CAN CSA-ISO IEC 27006-2013 Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems.pdf

1、Information technology Security techniques Requirements for bodies providing audit and certification of information security management systemsCAN/CSA-ISO/IEC 27006:13(ISO/IEC 27006:2011, IDT)National Standard of CanadaNOT FOR RESALE. / PUBLICATION NON DESTINE LA REVENTE.Legal Notice for StandardsCa

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20、e Groupe CSA publiera la versionen franais ds quelle sera produite par lorganisme rdacteur.TMA trade-mark of the Canadian Standards Association, operating as “CSA Group”National Standard of CanadaPublished in January 2013 by CSA GroupA not-for-profit private sector organization5060 Spectrum Way, Sui

21、te 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4044Visit our Online Store at shop.csa.caApproved byStandards Council of CanadaCAN/CSA-ISO/IEC 27006:13Information technology Security techniques Requirements for bodies providing audit and certification of information security manag

22、ement systemsPrepared by International Organization for Standardization/ International Electrotechnical CommissionReviewed byCAN/CSA-ISO/IEC 27006:13Information technology Security techniques Requirements for bodies providing audit and certificationof information security management systemsCSA/4 201

23、3 CSA Group January 2013CAN/CSA-ISO/IEC 27006:13Information technology Security techniques Requirements for bodies providing audit and certification of information security management systemsCSA PrefaceStandards development within the Information Technology sector is harmonized with international st

24、andards development. Through the CSA Technical Committee on Information Technology (TCIT), Canadians serve as the Canadian Advisory Committee (CAC) on ISO/IEC Joint Technical Committee 1 on Information Technology (ISO/IEC JTC1) for the Standards Council of Canada (SCC), the ISO member body for Canad

25、a and sponsor of the Canadian National Committee of the IEC. Also, as a member of the International Telecommunication Union (ITU), Canada participates in the International Telegraph and Telephone Consultative Committee (ITU-T).This Standard supersedes CAN/CSA-ISO/IEC 27006:12 (adoption of ISO/IEC 27

26、006:2007).At the time of publication, ISO/IEC 27006:2011 is available from ISO and IEC in English only. CSA Group will publish the French version when it becomes available from ISO and IEC.This International Standard was reviewed by the TCIT under the jurisdiction of the Strategic Steering Committee

27、 on Information Technology and deemed acceptable for use in Canada. From time to time, ISO/IEC may publish addenda, corrigenda, etc. The TCIT will review these documents for approval and publication. For a listing, refer to the Current Standards Activities page at standardsactivities.csa.ca. This St

28、andard has been formally approved, without modification, by the Technical Committee and has been approved as a National Standard of Canada by the Standards Council of Canada. 2013 CSA GroupAll rights reserved. No part of this publication may be reproduced in any form whatsoever without the prior per

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31、rovement will be referred to the appropriate committee. To submit a proposal for change, please send the following information to inquiriescsagroup.org and include “Proposal for change” in the subject line:(a) Standard designation (number);(b) relevant clause, table, and/or figure number;(c) wording

32、 of the proposed change; and(d) rationale for the change.Reference numberISO/IEC 27006:2011(E)ISO/IEC 2011INTERNATIONAL STANDARD ISO/IEC27006Second edition2011-12-01Information technology Security techniques Requirements for bodies providing audit and certification of information security management

33、 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 ISO/IEC 27006:2011(E) COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2011 All rights reserved. Unless otherwise specified, no part

34、 of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56

35、 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org ii ISO/IEC 2011 All rights reservedCAN/CSA-ISO/IEC 27006:13ISO/IEC 27006:2011(E) ISO/IEC 2011 All rights reserved iiiContents Page Foreword iv Introduction . v 1 Scope 1 2 Normative references 1 3

36、 Terms and definitions . 1 4 Principles . 2 5 General requirements . 2 5.1 Legal and contractual matter . 2 5.2 Management of impartiality 2 5.3 Liability and financing . 3 6 Structural requirements 3 6.1 Organizational structure and top management . 3 6.2 Committee for safeguarding impartiality 3 7

37、 Resource requirements 3 7.1 Competence of management and personnel . 3 7.2 Personnel involved in the certification activities . 4 7.3 Use of individual external auditors and external technical experts . 6 7.4 Personnel records . 6 7.5 Outsourcing . 6 8 Information requirements . 6 8.1 Publicly acce

38、ssible information . 6 8.2 Certification documents . 7 8.3 Directory of certified clients . 7 8.4 Reference to certification and use of marks. 7 8.5 Confidentiality 7 8.6 Information exchange between a certification body and its clients 7 9 Process requirements . 8 9.1 General requirements . 8 9.2 I

39、nitial audit and certification . 11 9.3 Surveillance activities . 15 9.4 Recertification 16 9.5 Special audits 16 9.6 Suspending, withdrawing or reducing scope of certification . 16 9.7 Appeals . 17 9.8 Complaints . 17 9.9 Records of applicants and clients . 17 10 Management system requirements for

40、certification bodies . 17 10.1 Options . 17 10.2 Option 1 Management system requirements in accordance with ISO 9001 . 17 10.3 Option 2 General management system requirements 17 Annex A (informative) Analysis of a client organizations complexity and sector-specific aspects 19 Annex B (informative) E

41、xample areas of auditor competence . 22 Annex C (informative) Audit time 24 Annex D (informative) Guidance for review of implemented ISO/IEC 27001:2005, Annex A controls . 30 CAN/CSA-ISO/IEC 27006:13ISO/IEC 27006:2011(E) iv ISO/IEC 2011 All rights reservedForeword ISO (the International Organization

42、 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

43、 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 field of information te

44、chnology, 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 Stand

45、ards 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 casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the s

46、ubject of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights. ISO/IEC 27006 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 fi

47、rst edition (ISO/IEC 27006:2007), which has been technically revised. CAN/CSA-ISO/IEC 27006:13ISO/IEC 27006:2011(E) ISO/IEC 2011 All rights reserved vIntroduction ISO/IEC 17021 sets out criteria for bodies operating audit and certification of organizations management systems. If such bodies are to b

48、e accredited as complying with ISO/IEC 17021 with the objective of auditing and certifying information security management systems (ISMS) in accordance with ISO/IEC 27001:2005, some additional requirements and guidance to ISO/IEC 17021 are necessary. These are provided by this International Standard

49、. The text in this International Standard follows the structure of ISO/IEC 17021, and the additional ISMS-specific requirements and guidance on the application of ISO/IEC 17021 for ISMS certification are identified by the letters “IS”. The term “shall” is used throughout this International Standard to indicate those provisions which,