ISO 27001; 2013 transition checklist

ISO 27001: 2013 – Comments and evidence

requirements
0 Introduction
0.1 General
There are some textural changes for example the new standard are “requirements” for an ISMS rather
than “a model for”. Generally these do not affect the purpose of the standard.

The major change is the removal of the Plan-do-check-act cycle and the specific mention of the “process
approach”.

This does not remove or prohibit the adoption of either, simply, gives the Organisation flexibility in the
methods and models they use. Assessors should ensure that the ISMS “is part of and integrated with the
organizations processes and overall management structure”.

0.2 Compatibility with other management system standards

The introduction also references Annex SL and the compatibility with other management system standards.
1 Scope
Application does not state; “any exclusion of controls…needs to be justified and evidence needs to be
provided that the associated risks have been accepted by accountable persons”. An argument might
therefore be made that the ISMS no longer needs to contain all controls within Annex A or justify exclusions
or agree residual risks. This is now covered in section 6 Planning and therefore such arguments are not
acceptable.

2 Normative references
Reference to ISO/IEC 27000, Information technology – Security techniques – Information security
management systems – Overview and vocabulary.
3 Terms and definitions
changed definitions include;

 information security; the preservation of confidentiality, integrity and availability of information

 risk; the effect of uncertainty on objectives
Context of the Organisation
4.1 Understanding the Organisation and its context
 Determine external and internal issues relevant to the information security management system
4.2 Understanding the needs and expectations of interested parties
 Determine interested parties
 Requirements of the parties
4.3 Determining the scope of the information security management system
 Determine boundaries and applicability of the ISMS
 Be available as documented information
 The Organisation shall consider; external and internal issues, requirements of interested parties,
interface and dependencies between activities performed by the Organisation and those
performed by other organizations
The Scope is required Documented Information.
4.4 Information security management system
 The Organisation shall establish, implement, maintain and continually improve the ISMS
5 Leadership
5.1 Leadership and commitment
a) Establish policy and objectives in line with strategic direction
b) Ensure integration with organizations processes
c) Ensure resources
d) Communicate importance of management and conformity
e) Ensure ISMS achieves intended outcomes
f) Directing and supporting persons involved in the ISMS
g) Promoting continual improvement
h) Supporting other relevant managers

5.2 Policy
 a) Is appropriate to the purpose of the Organisation
b) Includes information security objectives or provides the framework for setting information
security objectives
c) Includes a commitment to satisfy applicable requirements related to information security
d) Includes a commitment to continual improvement of the information security management
system
e) Is available as documented information
f) Be communicated within the Organisation
g) Be available to interested parties
The Policy is required Documented Information.
5.3 Organizational roles, responsibilities and authorities
 Roles and authorities are assigned and communicated
 Top management shall assign responsibilities for; ensuring the ISMS conforms to the standard,
reporting on the performance to top management (and within the Organisation)

6 Planning
6.1 Actions to address risks and opportunities
6.1.1 General
 The organizations shall consider; context of the Organisation, needs and expectations of
interested parties.
 Determine the risks and opportunities that need to be addressed; ISMS achieves intended
outcomes, prevents or reduces undesired effects and achieves continual improvement
 The Organisation shall plan; actions to address risks and opportunities and how to; integrate and
implement actions into its ISMS and evaluate the effectiveness

6.1.2 Information security risk assessments

 The Organisation shall define and apply a risk assessment approach that; establishes and
maintains risk acceptance criteria and criteria for performing risk assessments
 Ensures repeatability producing consistent, valid and comparable results
 That identifies security risks associated with loss of Confidentiality, Integrity and Availability and
identifies Risk Owners
 Analyses risks; potential consequences, realistic likelihood, levels of risk
 Evaluates risks; compares and priorities
 The organizations shall retain documented information
Information on the Risk Assessment Process is required Documented Information.
6.1.3 Information security risk treatment
 The Organisation shall define and apply Information security risk treatment process to; select
treatment options
 Determine controls “from any source”
 Compare controls with Annex A
 Produce a Statement of Applicability
 Formulate a treatment plan
 Obtain owners approval of treatments and residual risks
 Retain documented information
Information on the Risk Treatment Process is required Documented Information.

The Statement of Applicability must be documented.

6.2 Information security objectives and planning to achieve them
 The Organisation shall establish objectives “at relevant functions and levels”.
 They shall be; consistent, measurable (where practicable), take into account requirements,
assessment and treatments, communicated, updated
 The Organisation shall retain documented information; what will be done, what resources will be
required, who will be responsible, when it will be completed and how results will be evaluated
The Objectives are required Documented Information.
7 Support
7.1 Resources
 The Organisation shall provide resources
7.2 Competence
 The organizations shall; determine the necessary competence, ensure it, take actions to acquire,
retain documentation
Evidence of competence is required Documented Information.
7.3 Awareness
 Persons shall be aware of; the ISMS policy, their contributions to the ISMS, consequence of not
conforming
7.4 Communication
 The Organisation shall determine the need for internal and external communication
7.5 Documented information
7.5.1 General
 The organizations ISMS shall include documented information required by the standard
 Information deemed by the Organisation as required
Information Necessary for the effectiveness of the ISMS is required Documented Information.
7.5.2 Creating and updating
 When creating documented information the Organisation shall ensure appropriate; identification
and description, format, review and approval
7.5.3 Control of documented information
 Documented information shall be controlled to ensure; availability and suitability, protection
 The Organisation shall address; distribution, access retrieval and use, storage and preservation,
change control, retention and disposition
 External documents
Documented Information of External Origin shall be controlled as other Documented Information.
8 Operation
8.1 Operational planning and control
 The Organisation shall plan, implement and control processes
 The Organisation shall implement plans to achieve objectives
 The Organisation shall control planned changes and review consequences of unplanned
changes
 The Organisation shall ensure outsourced processes are determined and controlled
Information necessary to have confidence that processes are being carried out as planned are
required Documented Information.
8.2 Information security risk assessments
 The Organisation shall perform risk assessments at planned intervals or significant changes
 The Organisation shall retain documented information
Information on Risk Assessments is required Documented Information.
8.3 Information security risk treatment
 The Organisation shall implement risk treatment plan and retain documentation
Results of Risk Treatment is required Documented Information.
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
 The Organisation shall evaluate the ISMS performance and effectiveness
Evidence of Monitoring and Measuring is required Documented Information.
9.2 Internal audit
 The Organisation shall conduct internal audits.

Auditors shall be selected and conduct audits “that ensure the objectivity and impartiality of the audit
process” however the statement “auditors shall not audit their own work” is omitted.
The Audit Programme and Results are required Documented Information.
9.3 Management review
 Top management shall review the ISMS this shall include;
Status of actions from previous meetings
External and internal changes
Feedback on performance
Non-conformities and corrective actions
Monitoring and measurement
Audit results
Fulfilment of objectives
Feedback from interested parties
Results of risk assessments and treatment plans
Opportunities for continuous improvement
The results of Management Review are required Documented Information.
10 Improvements
10.1 Nonconformity and corrective actions
 The Organisation shall react to nonconformities, evaluate the need for actions, implement
actions
Information on Non-conformances and actions are required Documented Information.
10.2 Continual improvement
 The organizational shall continually improve the ISMS

Table A.1 Control objectives and Controls

A.5 Information Security Policies– title change
A.5.1 Management direction for Objective: to provide management direction and support for
information security – title information security in accordance with business requirements and
change relevant laws and regulations. No change in wording.
A.5.1.1 Policies for information Control – a set of policies for information security shall be defined,
security – title change approved by management, published and communicated to
employees and relevant external parties. Wording changed; talk of
policies rather than a single policy.
A.5.1.2 Review of the policies for Control – the policies for information security shall be reviewed at
information security – title planned intervals or if significant changes occur to ensure its
change continuing suitability, adequacy and, effectiveness. As above.
A.6 Organization of Information security – no change
A.6.1 Internal organization – no Objective: to establish a management framework to initiate and
change control the implementation and operation of information security within
the organisation. Wording change but not intention; “initiate and
control” rather than “establish”.
A.6.1.1 – Information security roles Control – all information security responsibilities shall be defined and
formerly and responsibilities allocated. Wording change but not intention.
A.8.1.1
A.6.1.2 – Segregation of duties Control – conflicting duties and areas of responsibility shall be
formerly segregated to reduce opportunities for unauthorized or unintentional
A.10.1.3 modification or misuse of the organizations assets. Addition of the
word “conflicting”.
A.6.1.3 – Contact with authorities Control – appropriate contacts with relevant authorities shall be
formerly maintained. No change.
A.6.1.6
A.6.1.4 - Contact with special Control – appropriate contacts with special interest groups or other
formerly interest groups specialist security forums and professional associations shall be
A.6.1.7 maintained. No change.
A.6.1.5 Information security in Control – information security shall be addressed in project
project management – new management, regardless of the type of the project. Clarification but
requirement this was always implicit in the previous standard. New clause in
the SOA but new controls may not be required.
New requirement.
A.6.2 - Mobile devices and Objective – to ensure the security of teleworking and use of mobile
formerly teleworking – title change devices. Wording change as previous.
A.11.7 was “computing” not
“devices”
A.6.2.1 - Mobile device policy – was Control – a policy and supporting security measures shall be adopted
formerly “computing and to manage risks introduced by using mobile devices. Wording
A.11.7.1 communication” change with more emphasis on devices.
A.6.2.2 – Teleworking – no change Control – a policy and supporting security measures shall be
formerly implemented to protect information accessed, processed or stored at
A.11.7.2 teleworking sites. Wording change, emphasis on “sites” rather
than “activities”.
A.7 – Human resource security – no change
formerly
A.8
A.7.1 – Prior to employment – no Objective – to ensure that employees and contractors understand
formerly change their responsibilities and are suitable for the roles for which they are
A.8.1 considered. Wording change; no “third party users” or “to reduce
the risk of theft, fraud or misuse of facilities”.
A.7.1.1 – Screening – no change Control – background verification checks on all candidates for
formerly employment shall be carried out in accordance with relevant laws,
A.8.1.2 regulations and ethics, and proportional to business requirements, the
classification of the information to be accessed, and the perceived
risks. Wording changes; no “contractors and third party users”.
A.7.1.2 – Terms and conditions of Control – the contractual agreements with employees and contractors
formerly employment – no change shall their and the organization’s responsibility for information security.
A.8.1.3 Wording changes; no “third party users”.
A.7.2 – During employment – no Objective – to ensure that all employees and contractors are aware of
formerly change and fulfil their information security responsibilities. Wording changes;
A.8.2 no “third party users”, “Human error” or “normal work”.
A.7.2.1 – Management Control – management shall require employees and contractors to
formerly responsibilities – no apply security in accordance with established policies and procedures
A.8.2.1 change of the organization. Wording changes; no “third party users”.
A.7.2.2 – Information security Control – all employees of the organization and, where relevant,
formerly awareness, education and contractors shall receive appropriate awareness education and
A.8.2.2 training – no change training and regular updates in the organizations policies and
procedures, as relevant to their job function. Wording changes; no
“third party users”.
A.7.2.3 – Disciplinary process no Control – there shall be a formal and communicated disciplinary
formerly change process to take action against employees who have committed an
A.8.2.3 information security breach. Wording change; “communicated”
and “take action”.
A.7.3 – Termination and change of Objective – to protect the organisations interests as part of the
formerly employment - Wording process of changing or terminating employment. Wording change
A.8.3 change “and” rather than “protect the organisation” rather than “exit…or change
“or” employment in an orderly manner”.
A.7.3.1 - Termination or change of Control – information security responsibilities and duties that remain
formerly employment valid after termination or change of employment shall be defined,
A.8.3.1 responsibilities. Wording communicated to the employee or contractor and enforced. Wording
change “or change of”. change; emphasis on “duties...after” and “enforced”.
A.8 – Asset Management – no change
formerly
A.7
A.8.1 – Responsibility for Assets – Objective – to identify organizational assets and define appropriate
formerly no change protection responsibilities. Wording change; “identifying … assets”
A.7.1 and “define … responsibilities”.
A.8.1.1 - Inventory of Assets - no Control – assets associated with information security and information
formerly changes processing facilities shall be identified and an inventory of these
A.7.1.1 assets shall drawn up and maintained. Wording change; “all
assets”.
The Inventory of Assets must be documented.
A.8.1.2 – Ownership of Assets – no Control –assets maintained in the inventory shall be owned. Wording
formerly change change; ownership is emphasized.
A.7.1.2
A.8.1.3 – Acceptable use of Assets – Control – rules for the acceptable use of information and assets
formerly no change associated with information and information processing facilities shall
A.7.1.3 be identified, documented and implemented. Wording change; word
“and”.
The Rules for the Acceptable Use of Information and Assets
must be documented.
A.8.1.4 – Return of assets – no Control – all employees and external party users shall return all of the
formerly change organizations assets in their possession upon termination of their
A.8.3.2 employment, contract or assignment. Wording change; “external
party”.
A.8.2 – Information Classification – Objective – to ensure that information receives an appropriate level of
formerly no change protection in accordance with its importance to the organisation.
A.7.2 Wording change; last part of sentence added.
A.8.2.1 – Classification of Control – information shall be classified in terms of its legal
formerly information – was requirements, value, criticality and sensitivity to unauthorized
A.7.2.1 “guidelines” disclosure or modification. Wording change; “unauthorized
disclosure” rather than “the organisation”.
A.8.2.2 – Labelling of Information – Control – an appropriate set of procedures for information labeling
formerly wording included shall be developed and implemented in accordance with the
A.7.2.2 “handling” information classification scheme adopted by the organization.
Wording change; handling separated.
A.8.2.3 Handling of assets Control – procedures for handling assets shall be developed and
implemented in accordance with the information classification scheme
adopted by the organisation. New requirement caused by dividing
A.7.2.2 into 2 parts.
A.8.3 – Media handling – no Objective – to prevent unauthorized disclosure, modification, removal
formerly change or destruction of information stored on media. Wording change
A.10.7 “information” rather than “assets, and the interruption to
business activities”
A.8.3.1 – Management of removable Control - procedures shall be implemented for the management of
formerly media – wording change removable media in accordance with the classification scheme
A.10.7.1 “removable” not adopted by the organisation. Wording change; last part of sentence
“mobile” added.
A.8.3.2 – Disposal of media – no Control - Media shall be disposed of securely when no longer
formerly change required, using formal procedures. Wording change; “and safely”
A.10.7.2 removed.
A.8.3.3 – Physical media in transit – Control - Media containing information shall be protected against
formerly no change unauthorized access, misuse or corruption during transportation.
A.10.8.3 Wording change; removed “beyond an organization’s physical
boundaries”.
A.9 Access control
formerly
A.11
A.9.1 Business requirements of Objective – to limit access to information and information processing
formerly access control facilities. Wording change; to “limit” rather than “control” also
A.11.1 “information processing facilities”
A.9.1.1 Access control policy Control - An access control policy shall be established, documented,
formerly and reviewed based on business and security requirements. Wording
A.11.1.1 change; removed the words “for access”.
The Access Control Policy must be documented.
A.9.1.2 Access to networks and Control – Users shall only be provided with access to the network and
similar to network services similar to network services that they have been specifically authorized to use.
A.11.2 User access Different wording but broadly similar requirement; “To ensure
management) authorized user access and to prevent unauthorized access to
information systems”.
A.9.2 User access management Objective – to ensure authorized user access and to prevent
– new section but unauthorized access to systems and services. See before.
broadly similar to A.11
A.9.2.1 User registration and de- Control - a formal user registration and de-registration procedure in
formerly registration – added de- implemented to enable assignment of access rights. Wording
A.11.2.1 registration change but broadly similar.
A.9.2.2 User access provisioning - Control – a formal user access provisioning process shall be
formerly formerly Privilege implemented to assign or revoke access rights for all user types to all
A.11.2.2 management systems and services. Wording change formerly “the allocation
and use of privileges shall be restricted and controlled”.
A.9.2.3 Management of privileged Control – the allocation and use of privileged access rights shall be
access rights – new restricted and controlled. New requirement but similar to many in
control old A.11.
A.9.2.4 Management of secret Control - The allocation of secrete authentication information shall be
similar to authentication information controlled through a formal management process. Wording change;
A.11.2.3 of users similar to User was “passwords”.
password management
A.9.2.5 Review of user access Control – Asset owners shall review users’ access rights at regular
was rights intervals. Wording change; was “Management” and “using a
A.11.2.4 formal process”.
A.9.2.6 Removal or adjustment of Control – The access rights of all employees and external party users
similar to access rights adds to information and information processing facilities shall be removed
A.8.3.3 “adjustment” upon termination of their employment, contract or agreement, or
adjusted upon change. Wording changes; “external party users”.
A.9.3 User Responsibilities Objective – to make users accountable for safeguarding their
similar to authentication information. Similar control but emphasis is now on
A.11.3.1 user.
A.9.3.1 Use of secret Control - Users shall be required to follow the organisation’s practices
authentication information. in the use of secrete authentication information. Wording change;
Formerly “Password following “organisation practice” rather than “good security
use”. practices” and replacement of “passwords”.
A.9.4 System and application Objective – to prevent unauthorized access to systems and
similar to access control. Also applications. Also stated “information”.
11.6 stated “information”.
A.9.4.1 Information access Control - Access to information and application system functions shall
similar to restriction be restricted in accordance with the access control policy. Previously
A.11.6.1 stated “by users and support personnel”.
A.9.4.2 Secure log-on procedures Control – where required by the access control policy, access to
similar to systems and applications shall be controlled by secure log-on
A.11.5.1 procedures. Added “where required”.
A.9.4.3 Password management Control – password management systems shall be interactive and
similar to system shall ensure quality passwords. Wording change.
A.11.5.3
A.9.4.4 Use of privileged utility Control - The use of utility programs that might be capable of
similar to programs. Was “system overriding system and application controls shall be restricted and
A.11.5.4 utilities”. tightly controlled. No change.
A.9.4.5 Access control to program Control - Access to program source code shall be restricted. No
was source code change.
A.12.4.3
A.10.1 Cryptographic Controls Objective - To ensure proper and effective use of cryptography to
similar to protect the confidentiality, authenticity and/or integrity of information.
A.12 Change of word order.
A.10.1.1 Policy on the use of Control - A policy on the use of cryptographic controls for protection of
was cryptographic controls information shall be developed and implemented. No change.
A.12.3.1
A.10.1.2 Key management Control – a policy on the use, protection and lifetime of cryptographic
was keys shall be developed and implemented throughout their whole
A.12.3.2 lifetime. New policy required and “lifetime” of keys specifically
needs to be considered.
New Policy required.
A.11 Physical and environmental security
A.11.1 Secure areas Objective – to prevent unauthorized physical access, damage and
interference to the organizations information and information
processing facilities. Was “premises and information”.
A.11.1.1 Physical security perimeter Control – security perimeters shall be defined and used to protect
was areas that contain either sensitive or critical information and
A.9.1.1 information processing facilities. Wording previously gave
examples; “barriers such as walls, card control entry gates or
manned reception desks”.
A.11.1.2 Physical entry controls Control – secure areas shall be protected by appropriate entry
was controls to ensure that only authorized personnel are allowed access.
A.9.1.2 No change.
A.11.1.3 Securing offices, rooms Control – physical security for offices, rooms and facilities shall be
was and facilities designed and applied. No change.
A.9.1.3
A.11.1.4 Protecting against external Control – physical protection against natural disasters, malicious
was and environmental threats attack or accidents shall be designed and applied. Previously gave
A.9.1.4 examples “damage fire, flood, earthquake, explosion, civil unrest
and other forms of natural or man-made disaster”.
A.11.1.5 Working in secure areas Control – procedures for working in secure areas shall be designed
was and applied. Previously said “physical protection and guidelines”.
A.9.1.5
A.11.1.6 Delivery and loading areas. Control – access points such as delivery and loading areas and other
was Previously said “Public points where unauthorized persons could enter the premises shall be
A.9.1.6 access”. controlled and, if possible, isolated from information processing
facilities to avoid unauthorized access. Says “could” not “may”.
A.11.2 Equipment was Objective – to prevent loss, damage, theft or compromise of assets
was A.9.2 “Equipment security” and interruption to the organizations operations. Wording change;
was “activities”.
A.11.2.1 Equipment siting and Control – equipment shall be sited and protected to reduce the risks
was protection from environmental threats and hazards, and opportunities for
A.9.2.1 unauthorized access. Wording change “and” not “or”.
A.11.2.2 Supporting utilities Control – equipment shall be protected from power failures or other
was disruptions caused by failures in supporting utilities. No change.
A.9.2.2
A.11.2.3 Cabling security Control – power and telecommunications cabling carrying data or
was supporting information services shall be protected from interception or
A.9.2.3 damage. No change.
A.11.2.4 Equipment maintenance Control – equipment shall be correctly maintained to ensure its
was continued availability and integrity. No change.
A.9.2.4
A.11.2.5 Removal of assets Control – equipment, information or software shall not be taken off-
was site without prior authorization. No change.
A.9.2.7
A.11.2.6 Security of equipment and Control – security shall be applied to off-site assets taking into
was assets off-premises. account the different risks of working outside the organization’s
A.9.2.5 Added “assets” and was premises. Wording change; was “equipment”.
“off-site”.
A.11.2.7 Secure disposal or re-use Control – all items of equipment containing storage media shall
was of equipment verified be to ensure that any sensitive data and licensed software
A.9.2.6 has been removed or securely overwritten prior to disposal or re-use.
Wording change; “checked” and “data” and added “or re-use”.
A.11.2.8 Unattended user Control - Users shall ensure that unattended equipment has
was equipment appropriate protection. No change.
A.11.3.2
A.11.2.9 Clear desk and clear Control - A clear desk policy for papers and removable storage media
was screen policy and a clear screen policy for information processing facilities shall be
A.11.3.3 adopted. No change.
A.12 was Operations security
A.10
A.12.1 Operational procedures Objective – to ensure the correct and secure operation of information
was and responsibilities processing facilities. No change.
A.10.1
A.12.1.1 Documented operating Control – operating procedures shall be documented, maintained and
was procedures made available to all users who need them. Wording change;
A.10.1.1 “shall” not “should”.
The Operating Procedures must be documented.
A.12.1.2 Change management Control – changes to the organisation, business processes and
was information processing facilities and systems shall be controlled.
A.10.1.2 Wording change; added “the organisation, business processes”
and “shall” not “should”.
A.12.1.3 Capacity management was Control – the use of resources shall be monitored, tuned and
was previously A.10.3 System projections made of future capacity requirements to ensure the
A.10.3.1 planning and acceptance required system performance. No change.
So emphasis of objective
was “to minimize the risk
of systems failures”
A.12.1.4 Separation of Control – development, test and operational environments shall be
was development, test and separated to reduce the risks of unauthorized access or changes to
A.10.1.4 operational environments the operational environment. Wording change; was “facilities” and
was “facilities” “systems”.
A.12.2 Protection from malware Objective – to ensure that information and information processing
similar to was “malicious and facilities are protected against malware. Change of emphasis; was
A.10.4 mobile code” “protect the integrity of software and information”.
A.12.2.1 Controls against malware Control – detection, prevention and recovery controls to protect
was was “malicious code” against malware shall be implemented, combined with appropriate
A.10.4.1 user awareness. Wording change; was “malicious code”
A.12.3 Back up Objective – protect against the loss of data. Was “to maintain the
was integrity and availability of information and information
A.10.5 processing facilities”.
A.12.3.1 Information back-up Control – back-up copies of information, software and system images
was shall be taken and tested regularly in accordance with an agreed
A.10.5.1 back-up policy. Added “and system images”.
A.12.4 Logging and Monitoring Objectives – to record events and generate evidence. Was “detect
similar to added “Logging” unauthorized information processing activities”.
A.10.10
A.12.4.1 Event logging was “Audit Control – event logs recording user activities, exceptions, faults and
was logging” and “Fault information security events shall be produced, kept and regularly
A.10.10.1 logging” reviewed. Was “Audit” and “kept for an agreed period to assist in
and future investigations and access control monitoring”.
A.10.10.5
A.12.4.2 Protection of log Control - Logging facilities and log information shall be protected
was information against tampering and unauthorized access. No change.
A.10.10.3
A.12.4.3 Administrator and operator Control - System administrator and system operator activities shall be
was logs logged and the logs protected and regularly reviewed. Added “and
A.10.10.4 the logs protected and regularly reviewed”.
A.12.4.4 Clock synchronization Control - The clocks of all relevant information processing systems
was within an organization or security domain shall be synchronized to a
A.10.10.6 single reference time source. Was “with an agreed accurate time
source”.
A.12.5 Control of operational Objective – to ensure the integrity of operational systems. Previous
software was previously a control objective was “To ensure the security of system files”.
control under objective
“A.12.4 Security of
system files”
A.12.5.1 Installation of software on Control - procedures shall be in place to control the installation of
was operational systems was software on operational systems. Wording reordered.
A.12.4.1 “Control of operational
software”
A.12.6 Technical vulnerability Objective – to prevent exploitation of technical vulnerabilities.
management Previously “To reduce risks resulting from exploitation of
published technical vulnerabilities”.
A.12.6.1 Management of technical Control - information about technical vulnerabilities of information
vulnerabilities was systems being used shall be obtained in a timely fashion, the
“Control” organization's exposure to such vulnerabilities evaluated and
appropriate measures taken to address the associated risk. Wording
rearranged.
A.12.6.2 Restrictions on software Control – rules governing the installation of software by users shall be
was installation was “Control established and implemented. Was “procedures” and “on
A.12.4.1 of operational software” operational systems”. Also “by users” has been added.
A.12.7 Information system audit Objective – to minimize the impact of audit activities on operational
was considerations systems. Was “to maximize the effectiveness of and to minimize
A.15.3 interference to/from the information systems audit process”.
A.12.7.1 Information systems audit Control - Audit requirements and activities involving verification of
was controls operational systems shall be carefully planned and agreed to
A.15.3.1 minimize the risk of disruptions to business processes. Was
“checks”.
A.13 Communications security
A.13.1 Network security Objective – to ensure the protection of information in networks and its
was management supporting information processing facilities. Was “infrastructure”.
A.10.6
A.13.1.1 Network controls Control - Networks shall be managed and controlled, in order to be
was protected information in systems and applications. Removed “in
A.10.6.1 transit”, “adequately”, “from threats” and “to maintain security
for the systems and applications using the network”.
A.13.1.2 Security of network Control – Security mechanisms, service levels, and management
was services requirements of all network services shall be identified and included in
A.10.6.2 any network services agreement, whether these services are provided
in-house or outsourced. Was “features”.
A.13.1.3 Segregation in networks Control - Groups of information services, users and information
was systems shall be segregated on networks. No change.
A.11.4.5
A.13.2 Information transfer was Objective – to maintain the security of information and software
was “exchange of transferred within an organization and with any external entity. Was
A.10.8 information” “exchanged”.
A.13.2.1 Information transfer Control - Formal transfer policies, procedures, and controls shall be in
was policies and procedures place to protect the transfer of information through the use of all types
A.10.8.1 was “exchange” of communication facilities. Was “exchange”.
A.13.2.2 Agreements on information Control - Agreements shall be established for the secure transfer of
was transfer business information and software between the organization and
A.10.8.2 external parties. Was “exchange” and added “secure” and
“business”.
A.13.2.3 Electronic messaging Control - Information involved in electronic messaging shall be
was appropriately protected. No change.
A.10.8.4

A.13.2.4 Confidentiality or non- Control – requirements for confidentiality or non-disclosure

was disclosure agreements agreements reflecting the organization’s needs for the protection of
A.6.1.5 added “or non- information shall be identified, regularly reviewed and documented.
disclosure” Added “and documented”.
The Confidentiality and Non- disclosure agreements must be
documented.

A.14 was System acquisition, development and maintenance

A.12
A.14.1 Security requirements of Objective - To ensure that information security is an integral part of
information systems information systems across the entire lifecycle. This also includes the
requirements for information systems which provide services over
public networks. Last section has been added.
A.14.1.1 Information security Control – the information security related requirements shall be
was requirements analysis and included in the requirements for new information systems or
A.12.1.1 specification enhancements to existing informations systems. Was “Statements of
“information” was added business requirements for new information systems, or
enhancements to existing information systems shall specify the
requirements for security controls”.
A.14.1.2 Securing application Control – information involved in application services passing over
was services on public public networks shall be protected from fraudulent activity, contract
A.10.9.1 networks was “Electronic dispute and unauthroised disclosure and modification. Was
commerce” “electronic commerce”
A.14.1.3 Protecting application Control - Information involved in service transactions shall be
was services transactions was protected to prevent incomplete transmission, mis-routing,
A.10.9.2 “On-line transactions” unauthorized message alteration, unauthorized disclosure,
unauthorized message duplication or replay. Was “on-line” not
“service”.
A.14.2 Security in development Objective - To ensure that information security is designed and
was and support processes implemented within the development lifecycle of information systems.
A.12.5 Was “to maintain the security of application system software and
information”.
A.14.2.1 Secure development policy Control – rules for the development of software and systems shall be
established and applied to developments within the organisation.
this is a new requirement policy and rules.
A.14.2.2 System change control Control – changes to systems within the development lifecycle shall
was procedures be controlled by the use of formal change control procedures. Was
A.12.5.1 “the implementation of changes”.
A.14.2.3 Technical review of Control - When operating platforms are changed, business critical
was applications after operating applications shall be reviewed and tested to ensure there is no
A.12.5.2 platform changes was adverse impact on organizational operations or security. Was
“system” “system”.
A.14.2.4 Restrictions on changes to Control - Modifications to software packages shall be discouraged,
was software packages limited to necessary changes, and all changes shall be strictly
A.12.5.3 controlled. No change.
A.14.2.5 Secure system engineering Control – principles for engineering secure systems shall be
principles established, documented, maintained and applied to any information
systems implementation efforts.
The Principles for Engineering Secure Systems must be
documented.

This is a New requirement.

A.14.2.6 Secure development Control – organizations shall establish and appropriately protect sure
was environment was development environments for system development and integration
A.10.1.4 “Separation of efforts that cover the entire system development lifecycle. Was
development, test and “development, test and operational facilities shall be separated
operational facilities” to reduce the risks of unauthorized access or changes to the
operational systems”.
A.14.2.7 Outsourced development Control – the organisation shall supervise and monitor the activity of
was out-sourced systems development. Was “software development”.
A.12.5.5
A.14.2.8 system security testing Control – testing of security functionality shall be carried out during
similar to similar to “System development. The similar control was “acceptance criteria for new
A.10.3.2 acceptance” information systems, upgrades and new versions shall be
established and suitable tests of the system(s) carried out during
development and prior to acceptance”.
This is a new Control.
A.14.2.9 System acceptance testing Control – acceptance testing programs and related criteria shall be
similar to similar to “System established for new information systems, upgrades and new versions.
A.10.3.2 acceptance” This is a new Control.
A.14.3 Test data was “Security Objective – To ensure the protection of data used for testing. Was
was of system files” “security of system files”.
A.12.4
A.14.3.1 Protection of test data Control - Test data shall be selected carefully, and protected and
was controlled. No change.
A.12.4.2
A.15 Supplier relationships
A.15.1 Information security in Objective – to maintain an agreed level of information security and
was supplier relationships was service delivery in-line with supplier agreements. Previous had “to
A.10.2 “Third party service implement” and was “an appropriate” and “third party”.
delivery management”
A.15.1.1 Information security policy Control – information security requirements for mitigating the risks
for supplier relationships associated with supplier’s access to the organization’s assets shall be
agreed with the suppliers and documented.
The Policy for Supplier Relationships must be documented.

This is a New requirement.

A.15.1.2 Addressing security within control – all relevant information security requirements shall be
supplier agreements established and agreed with each supplier that may access, process,
store, communicate, or provide IT infrastructure components for, the
organisation’s information.
This is a new requirement.
A.15.1.3 Information and Control – agreements with suppliers shall include requirements to
similar to communication technology address the information security risks associated with information and
A.10.2.1 supply chain similar to communications technology services and product supply chain.
“Service delivery” Previous was “it shall be ensured that the security controls,
service definitions and delivery levels included in the third party
service delivery agreement are implemented, operated and
maintained by the third party”.
A.15.2 Supplier service delivery Objective – to maintain an agreed level of information security and
management service delivery in line with supplier agreements.
A.15.2.1 Monitoring and review of Control – organizations shall regularly monitor, review and audit
was supplier services. Was supplier delivery. Was “the services, reports and records provided
A.10.2.2 “third party” by the third party shall be regularly monitored and reviewed and
audits shall be carried out regularly”.
A.15.2.2 Managing changes to Control – changes to the provision of services, including maintaining
was supplier services. Was and improving existing information security policies, procedures and
A.10.2.3 “third party” controls shall be managed, taking account of the criticality of the
business information and processes involved and the re-assessment
of the risks. Was “systems”
A.16 was Information security incident management
A.13
A.16.1 Management of information Objective - To ensure a consistent and effective approach to the
was security incidents and management of information security incidents, including
A.13.2 improvements communication on security events and weaknesses. Removed “is
applied” and added last section.
A.16.1.1 Responsibilities and Control - Management responsibilities and procedures shall be
was procedures established to ensure a quick, effective, and orderly response to
A.13.2.1 information security incidents. No change.
A.16.1.2 Reporting information Control - Information security events shall be reported through
was security events appropriate management channels as quickly as possible. No
A.13.1.1 change.
A.16.1.3 Reporting information Control – employees and contractors using the organisation’s
was security weaknesses information systems and services shall be required to note and report
A.13.1.2 any observed or suspected security weaknesses in systems or
services. Removed word “All” and “third party users”.
A.16.1.4 Assessment of and Control – information security events shall be assessed and it shall be
decision on information decided if they are to be classified as information security incidents.
security events this is a new requirement.
A.16.1.5 Response to information Control – information security incidents shall be responded to in
security incidents accordance with documented procedures.
this is a new requirement.
A.16.1.6 Learning from information Control – knowledge gained from analyzing and resolving information
was security incidents security incidents shall be used to reduce the likelihood or impact of
A.13.2.2 future incidents. Was “There shall be mechanisms in place to
enable the types, volumes, and costs of information security
incidents to be quantified and monitored”.
A.16.1.7 Collection of evidence Control – the organisation shall define and apply procedures for the
was identification, collection, acquisition and preservation of information
A.13.2.3 which can serve as evidence. was “Where a follow-up action
against a person or organization after an information security
incident involves legal action (either civil or criminal), evidence
shall be collected, retained, and presented to conform to the
rules for evidence laid down in the relevant jurisdiction(s)”.
A.17 was Information security aspects of business continuity management. Was “Business continuity
A.14 management”
A.17.1 Information security Objective – information security continuity shall be embedded in the
was continuity. Was “aspects organisation’s business continuity management systems. Was “To
A.14.1 of business continuity counteract interruptions to business activities and to protect
management”. critical business processes from the effects of major failures of
information systems or disasters and to ensure their timely
resumption”.
A.17.1.1 Planning information Control – the organisation shall determine its requirements for
was security continuity. Was information security and continuity of information security
A.14.1.4 “Business continuity management in adverse situations, e.g. a crisis or disaster. Was “A
planning framework” single framework of business continuity plans shall be
maintained to ensure all plans are consistent, to consistently
address information security requirements, and to identify
priorities for testing and maintenance”.
A.17.1.2 Implementing information Control – the organisation shall establish, document, implement and
was security continuity. Was maintain processes, procedures and controls to ensure the required
A.14.1.3 “Developing and”. level of continuity for information security during an adverse situation.
Was “Plans shall be developed and implemented to maintain or
restore operations and ensure availability of information at the
required level and in the required time scales following
interruption to, or failure of, critical business processes”.
The Procedures to Ensure Continuity of Information must be
documented.
A.17.1.3 Verify, review and evaluate Control – the organisation shall verify the established and
was information security implemented information security continuity controls at regular
A.14.1.5 continuity. Was “Testing, intervals in order to ensure that they are valid and effective during
maintaining and adverse situations. Was “Business continuity plans shall be tested
reassessing business and updated regularly to ensure that they are up to date and
continuity plans”. effective”?
A.17.2 Redundancies Objective – to ensure availability of information processing facilities.
A.17.2.1 Availability of information Control – information processing facilities shall be implemented with
processing facilities redundancy sufficient to meet availability requirements.
this is a new requirement.
A.18 was Compliance
A.15
A.18.1 Compliance with legal and Objective - To avoid breaches of any legal, statutory, regulatory or
was contractual requirements. contractual obligations related to information security and of any
A.15.1 “Contractual” added. security requirements. Changed “law” and added “related to
information security”.
A.18.1.1 Identification of applicable Control - All relevant legislative, statutory, regulatory and contractual
was legislation and contractual requirements and the organization’s approach to meet these
A.15.1.1 requirements. Added last requirements shall be explicitly identified, documented and kept up to
section. date for each information system and the organization. Was
“statutory” and “defined”.
The Relevant Legislative, Statutory and Contractual
Requirements must be documented.
A.18.1.2 Intellectual property rights. Control - Appropriate procedures shall be implemented to ensure
was Included “(IPR)”. compliance with legislative, regulatory, and contractual requirements
A.15.1.2 related to intellectual property rights and on the use of proprietary
software products. Was “on the use of material in respect of which
there may be”.
A.18.1.3 Protection of records. Did Control - records shall be protected from loss, destruction and
was include “organizational”. falsification, in accordance with legislatory, regulatory, contractual,
A.15.1.3 and business requirements. Was “Important” and “statutory”.
A.18.1.4 Privacy and protection of Control - privacy and protection of personally identifiable information
was personally identifiable shall be ensured as required in relevant legislation, regulations where
A.15.1.4 information. Was “Data applicable. Was “Data protection” and added “protection” and
protection” and added “personally identifiable” removed “if applicable, contractual
“protection” and clauses”.
“personally identifiable”.
A.18.1.5 Regulation of cryptographic Control - Cryptographic controls shall be used in compliance with all
was controls relevant agreements, legislation, and regulations. Was “laws”.
A.15.1.6
A.18.2 Information security Objective – to ensure that the information security is implemented and
was reviews. Was operated in accordance with the organizational security policies and
A.15.2 “Compliance with standards. Was “to ensure compliance of systems” rather than
security polices and “implemented and operated”.
standards, and technical
compliance”.
A.18.2.1 Independent review of Control – the organizations approach to managing information
was information security security and its implementation (i.e. control objectives, controls,
A.6.1.8 policies, processes, and procedures for information security) shall be
reviewed independently at planned intervals, or when significant
changes occur. Removed “to the security implementation”.

A.18.2.2 Compliance with security Control - Managers shall regularly review the compliance of
was policies and standards information processing and procedures within their area of
A.15.2.1 responsibility with the appropriate security polices, standards and any
other security requirements. Was “shall ensure that all security
procedures within their area of responsibility are carried out
correctly to achieve compliance with security policies and
standards” and added “any other security requirements”.
A.18.2.3 Technical compliance Control - Information systems shall be regularly reviewed for
was review. Was “checking”. compliance with the organisation’s information security policies and
A.15.2.2 standards. Was “security implementation standards” and
“checked”.