CAN CSA-ISO IEC TR 27008-2013 Information technology - Security techniques - Guidelines for auditors on information security controls.pdf

1、Information technology Security techniques Guidelines for auditors on information security controlsCAN/CSA-ISO/IEC TR 27008:13(ISO/IEC TR 27008:2011, IDT)National Standard of CanadaNOT FOR RESALE. / PUBLICATION NON DESTINE LA REVENTE.Legal Notice for StandardsCanadian Standards Association (operatin

2、g as “CSA Group”) develops standards through a consensus standards development process approved by the Standards Council of Canada. This process brings together volunteers representing varied viewpoints and interests to achieve consensus and develop a standard. Although CSA Group administers the pro

3、cess and establishes rules to promote fairness in achieving consensus, it does not independently test, evaluate, or verify the content of standards.Disclaimer and exclusion of liabilityThis document is provided without any representations, warranties, or conditions of any kind, express or implied, i

4、ncluding, without limitation, implied warranties or conditions concerning this documents fitness for a particular purpose or use, its merchantability, or its non-infringement of any third partys intellectual property rights. CSA Group does not warrant the accuracy, completeness, or currency of any o

5、f the information published in this document. CSA Group makes no representations or warranties regarding this documents compliance with any applicable statute, rule, or regulation. IN NO EVENT SHALL CSA GROUP, ITS VOLUNTEERS, MEMBERS, SUBSIDIARIES, OR AFFILIA TED COMPANIES, OR THEIR EMPLOYEES, DIREC

6、TORS, OR OFFICERS, BE LIABLE FOR ANY DIRECT, INDIRECT, OR INCIDENTAL DAMAGES, INJURY, LOSS, COSTS, OR EXPENSES, HOWSOEVER CAUSED, INCLUDING BUT NOT LIMITED TO SPECIAL OR CONSEQUENTIAL DAMAGES, LOST REVENUE, BUSINESS INTERRUPTION, LOST OR DAMAGED DATA, OR ANY OTHER COMMERCIAL OR ECONOMIC LOSS, WHETHE

7、R BASED IN CONTRACT, TORT (INCLUDING NEGLIGENCE), OR ANY OTHER THEORY OF LIABILITY , ARISING OUT OF OR RESUL TING FROM ACCESS TO OR POSSESSION OR USE OF THIS DOCUMENT , EVEN IF CSA GROUP HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, INJURY, LOSS, COSTS, OR EXPENSES.In publishing and making th

8、is document available, CSA Group is not undertaking to render professional or other services for or on behalf of any person or entity or to perform any duty owed by any person or entity to another person or entity. The information in this document is directed to those who have the appropriate degree

9、 of experience to use and apply its contents, and CSA Group accepts no responsibility whatsoever arising in any way from any and all use of or reliance on the information contained in this document. CSA Group is a private not-for-profit company that publishes voluntary standards and related document

10、s. CSA Group has no power, nor does it undertake, to enforce compliance with the contents of the standards or other documents it publishes. Intellectual property rights and ownershipAs between CSA Group and the users of this document (whether it be in printed or electronic form), CSA Group is the ow

11、ner, or the authorized licensee, of all works contained herein that are protected by copyright, all trade-marks (except as otherwise noted to the contrary), and all inventions and trade secrets that may be contained in this document, whether or not such inventions and trade secrets are protected by

12、patents and applications for patents. Without limitation, the unauthorized use, modification, copying, or disclosure of this document may violate laws that protect CSA Groups and/or others intellectual property and may give rise to a right in CSA Group and/or others to seek legal redress for such us

13、e, modification, copying, or disclosure. To the extent permitted by licence or by law, CSA Group reserves all intellectual property rights in this document.Patent rightsAttention is drawn to the possibility that some of the elements of this standard may be the subject of patent rights. CSA Group sha

14、ll not be held responsible for identifying any or all such patent rights. Users of this standard are expressly advised that determination of the validity of any such patent rights is entirely their own responsibility.Authorized use of this documentThis document is being provided by CSA Group for inf

15、ormational and non-commercial use only. The user of this document is authorized to do only the following:If this document is in electronic form:sLOADTHISDOCUMENTONTOACOMPUTERFORTHESOLEPURPOSEOFREVIEWINGITsSEARCHANDBROWSETHISDOCUMENTANDsPRINTTHISDOCUMENTIFITISIN0$ this remains the continuing responsi

16、bility of the SDO. An NSC reflects a consensus of a number of capable individuals whose collective interests provide, to the greatest practicable extent, a balance of representation of general interests, producers, regulators, users (including consumers), and others with relevant interests, as may b

17、e appropriate to the subject in hand. It normally is a standard which is capable of making a significant and timely contribution to the national interest.Those who have a need to apply standards areencouraged to use NSCs. These standards are subjectto periodic review. Users of NSCs are cautionedto o

18、btain the latest edition from the SDO which publishes the standard.The responsibility for approving standards as National Standards of Canada rests with theStandards Council of Canada270 Albert Street, Suite 200Ottawa, Ontario, K1P 6N7CanadaAlthough the intended primary application of this Standard

19、is stated in its Scope, it is importantto note that it remains the responsibility of the users to judge its suitability for their particular purpose.Registered trade-mark of Canadian Standards AssociationCette norme est offerte en anglais seulement pour le moment. Le Groupe CSA publiera la versionen

20、 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, Suite 100, Mississauga, Ontario, Cana

21、da L4W 5N61-800-463-6727 416-747-4044Visit our Online Store at shop.csa.caApproved byStandards Council of CanadaCAN/CSA-ISO/IEC TR 27008:13Information technology Security techniques Guidelines for auditors on information security controlsPrepared by InternationalOrganizationforStandardization/ Inter

22、national Electrotechnical CommissionReviewed byCAN/CSA-ISO/IEC TR 27008:13Information technology Security techniques Guidelines for auditors on information security controlsCSA/4 2013 CSA Group January 2013CAN/CSA-ISO/IEC TR 27008:13Information technology Security techniques Guidelines for auditors

23、on information security controlsCSA PrefaceStandards development within the Information Technology sector is harmonized with international standards development. Through the CSA Technical Committee on Information Technology (TCIT), Canadians serve as the Canadian Advisory Committee (CAC) on ISO/IEC

24、Joint Technical Committee 1 on Information Technology (ISO/IEC JTC1) for the Standards Council of Canada (SCC), the ISO member body for Canada and sponsor of the Canadian National Committee of the IEC. Also, as a member of the International Telecommunication Union (ITU), Canada participates in the I

25、nternational Telegraph and Telephone Consultative Committee (ITU-T).At the time of publication, ISO/IEC TR 27008:2011 is available from ISO and IEC in English only. CSAGroup will publish the French version when it becomes available from ISO and IEC.This International Standard was reviewed by the TCI

26、T under the jurisdiction of the Strategic Steering Committee 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 Stan

27、dards Activities page at standardsactivities.csa.ca. This Standard 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 ma

28、y be reproduced in any form whatsoever without the prior permission of thepublisher. ISO/IEC material is reprinted with permission. Where the words “this Technical Report” appear in the text, they should be interpreted as “this National Standard of Canada”.Inquiries regarding this National Standard

29、of Canada should be addressed toCSA Group5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N61-800-463-6727 416-747-4000http:/csa.caTo purchase standards and related publications, visit our Online Store at shop.csa.ca or call toll-free 1-800-463-6727 or 416-747-4044.This Standard is su

30、bject to periodic review, and suggestions for its improvement 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) rel

31、evant clause, table, and/or figure number;(c) wording of the proposed change; and(d) rationale for the change.Reference numberISO/IEC TR 27008:2011(E)ISO/IEC 2011TECHNICAL REPORT ISO/IECTR27008First edition2011-10-15Information technology Security techniques Guidelines for auditors on information se

32、curity controls Technologies de linformation Techniques de scurit Lignes directrices pour les auditeurs des contrles de scurit de linformation ISO/IEC TR 27008:2011(E) COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2011 All rights reserved. Unless otherwise specified, no part of this publication may be reprod

33、uced 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 CH-1211 Geneva 20 Tel. + 41 22 74

34、9 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 TR 27008:13ISO/IEC TR 27008:2011(E) ISO/IEC 2011 All rights reserved iiiContents Page FOREWORD . V INTRODUCTION VI 1 SCOPE 1 2 NORMATIVE REFERENCES . 1 3 TERMS AND DEFINITIONS . 1

35、 4 STRUCTURE OF THIS TECHNICAL REPORT . 1 5 BACKGROUND 2 6 OVERVIEW OF INFORMATION SECURITY CONTROL REVIEWS. 3 6.1 REVIEW PROCESS 3 6.2 RESOURCING . 5 7 REVIEW METHODS . 5 7.1 OVERVIEW . 5 7.2 REVIEW METHOD: EXAMINE . 6 7.2.1 General . 6 7.2.2 Attributes . 6 7.3 REVIEW METHOD: INTERVIEW 7 7.3.1 Gene

36、ral . 7 7.3.2 Attributes . 7 7.3.3 Coverage attribute 8 7.4 REVIEW METHOD: TEST 8 7.4.1 General . 8 7.4.2 Test types . 9 7.4.3 Extended review procedures 10 8 ACTIVITIES . 10 8.1 PREPARATIONS 10 8.2 DEVELOPING A PLAN . 12 8.2.1 Overview . 12 8.2.2 Scope 12 8.2.3 Review procedures . 12 8.2.4 Object-r

37、elated considerations . 13 8.2.5 Previous findings 13 8.2.6 Work assignments 14 8.2.7 External systems 14 8.2.8 Information assets and organization . 14 8.2.9 Extended review procedure 15 8.2.10 Optimization 15 8.2.11 Finalization 15 8.3 CONDUCTING REVIEWS . 16 8.4 ANALYSIS AND REPORTING RESULTS 16

38、CAN/CSA-ISO/IEC TR 27008:13ISO/IEC TR 27008:2011(E) iv ISO/IEC 2011 All rights reservedANNEX A (INFORMATIVE) TECHNICAL COMPLIANCE CHECKING PRACTICE GUIDE 18 ANNEX B (INFORMATIVE) INITIAL INFORMATION GATHERING (OTHER THAN IT) . 32 B.1 HUMAN RESOURCES AND SECURITY 32 B.2 POLICIES . 32 B.3 ORGANIZATION

39、 33 B.4 PHYSICAL AND ENVIRONMENTAL SECURITY 33 B.4.1 Are the sites safe for information? . 33 B.4.2 Are the sites safe for ICT? (Environmental aspects) . 34 B.4.3 Are the sites safe for People? 34 B.5 INCIDENT MANAGEMENT . 35 BIBLIOGRAPHY . 36 CAN/CSA-ISO/IEC TR 27008:13ISO/IEC TR 27008:2011(E) ISO/

40、IEC 2011 All rights reserved vForeword 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 Internat

41、ional Standards through technical committees established 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 wi

42、th 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

43、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 casting a vote. In exceptional circ

44、umstances, when the joint technical committee has collected data of a different kind from that which is normally published as an International Standard (“state of the art”, for example), it may decide to publish a Technical Report. A Technical Report is entirely informative in nature and shall be su

45、bject to review every five years in the same manner as an International Standard. 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 TR

46、27008 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques. CAN/CSA-ISO/IEC TR 27008:13ISO/IEC TR 27008:2011(E) vi ISO/IEC 2011 All rights reservedIntroduction This Technical Report supports the Information Security Management Sy

47、stem (ISMS) risk management process defined within ISO/IEC 27001 and ISO/IEC 27005, and the controls included in ISO/IEC 27002. This Technical Report provides guidance on reviewing an organizations information security controls, e.g. in the organization, business processes and system environment, in

48、cluding technical compliance checking. Please refer to ISO/IEC 27007 for advice on auditing the management systems elements, and ISO/IEC 27006 regarding ISMS compliance reviewing for certification purposes. CAN/CSA-ISO/IEC TR 27008:13TECHNICAL REPORT ISO/IEC TR 27008:2011(E) ISO/IEC 2011 All rights

49、reserved 1Information technology Security techniques Guidelines for auditors on information security controlsX 1 Scope This Technical Report provides guidance on reviewing the implementation and operation of controls, including technical compliance checking of information system controls, in compliance with an organizations establ