ISO 27001英文版

Please see the administrative notes on page iii RECIPIENTS OF THIS DRAFT ARE INVITED TO SUBMIT, WITH THEIR COMMENTS, NOTIFICATION OF ANY RELEVANT PATENT RIGHTS OF WHICH THEY ARE AWARE AND TO PROVIDE SUPPORT- ING DOCUMENTATION. IN ADDITION TO THEIR EVALUATION AS BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO- LOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT INTERNATIONAL STANDARDS MAY ON OCCASION HAVE TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL TO BECOME STAN- DARDS TO WHICH REFERENCE MAY BE MADE IN NATIONAL REGULATIONS. Reference number ISO/IEC FDIS 27001:2005(E) © ISO/IEC 2005 FINAL DRAFT ISO/IEC JTC 1 Secretariat: DIN Voting begins on: 2005-06-30 Voting terminates on: 2005-08-30 INTERNATIONAL STANDARD ISO/IEC FDIS 27001 Information technology — Security techniques — Information security management systems — Requirements Technologies de l'information — Techniques de sécurité — Systèmes de gestion de sécurité de l'information — Exigences ISO/IEC FDIS 27001:2005(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In downloading this file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat accepts no liability in this area. Adobe is a trademark of Adobe Systems Incorporated. Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. Copyright notice This ISO document is a Draft International Standard and is copyright-protected by ISO. Except as permitted under the applicable laws of the user's country, neither this ISO draft nor any extract from it may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, photocopying, recording or otherwise, without prior written permission being secured. Requests for permission to reproduce should be addressed to either ISO at the address below or ISO's member body in the country of the requester. ISO copyright office Case postale 56 x CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyright@iso.org Web www.iso.org Reproduction may be subject to royalty payments or a licensing agreement. Violators may be prosecuted. ii © ISO/IEC 2004 – All rights reserved ISO/IEC FDIS 27001:2005(E) © ISO/IEC 2005 – All rights reserved iii Contents Page Foreword............................................................................................................................................................ iv 0 Introduction ........................................................................................................................................... v 0.1 General................................................................................................................................................... v 0.2 Process approach................................................................................................................................. v 0.3 Compatibility with other management systems ............................................................................... vi 1 Scope ......................................................................................................................................................1 1.1 General....................................................................................................................................................1 1.2 Application .............................................................................................................................................1 2 Normative references ............................................................................................................................1 3 Terms and definitions ...........................................................................................................................2 4 Information security management system .........................................................................................3 4.1 General requirements............................................................................................................................3 4.2 Establishing and managing the ISMS..................................................................................................4 4.2.1 Establish the ISMS.................................................................................................................................4 4.2.2 Implement and operate the ISMS .........................................................................................................6 4.2.3 Monitor and review the ISMS................................................................................................................6 4.2.4 Maintain and improve the ISMS............................................................................................................7 4.3 Documentation requirements...............................................................................................................7 4.3.1 General....................................................................................................................................................7 4.3.2 Control of documents ...........................................................................................................................8 4.3.3 Control of records..................................................................................................................................8 5 Management responsibility ..................................................................................................................9 5.1 Management commitment ....................................................................................................................9 5.2 Resource management .........................................................................................................................9 5.2.1 Provision of resources..........................................................................................................................9 5.2.2 Training, awareness and competence.................................................................................................9 6 Internal ISMS audits.............................................................................................................................10 7 Management review of the ISMS........................................................................................................10 7.1 General..................................................................................................................................................10 7.2 Review input.........................................................................................................................................10 7.3 Review output ......................................................................................................................................11 8 ISMS improvement...............................................................................................................................11 8.1 Continual improvement.......................................................................................................................11 8.2 Corrective action..................................................................................................................................11 8.3 Preventive action .................................................................................................................................12 Annex A (normative) Control objectives and controls..................................................................................13 Annex B (informative) OECD principles and this International Standard ...................................................30 Annex C (informative) Correspondence between ISO 9001:2000, ISO 14001:2004 and this International Standard.........................................................................................................................31 Bibliography ......................................................................................................................................................34 ISO/IEC FDIS 27001:2005(E) iv © ISO/IEC 2005 – All rights reserved 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. ISO/IEC FDIS 27001:2005(E) © ISO/IEC 2005 – All rights reserved v 0 Introduction 0.1 General This International Standard has been prepared to provide a model for establishing, implementing, operating, monitoring, reviewing, maintaining and improving an Information Security Management System (ISMS). The adoption of an ISMS should be a strategic decision for an organization. The design and implementation of an organization’s ISMS is influenced by their needs and objectives, security requirements, the processes employed and the size and structure of the organization. These and their supporting systems are expected to change over time. It is expected that an ISMS implementation will be scaled in accordance with the needs of the organization, e.g. a simple situation requires a simple ISMS solution. This International Standard can be used in order to assess conformance by interested internal and external parties. 0.2 Process approach This International Standard promotes the adoption of a process approach for establishing, implementing, operating, monitoring, reviewing, maintaining and improving an organization's ISMS. An organization needs to identify and manage many activities in order to function effectively. Any activity using resources and managed in order to enable the transformation of inputs into outputs can be considered to be a process. Often the output from one process directly forms the input to the following process. The application of a system of processes within an organization, together with the identification and interactions of these processes, and their management, can be referred to as a “process approach”. The process approach for information security management presented in this International Standard encourages its users to emphasize the importance of: a) understanding an organization’s information security requirements and the need to establish policy and objectives for information security; b) implementing and operating controls to manage an organization's information security risks in the context of the organization’s overall business risks; c) monitoring and reviewing the performance and effectiveness of the ISMS; and d) continual improvement based on objective measurement. This International Standard adopts the "Plan-Do-Check-Act" (PDCA) process model, which is applied to structure all ISMS processes. Figure 1 illustrates how an ISMS takes as input the information security requirements and expectations of the interested parties and through the necessary actions and processes produces information security outcomes that meets those requirements and expectations. Figure 1 also illustrates the links in the processes presented in Clauses 4, 5, 6, 7 and 8. The adoption of the PDCA model will also reflect the principles as set out in the OECD Guidelines (2002)1) governing the security of information systems and networks. This International Standard provides a robust model for implementing the principles in those guidelines governing risk assessment, security design and implementation, security management and reassessment. 1) OECD Guidelines for the Security of Information Systems and Networks — Towards a Culture of Security. Paris: OECD, July 2002. www.oecd.org ISO/IEC FDIS 27001:2005(E) vi © ISO/IEC 2005 – All rights reserved EXAMPLE 1 A requirement might be that breaches of information security will not cause serious financial damage to an organization and/or cause embarrassment to the organization. EXAMPLE 2 An expectation might be that if a serious incident occurs — perhaps hacking of an organization’s eBusiness web site — there should be people with sufficient training in appropriate procedures to minimize the impact. Interested Parties Managed information security Information security requirements and expectations Interested Parties Plan Do Check Act Monitor and review the ISMS Monitor and review the ISMS Implement and operate the ISMS Implement and operate the ISMS Maintain and improve the ISMS Maintain and improve the ISMS Establish ISMS Establish ISMS Interested Parties Managed information security Information security requirements and expectations Interested Parties Plan Do Check Act Monitor and review the ISMS Monitor and review the ISMS Implement and operate the ISMS Implement and operate the ISMS Maintain and improve the ISMS Maintain and improve the ISMS Establish ISMS Establish ISMS Figure 1 — PDCA model applied to ISMS processes Plan (establish the ISMS) Establish ISMS policy, objectives, processes and procedures relevant to managing risk and improving information security to deliver results in accordance with an organization’s overall policies and objectives. Do (implement and operate the ISMS) Implement and operate the ISMS policy, controls, processes and procedures. Check (monitor and review the ISMS) Assess and, where applicable, measure process performance against ISMS policy, objectives and practical experience and report the results to management for review. Act (maintain and improve the ISMS) Take corrective and preventive actions, based on the results of the internal ISMS audit and management review or other relevant information, to achieve continual improvement of the ISMS. 0.3 Compatibility with other management systems This International Standard is aligned with ISO 9001:2000 and ISO 14001:2004 in order to support consistent and integrated implementation and operation with related management standards. One suitably designed management system can thus satisfy the requirements of all these standards. Table C.1 illustrates the relationship between the clauses of this International Standard, ISO 9001:2000 and ISO 14001:2004. This International Standard is designed to enable an organization to align or integrate its ISMS with related management system requirements. FINAL DRAFT INTERNATIONAL STANDARD ISO/IEC FDIS 27001:2005(E) © ISO/IEC 2005 – All rights reserved 1 Information technology — Security techniques — Information security management systems — Requirements IMPORTANT — This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. Compliance with an International Standard does not in itself confer immunity from legal obligations. 1 Scope 1.1 General This International Standard covers all types of organizations (e.g. commercial enterprises, government agencies, not-for profit organizations). This International Standard specifies the requirements for establishing, implementing, operating, monitoring, reviewing, maintaining and improving a documented ISMS within the context of the organization’s overall business risks. It specifies requirements for the implementation of security controls customized to the needs of individual organizations or parts thereof. The ISMS is designed to ensure the selection of adequate and proportionate security controls that protect information assets and give confidence to interested parties. NOTE 1: References to ‘business’ in this International Standard should be interpreted broadly to mean those activities that are core to the purposes for the organization’s existence. NOTE 2: ISO/IEC 17799 provides implementation guidance that can be used when designing controls. 1.2 Application The requirements set out in this International Standard are generic and are intended to be applicable to all organizations, regardless of type, size and nature. Excluding any of the requirements specified in Clauses 4, 5, 6, 7, and 8 is not acceptable when an organization claims conformity to this International Standard. Any exclusion of controls found to be necessary to satisfy the risk acceptance criteria needs to be justified and evidence needs to be provided that the associated risks have been accepted by accountable persons. Where any controls are excluded, claims of conformity to this International Standard are not acceptable unless such exclusions do not affect the organization’s ability, and/or responsibility, to provide information security that meets the security requirements determined by risk assessment and applicable regulatory requirements. NOTE: If an organization already has an operative business process management system (e.g. in relation with ISO 9001 or ISO 14001), it is preferable in most cases to satisfy the requirements of this International Standard within this existing management system. 2 Normative references The following referenced documents are indispensable for the application 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/IEC 17799:2005, Information technology — Security techniques — Code of practice for information security management. ISO/IEC FDIS 27001:2005(E) 2 © ISO/IEC 2005 – All rights reserved 3 Terms and definitions For the purposes of this document, the following terms and definitions apply. 3.1 asset anything that has value to the organization [ISO/IEC 13335-1:2004] 3.2 availability the property of being accessible and usable upon demand by an authorized entity [ISO/IEC 13335-1:2004] 3.3 confidentiality the property that information is not made available or disclosed to unauthorized individuals, en