confidence to interested parties that risks are adequately managed. It is important that the information security management system is part of and integrated with the organization’s processes and overall management structure and that information security is considered Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. in the design of processes, information systems, and controls. It is expected that an information security management system implementation will be scaled in accordance with the needs of the organization. This International Standard can be used by internal and external parties to assess the organization’s ability to meet the organization’s own information security requirements. The order in which requirements are presented in this International Standard does not reflect their importance or imply the order in which they are to be implemented. The list items are enumerated for reference purpose only. ISO/IEC 27000 describes the overview and the vocabulary of information security management systems, referencing the information security management system family of standards (including ISO/IEC 27003, ISO/IEC 27004 and ISO/IEC 27005), with related terms and definitions. 0.2 Compatibility with other management system standards This International Standard applies the high-level structure, identical sub-clause titles, identical text, common terms, and core definitions defined in Annex SL of ISO/IEC Directives, Part 1, Consolidated ISO Supplement, and therefore maintains compatibility with other management system standards that have adopted the Annex SL. This common approach defined in the Annex SL will be useful for those organizations that choose to operate a single management system that meets the requirements of two or more management system standards. © ISO/IEC 2013 – All rights reserved  v Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD.  INTERNATIONAL STANDARD ISO/IEC 27001:2013(E) Information technology — Security techniques — Information security management systems — Requirements Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 1 Scope This International Standard specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system within the context of the organization. This International Standard also includes requirements for the assessment and treatment of information security risks tailored to the needs of the organization. The requirements set out in this International Standard are generic and are intended to be applicable to all organizations, regardless of type, size or nature. Excluding any of the requirements specified in Clauses 4 to 10 is not acceptable when an organization claims conformity to this International Standard. Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. 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 27000, Information technology — Security techniques — Information security management systems — Overview and vocabulary 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO/IEC 27000 apply. 4 Context of the organization 4.1 Understanding the organization and its context The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system. NOTE Determining these issues refers to establishing the external and internal context of the organization considered in Clause 5.3 of ISO 31000:2009. 4.2 Understanding the needs and expectations of interested parties The organization shall determine: a) interested parties that are relevant to the information security management system; and b) the requirements of these interested parties relevant to information security. NOTE The requirements of interested parties may include legal and regulatory requirements and contractual obligations. 4.3 Determining the scope of the information security management system The organization shall determine the boundaries and applicability of the information security management system to establish its scope. © ISO/IEC 2013 – All rights reserved  1  ISO/IEC 27001:2013(E)  When determining this scope, the organization shall consider: a) the external and internal issues referred to in 4.1; b) the requirements referred to in 4.2; and c) interfaces and dependencies between activities performed by the organization, and those that are Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 performed by other organizations. The scope shall be available as documented information. 4.4 Information security management system The organization shall establish, implement, maintain and continually improve an information security management system, in accordance with the requirements of this International Standard. 5 Leadership Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. 5.1 Leadership and commitment Top management shall demonstrate leadership and commitment with respect to the information security management system by: a) ensuring the information security policy and the information security objectives are established and are compatible with the strategic direction of the organization; b) ensuring the integration of the information security management system requirements into the organization’s processes; c) ensuring that the resources needed for the information security management system are available; d) communicating the importance of effective information security management and of conforming to the information security management system requirements; e) ensuring that the information security management system achieves its intended outcome(s); f) directing and supporting persons to contribute to the effectiveness of the information security management system; g) promoting continual improvement; and h) supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. 5.2 Policy Top management shall establish an information security policy that: a) is appropriate to the purpose of the organization; b) includes information security objectives (see 6.2) or provides the framework for setting information security objectives; c) includes a commitment to satisfy applicable requirements related to information security; and d) includes a commitment to continual improvement of the information security management system. The information security policy shall: e) be available as documented information; 2  © ISO/IEC 2013 – All rights reserved  ISO/IEC 27001:2013(E)  f) be communicated within the organization; and g) be available to interested parties, as appropriate. 5.3 Organizational roles, responsibilities and authorities Top management shall ensure that the responsibilities and authorities for roles relevant to information Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 security are assigned and communicated. Top management shall assign the responsibility and authority for: a) ensuring that the information security management system conforms to the requirements of this International Standard; and b) reporting on the performance of the information security management system to top management. NOTE Top management may also assign responsibilities and authorities for reporting performance of the information security management system within the organization. Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. 6 Planning 6.1 Actions to address risks and opportunities 6.1.1 General When planning for the information security management system, the organization shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to: a) ensure the information security management system can achieve its intended outcome(s); b) prevent, or reduce, undesired effects; and c) achieve continual improvement. The organization shall plan: d) actions to address these risks and opportunities; and e) how to 1) integrate and implement the actions into its information security management system processes; and 2) evaluate the effectiveness of these actions. 6.1.2 Information security risk assessment The organization shall define and apply an information security risk assessment process that: a) establishes and maintains information security risk criteria that include: 1) the risk acceptance criteria; and 2) criteria for performing information security risk assessments; b) ensures that repeated information security risk assessments produce consistent, valid and comparable results; © ISO/IEC 2013 – All rights reserved  3  ISO/IEC 27001:2013(E)  c) identifies the information security risks: 1) apply the information security risk assessment process to identify risks associated with the loss of confidentiality, integrity and availability for information within the scope of the information security management system; and 2) identify the risk owners; Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013 d) analyses the information security risks: 1) assess the potential consequences that would result if the risks identified in 6.1.2 c) 1) were to materialize; 2) assess the realistic likelihood of the occurrence of the risks identified in 6.1.2 c) 1); and 3) determine the levels of risk; e) evaluates the information security risks: Single user license only. Copying and Networking prohibited. This copy has been made under license by IT Governance LTD. 1) compare the results of risk analysis with the risk criteria established in 6.1.2 a); and 2) prioritize the analysed risks for risk treatment. The organization shall retain documented information about the information security risk assessment process. 6.1.3 Information security risk treatment The organization shall define and apply an information security risk treatment process to: a) select appropriate information security risk treatment options, taking account of the risk assessment results; b) determine all controls that are necessary to implement the information security risk treatment option(s) chosen; NOTE Organizations can design controls as required, or identify them from any source. c) compare the controls determined in 6.1.3 b) above with those in Annex A and verify that no necessary controls have been omitted; NOTE 1 Annex A contains a comprehensive list of control objectives and controls. Users of this International Standard are directed to Annex A to ensure that no necessary controls are overlooked. NOTE 2 Control objectives are implicitly included in the controls chosen. The control objectives and controls listed in Annex A are not exhaustive and additional control objectives and controls may be needed. d) produce a Statement of Applicability that contains the necessary controls (see 6.1.3 b) and c)) and justification for inclusions, whether they are implemented or not, and the justification for exclusions of controls from Annex A; e) formulate an information security risk treatment plan; and f) obtain risk owners’ approval of the information security risk treatment plan and acceptance of the residual information security risks. The organization shall retain documented information about the information security risk treatment process. NOTE The information security risk assessment and treatment process in this International Standard aligns with the principles and generic guidelines provided in ISO 31000. 4  © ISO/IEC 2013 – All rights reserved  ISO/IEC 27001:2013(E)  6.2 Information security objectives and planning to achieve them The organization shall establish information security objectives at relevant functions and levels. The information security objectives shall: a) be consistent with the information security policy; Name: elizabeth mcloughlin, Company Name: International Standards Certifications, Order Number: 102196, Purchase date: 27/9/2013