Audit modelReference control objectives and controls - ISO 27 001

A set of policies for information security shall be defined, approved by management, published and communicated to employees and relevant external parties.

The policies for information security shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness.

All information security responsibilities shall be defined and allocated

Conflicting duties and areas of responsibility shall be segregated to  reduce opportunities for unauthorized or unintentional modification or misuse of the organization’s assets.

Appropriate contacts with relevant authorities shall be maintained.

Appropriate contacts with special interest groups or other special ist security forums and professional associations shall be maintained

Information security shall be addressed in project management,  regardless of the type of the project.

A policy and supporting security measures shall be adopted to  manage the risks introduced by using mobile devices.

A policy and supporting security measures shall be implemented to  protect information accessed, processed or stored at teleworking  sites.

Background verification checks on all candidates for employment  shall be carried out in accordance with relevant laws, regulations  and ethics and shall be proportional to the business requirements,  the classification of the information to be accessed and the perceived risks.

The contractual agreements with employees and contractors shall  state their and the organization’s responsibilities for information  security.

Management shall require all employees and contractors to apply  information security in accordance with the established policies  and procedures of the organization.

All employees of the organization and, where relevant, contractors shall receive appropriate awareness education and training  and regular updates in organizational policies and procedures, as  relevant for their job function.

There shall be a formal and communicated disciplinary process  in place to take action against employees who have committed an  information security breach.

Information security responsibilities and duties that remain valid  after termination or change of employment shall be defined, communicated to the employee or contractor and enforced.

Assets associated with information and information processing  facilities shall be identified and an inventory of these assets shall  be drawn up and maintained.

Assets maintained in the inventory shall be owned.

Rules for the acceptable use of information and of assets associated  with information and information processing facilities shall be  identified, documented and implemented.

All employees and external party users shall return all of the  organizational assets in their possession upon termination of their  employment, contract or agreement.

Information shall be classified in terms of legal requirements,  value, criticality and sensitivity to unauthorised disclosure or  modification.

An appropriate set of procedures for information labelling shall be  developed and implemented in accordance with the information  classification scheme adopted by the organization.

Procedures shall be implemented for the management of removable media in accordance with the classification scheme adopted by  the organization.

Media shall be disposed of securely when no longer required, using  formal procedures.

Media containing information shall be protected against unauthorized access, misuse or corruption during transportation.

An access control policy shall be established, documented and  reviewed based on business and information security requirements.

Users shall only be provided with access to the network and network services that they have been specifically authorized to use.

A formal user registration and de-registration process shall be  implemented to enable assignment of access rights.

A formal user access provisioning process shall be implemented to  assign or revoke access rights for all user types to all systems and  services.

The allocation of secret authentication information shall be con trolled through a formal management process.

Asset owners shall review users’ access rights at regular intervals

The access rights of all employees and external party users to  information and information processing facilities shall be removed  upon termination of their employment, contract or agreement, or  adjusted upon change.

Users shall be required to follow the organization’s practices in the  use of secret authentication information.

Access to information and application system functions shall be  restricted in accordance with the access control policy.

Where required by the access control policy, access to systems and  applications shall be controlled by a secure log-on procedure.

Password management systems shall be interactive and shall  ensure quality passwords.

The use of utility programs that might be capable of overriding  system and application controls shall be restricted and tightly  controlled.

Access to program source code shall be restricted.

A policy on the use of cryptographic controls for protection of  information shall be developed and implemented.

A policy on the use, protection and lifetime of cryptographic keys  shall be developed and implemented through their whole lifecycle.

Security perimeters shall be defined and used to protect areas that  contain either sensitive or critical information and information  processing facilities.

Secure areas shall be protected by appropriate entry controls to  ensure that only authorized personnel are allowed access.

Physical security for offices, rooms and facilities shall be designed  and applied.

Physical protection against natural disasters, malicious attack or  accidents shall be designed and applied.

Procedures for working in secure areas shall be designed and  applied.

Access points such as delivery and loading areas and other points  where unauthorized persons could enter the premises shall be  controlled and, if possible, isolated from information processing  facilities to avoid unauthorized access.

Equipment shall be sited and protected to reduce the risks from  environmental threats and hazards, and opportunities for unauthorized access.

Equipment shall be protected from power failures and other disruptions caused by failures in supporting utilities.

Power and telecommunications cabling carrying data or supporting information services shall be protected from interception,  interference or damage.

Equipment shall be correctly maintained to ensure its continued  availability and integrity.

Equipment, information or software shall not be taken off-site  without prior authorization.

Security shall be applied to off-site assets taking into account the  different risks of working outside the organization’s premises.

All items of equipment containing storage media shall be verified  to ensure that any sensitive data and licensed software has been  removed or securely overwritten prior to disposal or re-use.

Users shall ensure that unattended equipment has appropriate  protection.

A clear desk policy for papers and removable storage media and  a clear screen policy for information processing facilities shall be  adopted.

Operating procedures shall be documented and made available to  all users who need them.

Changes to the organization, business processes, information processing facilities and systems that affect information security shall  be controlled.

The use of resources shall be monitored, tuned and projections  made of future capacity requirements to ensure the required system performance.

Development, testing, and operational environments shall be sepa rated to reduce the risks of unauthorized access or changes to the  operational environment.

Detection, prevention and recovery controls to protect against  malware shall be implemented, combined with appropriate user  awareness.

Backup copies of information, software and system images shall be  taken and tested regularly in accordance with an agreed backup  policy.

Event logs recording user activities, exceptions, faults and information security events shall be produced, kept and regularly  reviewed.

Logging facilities and log information shall be protected against  tampering and unauthorized access.

System administrator and system operator activities shall be  logged and the logs protected and regularly reviewed.

The clocks of all relevant information processing systems within  an organization or security domain shall be synchronised to a single reference time source.

Procedures shall be implemented to control the installation of software on operational systems.

Information about technical vulnerabilities of information systems  being used shall be obtained in a timely fashion, the organization’s  exposure to such vulnerabilities evaluated and appropriate measures taken to address the associated risk.

Rules governing the installation of software by users shall be  established and implemented.

Audit requirements and activities involving verification of operational systems shall be carefully planned and agreed to minimise  disruptions to business processes.

Networks shall be managed and controlled to protect information  in systems and applications.

Security mechanisms, service levels and management require ments of all network services shall be identified and included in  network services agreements, whether these services are provided  in-house or outsourced.

Groups of information services, users and information systems  shall be segregated on networks.

Formal transfer policies, procedures and controls shall be in place  to protect the transfer of information through the use of all types  of communication facilities.

Agreements shall address the secure transfer of business information between the organization and external parties.

Information involved in electronic messaging shall be appropriately protected.

Requirements for confidentiality or non-disclosure agreements  reflecting the organization’s needs for the protection of information shall be identified, regularly reviewed and documented.

The information security related requirements shall be included in  the requirements for new information systems or enhancements to  existing information systems.

Information involved in application services passing over public networks shall be protected from fraudulent activity, contract dis pute and unauthorized disclosure and modification.

Information involved in application service transactions shall be  protected to prevent incomplete transmission, mis-routing, unau thorized message alteration, unauthorized disclosure, unauthorized message duplication or replay.

Rules for the development of software and systems shall be established and applied to developments within the organization.

Changes to systems within the development lifecycle shall be controlled by the use of formal change control procedures.

When operating platforms are changed, business critical applications shall be reviewed and tested to ensure there is no adverse  impact on organizational operations or security.

Modifications to software packages shall be discouraged, limited to  necessary changes and all changes shall be strictly controlled

Principles for engineering secure systems shall be established,  documented, maintained and applied to any information system  implementation efforts.

Organizations shall establish and appropriately protect secure  development environments for system development and integra tion efforts that cover the entire system development lifecycle.

The organization shall supervise and monitor the activity of outsourced system development.

Testing of security functionality shall be carried out during development.

Acceptance testing programs and related criteria shall be estab lished for new information systems, upgrades and new versions.

Test data shall be selected carefully, protected and controlled.

Information security requirements for mitigating the risks associated with supplier’s access to the organization’s assets shall be  agreed with the supplier and documented.

All relevant information security requirements shall be established  and agreed with each supplier that may access, process, store,  communicate, or provide IT infrastructure components for, the  organization’s information.

Agreements with suppliers shall include requirements to address  the information security risks associated with information and  communications technology services and product supply chain.

Organizations shall regularly monitor, review and audit supplier service delivery.

Changes to the provision of services by suppliers, including  maintaining and improving existing information security policies,  procedures and controls, shall be managed, taking account of the  criticality of business information, systems and processes involved  and re-assessment of risks.

Management responsibilities and procedures shall be established  to ensure a quick, effective and orderly response to information  security incidents.

Information security events shall be reported through appropriate  management channels as quickly as possible.

Employees and contractors using the organization’s information systems and services shall be required to note and report any  observed or suspected information security weaknesses in systems or services.

Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents.

Information security incidents shall be responded to in accordance  with the documented procedures.

Knowledge gained from analysing and resolving information security incidents shall be used to reduce the likelihood or impact of  future incidents.

The organization shall define and apply procedures for the identification, collection, acquisition and preservation of information,  which can serve as evidence.

The organization shall determine its requirements for information security and the continuity of information security management in  adverse situations, e.g. during a crisis or disaster.

The organization shall establish, document, implement and maintain processes, procedures and controls to ensure the required  level of continuity for information security during an adverse situation.

The organization shall verify the established and implemented  information security continuity controls at regular intervals in  order to ensure that they are valid and effective during adverse  situations.

Information processing facilities shall be implemented with redundancy sufficient to meet availability requirements.

All relevant legislative statutory, regulatory, contractual require ments and the organization’s approach to meet these requirements  shall be explicitly identified, documented and kept up to date for  each information system and the organization.

Appropriate procedures shall be implemented to ensure compliance with legislative, regulatory and contractual requirements  related to intellectual property rights and use of proprietary soft ware products.

Records shall be protected from loss, destruction, falsification,  unauthorized access and unauthorized release, in accordance with  legislatory, regulatory, contractual and business requirements.

Privacy and protection of personally identifiable information shall be ensured as required in relevant legislation and regulation where  applicable.

Cryptographic controls shall be used in compliance with all relevant agreements, legislation and regulations.

The organization’s approach to managing information security and  its implementation (i.e. control objectives, controls, policies, processes and procedures for information security) shall be reviewed  independently at planned intervals or when significant changes  occur.

Managers shall regularly review the compliance of information  processing and procedures within their area of responsibility with  the appropriate security policies, standards and any other security  requirements.

Information systems shall be regularly reviewed for compliance  with the organization’s information security policies and standards.