SIST EN ISO/IEC 27007:2022

SLOVENSKI STANDARD
oSIST prEN ISO 27007:2021
01-november-2021
Informacijska varnost, kibernetska varnost in varovanje zasebnosti - Smernice za
presojanje sistemov upravljanja informacijske varnosti (ISO/IEC 27007:2020)
Information security, cybersecurity and privacy protection - Guidelines for information
security management systems auditing (ISO/IEC 27007:2020)
Informationstechnik - Sicherheitsverfahren - Leitfäden für das Auditieren von
Informationssicherheitsmanagementsystemen (ISO/IEC 27007:2020)
Sécurité de l'information, cybersécurité et protection des données privées - Lignes
directrices pour l'audit des systèmes de management de la sécurité de l'information
(ISO/IEC 27007:2020)
Ta slovenski standard je istoveten z: prEN ISO 27007
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
35.030 Informacijska varnost IT Security
oSIST prEN ISO 27007:2021 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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oSIST prEN ISO 27007:2021

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oSIST prEN ISO 27007:2021
INTERNATIONAL ISO/IEC
STANDARD 27007
Third edition
2020-01
Information security, cybersecurity
and privacy protection — Guidelines
for information security management
systems auditing
Sécurité de l'information, cybersécurité et protection des données
privées — Lignes directrices pour l'audit des systèmes de
management de la sécurité de l'information
Reference number
ISO/IEC 27007:2020(E)
©
ISO/IEC 2020

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oSIST prEN ISO 27007:2021
ISO/IEC 27007:2020(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2020
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
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Published in Switzerland
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oSIST prEN ISO 27007:2021
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Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles of auditing . 1
5 Managing an audit programme . 1
5.1 General . 1
5.2 Establishing audit programme objectives . 1
5.3 Determining and evaluating audit programme risks and opportunities . 2
5.4 Establishing audit programme . 2
5.4.1 Roles and responsibilities of the individual(s) managing audit programme . 2
5.4.2 Competence of individual(s) managing audit programme . 2
5.4.3 Establishing extent of the audit programme . 2
5.4.4 Determining audit programme resources . 3
5.5 Implementing audit programme . 3
5.5.1 General. 3
5.5.2 Defining the objectives, scope and criteria for an individual audit . 3
5.5.3 Selecting and determining audit methods . 4
5.5.4 Selecting audit team members . 4
5.5.5 Assigning responsibility for an individual audit to the audit team leader. 4
5.5.6 Managing audit programme results . 4
5.5.7 Managing and maintaining audit programme records . 4
5.6 Monitoring audit programme . 5
5.7 Reviewing and improving audit programme . 5
6 Conducting an audit . 5
6.1 General . 5
6.2 Initiating audit . 5
6.2.1 General. 5
6.2.2 Establishing contact with auditee . 5
6.2.3 Determining feasibility of audit . 5
6.3 Preparing audit activities . 5
6.3.1 Performing review of documented information. 5
6.3.2 Audit planning . . . 5
6.3.3 Assigning work to audit team . 6
6.3.4 Preparing documented information for audit . 6
6.4 Conducting audit activities . 6
6.4.1 General. 6
6.4.2 Assigning roles and responsibilities of guides and observers . 6
6.4.3 Conducting opening meeting . 6
6.4.4 Communicating during audit . 6
6.4.5 Audit information availability and access . 6
6.4.6 Reviewing document information while conducting audit . 6
6.4.7 Collecting and verifying information . 7
6.4.8 Generating audit findings . 7
6.4.9 Determining audit conclusions . 7
6.4.10 Conducting closing meeting . 7
6.5 Preparing and distributing audit report . 7
6.5.1 Preparing audit report . 7
6.5.2 Distributing audit report . 7
6.6 Completing audit . 7
6.7 Conducting audit follow-up. 7
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7 Competence and evaluation of auditors . 8
7.1 General . 8
7.2 Determining auditor competence . . 8
7.2.1 General. 8
7.2.2 Personal behaviour . 8
7.2.3 Knowledge and skills . 8
7.2.4 Achieving auditor competence . 9
7.2.5 Achieving audit team leader competence . 9
7.3 Establishing auditor evaluation criteria. 9
7.4 Selecting appropriate auditor evaluation method . 9
7.5 Conducting auditor evaluation . 9
7.6 Maintaining and improving auditor competence. 9
Annex A (informative) Guidance for ISMS auditing practice .10
Bibliography .39
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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.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for
the different types of document should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
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. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents) or the IEC
list of patent declarations received (see http:// patents .iec .ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/
iso/ foreword .html.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 27, Information security, cybersecurity and privacy protection.
This third edition cancels and replaces the second edition (ISO/IEC 27007:2017), which has been
technically revised.
The main changes compared to the previous edition are as follows:
— the document has been aligned with ISO 19011:2018;
— the Introduction has been reworded and expanded;
— in 5.1, the entire text has been removed;
— in 5.2.2, the former item d) has been removed;
— in 5.3, the entire text has been removed;
— in 5.5.2.2, the former item b) and a paragraph below has been removed;
— in 6.5.2.2, the first paragraph has been removed and the NOTE reworded.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/ members .html.
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Introduction
An information security management system (ISMS) audit can be conducted against a range of audit
criteria, separately or in combination, including but not limited to:
— requirements defined in ISO/IEC 27001:2013;
— policies and requirements specified by relevant interested parties;
— statutory and regulatory requirements;
— ISMS processes and controls defined by the organization or other parties;
— management system plan(s) relating to the provision of specific outputs of an ISMS (e.g. plans to
address risks and opportunities when establishing ISMS, plans to achieve information security
objectives, risk treatment plans, project plans).
This document provides guidance for all sizes and types of organizations and ISMS audits of varying
scopes and scales, including those conducted by large audit teams, typically of larger organizations, and
those by single auditors, whether in large or small organizations. This guidance should be adapted as
appropriate to the scope, complexity and scale of the ISMS audit programme.
This document concentrates on ISMS internal audits (first party) and ISMS audits conducted by
organizations on their external providers and other external interested parties (second party). This
document can also be useful for ISMS external audits conducted for purposes other than third party
management system certification. ISO/IEC 27006 provides requirements for auditing ISMS for third
party certification; this document can provide useful additional guidance.
This document is to be used in conjunction with the guidance contained in ISO 19011:2018.
This document follows the structure of ISO 19011:2018.
ISO 19011:2018 provides guidance on the management of audit programmes, the conduct of internal or
external audits of management systems, as well as on the competence and evaluation of management
system auditors.
Annex A provides guidance for ISMS auditing practices along with requirements of ISO/IEC 27001:2013,
Clauses 4 to 10.
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oSIST prEN ISO 27007:2021
INTERNATIONAL STANDARD ISO/IEC 27007:2020(E)
Information security, cybersecurity and privacy
protection — Guidelines for information security
management systems auditing
1 Scope
This document provides guidance on managing an information security management system (ISMS)
audit programme, on conducting audits, and on the competence of ISMS auditors, in addition to the
guidance contained in ISO 19011.
This document is applicable to those needing to understand or conduct internal or external audits of an
ISMS or to manage an ISMS audit programme.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 19011:2018, Guidelines for auditing management systems
ISO/IEC 27000:2018, Information technology — Security techniques — Information security management
systems — Overview and vocabulary
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 19011 and ISO/IEC 27000 apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
4 Principles of auditing
The principles of auditing of ISO 19011:2018, Clause 4, apply.
5 Managing an audit programme
5.1 General
The guidelines of ISO 19011:2018, 5.1, apply.
5.2 Establishing audit programme objectives
5.2.1 The guidelines of ISO 19011:2018, 5.2, apply. In addition, the guidance in 5.2.2 applies.
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1)
5.2.2 ISMS-specific considerations for determining audit programme objectives can include:
a) identified information security requirements;
b) requirements of ISO/IEC 27001;
c) auditee’s level of performance, as reflected in the occurrence of information security events and
incidents and effectiveness of the ISMS;
NOTE Further information about performance monitoring, measurement, analysis and evaluation can
be found in ISO/IEC 27004.
d) information security risks to the relevant parties, i.e. the auditee and audit client.
Examples of ISMS-specific audit programme objectives include:
— demonstrate conformity with all relevant legal and contractual requirements and other requirements
and their security implications;
— obtain and maintain confidence in the risk management capability of the auditee;
— evaluate the effectiveness of the actions to address information security risks and opportunities.
5.3 Determining and evaluating audit programme risks and opportunities
5.3.1 The guidelines of ISO 19011:2018, 5.3, apply.
5.3.2 Measures to ensure information security and confidentiality should be determined considering
auditees and other relevant party requirements. Other party requirements can include relevant legal and
contractual requirements.
5.4 Establishing audit programme
5.4.1 Roles and responsibilities of the individual(s) managing audit programme
The guidelines of ISO 19011:2018, 5.4.1, apply. In addition, the guidance in 5.4.1.2 applies.
5.4.2 Competence of individual(s) managing audit programme
The guidelines of ISO 19011:2018, 5.4.2, apply.
5.4.3 Establishing extent of the audit programme
5.4.3.1 The guidelines of ISO 19011:2018, 5.4.3, apply. In addition, the guidance in 5.4.3.2 applies.
5.4.3.2 The extent of an audit programme can include the following:
a) the size of the ISMS, including:
1) the total number of persons doing work under the organization's control and relationships
with interested parties and contractors that are relevant to the ISMS;
2) the number of information systems;
1) For the purpose of this document, the term “audit“ refers to ISMS audits.
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3) the number of sites covered by the ISMS;
b) the complexity of the ISMS (including the number and criticality of processes and activities) taking
into account differences between sites within the ISMS scope;
c) the significance of the information security risks identified for the ISMS in relation to the business;
d) the significance of the risks and opportunities determined when planning the ISMS;
e) the importance of preserving the confidentiality, integrity and availability of information within
the scope of the ISMS;
f) the complexity of the information systems to be audited, including complexity of information
technology deployed;
g) the number of similar sites.
Consideration should be given in the audit programme to setting priorities that warrant more detailed
examination based on the significance of information security risks and business requirements in
respect to the scope of the ISMS.
NOTE Further information about determining audit time can be found in ISO/IEC 27006. Further information
on multi-site sampling can be found in ISO/IEC 27006 and mandatory document 1 from the International
Accreditation Forum (IAF MD1, see Reference [11]). The information contained in ISO/IEC 27006 and IAF MD 1
only relates to certification audits.
5.4.4 Determining audit programme resources
5.4.4.1 The guidelines of ISO 19011:2018, 5.4.4, apply. In addition, the guidance in 5.4.4.2 applies.
5.4.4.2 In particular, for all significant risks applicable to the auditee and relevant to the audit
programme objectives, ISMS auditors should be allocated sufficient time to review the effectiveness of
the actions to address information security risks and ISMS related risks and opportunities.
5.5 Implementing audit programme
5.5.1 General
The guidelines of ISO 19011:2018, 5.5.1, apply.
5.5.2 Defining the objectives, scope and criteria for an individual audit
5.5.2.1 The guidelines of ISO 19011:2018, 5.5.2, apply. In addition, the guidance in 5.5.2.2 applies.
5.5.2.2 The audit objectives may include the following:
a) evaluation of whether the ISMS adequately identifies and addresses information security
requirements;
b) determination of the extent of conformity of information security controls with the requirements
and procedures of the ISMS.
The audit scope should take into account information security risks and relevant risks and opportunities
affecting the ISMS of relevant parties, i.e. the audit client and the auditee.
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The following topics may be considered as audit criteria and used as a reference against which
conformity is determined:
a) the information security policy, information security objectives, policies and procedures adopted
by the auditee;
b) contractual requirements and other requirements relevant to the auditee;
c) the auditee's information security risk criteria, information security risk assessment process and
risk treatment process;
d) the Statement of Applicability, the identification of any sector-specific or other necessary controls,
justification for inclusions, whether they are implemented or not and the justification for exclusions
of controls of ISO/IEC 27001:2013, Annex A;
e) the definition of controls to treat risks appropriately;
f) the methods and criteria for monitoring, measurement, analysis and evaluation of the information
security performance and the effectiveness of the ISMS;
g) information security requirements provided by a customer;
h) information security requirements applied by a supplier or outsourcer.
5.5.3 Selecting and determining audit methods
5.5.3.1 The guidelines of ISO 19011:2018, 5.5.3, apply. In addition, the guidance in 5.5.3.2 applies.
5.5.3.2 If a joint audit is conducted, particular attention should be paid to the disclosure of information
between the relevant parties. Agreement on this should be reached with all interested parties before the
audit commences.
5.5.4 Selecting audit team members
5.5.4.1 The guidelines of ISO 19011:2018, 5.5.4, apply. In addition, the guidance in 5.5.4.2 applies.
5.5.4.2 The competence of the overall audit team should include adequate knowledge and
understanding of:
a) information security risk management sufficient to evaluate the methods used by the auditee;
b) information security and information security management sufficient to evaluate control
determination, planning, implementation, maintenance and effectiveness of the ISMS.
5.5.5 Assigning responsibility for an individual audit to the audit team leader
The guidelines of ISO 19011:2018, 5.5.5, apply.
5.5.6 Managing audit programme results
The guidelines of ISO 19011:2018, 5.5.6, apply.
5.5.7 Managing and maintaining audit programme records
The guidelines of ISO 19011:2018, 5.5.7, apply.
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5.6 Monitoring audit programme
The guidelines of ISO 19011:2018, 5.6, apply.
5.7 Reviewing and improving audit programme
The guidelines of ISO 19011:2018, 5.7, apply.
6 Conducting an audit
6.1 General
The guidelines of ISO 19011:2018, 6.1, apply.
6.2 Initiating audit
6.2.1 General
The guidelines of ISO 19011:2018, 6.2.1, apply.
6.2.2 Establishing contact with auditee
6.2.2.1 The guidelines of ISO 19011:2018, 6.2.2, apply. In addition, the guidance in 6.2.2.2 applies.
6.2.2.2 Where necessary, care should be taken to ensure that the auditors have obtained the necessary
security clearance to access documented information or other information required for audit activities
(including but not limited to confidential or sensitive information).
6.2.3 Determining feasibility of audit
6.2.3.1 The guidelines of ISO 19011:2018, 6.2.3, apply. In addition, the guidance in 6.2.3.2 applies.
6.2.3.2 Before the audit commences, the auditee should be asked whether any ISMS audit evidence
is unavailable for review by the audit team, e.g. because the evidence contains personally identifiable
information or other confidential/sensitive information. The person responsible for managing the audit
programme should determine whether the ISMS can be adequately audited in the absence of audit
evidence. If the conclusion
...