Audit modelReference control objectives and controls - ISO 27 001

Governance
Compliance ISO 27001 - 2013

1. Information security policies

1.1. Management direction for information security

1.1.1. Policies for information security

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

1.1.2. Review of the policies for information security

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

2. Organization of information security

2.1. Internal organization

2.1.1. Information security roles and responsibilities

All information security responsibilities shall be defined and allocated

2.1.2. Segregation of duties

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

2.1.3. Contact with authorities

Appropriate contacts with relevant authorities shall be maintained.

2.1.4. Contact with special interest groups

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

2.1.5. Information security in project management

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

2.2. Mobile devices and teleworking

2.2.1. Mobile device policy

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

2.2.2. Teleworking

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

3. Human resource security

3.1. Prior to employment

3.1.1. Screening

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.

3.1.2. Terms and conditions of employment

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

3.2. During employment

3.2.1. Management responsibilities

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

3.2.2. Information security awareness, education and training

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.

3.2.3. Disciplinary process

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

3.3. Termination and change of employment

3.3.1. Termination or change of employment responsibilities

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.

4. Asset management

4.1. Responsibility for assets

4.1.1. Inventory of assets

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

4.1.2. Ownership of assets

Assets maintained in the inventory shall be owned.

4.1.3. Acceptable use of assets

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

4.1.4. Return of assets

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

4.2. Information classification

4.2.1. Classification of information

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

4.2.2. Labelling of information

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

4.2.3. Handling of assets

4.3. Media handling

4.3.1. Management of removable media

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

4.3.2. Disposal of media

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

4.3.3. Physical media transfer

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

5. Access control

5.1. Business requirements of access control

5.1.1. Access control policy

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

5.1.2. Access to networks and network services

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

5.2. User access management

5.2.1. User registration and de-registration

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

5.2.2. User access provisioning

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

5.2.3. Management of privileged access rights
5.2.4. Management of secret authentication information of users

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

5.2.5. Review of user access rights

Asset owners shall review users’ access rights at regular intervals

5.2.6. Removal or adjustment of access rights

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.

5.3. User responsibilities

5.3.1. Use of secret authentication information

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

5.4. System and application access control

5.4.1. Information access restriction

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

5.4.2. Secure log-on procedures

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

5.4.3. Password management system

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

5.4.4. Use of privileged utility programs

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

5.4.5. Access control to program source code

Access to program source code shall be restricted.

6. Cryptography

6.1. Cryptographic controls

6.1.1. Policy on the use of cryptographic controls

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

6.1.2. Key management

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

7. Physical and environmental security

7.1. Secure areas

7.1.1. Physical security perimeter

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

7.1.2. Physical entry controls

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

7.1.3. Securing offices, rooms and facilities

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

7.1.4. Protecting against external and environ mental threats

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

7.1.5. Working in secure areas

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

7.1.6. Delivery and loading areas

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.

8. Equipment

8.1. Equipment

8.1.1. Equipment siting and protection

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

8.1.2. Supporting utilities

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

8.1.3. Cabling security

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

8.1.4. Equipment maintenance

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

8.1.5. Removal of assets

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

8.1.6. Security of equipment and assets off-premises

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

8.1.7. Secure disposal or re use of equipment

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.

8.1.8. Unattended user equipment

Users shall ensure that unattended equipment has appropriate  protection.

8.1.9. Clear desk and clear screen policy

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

9. Operations security

9.1. Operational procedures and responsibilities

9.1.1. Documented operating procedures

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

9.1.2. Change management

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

9.1.3. Capacity management

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

9.1.4. Separation of development, testing and operational environments

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

9.2. Protection from malware

9.2.1. Controls against malware

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

9.3. Backup

9.3.1. Information backup

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

9.4. Logging and monitoring

9.4.1. Event logging

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

9.4.2. Protection of log information

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

9.4.3. Administrator and operator logs

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

9.4.4. Clock synchronisation

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

9.5. Control of operational software

9.5.1. Installation of software on operational systems

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

9.6. Technical vulnerability management

9.6.1. Management of technical vulnerabilities

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.

9.6.2. Restrictions on software installation

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

9.7. Information systems audit considerations

9.7.1. Information systems audit controls

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

10. Communications security

10.1. Network security management

10.1.1. Network controls

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

10.1.2. Security of network services

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.

10.1.3. Segregation in net works

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

10.2. Information transfer

10.2.1. Information transfer policies and procedures

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.

10.2.2. Agreements on information transfer

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

10.2.3. Electronic messaging

Information involved in electronic messaging shall be appropriately protected.

10.2.4. Confidentiality or non disclosure agreements

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

11. System acquisition, development and maintenance

11.1. Security requirements of information systems

11.1.1. Information security requirements analysis and specification

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

11.1.2. Securing application services on public networks

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

11.1.3. Protecting application services transactions

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.

11.2. Security in development and support processes

11.2.1. Secure development policy

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

11.2.2. System change control procedures

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

11.2.3. Technical review of applications after operating platform changes

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.

11.2.4. Restrictions on changes to software packages

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

11.2.5. Secure system engineering principles

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

11.2.6. Secure development environment

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

11.2.7. Outsourced development

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

11.2.8. System security testing

Testing of security functionality shall be carried out during development.

11.2.9. System acceptance testing

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

11.3. Test data

11.3.1. Protection of test data

Test data shall be selected carefully, protected and controlled.

12. Supplier relationships

12.1. Information security in supplier relationships

12.1.1. Information security policy for supplier relationships

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.

12.1.2. Addressing security within supplier agreements

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.

12.1.3. Information and communication technology supply chain

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

12.2. Supplier service delivery management

12.2.1. Monitoring and review of supplier services

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

12.2.2. Managing changes to supplier services

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.

13. Information security incident management

13.1. Management of information security incidents and improvements

13.1.1. Responsibilities and procedures

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

13.1.2. Reporting information security events

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

13.1.3. Reporting information security weaknesses

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.

13.1.4. Assessment of and decision on information security events

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

13.1.5. Response to information security incidents

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

13.1.6. Learning from information security incidents

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

13.1.7. Collection of evidence

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

14. Information security aspects of business continuity management

14.1. Information security continuity

14.1.1. Planning information security continuity

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.

14.1.2. Implementing information security continuity

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.

14.1.3. Verify, review and evaluate information security continuity

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.

14.2. Redundancies

14.2.1. Availability of information processing facilities

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

15. Compliance

15.1. Compliance with legal and contractual requirements

15.1.1. Identification of applicable legislation and contractual 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.

15.1.2. Intellectual property rights

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.

15.1.3. Protection of records

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

15.1.4. Privacy and protection of personally identifiable information

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

15.1.5. Regulation of crypto graphic controls

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

15.2. Information security reviews

15.2.1. Independent review of information security

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.

15.2.2. Compliance with security policies and standards

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.

15.2.3. Technical compliance review

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

Created at: 10/17/2022 3:42:10 PM

Updated on : 10/17/2022 3:43:03 PM

License : © Creative commons :
Attribution / Pas d'utilisation commerciale
CC-BY-NC Attribution Pas d'utilisation commerciale

author :
Dastro Naute


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