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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
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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
