1、Information technology Security techniques Guidelines for information security management systems auditingCAN/CSA-ISO/IEC 27007:13(ISO/IEC 27007:2011, IDT)National Standard of CanadaNOT FOR RESALE. / PUBLICATION NON DESTINE LA REVENTE.Legal Notice for StandardsCanadian Standards Association (operati
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20、n 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, Can
21、ada L4W 5N61-800-463-6727 416-747-4044Visit our Online Store at shop.csa.caApproved byStandards Council of CanadaCAN/CSA-ISO/IEC 27007:13Information technology Security techniques Guidelines for information security management systems auditingPrepared by InternationalOrganizationforStandardization/
22、International Electrotechnical CommissionReviewed byCAN/CSA-ISO/IEC 27007:13Information technology Secu rity techniques Guidelinesfor information security management systems auditingCSA/4 2013 CSA Group January 2013CAN/CSA-ISO/IEC 27007:13Information technology Security techniques Guidelines for inf
23、ormation security management systems auditingCSA 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
24、) 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 Canada and sponsor of the Canadian National Committee of the IEC. Also, as a member of the International Telecommunication Union (ITU), Canada particip
25、ates in the International Telegraph and Telephone Consultative Committee (ITU-T).At the time of publication, ISO/IEC 27007:2011 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
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31、(number);(b) relevant clause, table, and/or figure number;(c) wording of the proposed change; and(d) rationale for the change.Reference numberISO/IEC 27007:2011(E)ISO/IEC 2011INTERNATIONAL STANDARD ISO/IEC27007First edition2011-11-15Information technology Security techniques Guidelines for informati
32、on security management systems auditing Technologies de linformation Techniques de scurit Lignes directrices pour laudit des systmes de management de la scurit de linformation ISO/IEC 27007:2011(E) COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2011 All rights reserved. Unless otherwise specified, no part of
33、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 CH-
34、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 27007:13ISO/IEC 27007:2011(E) ISO/IEC 2011 All rights reserved iiiContents Page Foreword . v Introduction vi 1 Scope 1 2 Normative references 1 3 Ter
35、ms and definitions . 1 4 Principles of auditing 1 5 Managing an audit programme 1 5.1 General . 1 5.1.1 IS 5.1 General . 2 5.2 Establishing the audit programme objectives . 2 5.2.1 IS 5.2 Establishing the audit programme objectives . 2 5.3 Establishing the audit programme 2 5.3.1 Role and responsibi
36、lities of the person managing the audit programme . 2 5.3.2 Competence of the person managing the audit programme 2 5.3.3 Determining the extent of the audit programme 2 5.3.4 Identifying and evaluating audit programme risks 3 5.3.5 Establishing procedures for the audit programme 3 5.3.6 Identifying
37、 audit programme resources 3 5.4 Implementing the audit programme 3 5.4.1 General . 3 5.4.2 Defining the objectives, scope and criteria for an individual audit . 3 5.4.3 Selecting the audit methods 4 5.4.4 Selecting the audit team members 4 5.4.5 Assigning responsibility for an individual audit to t
38、he audit team leader 5 5.4.6 Managing the audit programme outcome . 5 5.4.7 Managing and maintaining audit programme records 5 5.5 Monitoring the audit programme . 5 5.6 Reviewing and improving the audit programme 5 6 Performing an audit . 5 6.1 General . 5 6.2 Initiating the audit 5 6.2.1 General .
39、 5 6.2.2 Establishing initial contact with the auditee. 5 6.2.3 Determining the feasibility of the audit . 5 6.3 Preparing audit activities 6 6.3.1 Performing document review in preparation for the audit 6 6.3.2 Preparing the audit plan . 6 6.3.3 Assigning work to the audit team 6 6.3.4 Preparing wo
40、rk documents 6 6.4 Conducting the audit activities 6 6.4.1 General . 6 6.4.2 Conducting the opening meeting 6 6.4.3 Performing document review while conducting the audit 6 6.4.4 Communicating during the audit . 6 6.4.5 Assigning roles and responsibilities of guides and observers 6 6.4.6 Collecting a
41、nd verifying information . 6 6.4.7 Generating audit findings . 7 6.4.8 Preparing audit conclusions 7 6.4.9 Conducting the closing meeting 7 CAN/CSA-ISO/IEC 27007:13ISO/IEC 27007:2011(E) iv ISO/IEC 2011 All rights reserved6.5 Preparing and distributing the audit report 7 6.5.1 Preparing the audit rep
42、ort .7 6.5.2 Distributing the audit report .7 6.6 Completing the audit .7 6.7 Conducting audit follow-up 7 7 Competence and evaluation of auditors .7 7.1 General 7 7.2 Determining auditor competence to fulfil the needs of the audit programme 7 7.2.1 General 7 7.2.2 Personal behaviour .8 7.2.3 Knowle
43、dge and skills 8 7.2.4 Achieving auditor competence 9 7.2.5 Audit team leader .9 7.3 Establishing the auditor evaluation criteria 9 7.4 Selecting the appropriate auditor evaluation method .9 7.5 Conducting auditor evaluation .9 7.6 Maintaining and improving auditor competence 9 Annex A (informative)
44、 Practice Guidance for ISMS Auditing .10 Bibliography 27 CAN/CSA-ISO/IEC 27007:13ISO/IEC 27007:2011(E) ISO/IEC 2011 All rights reserved vForeword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide
45、 standardization. National bodies that are members of ISO or IEC participate in the development of International Standards through technical committees established by the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate in fie
46、lds 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 technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. International Standards are drafted
47、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 Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as an Internati
48、onal 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 subject of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights. ISO/I
49、EC 27007 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology, Subcommittee SC 27, IT Security techniques. CAN/CSA-ISO/IEC 27007:13ISO/IEC 27007:2011(E) vi ISO/IEC 2011 All rights reservedIntroduction This International Standard provides guidance on the management of an information security management system (I
