BS ISO IEC 27006-2015 Information technology Security techniques Requirements for bodies providing audit and certification of information security management systems《信息技术.pdf

1、BSI Standards Publication BS ISO/IEC 27006:2015 Information technology Security techniques Requirements for bodies providing audit and certification of information security management systemsBS ISO/IEC 27006:2015 BRITISH STANDARD National foreword This British Standard is the UK implementation of IS

2、O/IEC 27006:2015. It supersedes BS ISO/IEC 27006:2011 which is withdrawn. The UK participation in its preparation was entrusted to Technical Committee IST/33, IT - Security techniques. A list of organizations represented on this committee can be obtained on request to its secretary. This publication

3、 does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2015. Published by BSI Standards Limited 2015 ISBN 978 0 580 79568 8 ICS 35.040 Compliance with a British Standard cannot confer immunity from

4、 legal obligations. This British Standard was published under the authority of the Standards Policy and Strategy Committee on 31 October 2015. Amendments issued since publication Date Text affectedBS ISO/IEC 27006:2015 Information technology Security techniques Requirements for bodies providing audi

5、t and certification of information security management systems Technologies de linformation Techniques de scurit Exigences pour les organismes procdant laudit et la certification des systmes de management de la scurit de linformation INTERNATIONAL STANDARD ISO/IEC 27006 Reference number ISO/IEC 2700

6、6:2015(E) Third edition 2015-10-01 ISO/IEC 2015 BS ISO/IEC 27006:2015ii ISO/IEC 2015 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2015, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any for

7、m 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 ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonn

8、et 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC 27006:2015(E)BS ISO/IEC 27006:2015ISO/IEC 27006:2015(E)Foreword v Introduction vi 1 Scope . 1 2 Normative references 1 3 Terms and definitions . 1 4 Principles . 1 5 Gener

9、al requirements . 2 5.1 Legal and contractual matters . 2 5.2 Management of impartiality 2 5.2.1 IS 5.2 Conflicts of interest 2 5.3 Liability and financing 2 6 Structural requirements 2 7 Resource requirements . 2 7.1 Competence of personnel 2 7.1.1 IS 7.1.1 General considerations . 3 7.1.2 IS 7.1.2

10、 Determination of Competence Criteria 3 7.2 Personnel involved in the certification activities 6 7.2.1 IS 7.2 Demonstration of auditor knowledge and experience 6 7.3 Use of individual external auditors and external technical experts 7 7.3.1 IS 7.3 Using external auditors or external technical expert

11、s as part of the audit team 7 7.4 Personnel records. 7 7.5 Outsourcing 7 8 Information requirements . 8 8.1 Public information . 8 8.2 Certification documents 8 8.2.1 IS 8.2 ISMS Certification documents . 8 8.3 Reference to certification and use of marks 8 8.4 Confidentiality . 8 8.4.1 IS 8.4 Access

12、 to organizational records 8 8.5 Information exchange between a certification body and its clients . 8 9 Process requirements . 8 9.1 Pre-certification activities . 8 9.1.1 Application 8 9.1.2 Application review . 9 9.1.3 Audit programme 9 9.1.4 Determining audit time .10 9.1.5 Multi-site sampling .

13、10 9.1.6 Multiple management systems .11 9.2 Planning audits 11 9.2.1 Determining audit objectives, scope and criteria .11 9.2.2 Audit team selection and assignments 12 9.2.3 Audit plan 12 9.3 Initial certification 13 9.3.1 IS 9.3.1 Initial certification audit .13 9.4 Conducting audits 14 9.4.1 IS 9

14、.4 General .14 9.4.2 IS 9.4 Specific elements of the ISMS audit 14 9.4.3 IS 9.4 Audit report .14 9.5 Certification decision 15 9.5.1 IS 9.5 Certification decision .15 ISO/IEC 2015 All rights reserved iii Contents PageBS ISO/IEC 27006:2015ISO/IEC 27006:2015(E)9.6 Maintaining certification .15 9.6.1 G

15、eneral.15 9.6.2 Surveillance activities .15 9.6.3 Re-certification .16 9.6.4 Special audits .17 9.6.5 Suspending, withdrawing or reducing the scope of certification .17 9.7 Appeals .17 9.8 Complaints .17 9.8.1 IS 9.8 Complaints 17 9.9 Client records 17 10 Management system requirements for certifica

16、tion bodies .17 10.1 Options 17 10.1.1 IS 10.1 ISMS implementation .17 10.2 Option A: General management system requirements .17 10.3 Option B: Management system requirements in accordance with ISO 9001.17 Annex A (informative) Knowledge and skills for ISMS auditing and certification .18 Annex B (no

17、rmative) Audit time 20 Annex C (informative) Methods for audit time calculations .25 Annex D (informative) Guidance for review of implemented ISO/IEC 27001:2013, Annex A controls 28 Bibliography .35 iv ISO/IEC 2015 All rights reservedBS ISO/IEC 27006:2015ISO/IEC 27006:2015(E) Foreword ISO (the Inter

18、national 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 establis

19、hed by the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the fi

20、eld of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed fo

21、r 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. IS

22、O and IEC shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents). Any trade name used in t

23、his document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers

24、 to Trade (TBT) see the following URL: Foreword - Supplementary information The committee responsible for this document is ISO/IEC JTC 1, Information technology, SC 27, IT Security techniques. ISO/IEC 27006 was prepared by the Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommi

25、ttee SC 27, IT Security techniques. This third edition cancels and replaces the second edition (ISO/IEC 27006:2011), which has been technically revised. ISO/IEC 2015 All rights reserved vBS ISO/IEC 27006:2015ISO/IEC 27006:2015(E) Introduction ISO/IEC 17021-1 sets out criteria for bodies operating au

26、dit and certification of management systems. If such bodies are to be accredited as complying with ISO/IEC 17021-1 with the objective of auditing and certifying information security management systems (ISMS) in accordance with ISO/IEC 27001:2013, some additional requirements and guidance to ISO/IEC

27、17021-1 are necessary. These are provided by this International Standard. The text in this International Standard follows the structure of ISO/IEC 17021-1 and the additional ISMS-specific requirements and guidance on the application of ISO/IEC 17021-1 for ISMS certification are identified by the let

28、ters “IS”. The term “shall” is used throughout this International Standard to indicate those provisions which, reflecting the requirements of ISO/IEC 17021-1 and ISO/IEC 27001, are mandatory. The term “should” is used to indicate recommendation. The primary purpose of this International Standard is

29、to enable accreditation bodies to more effectively harmonize their application of the standards against which they are bound to assess certification bodies. Throughout this International Standard, the terms “management system” and “system” are used interchangeably. The definition of a management sys

30、tem can be found in ISO 9000:2005. The management system as used in this International Standard is not to be confused with other types of systems, such as IT systems.vi ISO/IEC 2015 All rights reservedBS ISO/IEC 27006:2015Information technology Security techniques Requirements for bodies providing a

31、udit and certification of information security management systems 1 Scope This International Standard specifies requirements and provides guidance for bodies providing audit and certification of an information security management system (ISMS), in addition to the requirements contained within ISO/IE

32、C 17021-1 and ISO/IEC 27001. It is primarily intended to support the accreditation of certification bodies providing ISMS certification. The requirements contained in this International Standard need to be demonstrated in terms of competence and reliability by any body providing ISMS certification,

33、and the guidance contained in this International Standard provides additional interpretation of these requirements for any body providing ISMS certification. NOTE This International Standard can be used as a criteria document for accreditation, peer assessment or other audit processes. 2 Normative r

34、eferences 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) applie

35、s. ISO/IEC 17021-1:2015, Conformity assessment Requirements for bodies providing audit and certification of management systems Part 1: Requirements ISO/IEC 27000, Information technology Security techniques Information security management systems Overview and vocabulary ISO/IEC 27001:2013, Informatio

36、n technology Security techniques Information security management systems Requirements 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO/IEC 17021-1, ISO/IEC 27000 and the following apply. 3.1 certification documents documents indicating that a clients

37、ISMS conforms to specified ISMS standards and any supplementary documentation required under the system 4 Principles The principles from ISO/IEC 17021-1, 4 apply. INTERNATIONAL ST ANDARD ISO/IEC 27006:2015(E) ISO/IEC 2015 All rights reserved 1BS ISO/IEC 27006:2015ISO/IEC 27006:2015(E) 5 General requ

38、irements 5.1 Legal and contractual matters The requirements of ISO/IEC 17021-1, 5.1 apply. 5.2 Management of impartiality The requirements of ISO/IEC 17021-1, 5.2 apply. In addition, the following requirements and guidance apply. 5.2.1 IS 5.2 Conflicts of interest Certification bodies may carry out

39、the following duties without them being considered as consultancy or having a potential conflict of interest: a) arranging and participating as a lecturer in training courses, provided that, where these courses relate to information security management, related management systems or auditing, certif

40、ication bodies shall confine themselves to the provision of generic information and advice which is publicly available, i.e. they shall not provide company-specific advice which contravenes the requirements of b) below; b) making available or publishing on request information describing the certific

41、ation bodys interpretation of the requirements of the certification audit standards (see 9.1.3.6); c) activities prior to audit, solely aimed at determining readiness for certification audit; however, such activities shall not result in the provision of recommendations or advice that would contraven

42、e this clause and the certification body shall be able to confirm that such activities do not contravene these requirements and that they are not used to justify a reduction in the eventual certification audit duration; d) performing second and third-party audits according to standards or regulation

43、s other than those being part of the scope of accreditation; e) adding value during certification audits and surveillance visits, e.g. by identifying opportunities for improvement, as they become evident during the audit, without recommending specific solutions. The certification body shall not prov

44、ide internal information security reviews of the clients ISMS subject to certification. Furthermore, the certification body shall be independent from the body or bodies (including any individuals) which provide the internal ISMS audit. 5.3 Liability and financing The requirements of ISO/IEC 17021-1,

45、 5.3 apply. 6 Structural requirements The requirements of ISO/IEC 17021-1, 6 apply. 7 Resource requirements 7.1 Competence of personnel The requirements of ISO/IEC 17021-1, 7.1 apply. In addition, the following requirements and guidance apply.2 ISO/IEC 2015 All rights reservedBS ISO/IEC 27006:2015IS

46、O/IEC 27006:2015(E) 7.1.1 IS 7.1.1 General considerations 7.1.1.1 Generic competence requirements The certification body shall ensure that it has knowledge of the technological, legal and regulatory developments relevant to the ISMS of the client which it assesses. The certification body shall defin

47、e the competence requirements for each certification function as referenced in Table A.1 of ISO/IEC 17021-1. The certification body shall take into account all the requirements specified in ISO/IEC 17021-1 and 7.1.2 and 7.2.1 of this International Standard that are relevant for the ISMS technical ar

48、eas as determined by the certification body. NOTE Annex A provides a summary of the competence requirements for personnel involved in specific certification functions. 7.1.2 IS 7.1.2 Determination of Competence Criteria 7.1.2.1 Competence requirements for ISMS auditing 7.1.2.1.1 General requirements

49、 The certification body shall have criteria for verifying the background experience, specific training or briefing of audit team members that ensures at least: a) knowledge of information security; b) technical knowledge of the activity to be audited; c) knowledge of management systems; d) knowledge of the principles of auditing; NOTE Further information on the principles of auditing can be found in ISO 19011. e) knowledge of ISMS monitoring, measurement, analysis and ev