ISO 27001:2013
Clause by Clause Training
By Inzinc Products and Services
Bangalore
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What are the clauses of ISO 27001:2013 ?
1.Scope
2.Normative references
3.Terms and definitions
Plan
4.Context of the organization
5.Leadership
6.Planning
7.Support Act Do
8.Operation
9.Performance evaluation
10.Improvement
Check
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ISO 27001:2013 Clauses with
relation to the PDCA Cycle
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1.0 Scope
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.
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2.0 Normative References
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 systems
— Overview and vocabulary
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3.0 Terms and Definitions
For the purposes of this document, the terms and
definitions given in ISO/IEC 27000 apply.
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4 Context of the organization
Context of the
Organization
Internal External
Context or Context or
Internal External
Environment Environment
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Internal Context or Internal Environment
Internal Context is the Internal environment in which the organization
seeks to achieve its objectives
Internal context can include:
1. governance, organizational structure, roles and accountabilities;
2. policies, objectives, and the strategies that are in place to achieve
them;
3. the capabilities, understood in terms of resources and knowledge (e.g.
capital, time, people, processes, systems and technologies);
4. information systems, information flows and decision-making processes
(both formal and informal);
5. relationships with, and perceptions and values of, internal stakeholders;
6. the organization's culture;
7. standards, guidelines and models adopted by the organization; and
8. form and extent of contractual relationships.
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External Context or External Environment
External Context is the External environment in which
the organization seeks to achieve its objectives
External context can include:
1. the cultural, social, political, legal, regulatory,
financial, technological, economic, natural and
competitive environment, whether international,
national, regional or local;
2. key drivers and trends having impact on the objectives
of the organization; and
3. relationships with, and perceptions and values of
external stakeholders
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4 Context of the organization
4.1 Understanding the organization
and its context
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.
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4.2 Understanding the needs and
expectations of interested parties
The organization shall determine:
a) interested parties that are relevant to the information
security management system; and
b) the requirements of these interested parties relevant
to information security.
NOTE The requirements of interested parties may
include legal and regulatory requirements and
contractual obligations.
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4.3 Determining the scope of the
information security management
system
The organization shall determine the boundaries and applicability of
the information security management system to establish its scope.
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.
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4.4 Information security
management system
The organization shall establish, implement,
maintain and continually improve an information
security management system, in accordance
with the requirements of this International
Standard.
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5. Leadership
This clause places requirements on ‘top management’ which is the person or
group of people who directs and controls the organization at the highest level.
Note that if the organization that is the subject of the ISMS is part of a larger
organization, then the term ‘top management’ refers to the smaller
organization. The purpose of these requirements is to demonstrate leadership
and commitment by leading from the top.
A particular responsibility of top management is to establish the information
security policy, and the standard defines the characteristics and properties that
the policy is to include.
Finally, the clause places requirements on top management to assign
information security relevant responsibilities and authorities, highlighting two
particular roles concerning ISMS conformance to ISO/IEC 27001 and reporting on
ISMS performance.
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5 Leadership
5.1 Leadership and commitment
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;
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5 Leadership
5.1 Leadership and commitment
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.
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5.2 Policy
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
d) includes a commitment to continual improvement of the
information security management system.
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5.2 Policy
The information security policy shall:
e) be available as documented information;
f) be communicated within the organization; and
g) be available to interested parties, as appropriate.
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5.3 Organizational roles,
responsibilities and authorities
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.
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6. Planning
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6 Planning
6.1 Actions to address risks and
opportunities
6.1.1 General
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.
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6 Planning
6.1 Actions to address risks and
opportunities
The organization shall plan:
d) actions to address these risks and
opportunities; and
e) how to
1) integrate and implement the actions into its
information security management system processes;
and
2) evaluate the effectiveness of these actions.
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6.1.2 Information security risk
assessment
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;
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6.1.2 Information security risk
assessment
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;
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6.1.2 Information security risk
assessment
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.
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6.1.3 Information security risk
treatment
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.
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6.1.3 Information security risk
treatment
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;
NOTE 1 Annex A contains a comprehensive list of control objectives and
controls. Users of this International Standard are directed to Annex A to ensure
that no necessary controls are overlooked.
NOTE 2 Control objectives are implicitly included in the controls chosen. The
control objectives and 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;
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6.1.3 Information security risk
treatment
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.
NOTE The information security risk assessment and treatment
process in this International Standard aligns with the
principles and generic guidelines provided in ISO 31000.
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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.
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6.2 Information security objectives
and planning to achieve them
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.
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7 Support
People
Infrastructure
Technology
Resources
Hardware and Software
Utilities
Finance
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7 Support
7.1 Resources
The organization shall determine and
provide the resources needed for the
establishment, implementation,
maintenance and continual improvement
of the information security management
system.
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7.2 Competence
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.
NOTE Applicable actions may include, for example: the provision of training to,
the mentoring of, or the reassignment of current employees; or the hiring or
contracting of competent persons.
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7.3 Awareness
Persons doing work under the organization’s control shall
be aware of:
a) the information security policy;
b) their contribution to the effectiveness of the
information security management system, including the
benefits of improved information security performance;
and
c) the implications of not conforming with the
information security management system requirements.
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7.4 Communication
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.
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7.5 Documented information
7.5.1 General
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.
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7.5 Documented information
7.5.1 General
NOTE The extent of documented information for an
information security management system can differ from
one organization to another due to:
1) the size of organization and its type of activities,
processes, products and services;
2) the complexity of processes and their interactions;
and
3) the competence of persons.
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7.5.2 Creating and updating
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
c) review and approval for suitability and adequacy.
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7.5.3 Control of documented
information
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).
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7.5.3 Control of documented
information
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.
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7.5.3 Control of documented
information
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.
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8 Operation
This clause deals with the execution of the plans and
processes that are the subject of previous clauses.
1 Clause 8.1 deals with the execution of the actions
determined in Clause 6.1, the achievement of the
information security objectives and outsourced processes;
2 Clause 8.2 deals with the performance of information
security risk assessments at planned intervals, or when
significant changes are proposed or occur; and
3 Clause 8.3 deals with the implementation of the risk
treatment plan.
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8 Operation
8.1 Operational planning and
control
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.
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8.2 Information security risk
assessment
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.
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8.3 Information security risk
treatment
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.
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9 Performance Evaluation
“Where there is no measurement,
there can be no improvement”
This Clause deals with the Evaluation of how
your Information Security Management System
has performed.
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9 Performance evaluation
9.1 Monitoring, measurement,
analysis and evaluation
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;
b) the methods for monitoring, measurement, analysis and
evaluation, as applicable, to ensure valid results;
NOTE The methods selected should produce comparable and
reproducible results to be considered valid.
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9 Performance evaluation
9.1 Monitoring, measurement,
analysis and evaluation
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.
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9.2 Internal audit
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
2) the requirements of this International Standard;
b) is effectively implemented and maintained.
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9.2 Internal audit
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.
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9.3 Management review
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
4) fulfilment of information security objectives;
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9.3 Management review
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.
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10 Improvement
10.1 Nonconformity and corrective
action
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;
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10 Improvement
10.1 Nonconformity and corrective
action
c) implement any action needed;
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.
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10.2 Continual improvement
The organization shall
continually improve the
suitability, adequacy and
effectiveness of the information
security management system.
PDCA is one the methodologies
of achieving Continual
improvement
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THANK YOU
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