ISO/IEC INTERNATIONAL STANDARD 27007 Third edition 2020-01 Informationsecurity,cybersecurity and privacy protection Guidelines for information security management systems auditing Securite de I'information,cybersécurite etprotection des donnees priveesLignes directrices pourI'auditdessystemesde managementdelasecuritedeIinformation Referencenumber IEC IS0/IEC27007:2020(E) OSI IS0/IEC2020 IS0/IEC27007:2020(E) COPYRIGHTPROTECTEDDOCUMENT @IS0/IEC2020 All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may on the internet or an intranet, without prior written permission. Permission can be requested from either IsO at the address below or ISo's member body in the country of the requester. ISO copyright office CP 401 · Ch. de Blandonnet 8 CH-1214 Vernier, Geneva Phone: +4122 749 01 11 Fax: +41 22 749 09 47 Email:[email protected] Website: www.iso.org Published in Switzerland i IS0/IEC 2020 - All rights reserved IS0/IEC27007:2020(E) Contents Page Foreword v Introduction. .vi 1 Scope. .1 2 Normativereferences. .1 3 Terms anddefinitions .1 4 Principles of auditing 5 Managinganauditprogramme 1 5.1 General 1 5.2 Establishingauditprogrammeobjectives. 1 5.3 Determiningand evaluatingauditprogrammerisksand opportunities 2 5.4 Establishingauditprogramme 2 5.4.1 Roles and responsibilities ofthe individual(s) managing audit programme 2 5.4.2 Competenceofindividual(s)managingauditprogramme .2 5.4.3 Establishingextentoftheauditprogramme 2 5.4.4 Determiningauditprogrammeresources. 3 5.5 Implementingauditprogramme. .3 5.5.1 General. .3 5.5.2 Defining the objectives, scope and criteriafor an individual audit 3 5.5.3 Selecting and determining audit methods. 4 5.5.4 Selectingauditteammembers.. 4 5.5.5 Assigning responsibilityforan individual audit to theaudit teamleader 4 5.5.6 Managing auditprogrammeresults. 4 5.5.7 Managingandmaintainingauditprogrammerecords 4 5.6 Monitoringauditprogramme. .5 5.7 Reviewingand improvingauditprogramme .5 6 Conducting an audit .5 6.1 General. 5 6.2 Initiating audit. .5 6.2.1 General. .5 6.2.2 Establishingcontactwithauditee 5 6.2.3 Determiningfeasibilityofaudit .5 6.3 Preparing audit activities 5 6.3.1 Performingreviewofdocumentedinformation 5 6.3.2 Auditplanning 5 6.3.3 Assigningwork toauditteam 6.3.4 Preparing documented informationforaudit 6 6.4 Conducting auditactivities. 6 6.4.1 General. .6 6.4.2 Assigningrolesand responsibilities ofguides and observers 6 6.4.3 Conducting opening meeting .6 6.4.4 Communicating duringaudit 6 6.4.5 Audit informationavailabilityand access 6 6.4.6 Reviewingdocument informationwhileconductingaudit 6 6.4.7 Collectingandverifyinginformation .7 6.4.8 Generating audit findings... .7 6.4.9 Determiningaudit conclusions .7 6.4.10 Conducting closingmeeting. .1 6.5 Preparing and distributing audit report .7 6.5.1 Preparing audit report. .7 6.5.2 Distributing audit report .7 6.6 Completingaudit. .7 6.7 Conducting audit follow-up. .7 IS0/IEC 2020 All rights reserved ili IS0/IEC27007:2020(E) 7 Competenceandevaluationofauditors 8 7.1 General 8 7.2 Determiningauditor competence 8 7.2.1 General. 8 7.2.2 Personalbehaviour. 8 7.2.3 Knowledge and skills .8 7.2.4 Achievingauditorcompetence 9 7.2.5 Achievingauditteamleadercompetence 9 7.3 Establishing auditor evaluation criteria. 9 7.4 Selectingappropriateauditor evaluation method 9 7.5 Conducting auditorevaluation. 9 7.6 Maintainingand improvingauditor competence 9 AnnexA(informative)GuidanceforISMSauditingpractice .10 Bibliography .39 iv IS0/IEC2020-Allrightsreserved IS0/IEC27007:2020(E) Foreword ISo(the International OrganizationforStandardization)andIEC (theInternationalElectrotechnical Commission)form thespecialized systemfor worldwide standardization.National bodiesthat are members of IsO or IEC participate in the development of International Standardsthrough technical committees established bythe respective organizationto deal withparticularfields of technical activity.