ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 To provide management direction and support for information security in 5.1 accordance with business requirements Information Security Policy and relevant laws and regulations. An information security policy document Information security policy should be approved by management, and Security Policy 5.1.1 published and communicated to all document employees and relevant external parties. The information security policy should be Review of information reviewed at planned intervals or if 5.1.2 significant changes occur to ensure its security policy continuing suitability, adequacy, and effectiveness. To manage information security within 6.1 the organization. Internal Organization Management should actively support security within the organization through Management commitment to clear direction, demonstrated 6.1.1 information security commitment, explicit assignment, and acknowledgment of information security responsibilities. Information security activities should be co- Information security co- ordinated by representatives from 6.1.2 ordination different parts of the organization with relevant roles and job functions. All information security responsibilities should be clearly defined. Allocation of information 6.1.3 security responsibilities A management authorization process for Authorization process for 6.1.4 new information processing facilities Information processing should be defined and implemented. facilities Requirements for confidentiality or non- disclosure agreements reflecting the 6.1.5 Confidentiality agreements organization’s needs for the protection of information should be identified and regularly reviewed. Appropriate contacts with relevant 6.1.6 Contact with authorities authorities should be maintained. Appropriate contacts with special interest Contact with special interest groups or other specialist security forums 6.1.7 groups and professional associations should be Organization of maintained. Information security ISO 27001:2005 Standard Clause Organization of Sec Objective Control Detailed Controls Current Situation Recommendation1 Information security The organization’s approach to managing information security and its implementation (i.e., control objectives, Independent review of controls, policies, processes, and 6.1.8 procedures for information security) information security should be reviewed independently at planned intervals, or when significant changes to the security implementation occur. To maintain the security of the organization’s information and 6.2 information processing External Parties facilities that are accessed, processed, communicated to, or managed by external parties. The risks to the organization’s information and information processing facilities from Identification of risk related to business processes involving external 6.2.1 external parties parties should be identified and appropriate controls implemented before granting access. All identified security requirements should Addressing security when be addressed before giving customers 6.2.2 dealing with customers access to the organization’s information or assets. Agreements with third parties involving accessing, processing, communicating or managing the organization’s information Addressing security in third or information processing facilities, or 6.2.3 party agreements adding products or services to information processing facilities should cover all relevant security requirements. To achieve and maintain appropriate 7.1 protection of organizational assets. Responsibility for Assets All assets should be clearly identified and 7.1.1 Inventory of assets an inventory of all important assets drawn up and maintained. All information and assets associated with information processing facilities should be 7.1.2 Ownership of assets owned by a designated part of the organization. Rules for the acceptable use of information and assets associated with information Asset Management 7.1.3 Acceptable use of assets processing facilities should be identified, documented, and implemented. ISO 27001:2005 Standard Asset Management Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 To ensure that information receives an 7.2 Information Classification appropriate level of protection. Information should be classified in terms of 7.2.1 its value, legal requirements, sensitivity, Classification guidelines and criticality to the organization. An appropriate set of procedures for Information labelling and information labelling and handling should 7.2.2 be developed and implemented in handling accordance with the classification scheme adopted by the organization. To ensure that employees, contractors and third party users understand their responsibilities, and are suitable for the 8.1 roles they are considered for, and to Prior to Employment reduce the risk of theft, fraud or misuse of facilities. Security roles and responsibilities of employees, contractors and third party 8.1.1 Roles and responsibilities users should be defined and documented in accordance with the organization’s information security policy. Background verification checks on all candidates for employment, contractors, and third party users should be carried out in accordance with relevant laws, 8.1.2 Screening regulations and ethics, and proportional to the business requirements, the classification of the information to be accessed, and the perceived risks. As part of their contractual obligation, employees, contractors and third party users should agree and sign the terms and Terms and conditions of 8.1.3 conditions of their employment contract, employment which should state their and the organization’s responsibilities for information security. Human Resource Security ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 To ensure that employees, contractors and third party users are aware of information security threats and concerns, their 8.2 responsibilities and liabilities, and are During Employment equipped to support Human Resource organizational security policy in the Security course of their normal work, and to reduce the risk of human error. Management should require employees, contractors and third party users to apply 8.2.1 Management responsibility security in accordance with established policies and procedures of the organization. All employees of the organization and, where relevant, contractors and third party Information security users should receive appropriate 8.2.2 awareness, education and awareness training and regular updates in training organizational policies and procedures, as relevant for their job function. There should be a formal disciplinary 8.2.3 Disciplinary process process for employees who have committed a security breach. To ensure that employees, contractors and third party users exit an Termination or Change of 8.3 organization or change Employment employment in an orderly manner. Responsibilities for performing 8.3.1 employment termination or change of Termination responsibility employment should be clearly defined and assigned. All employees, contractors and third party users should return all of the 8.3.2 Return of assets organization’s assets in their possession upon termination of their employment, contract or agreement. The access rights of all employees, contractors and third party users to information and information processing 8.3.3 Removal of access rights facilities should be removed upon termination of their employment, contract or agreement, or adjusted upon change. To prevent unauthorized physical 9.1 access, damage, and interference to the Secure Areas organization’s premises and information. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Security perimeters (barriers such as walls, card controlled entry gates or manned 9.1.1 Physical security perimeter reception desks) should be used to protect areas that contain information and information processing facilities. Secure areas should be protected by 9.1.2 appropriate entry controls to ensure that Physical entry controls only authorized personnel are allowed access. Physical security for offices, rooms, and Securing offices, rooms and 9.1.3 facilities should be designed and applied. facilities Physical protection against damage from Protecting against external fire, flood, earthquake, explosion, civil 9.1.4 unrest, and other forms of natural or man- and environmental threats made disaster should be designed and applied. Physical protection and guidelines for 9.1.5 Working in secure areas working in secure areas should be designed and applied. Access points such as delivery and loading areas and other points where Public access, delivery and unauthorized persons may enter the 9.1.6 premises should be controlled and, if loading areas possible, isolated from information processing facilities to avoid unauthorized Physical and access. To prevent loss, damage, theft or Environmental 9.2 compromise of assets and interruption Security Equipment Security to the organization’s activities. Access points such as delivery and loading areas and other points where Equipment siting and unauthorized persons may enter the 9.2.1 premises should be controlled and, if protection possible, isolated from information processing facilities to avoid unauthorized access. Equipment should be protected from 9.2.2 power failures and other disruptions Support utilities caused by failures in supporting utilities. Power and telecommunications cabling 9.2.3 carrying data or supporting information Cabling security services should be protected from interception or damage. Equipment should be correctly maintained 9.2.4 Equipment maintenance to ensure its continued availability and integrity. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Security should be applied to off-site Security of equipment off- equipment taking into account the 9.2.5 premises different risks of working outside the organization’s premises. All items of equipment containing storage Secure disposal or reuse of media should be checked to ensure that 9.2.6 any sensitive data and licensed software equipment has been removed or securely overwritten prior to disposal. Equipment, information or software 9.2.7 Removal of property should not be taken off-site without prior authorization. To ensure the correct and secure Operational Procedures and 10.1 operation of information processing Responsibilities facilities. Operating procedures should be Documented operating 10.1.1 documented, maintained, and made procedures available to all users who need them. Changes to information processing 10.1.2 Change Management facilities and systems should be controlled. Duties and areas of responsibility should be segregated to reduce opportunities for 10.1.3 Segregation of duties unauthorized or unintentional modification or misuse of the organization’s assets. Development, test, and operational Separation of development facilities should be separated to reduce the 10.1.4 risks of unauthorised access or changes to and operations facilities the operational system. To implement and maintain the appropriate level of information security Third Party Service Delivery 10.2 and service Management delivery in line with third party service delivery agreements. It should be ensured that the security controls, service definitions and delivery 10.2.1 Service delivery levels included in the third party service delivery agreement are implemented, operated, and maintained by the third party. The services, reports and records provided Monitoring and review of by the third party should be regularly 10.2.2 third party services monitored and reviewed, and audits should be carried out regularly. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Changes to the provision of services, including maintaining and improving existing information security policies, Manage changes to the third procedures and controls, should be 10.2.3 party services managed, taking account of the criticality of business systems and processes involved and re-assessment of risks. To minimize the risk of systems failures. System Planning and 10.3 Acceptance The use of resources should be monitored, tuned, and projections made of future 10.3.1 Capacity management capacity requirements to ensure the required system performance. Acceptance criteria for new information systems, upgrades, and new versions 10.3.2 System acceptance should be established and suitable tests of the system(s) carried out during development and prior to acceptance. To protect the integrity of software and Protection against Malicious 10.4 information. and Mobile Code Detection, prevention, and recovery Controls against malicious controls to protect against malicious code 10.4.1 code and appropriate user awareness procedures should be implemented. Where the use of mobile code is authorized, the configuration should ensure that the authorised mobile code 10.4.2 Controls against mobile code operates according to a clearly defined security policy, and unauthorized mobile code should be prevented from executing. To maintain the integrity and availability 10.5 of information and information Back-Up processing facilities. Back-up copies of information and 10.5.1 software should be taken and tested Information backup regularly in accordance with the agreed backup policy. To ensure the protection of information in networks and the protection of the Network Security 10.6 supporting Management infrastructure. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Networks should be adequately managed and controlled, in order to be protected 10.6.1 Network controls from threats, and to maintain security for the systems and applications using the network, including information in transit. Security features, service levels, and management requirements of all network 10.6.2 Security of network services services should be identified and included Communications and in any network services agreement, Operations whether these services are provided in- Management house or outsourced. To prevent unauthorized disclosure, 10.7 modification, removal or destruction of Media Handling assets, and interruption to business activities. There should be procedures in place for Management of removable 10.7.1 the management of removable media. media Media should be disposed of securely and 10.7.2 Disposal of Media safely when no longer required, using formal procedures. Procedures for the handling and storage of Information handling information should be established to 10.7.3 protect this information from procedures unauthorized disclosure or misuse. Security of system System documentation should be 10.7.4 documentation protected against unauthorized access. To maintain the security of information and software exchanged within an 10.8 Exchange of Information organization and with any external entity. Formal exchange policies, procedures, and Information exchange policies controls should be in place to protect the 10.8.1 exchange of information through the use and procedures of all types of communication facilities. Agreements should be established for the 10.8.2 exchange of information and software Exchange agreements between the organization and external parties. Media containing information should be protected against unauthorized access, 10.8.3 Physical media in transit misuse or corruption during transportation beyond an organization’s physical boundaries. Information involved in electronic 10.8.4 Electronic messaging messaging should be appropriately protected. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Policies and procedures should be developed and implemented to protect 10.8.5 Business information systems information associated with the interconnection of business information systems. To ensure the security of electronic 10.9 commerce services, and their secure Electronic Commerce Services use. Information involved in electronic commerce passing over public networks 10.9.1 Electronic commerce should be protected from fraudulent activity, contract dispute, and unauthorized disclosure and modification. Information involved in on-line transactions should be protected to prevent incomplete transmission, mis- 10.9.2 On-Line transactions routing, unauthorized message alteration, unauthorized disclosure, unauthorized message duplication or replay. The integrity of information being made 10.9.3 available on a publicly available system Publicly available information should be protected to prevent unauthorized modification. To detect unauthorized information 10.10 Monitoring processing activities. Audit logs recording user activities, exceptions, and information security 10.10.1 Audit logging events should be produced and kept for an agreed period to assist in future investigations and access control monitoring. Procedures for monitoring use of information processing facilities should be 10.10.2 Monitoring system use established and the results of the monitoring activities reviewed regularly. Logging facilities and log information 10.10.3 Protection of log information should be protected against tampering and unauthorized access. Administrator and operator System administrator and system operator 10.10.4 logs activities should be logged. Faults should be logged, analysed, and 10.10.5 Fault logging appropriate action taken. The clocks of all relevant information processing systems within an organization 10.10.6 Clock synchronization or security domain should be synchronized with an agreed accurate time source. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 To control access to information. Business Requirement for 11.1 Access Control An access control policy should be 11.1.1 established, documented, and reviewed Access control policy based on business and security requirements for access. To ensure authorized user access and to 11.2 prevent unauthorized access to User Access Management information systems. There should be a formal user registration and de-registration procedure in place for 11.2.1 User registration granting and revoking access to all information systems and services. The allocation and use of privileges should 11.2.2 Privilege measurement be restricted and controlled. The allocation of passwords should be 11.2.3 User password management controlled through a formal management process. Management should review users’ access 11.2.4 Review of user access rights rights at regular intervals using a formal process. To prevent unauthorized user access, 11.3 and compromise or theft of information User Responsibilities and information processing facilities. Users should be required to follow good 11.3.1 Password use security practices in the selection and use of passwords. Users should ensure that unattended 11.3.2 Unattended user equipment equipment has appropriate protection. A clear desk policy for papers and Clear desk and clear screen removable storage media and a clear 11.3.3 screen policy for information processing policy facilities should be adopted. To prevent unauthorized access to 11.4 Network Access Control networked services. Users should only be provided with access Policy on use of network 11.4.1 to the services that they have been services specifically authorized to use. Appropriate authentication methods User authentication for 11.4.2 should be used to control access by remote external connections users. Automatic equipment identification should Equipment identification in be considered as a means to authenticate 11.4.3 networks connections from specific locations and equipment. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Physical and logical access to diagnostic Remote diagnostic and 11.4.4 and configuration ports should be configuration port protection controlled. Groups of information services, users, and 11.4.5 Segregation in networks information systems should be segregated on networks. For shared networks, especially those extending across the organization’s Access control boundaries, the capability of users to 11.4.6 Network connection control connect to the network should be restricted, in line with the access control policy and requirements of the business applications (see 11.1). Routing controls should be implemented for networks to ensure that computer 11.4.7 Network routing control connections and information flows do not breach the access control policy of the business applications. To prevent unauthorized access to Operating System Access 11.5 operating systems. Control Access to operating systems should be 11.5.1 Secure log-on procedures controlled by a secure log-on procedure. All users should have a unique identifier (user ID) for their personal use only, and a User identification and suitable authentication technique should 11.5.2 authentication be chosen to substantiate the claimed identity of a user. Systems for managing passwords should Password management 11.5.3 be interactive and should ensure quality system passwords. The use of utility programs that might be 11.5.4 capable of overriding system and Use of system utilities application controls should be restricted and tightly controlled. Inactive sessions should shut down after a 11.5.5 Session time-out defined period of inactivity. Restrictions on connection times should be 11.5.6 Limitation of connection time used to provide additional security for high- risk applications. To prevent unauthorized access to 11.6 information held in application systems. Application Access Control Access to information and application system functions by users and support 11.6.1 Information access restriction personnel should be restricted in accordance with the defined access control policy. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Sensitive systems should have a dedicated 11.6.2 Sensitive system isolation (isolated) computing environment. To ensure information security when Mobile Computing and 11.7 using mobile computing and Teleworking teleworking facilities. A formal policy should be in place, and Mobile computing and appropriate security measures should be 11.7.1 adopted to protect against the risks of communication using mobile computing and communication facilities. A policy, operational plans and procedures 11.7.2 Teleworking should be developed and implemented for teleworking activities. To ensure that security is an integral Security Requirements of 12.1 part of information systems. Information Systems Statements of business requirements for Security requirement analysis new information systems, or 12.1.1 enhancements to existing information and specifications systems should specify the requirements for security controls. To prevent errors, loss, unauthorized Correct Processing in 12.2 modification or misuse of information in Applications applications. Data input to applications should be 12.2.1 Input data validation validated to ensure that this data is correct and appropriate. Validation checks should be incorporated into applications to detect any corruption 12.2.2 Control of internal processing of information through processing errors or deliberate acts. Requirements for ensuring authenticity and protecting message integrity in 12.2.3 Message integrity applications should be identified, and appropriate controls identified and implemented. Data output from an application should be validated to ensure that the processing of 12.2.4 Output data validation stored information is correct and appropriate to the circumstances. To protect the confidentiality, 12.3 authenticity or integrity of information Cryptographic Controls by cryptographic means. A policy on the use of cryptographic Policy on the use of 12.3.1 controls for protection of information cryptographic controls should be developed and implemented. Information Systems Acquisition Development and ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Key management should be in place to 12.3.2 Key management support the organization’s use of Information Systems cryptographic techniques. Acquisition To ensure the security of system files. Development and 12.4 Security of System Files Maintenance There should be procedures in place to Control of operational 12.4.1 control the installation of software on software operational systems. Test data should be selected carefully, and 12.4.2 Protection of system test data protected and controlled. Access control to program Access to program source code should be 12.4.3 source library restricted. To maintain the security of application Security in Development & 12.5 system software and information. Support Processes The implementation of changes should be 12.5.1 Change control procedures controlled by the use of formal change control procedures. When operating systems are changed, Technical review of business critical applications should be 12.5.2 applications after Operating reviewed and tested to ensure there is no system changes adverse impact on organizational operations or security. Modifications to software packages should Restrictions on changes to be discouraged, limited to necessary 12.5.3 software packages changes, and all changes should be strictly controlled. Opportunities for information leakage 12.5.4 Information leakage should be prevented. Outsourced software development should Outsourced software 12.5.5 be supervised and monitored by the development organization. To reduce risks resulting from Technical Vulnerability 12.6 exploitation of published technical Management vulnerabilities. Timely information about technical vulnerabilities of information systems Control of technical being used should be obtained, the 12.6.1 organization's exposure to such vulnerabilities vulnerabilities evaluated, and appropriate measures taken to address the associated risk. To ensure information security events and weaknesses associated with Reporting Information information systems 13.1 Security Events and are communicated in a manner allowing Weaknesses timely corrective action to be taken. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Information security events should be Reporting Information reported through appropriate 13.1.1 security events management channels as quickly as possible. All employees, contractors and third party users of information systems and services Reporting security should be required to note and report any 13.1.2 weaknesses observed or suspected security weaknesses in systems or services. To ensure a consistent and effective Management of Information approach is applied to the management Information Security 13.2 Security Incidents and of information Incident Management Improvements security incidents. Management responsibilities and Responsibilities and procedures should be established to 13.2.1 ensure a quick, effective, and orderly procedures response to information security incidents. There should be mechanisms in place to Learning from information enable the types, volumes, and costs of 13.2.2 security incidents information security incidents to be quantified and monitored. Where a follow-up action against a person or organization after an information security incident involves legal action 13.2.3 Collection of evidence (either civil or criminal), evidence should be collected, retained, and presented to conform to the rules for evidence laid down in the relevant jurisdiction(s). To counteract interruptions to business activities and to protect critical business processes Information Security Aspects 14.1 from the effects of major failures of of Business Continuity information systems or disasters and to Management ensure their timely resumption. A managed process should be developed and maintained for business continuity Including Information security throughout the organization that 14.1.1 in business continuity addresses the information security management process requirements needed for the organization’s business continuity. Business Continuity Management ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Events that can cause interruptions to business processes should be identified, Business continuity and risk along with the probability and impact of 14.1.2 Business Continuity assessment such interruptions and their consequences Management for information security. Plans should be developed and implemented to maintain or restore Developing and implementing operations and ensure availability of 14.1.3 continuity plans including information at the required level and in information security the required time scales following interruption to, or failure of, critical business processes. A single framework of business continuity plans should be maintained to ensure all Business continuity planning plans are consistent, to consistently 14.1.4 framework address information security requirements, and to identify priorities for testing and maintenance. Testing, maintaining and re- Business continuity plans should be tested 14.1.5 assessing business continuity and updated regularly to ensure that they plans are up to date and effective. To avoid breaches of any law, statutory, regulatory or contractual obligations, Compliance with Legal 15.1 and of any security requirements. Requirements All relevant statutory, regulatory, and contractual requirements and the Identification of applicable organization’s approach to meet these 15.1.1 requirements should be explicitly defined, legislations documented, and kept up to date for each information system and the organization. Appropriate procedures should be implemented to ensure compliance with legislative, regulatory, and contractual Intellectual Property Rights ( requirements on the use of material in 15.1.2 IPR) respect of which there may be intellectual property rights and on the use of proprietary software products. Important records should be protected Protection of organizational from loss, destruction, and falsification, in 15.1.3 accordance with statutory, regulatory, records contractual, and business requirements. Data protection and privacy should be Data protection and privacy of ensured as required in relevant legislation, 15.1.4 personal information regulations, and, if applicable, contractual Compliance clauses. ISO 27001:2005 Standard Clause Sec Objective Control Detailed Controls Current Situation Recommendation1 Compliance Prevention of misuse of Users should be deterred from using 15.1.5 information processing information processing facilities for facilities unauthorized purposes. Cryptographic controls should be used in Regulation of cryptographic 15.1.6 compliance with all relevant agreements, controls laws, and regulations. To ensure compliance of systems with Compliance with Security 15.2 organizational security policies and Policies and Standards and standards. Technical compliance Managers should ensure that all security Compliance with security procedures within their area of 15.2.1 responsibility are carried out correctly to policy achieve compliance with security policies and standards. Information systems should be regularly Technical compliance 15.2.2 checked for compliance with security checking implementation standards. To maximize the effectiveness of and to Information System Audit 15.3 minimize interference to/from the Considerations information systems audit process. Audit requirements and activities involving Information system audit checks on operational systems should be 15.3.1 carefully planned and agreed to minimize controls the risk of disruptions to business processes. Access to information systems audit tools Protection of information 15.3.2 should be protected to prevent any system audit tools possible misuse or compromise. 1 There are not recommendations in every row. This does not mean controls are sufficient or adequate and require action. This control may require a predicate control. Subsequent reviews may indicate the need for additional controls as the organization matures. Nor are there identified controls in every row. This does not mean that these are the only controls. There may be mitigating or compensating controls in operations, which was not reviewed.
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