信息安全管理体系实施指南-ISO_IEC 27001-2013

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INTERNATIONAL STANDARD ISO/IEC 27001 Second edition 2013-10-01 Information technology — Security techniques — Information security management systems — Requirements Technologies de l’information — Techniques de sécurité — Systèmes de management de la sécurité de l’information — Exigences Reference number ISO/IEC 27001:2013(E) © ISO/IEC 2013 ISO/IEC 27001 信息技术-安全技术-信息安全管理体系-要求 Information technology- Security techniques -Information security management systems-Requirements ISO/IEC 27001:2013(E) 5 6 7 0 1 2 3 4 Contents Page Foreword ........................................................................................................................................................................................................................................(cid:883) Introduction ...............................................................................................................................................................................................................(cid:885) Scope .................................................................................................................................................................................................................................(cid:887) Normative references ......................................................................................................................................................................................(cid:887) Terms and definitions .....................................................................................................................................................................................(cid:887) Context of the organization .......................................................................................................................................................................(cid:887) Understanding the organization and its context .......................................................................................................5 4.1 Understanding the needs and expectations of interested parties ..............................................................5 4.2 4.3 Determining the scope of the information security management system ..........................................5 4.4 Information security management system .....................................................................................................................7 Leadership ..................................................................................................................................................................................................................7 5.1 Leadership and commitment .....................................................................................................................................................7 5.2 Policy ...............................................................................................................................................................................................................7 Organizational roles, responsibilities and authorities..........................................................................................9 5.3 Planning .........................................................................................................................................................................................................................9 6.1 Actions to address risks and opportunities ...................................................................................................................9 6.2 Information security objectives and planning to achieve them ...................................................................13 Support ...........................................................................................................................................................................................................................13 7.1 Resources .....................................................................................................................................................................................................13 7.2 Competence ...............................................................................................................................................................................................13 7.3 Awareness ...................................................................................................................................................................................................13 Communication ......................................................................................................................................................................................15 7.4 7.5 Documented information ...............................................................................................................................................................15 Operation .....................................................................................................................................................................................................................17 Operational planning and control ..........................................................................................................................................17 8.1 8.2 Information security risk assessment.................................................................................................................................17 8.3 Information security risk treatment ....................................................................................................................................17 Performance evaluation ...............................................................................................................................................................................17 9.1 Monitoring, measurement, analysis and evaluation ...............................................................................................17 9.2 Internal audit ............................................................................................................................................................................................19 9.3 Management review ...........................................................................................................................................................................19 Improvement ............................................................................................................................................................................................................21 10.1 Nonconformity and corrective action .................................................................................................................................21 10.2 Continual improvement ..................................................................................................................................................................21 Annex A (normative) Reference control objectives and controls ........................................................................................23 Bibliography .............................................................................................................................................................................................................................49 10 8 9 目 次 前 言 ............................................................................. 2 引 言 ............................................................................ 4 1 范围 ................................................................................ 6 2 规范性引用文件 ...................................................................... 6 3 术语和定义 .......................................................................... 6 4 组织环境 ............................................................................ 6 5 领导 ................................................................................ 8 6 规划 ................................................................................ 10 7 支持 ................................................................................ 14 8 运行 ................................................................................ 18 9 绩效评价 ............................................................................ 18 10 改进 ............................................................................... 22 附 录 A (规范性附录) 参考控制目标和控制措施 ...................................... 24 参考文献 ............................................................................. 50 ISO/IEC 27001:2013(E) Foreword 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 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 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 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 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. 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 27001 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 first edition (ISO/IEC 27001:2005), which has been technically revised. 前 言 ISO(国际标准化组织)和IEC(国际电工委员会)是为国际标准化制定专门体制的国际组织。国 家机构是ISO或IEC的成员,他们通过各自的组织建立技术委员会参与国际标准的制定,来处理特定领 域的技术活动。ISO和IEC技术委员会在共同感兴趣的领域合作。其他国际组织、政府和非政府等机构, 通过联络ISO和IEC参与这项工作。ISO和IEC已经在信息技术领域建立了一个联合技术委员会ISO/IEC JTC1。 国际标准的制定遵循ISO/IEC 导则第2部分的规则。 联合技术委员会的主要任务是起草国际标准,并将国际标准草案提交给国家机构投票表决。国际标 准的出版发行必须至少75%以上的成员投票通过。 本文件中的某些内容有可能涉及一些专利权问题,这一点应该引起注意。ISO和IEC不负责识别任 何这样的专利权问题。 ISO/IEC 27001 由联合技术委员会ISO/IEC JTC1(信息技术)分委员会SC27(安全技术)起草。 第二版进行了技术上的修订,并取消和替代第一版(ISO/IEC 27001:2005)。 ISO/IEC 27001:2013(E) 0 Introduction 0.1 General This International Standard has been prepared to provide requirements for establishing, implementing, maintaining and continually improving an information security management system. The adoption of an information security management system is a strategic decision for an organization. The establishment and implementation of an organization’s information security management system is influenced by the organization’s needs and objectives, security requirements, the organizational processes used and the size and structure of the organization. All of these influencing factors are expected to change over time. The information security management system preserves the confidentiality, integrity and availability of information by applying a risk management process and gives confidence to interested parties that risks are adequately managed. It is important that the information security management system is part of and integrated with the organization’s processes and overall management structure and that information security is considered in the design of processes, information systems, and controls. It is expected that an information security management system implementation will be scaled in accordance with the needs of the organization. This International Standard can be used by internal and external parties to assess the organization’s ability to meet the organization’s own information security requirements. The order in which requirements are presented in this International Standard does not reflect their importance or imply the order in which they are to be implemented. The list items are enumerated for reference purpose only. ISO/IEC 27000 describes the overview and the vocabulary of information security management systems, referencing the information security management system family of standards (including ISO/IEC 27003[2], ISO/IEC 27004[3] and ISO/IEC 27005[4]), with related terms and definitions. 0.2 This International Standard applies the high-level structure, identical sub-clause titles, identical text, common terms, and core definitions defined in Annex SL of ISO/IEC Directives, Part 1, Consolidated ISO Supplement, and therefore maintains compatibility with other management system standards that have adopted the Annex SL. This common approach defined in the Annex SL will be useful for those organizations that choose to operate a single management system that meets the requirements of two or more management system standards. Compatibility with other management system standards 引 言 0.1 总则 本标准用于为建立、实施、保持和持续改进信息安全管理体系提供要求。采用信息安全管理体系是 组织的一项战略性决策。一个组织信息安全管理体系的建立和实施受其需要和目标、安全要求、所采用 的过程以及组织的规模和结构的影响。所有这些影响因素会不断发生变化。 信息安全管理体系通过应用风险管理过程来保持信息的保密性、完整性和可用性,以充分管理风险 并给予相关方信心。 信息安全管理体系是组织过程和整体管理结构的一部分并与其整合在一起是非常重要的。信息安全 在设计过程、信息系统、控制措施时就要考虑信息安全。按照组织的需要实施信息安全管理体系,是本 标准所期望的。 本标准可被内部和外部相关方使用,评估组织的能力是否满足组织自身信息安全要求。 本标准中要求的顺序并不能反映他们的重要性或意味着他们的实施顺序。列举的条目仅用于参考目 的。 ISO/IEC27000 描述了信息安全管理体系的概述和词汇,参考了信息安全管理体系标准族(包括 ISO/IEC 27003、ISO/IEC 27004 和 ISO/IEC 27005)以及相关的术语和定义。 0.2 与其他管理体系的兼容性 本标准应用了 ISO/IEC 导则第一部分 ISO 补充部分附录 SL 中定义的高层结构、相同的子章节标题、 相同文本、通用术语和核心定义。因此保持了与其它采用附录 SL 的管理体系标准的兼容性。 附录 SL 定义的通用方法对那些选择运作单一管理体系(可同时满足两个或多个管理体系标准要求) 的组织来说是十分有益的。 INTERNATIONAL STANDARD ISO/IEC 27001:2013(E Information technology — Security techniques — Information security management systems — Requirements 1 Scope 2 Normative references systems — Overview and vocabulary 3 Terms and definitions This International Standard specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system within the context of the organization. This International Standard also includes requirements for the assessment and treatment of information security risks tailored to the needs of the organization. The requirements set out in this International Standard are generic and are intended to be applicable to all organizations, regardless of type, size or nature. Excluding any of the requirements specified in Clauses 4 to 10 is not acceptable when an organization claims conformity to this International Standard. The following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 27000, Information technology — Security techniques — Information security management For the purposes of this document, the terms and definitions given in ISO/IEC 27000 apply. The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system. NOTE Determining these issues refers to establishing the external and internal context of the organization considered in Clause 5.3 of ISO 31000:2009[5]. The organization shall determine: a) interested parties that are relevant to the information security management system; and the requirements of these interested parties relevant to information security. b) NOTE The requirements of interested parties may include legal and regulatory requirements and contractual obligations. The organization shall determine the boundaries and applicability of the information security management system to establish its scope. 4.3 Determining the scope of the information security management system 4.2 Understanding the needs and expectations of interested parties 4 Context of the organization 4.1 Understanding the organization and its context 信息技术-安全技术-信息安全管理体系-要求 1 范围 本标准从组织环境的角度,为建立、实施、运行、保持和持续改进信息安全管理体系规定了要求。 本标准还规定了为适应组织需要而定制的信息安全风险评估和处置的要求。本标准规定的要求是通用 的,适用于各种类型、规模和特性的组织。组织声称符合本标准时,对于第 4 章到第 10 章的要求不能 删减。 2 规范性引用文件 下列文件的全部或部分内容在本文件中进行了规范引用,对于其应用是必不可少的。凡是注日期的 引用文件,只有引用的版本适用于本标准;凡是不注日期的引用文件,其最新版本(包括任何修改)适 用于本标准。 ISO/IEC 27000,信息技术—安全技术—信息安全管理体系—概述和词汇 3 术语和定义 ISO/IEC 27000中的术语和定义适用于本标准。 4 组织环境 4.1 理解组织及其环境 组织应确定与其目标相关并影响其实现信息安全管理体系预期结果的能力的外部和内部问题。 注:确定这些问题涉及到建立组织的外部和内部环境,在ISO 31000:2009[5]的5.3节考虑了这一事项。 4.2 理解相关方的需求和期望 组织应确定: a) 与信息安全管理体系有关的相关方; b) 这些相关方与信息安全有关的要求 注:相关方的要求可能包括法律法规要求和合同义务。 4.3 确定信息安全管理体系的范围 组织应确定信息安全管理体系的边界和适用性,以建立其范围。 ISO/IEC 27001:2013(E) 4.4 5 Leadership 5.1 Leadership and commitment Information security management system When determining this scope, the organization shall consider: a) the external and internal issues referred to in 4.1; b) the requirements referred to in 4.2; and c) interfaces and dependencies between activities performed by the organization, and those that are performed by other organizations. The scope shall be available as documented information. The organization shall establish, implement, maintain and continually improve an information security management system, in accordance with the requirements of this International Standard. Top management shall demonstrate leadership and commitment with respect to the information security management system by: a) ensuring the information security policy and the information security objectives are established and are compatible with the strategic direction of the organization; b) ensuring the integration of the information security management system requirements into the organization’s processes; c) ensuring that the resources needed for the information security management system are available; d) communicating the importance of effective information security management and of conforming to the information security management system requirements; e) ensuring that the information security management system achieves its intended outcome(s); f) directing and supporting persons to contribute to the effectiveness of the information security management system; g) promoting continual improvement; and h) supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. Top management shall establish an information security policy that: a) is appropriate to the purpose of the organization; b) includes information security objectives (see 6.2) or provides the framework for setting information security objectives; c) includes a commitment to satisfy applicable requirements related to information security; and includes a commitment to continual improvement of the information security management system. d) The information security policy shall: e) be available as documented information; 5.2 Policy 当确定该范围时,组织应考虑: a) 在 4.1 中提及的外部和内部问题; b) 在 4.2 中提及的要求; c) 组织所执行的活动之间以及与其它组织的活动之间的接口和依赖性 范围应文件化并保持可用性。 4.4 信息安全管理体系 组织应按照本标准的要求建立、实施、保持和持续改进信息安全管理体系。 5 领导 5.1 领导和承诺 高层管理者应通过下列方式展示其关于信息安全管理体系的领导力和承诺: a) 确保建立信息安全方针和信息安全目标,并与组织的战略方向保持一致; b) 确保将信息安全管理体系要求整合到组织的业务过程中; c) 确保信息安全管理体系所需资源可用; d) 传达信息安全管理有效实施、符合信息安全管理体系要求的重要性; e) 确保信息安全管理体系实现其预期结果; f) 指挥并支持人员为信息安全管理体系的有效实施作出贡献; g) 促进持续改进; h) 支持其他相关管理角色在其职责范围内展示他们的领导力。 5.2 方针 高层管理者应建立信息安全方针,以: a) 适于组织的目标; b) 包含信息安全目标(见 6.2)或设置信息安全目标提供框架; c) 包含满足适用的信息安全相关要求的承诺; d) 包含信息安全管理体系持续改进的承诺。 信息安全方针应: e) 文件化并保持可用性; ISO/IEC 27001:2013(E) 5.3 Organizational roles, responsibilities and authorities f) be communicated within the organization; and g) be available to interested parties, as appropriate. Top management shall ensure that the responsibilities and authorities for roles relevant to information security are assigned and communicated. Top management shall assign the responsibility and authority for: a) ensuring that the information security management system conforms to the requirements of this International Standard; and b) reporting on the performance of the information security management system to top management. NOTE Top management may also assign responsibilities and authorities for reporting performance of the information security management system within the organization. 6 Planning 6.1.1 General 6.1 Actions to address risks and opportunities When planning for the information security management system, the organization shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to: a) ensure the information security management system can achieve its intended outcome(s); b) prevent, or reduce, undesired effects; and c) achieve continual improvement. The organization shall plan: d) actions to address these risks and opportunities; and e) how to integrate and implement the actions into its information security management system 1) processes; and 2) evaluate the effectiveness of these actions. The organization shall define and apply an information security risk assessment process that: a) establishes and maintains information security risk criteria that include: 1) the risk acceptance criteria; and 2) criteria for performing information security risk assessments; b) ensures that repeated information security risk assessments produce consistent, valid and comparable results; Information security risk assessment 6.1.2 f) 在组织内部进行传达; g) 适当时,对相关方可用。 5.3 组织角色、职责和权限 高层管理者应确保分配并传达了信息安全相关角色的职责和权限。 高层管理者应分配下列职责和权限: a) 确保信息安全管理体系符合本标准的要求; b) 将信息安全管理体系的绩效报告给高层管理者。 注:高层管理者可能还要分配在组织内部报告信息安全管理体系绩效的职责和权限。 6 规划 6.1 应对风险和机会的措施 6.1.1 总则 当规划信息安全管理体系时,组织应考虑4.1中提及的问题和4.2中提及的要求,确定需要应对的风 险和机会,以: a) 确保信息安全管理体系能实现其预期结果; b) 防止或减少意外的影响; c) 实现持续改进。 组织应规划: d) 应对这些风险和机会的措施; e) 如何 1) 整合和实施这些措施并将其纳入信息安全管理体系过程; 2) 评价这些措施的有效性。 6.1.2 信息安全风险评估 组织应定义并应用风险评估过程,以: a) 建立并保持信息安全风险准则,包括: 1) 风险接受准则; 2) 执行信息安全风险评估的准则; b) 确保重复性的信息安全风险评估可产生一致的、有效的和可比较的结果; ISO/IEC 27001:2013(E) 6.1.3 Information security risk treatment c) identifies the information security risks: 1) apply the information security risk assessment process to identify risks associated with the loss of confidentiality, integrity and availability for information within the scope of the information security management system; and 2) identify the risk owners; d) analyses the information security risks: 1) assess the potential consequences that would result if the risks identified in 6.1.2 c) 1) were to materialize; 2) assess the realistic likelihood of the occurrence of the risks identified in 6.1.2 c) 1); and 3) determine the levels of risk; e) evaluates the information security risks: 1) compare the results of risk analysis with the risk criteria established in 6.1.2 a); and 2) prioritize the analysed risks for risk treatment. The organization shall retain documented information about the information security risk assessment process. The organization shall define and apply an information security risk treatment process to: a) select appropriate information security risk treatment options, taking account of the risk assessment results; b) determine all controls that are necessary to implement the information security risk treatment option(s) chosen; NOTE Organizations can design controls as required, or identify them from any source. c) compare the controls determined in 6.1.3 b) above with those in Annex A and verify that no necessary controls have been omitted; Annex A contains a comprehensive list of control objectives and controls. Users of this International NOTE 1 Standard are directed to Annex A to ensure that no necessary controls are overlooked. Control objectives are implicitly included in the controls chosen. The control objectives and NOTE 2 controls listed in Annex A are not exhaustive and additional control objectives and controls may be needed. d) produce a Statement of Applicability that contains the necessary controls (see 6.1.3 b) and c)) and justification for inclusions, whether they are implemented or not, and the justification for exclusions of controls from Annex A; e) formulate an information security risk treatment plan; and f) obtain risk owners’ approval of the information security risk treatment plan and acceptance of the residual information security risks. The organization shall retain documented information about the information security risk treatment process. The information security risk assessment and treatment process in this International Standard aligns NOTE with the principles and generic guidelines provided in ISO 31000[5]. c) 识别信息安全风险: 1) 应用信息安全风险评估过程来识别信息安全管理体系范围内的信息丧失保密性、完整性和 可用性的相关风险; 2) 识别风险负责人; d) 分析信息安全风险: 1) 评估 6.1.2 c)1)中所识别风险发生后将导致的潜在影响; 2) 评估 6.1.2 c)1)中所识别风险发生的现实可能性; 3) 确定风险级别; e) 评价信息安全风险; 1) 将风险分析结果同 6.1.2 a)建立的风险准则进行比较; 2) 为实施风险处置确定已分析风险的优先级。 组织应保留信息安全风险评估过程的文件记录信息。 6.1.3 信息安全风险处置 组织应定义并应用信息安全风险处置过程,以: a) 在考虑风险评估结果的前提下,选择适当的信息安全风险处置选项: b) 为实施所选择的信息安全风险处置选项,确定所有必需的控制措施; 注:组织可按要求设计控制措施,或从其他来源识别控制措施。 c) 将 6.1.3 b)所确定的控制措施与附录 A 的控制措施进行比较,以核实没有遗漏必要的控制措施; 注1:附录A包含了一份全面的控制目标和控制措施的列表。本标准用户可利用附录A以确保不会遗漏必 要的控制措施。 注2:控制目标包含于所选择的控制措施内。附录A所列的控制目标和控制措施并不是所有的控制目标和 控制措施,组织也可能需要另外的控制目标和控制措施。 d) 产生适用性声明。适用性声明要包含必要的控制措施(见 6.1.3 b)和 c))、对包含的合理性说明 (无论是否已实施)以及对附录 A 控制措施删减的合理性说明; e) 制定信息安全风险处置计划; f) 获得风险负责人对信息安全风险处置计划以及接受信息安全残余风险的批准。 组织应保留信息安全风险处置过程的文件记录信息。 注:本标准中的信息安全风险评估和处置过程可与ISO 31000[5]中规定的原则和通用指南相结合。 ISO/IEC 27001:2013(E) 6.2 Information security objectives and planning to achieve them The organization shall establish information security objectives at relevant functions and levels. The information security objectives shall: a) be consistent with the information security policy; b) be measurable (if practicable); c) take into account applicable information security requirements, and results from risk assessment and risk treatment; d) be communicated; and e) be updated as appropriate. The organization shall retain documented information on the information security objectives. When planning how to achieve its information security objectives, the organization shall determine: f) what will be done; g) what resources will be required; h) who will be responsible; i) when it will be completed; and j) how the results will be evaluated. The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the information security management system. The organization shall: a) determine the necessary competence of person(s) doing work under its control that affects its information security performance; b) ensure that these persons are competent on the basis of appropriate education, training, or experience; c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken; and d) retain appropriate documented information as evidence of competence. Applicable actions may include, for example: the provision of training to, the mentoring of, or the re- NOTE assignment of current employees; or the hiring or contracting of competent persons. Persons doing work under the organization’s control shall be aware of: a) the information security policy; 7.2 Competence 7 Support 7.1 Resources 7.3 Awareness 6.2 信息安全目标和规划实现 组织应在相关职能和层次上建立信息安全目标。 信息安全目标应: a) 与信息安全方针一致; b) 可测量(如可行); c) 考虑适用的信息安全要求以及风险评估和风险处置结果; d) 被传达; e) 适当时进行更新。 组织应保留关于信息安全目标的文件记录信息。 当规划如何实现其信息安全目标时,组织应确定: f) 要做什么; g) 需要什么资源; h) 由谁负责; i) 什么时候完成; a) 如何评价结果。 7 支持 7.1 资源 组织应确定并提供建立、实施、保持和持续改进信息安全管理体系所需的资源。 7.2 能力 组织应: a) 确定从事影响信息安全执行工作的人员在组织的控制下从事其工作的必要能力; b) 确保人员在适当教育,培训和经验的基础上能够胜任工作; c) 适用时,采取措施来获得必要的能力,并评价所采取措施的有效性; d) 保留适当的文件记录信息作为能力方面的证据。 注:例如适当措施可能包括为现有员工提供培训、对其进行指导或重新分配工作;雇用或签约有能力的 人员。 7.3 意识 人员在组织的控制下从事其工作时应意识到: a) 信息安全方针; ISO/IEC 27001:2013(E) 7.4 Communication 7.5 Documented information 7.5.1 General b) their contribution to the effectiveness of the information security management system, including the benefits of improved information security performance; and the implications of not conforming with the information security management system requirements. c) The organization shall determine the need for internal and external communications relevant to the information security management system including: a) on what to communicate; b) when to communicate; c) with whom to communicate; d) who shall communicate; and e) the processes by which communication shall be effected. The organization’s information security management system shall include: a) documented information required by this International Standard; and b) documented information determined by the organization as being necessary for the effectiveness of the information security management system. NOTE The extent of documented information for an information security management system can differ from one organization to another due to: the size of organization and its type of activities, processes, products and services; 1) 2) the complexity of processes and their interactions; and 3) the competence of persons. When creating and updating documented information the organization shall ensure appropriate: a) identification and description (e.g. a title, date, author, or reference number); b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic); and review and approval for suitability and adequacy. c) Documented information required by the information security management system and by this International Standard shall be controlled to ensure: a) it is available and suitable for use, where and when it is needed; and b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 7.5.3 Control of documented information 7.5.2 Creating and updating b) 他们对有效实施信息安全管理体系的贡献,包括信息安全绩效改进后的益处; c) 不符合信息安全管理体系要求可能的影响。 7.4 沟通 组织应确定有关信息安全管理体系在内部和外部进行沟通的需求,包括: a) 什么需要沟通; b) 什么时候沟通; c) 跟谁进行沟通; d) 由谁负责沟通; e) 影响沟通的过程。 7.5 文件记录信息 7.5.1 总则 组织的信息安全管理体系应包括: a) 本标准要求的文件记录信息; b) 组织为有效实施信息安全管理体系确定的必要的文件记录信息。 注:不同组织的信息安全管理体系文件记录信息的详略程度取决于: 1) 组织的规模及其活动、过程、产品和服务的类型; 2) 过程的复杂性及其相互作用; 3) 人员的能力。 7.5.2 创建和更新 创建和更新文件记录信息时,组织应确保适当的: a) 标识和描述(例如:标题、日期、作者或参考编号 ); b) 格式(例如:语言,软件版本,图表)和介质(例如:纸质介质,电子介质); c) 评审和批准其适用性和充分性。 7.5.3 文件记录信息的控制 信息安全管理体系和本标准所要求的文件记录信息应予以控制,以确保: a) 无论何时何地需要,它都是可用并适合使用的; b) 它被充分保护(例如避免丧失保密性、使用不当或丧失完整性)。 ISO/IEC 27001:2013(E) 9 Performance evaluation 8 Operation 8.1 Operational planning and control For the control of documented information, the organization shall address the following activities, as applicable: c) distribution, access, retrieval and use; d) storage and preservation, including the preservation of legibility; e) control of changes (e.g. version control); and f) retention and disposition. Documented information of external origin, determined by the organization to be necessary for the planning and operation of the information security management system, shall be identified as appropriate, and controlled. NOTE Access implies a decision regarding the permission to view the documented information only, or the permission and authority to view and change the documented information, etc. The organization shall plan, implement and control the processes needed to meet information security requirements, and to implement the actions determined in 6.1. The organization shall also implement plans to achieve information security objectives determined in 6.2. The organization shall keep documented information to the extent necessary to have confidence that the processes have been carried out as planned. The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary. The organization shall ensure that outsourced processes are determined and controlled. The organization shall perform information security risk assessments at planned intervals or when significant changes are proposed or occur, taking account of the criteria established in 6.1.2 a). The organization shall retain documented information of the results of the information security risk assessments. The organization shall implement the information security risk treatment plan. The organization shall retain documented information of the results of the information security risk treatment. The organization shall evaluate the information security performance and the effectiveness of the information security management system. The organization shall determine: a) what needs to be monitored and measured, including information security processes and controls; 9.1 Monitoring, measurement, analysis and evaluation 8.2 Information security risk assessment 8.3 Information security risk treatment 对于文件记录信息的控制,适用时,组织应处理下列问题: c) 分发、访问、检索和使用; d) 存储和保存,包括可读性的保持; e) 变更控制(例如版本控制); f) 保留和和处置。 组织为规划和实施信息安全管理体系确定的必要的外部原始文件记录信息,适当时应予以识别并进 行控制。 注:访问隐含一个权限决策:仅能查看文件记录信息,或有权去查看和变更文件记录信息等。 8 运行 8.1 运行的规划和控制 组织应规划、实施和控制满足信息安全要求所需的过程,并实施6.1中确定的措施。组织还应实施 这些规划来实现6.2中所确定的信息安全目标。 组织应保持文件记录信息达到必要的程度:有信心证明过程是按计划执行的。 组织应控制计划了的变更,评审非预期变更的后果,必要时采取措施减缓负面影响。 组织应确保外包的过程已确定,并处于可控状态。 8.2 信息安全风险评估 考虑到6.1.2 a)中建立的风险评估执行准则,组织应按计划的时间间隔执行信息安全风险评估,当 重大变更被提出或发生时也应执行信息安全风险评估。 组织应保留信息安全风险评估结果的文件记录信息。 8.3 信息安全风险处置 组织应实施信息安全风险处置计划。 组织应保留信息安全风险处置结果的文件记录信息。 9 绩效评价 9.1 监视、测量、分析和评价 组织应评价信息安全绩效和信息安全管理体系的有效性。 组织应确定: a) 什么需要监视和测量,包括信息安全过程和控制措施; 9.2 Internal audit ISO/IEC 27001:2013(E) b) the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results; The methods selected should produce comparable and reproducible results to be considered valid. NOTE c) when the monitoring and measuring shall be performed; d) who shall monitor and measure; e) when the results from monitoring and measurement shall be analysed and evaluated; and f) who shall analyse and evaluate these results. The organization shall retain appropriate documented information as evidence of the monitoring and measurement results. The organization shall conduct internal audits at planned intervals to provide information on whether the information security management system: a) conforms to 1) the organization’s own requirements for its information security management system; and the requirements of this International Standard; 2) is effectively implemented and maintained. b) The organization shall: c) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, responsibilities, planning requirements and reporting. The audit programme(s) shall take into consideration the importance of the processes concerned and the results of previous audits; d) define the audit criteria and scope for each audit; e) select auditors and conduct audits that ensure objectivity and the impartiality of the audit process; f) ensure that the results of the audits are reported to relevant management; and g) retain documented information as evidence of the audit programme(s) and the audit results. Top management shall review the organization’s information security management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness. The management review shall include consideration of: a) the status of actions from previous management reviews; b) changes in external and internal issues that are relevant to the information security management system; c) feedback on the information security performance, including trends in: 1) nonconformities and corrective actions; 2) monitoring and measurement results; 3) audit results; and 9.3 Management review b) 监视、测量、分析和评价的方法,适用时,确保结果有效; 注:选择的方法最好产生可比较和可再现的结果,这样才能被认为是有效的。 c) 什么时候应执行监视和测量; d) 谁应实施监视和测量; e) 什么时候应对监视和测量的结果进行分析和评价; f) 谁应分析和评价这些结果。 组织应保留适当的文件记录信息作为监视和测量结果的证据。 9.2 内部审核 组织应按计划的时间间隔进行内部审核,以提供信息确定信息安全管理体系是否: a) 符合 1) 组织自身信息安全管理体系的要求; 2) 本标准的要求; b) 得到有效的实施和保持。 组织应: c) 规划、建立、实施和保持审核方案,包括频次、方法、职责、计划要求和报告。审核方案应考 虑所关注过程的重要性以及以往审核的结果; d) 为每次审核定义审核准则和审核范围; e) 审核员的选择和审核的实施应确保审核过程的客观性和公正性; f) 确保审核结果报告给相关的管理者; g) 保留文件记录信息作为审核方案和审核结果的证据。 9.3 管理评审 管理者应按计划的时间间隔评审组织的信息安全管理体系,以确保其持续的适宜性、充分性和有效 性。 管理评审应包括下列方面的考虑: a) 以往管理评审的措施的状态; b) 与信息安全管理体系相关的外部和内部问题的变更; c) 信息安全绩效的反馈,包括下列方面的趋势: 1) 不符合和纠正措施; 2) 监视和测量结果; 3) 审核结果; ISO/IEC 27001:2013(E) 10 Improvement 10.1 Nonconformity and corrective action 4) fulfilment of information security objectives; d) feedback from interested parties; e) results of risk assessment and status of risk treatment plan; and f) opportunities for continual improvement. The outputs of the management review shall include decisions related to continual improvement opportunities and any needs for changes to the information security management system. The organization shall retain documented information as evidence of the results of management reviews. When a nonconformity occurs, the organization shall: a) react to the nonconformity, and as applicable: 1) take action to control and correct it; and 2) deal with the consequences; b) evaluate the need for action to eliminate the causes of nonconformity, in order that it does not recur or occur elsewhere, by: 1) reviewing the nonconformity; 2) determining the causes of the nonconformity; and 3) determining if similar nonconformities exist, or could potentially occur; implement any action needed; c) d) review the effectiveness of any corrective action taken; and e) make changes to the information security management system, if necessary. Corrective actions shall be appropriate to the effects of the nonconformities encountered. The organization shall retain documented information as evidence of: f) the nature of the nonconformities and any subsequent actions taken, and g) the results of any corrective action. The organization shall continually improve the suitability, adequacy and effectiveness of the information security management system. 10.2 Continual improvement 4) 信息安全目标的实现; d) 相关方的反馈; e) 风险评估的结果和风险处置计划的状态; f) 持续改进的机会。 管理评审的输出应包括与持续改进机会有关的决定,以及变更信息安全管理体系的所有需求。 组织应保留文件记录信息作为管理评审结果的证据。 10 改进 10.1 不符合和纠正措施 当发生不符合时,组织应: a) 对不符合作出反应,适用时: 1) 采取措施控制并纠正不符合; 2) 处理后果; b) 为确保不符合不再发生或不在其他地方发生,通过下列方式评价消除不符合原因的措施需求: 1) 评审不符合; 2) 确定不符合的原因; 3) 确定是否存在或可能发生相似的不符合; c) 实施所需的措施; d) 评审所采取纠正措施的有效性; e) 必要时,对信息安全管理体系实施变更。 纠正措施应与所遇不符合的影响相适应。 组织应保留文件记录信息作为下列事项的证据: f) 不符合的性质以及所采取的所有后续措施; g) 所有纠正措施的结果。 10.2 持续改进 组织应持续改进信息安全管理体系的适宜性、充分性和有效性。 ISO/IEC 27001:2013(E) Annex A (normative) Reference control objectives and controls A.6 A.6.1 Information security policies Table A.1 — Control objectives and controls Organization of information security Internal organization A.5 A.5.1 Management direction for information security The control objectives and controls listed in Table A.1 are directly derived from and aligned with those listed in ISO/IEC 27002:2013[1], Clauses 5 to 18 and are to be used in context with Clause 6.1.3. Objective: To provide management direction and support for information security in accordance with business requirements and relevant laws and regulations. Policies for informa- A set of policies for information security shall be defined, approved A.5.1.1 tion security by management, published and communicated to employees and relevant external parties. Review of the poli- The policies for information security shall be reviewed at planned cies for information A.5.1.2 intervals or if significant changes occur to ensure their continuing security suitability, adequacy and effectiveness. Objective: To establish a management framework to initiate and control the implementation and operation of information security within the organization. Information security roles and responsibili- A.6.1.1 All information security responsibilities shall be defined and allo- ties cated. Conflicting duties and areas of responsibility shall be segregated to Segregation of duties A.6.1.2 reduce opportunities for unauthorized or unintentional modifica- tion or misuse of the organization’s assets. Contact with authori- A.6.1.3 ties Appropriate contacts with relevant authorities shall be maintained. Contact with special Appropriate contacts with special interest groups or other special- A.6.1.4 interest groups ist security forums and professional associations shall be main- tained. Information security A.6.1.5 Information security shall be addressed in project management, in project management Control regardless of the type of the project. Objective: To ensure the security of teleworking and use of mobile devices. A.6.2 Mobile devices and teleworking Control Control Control Control Control Control 附 录 A (规范性附录) 参考控制目标和控制措施 表 A.1 所列的控制目标和控制措施是直接源自并与 ISO/IEC DIS 27002:2013[1]第 5 到 18 章一致,可 用于 6.1.3 节的情境。 表 A.1 控制目标和控制措施 A.5 信息安全策略 A.5.1 信息安全的管理方向 目标:依据业务要求和相关法律法规提供管理方向并支持信息安全。 A.5.1.1 信息安全策略 信 息 安 全 策 略 A.5.1.2 的评审 A.6 信息安全组织 控制措施 信息安全策略集应由管理者定义、批准、发布并传达给员工和相关外 部方。 控制措施 信息安全策略应按计划的时间间隔或当重大变化发生时进行评审,以 确保其持续的适宜性、充分性和有效性。 A.6.1 内部组织 目标:建立管理框架,以启动和控制组织范围内的信息安全的实施和运行。 A.6.1.1 信 息 安 全 角 色 和职责 控制措施 所有的信息安全职责应予以定义和分配。 控制措施 A.6.1.2 职责分离 分离相冲突的责任及职责范围,以降低未授权或无意识的修改或者不 A.6.1.3 A.6.1.4 A.6.1.5 与 政 府 部 门 的 联系 与 特 定 利 益 集 团的联系 项 目 管 理 中 的 信息安全 当使用组织资产的机会。 控制措施 应保持与政府相关部门的适当联系。 控制措施 应保持与特定利益集团、其他安全论坛和专业协会的适当联系。 控制措施 无论项目是什么类型,在项目管理中都应处理信息安全问题。 A.6.2 移动设备和远程工作 目标:确保远程工作和使用移动设备时的安全。 ISO/IEC 27001:2013(E) Table A.1 (continued) Human resource security A.7.2 During employment Control Control Control Control Teleworking A.7 A.7.1 Prior to employment Screening Terms and conditions of employment A.6.2.1 Mobile device policy A policy and supporting security measures shall be adopted to manage the risks introduced by using mobile devices. A policy and supporting security measures shall be implemented to A.6.2.2 protect information accessed, processed or stored at teleworking sites. Objective: To ensure that employees and contractors understand their responsibilities and are suit- able for the roles for which they are considered. Background verification checks on all candidates for employment shall be carried out in accordance with relevant laws, regulations A.7.1.1 and ethics and shall be proportional to the business requirements, the classification of the information to be accessed and the per- ceived risks. The contractual agreements with employees and contractors shall A.7.1.2 state their and the organization’s responsibilities for information security. Objective: To ensure that employees and contractors are aware of and fulfil their information security responsibilities. A.7.2.1 Management responsi- Management shall require all employees and contractors to apply bilities information security in accordance with the established policies and procedures of the organization. Information security All employees of the organization and, where relevant, contrac- A.7.2.2 awareness, educat...

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