Risk Assessment: Control Usage Report

Isms: Sample Company ISMS

Organisation: Sample Company Version: 1.1
Published: 6/5/2017 11:40:52 PM Publisher: Sample User

ISO 27001:2013 A.5.1 Management direction for information security

Objective: To provide management direction and support for information security in accordance with business requirements and
relevant laws and regulations.
Clause Title Description Applied
A.5.1.1 Policies for information security A set of policies for information security shall be defined, approved by management, True
published and communicated to employees and relevant external parties.
Business disasters (e.g. financial collapse) due to Inadequate information security policy
Insufficient or untested back-ups due to Inadequate back-up procedures
A.5.1.2 Review of the policies for information security The policies for information security shall be reviewed at planned intervals or if True
significant changes occur to ensure their continuing suitability, adequacy and
effectiveness.
Business disasters (e.g. financial collapse) due to Inadequate information security policy
ISO 27001:2013 A.6.1 Internal organization

Objective: To establish a management framework to initiate and control the implementation and operation of information
security within the organization.
Clause Title Description Applied
A.6.1.1 Information security roles and responsibilities All information security responsibilities shall be defined and allocated. True

Data breach due to Failure to adhere to company policies

Fraud (incl. white-collar crime) due to Inadequate employment agreements
Unavailability/loss of personnel due to Over-reliance on key staff / lack of delegation
A.6.1.2 Segregation of duties Conflicting duties and areas of responsibility shall be segregated to reduce True
opportunities for unauthorized or unintentional modification or misuse of the
organizations assets.
Fraud (incl. white-collar crime) due to Inadequate employment agreements
A.6.1.3 Contact with authorities Appropriate contacts with relevant authorities shall be maintained. True

Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements

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A.6.1.4 Contact with special interest groups Appropriate contacts with special interest groups or other specialist security forums True
and professional associations shall be maintained.
Loss of system integrity due to Failure to apply relevant software patches
Hacking due to Failure to apply relevant software patches
Malware due to Inadequate anti-malware software
Malware due to Inadequate anti-malware software
A.6.1.5 Information security in project management Information security shall be addressed in project management, regardless of the True
type of the project.
Data breach due to Inadequate information security policy
Data breach due to Inadequate information security policy
Data breach due to Inadequate information security policy
ISO 27001:2013 A.6.2 Mobile devices and teleworking

Objective: To ensure the security of teleworking and use of mobile devices.

Clause Title Description Applied

A.6.2.1 Mobile device policy A policy and supporting security measures shall be adopted to manage the risks True
introduced by using mobile devices.
Theft/loss of asset due to Portable computer equipment not secured
Network intrusion due to Inadequate or incorrect access control policies
A.6.2.2 Teleworking A policy and supporting security measures shall be implemented to protect True
information accessed, processed or stored at teleworking sites.
Network intrusion due to Inadequate or incorrect access control policies
ISO 27001:2013 A.7.1 Prior to employment

Objective: To ensure that employees and contractors understand their responsibilities and are suitable for the roles for which
they are considered.
Clause Title Description Applied
A.7.1.1 Screening Background verification checks on all candidates for employment shall be carried out True
in accordance with relevant laws, regulations and ethics and shall be proportional to
the business requirements, the classification of the information to be accessed and
the perceived risks.
Inappropriate employee selection due to Inadequate vetting of staff
A.7.1.2 Terms and conditions of employment The contractual agreements with employees and contractors shall state their and the True
organizations responsibilities for information security.
Data breach due to Inadequate job definition

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 Illegal use of software due to Inadequate control copying of data/software
Fraud (incl. white-collar crime) due to Inadequate employment agreements
ISO 27001:2013 A.7.2 During employment

Objective: To ensure that employees and contractors are aware of and fulfil their information security responsibilities.

Clause Title Description Applied

A.7.2.1 Management responsibilities Management shall require all employees and contractors to apply information True
security in accordance with the established policies and procedures of the
organization.
Data breach due to Failure to adhere to company policies
Business disasters (e.g. financial collapse) due to Inadequate information security policy
Human error (accidental) due to Failure to adhere to company policies
A.7.2.2 Information security awareness, education and All employees of the organization and, where relevant, contractors shall receive True
training appropriate awareness education and training and regular updates in organizational
policies and procedures, as relevant for their job function.
Data breach due to Failure to adhere to company policies
Inappropriate/lack of action by third parties due to Inadequate security awareness/training for suppliers
Fraud (incl. white-collar crime) due to Inadequate security awareness/training for staff
Unavailability/loss of personnel due to Inadequate specific job or specialist training
A.7.2.3 Disciplinary process There shall be a formal and communicated disciplinary process in place to take action True
against employees who have committed an information security breach.
Data breach due to Failure to adhere to company policies
Fraud (incl. white-collar crime) due to Inadequate disciplinary action arrangements
ISO 27001:2013 A.7.3 Termination and change of employment

Objective: To protect the organizations interests as part of the process of changing or terminating employment.

Clause Title Description Applied

A.7.3.1 Termination or change of employment Information security responsibilities and duties that remain valid after termination or True
responsibilities change of employment shall be defined, communicated to the employee or contractor
and enforced.
Fraud (incl. white-collar crime) due to Inadequate control of employee termination
ISO 27001:2013 A.8.1 Responsibility for assets

Objective: To identify organizational assets and define appropriate protection responsibilities.

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Clause Title Description Applied
A.8.1.1 Inventory of assets Information, other assets associated with information and information processing True
facilities shall be identified
and an inventory of these assets shall be drawn up and maintained
Data breach due to Inadequate classification / labelling of information
Over/under licensing due to Inadequate policies relating to software licensing
Over/under licensing due to Number of software users exceeds valid licences
Theft/loss of asset due to Inadequate storage protection
A.8.1.2 Ownership of assets Assets maintained in the inventory shall be owned. True

Data breach due to Inadequate classification / labelling of information

Data breach due to Inadequate arrangements for removing access rights
Data breach due to Inadequate classification / labelling of information
Network intrusion due to Inadequate or incorrect access control policies
A.8.1.3 Acceptable use of assets Rules for the acceptable use of information and of assets associated with information True
and information processing facilities shall be identified, documented and
implemented.
Theft/loss of asset due to Portable computer equipment not secured
A.8.1.4 Return of assets All employees and external party users shall return all of the organizational assets in True
their possession upon termination of their employment, contract or agreement.
Theft/loss of asset due to Inadequate policy to ensure return of asset(s)
Theft/loss of asset due to Inadequate policy to ensure return of asset(s)
ISO 27001:2013 A.8.2 Information classification

Objective: To ensure that information receives an appropriate level of protection in accordance with its importance to the
organization.
Clause Title Description Applied
A.8.2.1 Classification of information Information shall be classified in terms of legal requirements, value, criticality and True
sensitivity to unauthorised disclosure or modification.
Data breach due to Inadequate classification / labelling of information
Data breach due to Inadequate classification / labelling of information
A.8.2.2 Labelling of information An appropriate set of procedures for information labelling shall be developed and True
implemented in accordance with the information classification scheme adopted by the
organization.
Data breach due to Inadequate classification / labelling of information

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 Data breach due to Inadequate classification / labelling of information
A.8.2.3 Handling of assets Procedures for handling assets shall be developed and implemented in accordance True
with the information classification scheme adopted by the organization.
Data breach due to Inadequate classification / labelling of information
Data breach due to Inadequate classification / labelling of information
ISO 27001:2013 A.8.3 Media handling

Objective: To prevent unauthorized disclosure, modification, removal or destruction of information stored on media.

Clause Title Description Applied

A.8.3.1 Management of removable media Procedures shall be implemented for the management of removable media in True
accordance with the classification scheme adopted by the organization.
Compromise of information: Theft of media or documents due to Inadequate handling or disposal of
media
A.8.3.2 Disposal of media Media shall be disposed of securely when no longer required, using formal True
procedures.
Compromise of information: Theft of media or documents due to Inadequate handling or disposal of
media
A.8.3.3 Physical media transfer Media containing information shall be protected against unauthorized access, misuse True
or corruption during transportation.
Theft/loss of asset due to Inadequate storage protection
ISO 27001:2013 A.9.1 Business requirements of access control

Objective: To limit access to information and information processing facilities.

Clause Title Description Applied

A.9.1.1 Access control policy An access control policy shall be established, documented and reviewed based on True
business and information security requirements.
Network intrusion due to Inadequate or incorrect access control policies
A.9.1.2 Access to networks and network services Users shall only be provided with access to the network and network services that True
they have been specifically authorized to use.
Network intrusion due to Inadequate or incorrect access control policies
ISO 27001:2013 A.9.2 User access management

Objective: To ensure authorized user access and to prevent unauthorized access to systems and services.

Clause Title Description Applied

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A.9.2.1 User registration and de-registration A formal user registration and de-registration process shall be implemented to enable True
assignment of access rights.
Network intrusion due to Inadequate or incorrect access control policies
A.9.2.2 User access provisioning A formal user access provisioning process shall be implemented to assign or revoke True
access rights for all user types to all systems and services.
Network intrusion due to Inadequate or incorrect access control policies
A.9.2.3 Management of privileged access rights The allocation and use of privileged access rights shall be restricted and controlled. True

Loss of system integrity due to Incorrectly configured operating system

Loss of system integrity due to Operating system vulnerabilities
Loss of system integrity due to Incorrectly configured operating system
Network intrusion due to Inadequate or incorrect access control policies
Loss of system integrity due to Incorrectly configured operating system
A.9.2.4 Management of secret authentication The allocation of secret authentication information shall be controlled through a True
information of users formal management process.
Network intrusion due to Default factory settings not changed
Network intrusion due to Inadequate or incorrect access control policies
A.9.2.5 Review of user access rights Asset owners shall review users access rights at regular intervals. True

Data breach due to Inadequate arrangements for removing access rights

A.9.2.6 Removal or adjustment of access rights The access rights of all employees and external party users to information and True
information processing facilities shall be removed upon termination of their
employment, contract or agreement, or adjusted upon change.
Data breach due to Inadequate arrangements for removing access rights
ISO 27001:2013 A.9.3 User responsibilities

Objective: To make users accountable for safeguarding their authentication information.

Clause Title Description Applied

A.9.3.1 Use of secret authentication information Users shall be required to follow the organizations practices in the use of secret True
authentication information.
Network intrusion due to Inadequate or incorrect access control policies
ISO 27001:2013 A.9.4 System and application access control

Objective: To prevent unauthorized access to systems and applications.

Clause Title Description Applied

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A.9.4.1 Information access restriction Access to information and application system functions shall be restricted in True
accordance with the access control policy.
Network intrusion due to Inadequate or incorrect access control policies
A.9.4.2 Secure log-on procedures Where required by the access control policy, access to systems and applications shall True
be controlled by a secure log-on procedure.
Network intrusion due to Inadequate audit logs
Network intrusion due to Inadequate or incorrect access control policies
A.9.4.3 Password management system Password management systems shall be interactive and shall ensure quality True
passwords.
Network intrusion due to Inadequate or incorrect access control policies
A.9.4.4 Use of privileged utility programs The use of utility programs that might be capable of overriding system and True
application controls shall be restricted and tightly controlled.
Loss of system integrity due to Incorrectly configured operating system
Loss of system integrity due to Operating system vulnerabilities
Operational staff errors due to Inadequate system security
Loss of system integrity due to Incorrectly configured operating system
Network intrusion due to Inadequate or incorrect access control policies
Loss of system integrity due to Incorrectly configured operating system
A.9.4.5 Access control to program source code Access to program source code shall be restricted. True

Introduction of unauthorized or untested code due to Inadequate or incorrect access control policies
ISO 27001:2013 A.10.1 Cryptographic controls

Objective: To ensure proper and effective use of cryptography to protect the confidentiality, authenticity and/or integrity of
information.
Clause Title Description Applied
A.10.1.1 Policy on the use of cryptographic controls A policy on the use of cryptographic controls for protection of information shall be True
developed and implemented.
Network intrusion due to Default factory settings not changed
A.10.1.2 Key management A policy on the use, protection and lifetime of cryptographic keys shall be developed True
and implemented through their whole lifecycle.
Network intrusion due to Default factory settings not changed
ISO 27001:2013 A.11.1 Secure areas

Objective: To prevent unauthorized physical access, damage and interference to the organizations information and information
processing facilities.
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Clause Title Description Applied
A.11.1.1 Physical security perimeter Security perimeters shall be defined and used to protect areas that contain either True
sensitive or critical information and information processing facilities.
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate control access to server rooms
A.11.1.2 Physical entry controls Secure areas shall be protected by appropriate entry controls to ensure that only True
authorized personnel are allowed access.
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate control access to server rooms
A.11.1.3 Securing offices, rooms and facilities Physical security for offices, rooms and facilities shall be designed and applied. True

Unauthorised access to facillities due to Inadequate physical security

Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Environmental disasters due to Environmental location
Unauthorised access to facillities due to Inadequate control access to server rooms
A.11.1.4 Protecting against external and environmental Physical protection against natural disasters, malicious attack or accidents shall be True
threats designed and applied.
Environmental disasters due to Environmental location
A.11.1.5 Working in secure areas Procedures for working in secure areas shall be designed and applied. True

Unauthorised access to facillities due to Inadequate physical security

Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security

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A.11.1.6 Delivery and loading areas Access points such as delivery and loading areas and other points where True
unauthorized persons could enter the premises shall be controlled and, if possible,
isolated from information processing facilities to avoid unauthorized access.
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
Unauthorised access to facillities due to Inadequate physical security
ISO 27001:2013 A.11.2 Equipment

Objective: To prevent loss, damage, theft or compromise of assets and interruption to the organizations operations.

Clause Title Description Applied

A.11.2.1 Equipment siting and protection Equipment shall be sited and protected to reduce the risks from environmental True
threats and hazards, and opportunities for unauthorized access.
Theft/loss of asset due to Inadequate storage protection
Hardware failure due to Environmental location
A.11.2.2 Supporting utilities Equipment shall be protected from power failures and other disruptions caused by True
failures in supporting utilities.
Malfunctions of supporting utilities due to Inadequate supporting utilities
Environmental disasters due to Inadequate environmental monitoring
A.11.2.3 Cabling security Power and telecommunications cabling carrying data or supporting information True
services shall be protected from interception, interference or damage.
Loss of system integrity due to Inadequate control over cabling
A.11.2.4 Equipment maintenance Equipment shall be correctly maintained to ensure its continued availability and True
integrity.
Hardware failure due to Inadequate equipment maintenance
Hardware failure due to Inadequate equipment maintenance
Hardware failure due to Inadequate equipment maintenance
Failure of equipment/services due to Inadequate equipment maintenance
A.11.2.5 Removal of assets Equipment, information or software shall not be taken off-site without prior True
authorization.
Data breach due to Inadequate information security policy
Data breach due to Inadequate information security policy
Data breach due to Inadequate information security policy
Data breach due to Inadequate information security policy

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A.11.2.6 Security of equipment and assets off-premises Security shall be applied to off-site assets taking into account the different risks of True
working outside the organizations premises.
Theft/loss of asset due to Portable computer equipment not secured
A.11.2.7 Secure disposal or reuse of equipment All items of equipment containing storage media shall be verified to ensure that any True
sensitive data and licensed software has been removed or securely overwritten prior
to disposal or re-use.
Recovery of information from disposed media due to Erasure issues when disposing / reusing media
Recovery of information from disposed media due to Erasure issues when disposing / reusing media
Recovery of information from disposed media due to Erasure issues when disposing / reusing media
Over/under licensing due to Inadequate policies relating to software licensing
A.11.2.8 Unattended user equipment Users shall ensure that unattended equipment has appropriate protection. True

Theft/loss of asset due to Portable computer equipment not secured

Network intrusion due to Inadequate or incorrect access control policies
A.11.2.9 Clear desk and clear screen policy A clear desk policy for papers and removable storage media and a clear screen policy True
for information processing facilities shall be adopted.
Data breach due to Inadequate clear desk and/or screen policy
ISO 27001:2013 A.12.1 Operational procedures and responsibilities

Objective: To ensure correct and secure operations of information processing facilities.

Clause Title Description Applied

A.12.1.1 Documented operating procedures Operating procedures shall be documented and made available to all users who need True
them.
Data breach due to Output left unattended
Data breach due to Output left unattended
Hardware failure due to Inadequate equipment maintenance
Network intrusion due to Inadequate audit logs
Hardware failure due to Inadequate equipment maintenance
A.12.1.2 Change management Changes to the organization, business processes, information processing facilities and True
systems that affect information security shall be controlled.
Loss of system integrity due to Failure to apply relevant software patches
Loss of system integrity due to Incorrectly configured operating system
Loss of system integrity due to Operating system vulnerabilities
Hacking due to Failure to apply relevant software patches

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 Illegal use of software due to Inadequate control of software distribution
Introduction of unauthorized or untested code due to Failure in change management
Software errors due to Inadequate or insufficient software testing
Hardware failure due to Failure in change management
Hardware failure due to Inadequate configuration management
Malware due to Inadequate anti-malware software
Loss of system integrity due to Incorrectly configured operating system
Hardware failure due to Failure in change management
Hardware failure due to Inadequate configuration management
Malware due to Inadequate anti-malware software
Loss of system integrity due to Incorrectly configured operating system
A.12.1.3 Capacity management The use of resources shall be monitored, tuned and projections made of future True
capacity requirements to ensure the required system performance.
Overloading/lack of systems/network capacity due to Inadequate network management
Unavailability/loss of personnel due to Loss of key personnel
Unavailability/loss of personnel due to Over-reliance on key staff / lack of delegation
A.12.1.4 Separation of development, testing and Development, testing, and operational environments shall be separated to reduce the True
operational environments risks of unauthorized access or changes to the operational environment.
Introduction of unauthorized or untested code due to Inadequate separation of test & operational
facilities
Software errors due to Inadequate or insufficient software testing
ISO 27001:2013 A.12.2 Protection from malware

Objective: To ensure that information and information processing facilities are protected against malware.

Clause Title Description Applied

A.12.2.1 Controls against malware Detection, prevention and recovery controls to protect against malware shall be True
implemented, combined with appropriate user awareness.
Malware due to Inadequate anti-malware software
Malware due to Inadequate anti-malware software
ISO 27001:2013 A.12.3 Backup

Objective: To protect against loss of data.

Clause Title Description Applied

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A.12.3.1 Information backup Backup copies of information, software and system images shall be taken and tested True
regularly in accordance with an agreed backup policy.
Insufficient or untested back-ups due to Inadequate back-up facilities
Insufficient or untested back-ups due to Inadequate back-up testing
ISO 27001:2013 A.12.4 Logging and monitoring

Objective: To record events and generate evidence.

Clause Title Description Applied

A.12.4.1 Event logging Event logs recording user activities, exceptions, faults and information security True
events shall be produced, kept and regularly reviewed.
Hardware failure due to Inadequate configuration management
Network intrusion due to Inadequate analysis of network logs
Network intrusion due to Inadequate audit logs
Hardware failure due to Inadequate configuration management
A.12.4.2 Protection of log information Logging facilities and log information shall be protected against tampering and True
unauthorized access.
Network intrusion due to Inadequate analysis of network logs
A.12.4.3 Administrator and operator logs System administrator and system operator activities shall be logged and the logs True
protected and regularly reviewed.
Network intrusion due to Inadequate audit logs
A.12.4.4 Clock synchronisation The clocks of all relevant information processing systems within an organization or True
security domain shall be synchronised to a single reference time source.
Network intrusion due to Inadequate audit logs
ISO 27001:2013 A.12.5 Control of operational software

Objective: To ensure the integrity of operational systems.

Clause Title Description Applied

A.12.5.1 Installation of software on operational systems Procedures shall be implemented to control the installation of software on operational True
systems.
Loss of system integrity due to Failure to apply relevant software patches
Loss of system integrity due to Incorrectly configured operating system
Loss of system integrity due to Operating system vulnerabilities
Hacking due to Failure to apply relevant software patches
Introduction of unauthorized or untested code due to Inadequate software change control

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 Malware due to Inadequate anti-malware software
Loss of system integrity due to Incorrectly configured operating system
Malware due to Inadequate anti-malware software
Loss of system integrity due to Incorrectly configured operating system
ISO 27001:2013 A.12.6 Technical vulnerability management

Objective: To prevent exploitation of technical vulnerabilities.

Clause Title Description Applied

A.12.6.1 Management of technical vulnerabilities Information about technical vulnerabilities of information systems being used shall be True
obtained in a timely fashion, the organizations exposure to such vulnerabilities
evaluated and appropriate measures taken to address the associated risk.
Loss of system integrity due to Incorrectly configured operating system
Loss of system integrity due to Operating system vulnerabilities
Hacking due to Application vulnerabilities
Hacking due to Failure to apply relevant software patches
Introduction of unauthorized or untested code due to Inadequate software change control
A.12.6.2 Restrictions on software installation Rules governing the installation of software by users shall be established and True
implemented.
Loss of system integrity due to Failure to apply relevant software patches
Loss of system integrity due to Incorrectly configured operating system
Loss of system integrity due to Operating system vulnerabilities
Hacking due to Failure to apply relevant software patches
Introduction of unauthorized or untested code due to Inadequate software change control
Malware due to Inadequate anti-malware software
Loss of system integrity due to Incorrectly configured operating system
Malware due to Inadequate anti-malware software
Loss of system integrity due to Incorrectly configured operating system
ISO 27001:2013 A.12.7 Information systems audit considerations

Objective: To minimise the impact of audit activities on operational systems.

Clause Title Description Applied

A.12.7.1 Information systems audit controls Audit requirements and activities involving verification of operational systems shall True
be carefully planned and agreed to minimise disruptions to business processes.
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 Loss of system integrity due to Inadequate internal / external audit
ISO 27001:2013 A.13.1 Network security management

Objective: To ensure the protection of information in networks and its supporting information processing facilities.

Clause Title Description Applied

A.13.1.1 Network controls Networks shall be managed and controlled to protect information in systems and True
applications.
Network intrusion due to Inadequate audit logs
Network intrusion due to Inadequate or incorrect access control policies
A.13.1.2 Security of network services Security mechanisms, service levels and management requirements of all network True
services shall be identified and included in network services agreements, whether
these services are provided in-house or outsourced.
Network intrusion due to Inadequate Intrusion Detection System(s)
Network intrusion due to Inadequately configured / maintained firewall
A.13.1.3 Segregation in networks Groups of information services, users and information systems shall be segregated True
on networks.
Hacking due to Inadequate segregation of networks
Network intrusion due to Inadequate or incorrect access control policies
ISO 27001:2013 A.13.2 Information transfer

Objective: To maintain the security of information transferred within an organization and with any external entity.

Clause Title Description Applied

A.13.2.1 Information transfer policies and procedures Formal transfer policies, procedures and controls shall be in place to protect the True
transfer of information through the use of all types of communication facilities.
Illegal use of software due to Inadequate control downloading and using software
A.13.2.2 Agreements on information transfer Agreements shall address the secure transfer of business information between the True
organization and external parties.
Over/under licensing due to Inadequate policies relating to software licensing
Over/under licensing due to Number of software users exceeds valid licences
Illegal use of software due to Inadequate control copying of data/software
Illegal use of software due to Inadequate control of software distribution
A.13.2.3 Electronic messaging Information involved in electronic messaging shall be appropriately protected. True

Data breach due to Inadequate policies for the use of telecommunications

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 Data breach due to Inadequate policies for the use of telecommunications
Data breach due to Inadequate policies for the use of telecommunications
Data breach due to Inadequate policies for the use of telecommunications
Data breach due to Inadequate policies for the use of telecommunications
Data breach due to Inadequate policies for the use of telecommunications
Data breach due to Inadequate policies for the use of telecommunications
A.13.2.4 Confidentiality or nondisclosure agreements Requirements for confidentiality or non-disclosure agreements reflecting the True
organizations needs for the protection of information shall be identified, regularly
reviewed and documented.
Inappropriate/lack of action by third parties due to Inadequate confidentiality agreements (third parties)
ISO 27001:2013 A.14.1 Security requirements of information systems

Objective: To ensure that information security is an integral part of information systems across the entire lifecycle. This also
includes the requirements for information systems which provide services over public networks.
Clause Title Description Applied
A.14.1.1 Information security requirements analysis and The information security related requirements shall be included in the requirements True
specification for new information systems or enhancements to existing information systems.
Hacking due to Application vulnerabilities
Software errors due to Inadequate or poor specifications for developers
A.14.1.2 Securing application services on public Information involved in application services passing over public networks shall be True
networks protected from fraudulent activity, contract dispute and unauthorized disclosure and
modification.
Publishing of incorrect/unapproved information due to Electronic commerce
Fraud (incl. white-collar crime) due to Electronic commerce
Hacking due to Inadequate control over system access
A.14.1.3 Protecting application services transactions Information involved in application service transactions shall be protected to prevent True
incomplete transmission, mis-routing, unauthorized message alteration, unauthorized
disclosure, unauthorized message duplication or replay.
Publishing of incorrect/unapproved information due to Electronic commerce
Fraud (incl. white-collar crime) due to Electronic commerce
ISO 27001:2013 A.14.2 Security in development and support processes

Objective: To ensure that information security is designed and implemented within the development lifecycle of information
systems.
Clause Title Description Applied

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A.14.2.1 Secure development policy Rules for the development of software and systems shall be established and applied True
to developments within the organization.
Introduction of unauthorized or untested code due to Inadequate or incorrect access control policies
Software failure due to Inadequate software development standards
A.14.2.2 System change control procedures Changes to systems within the development lifecycle shall be controlled by the use of True
formal change control procedures.
Loss of system integrity due to Failure to apply relevant software patches
Hacking due to Application vulnerabilities
Hacking due to Failure to apply relevant software patches
Introduction of unauthorized or untested code due to Failure in change management
Introduction of unauthorized or untested code due to Inadequate software change control
Hardware failure due to Failure in change management
Malware due to Inadequate anti-malware software
Loss of system integrity due to Inadequate change control management
Hardware failure due to Failure in change management
Malware due to Inadequate anti-malware software
A.14.2.3 Technical review of applications after operating When operating platforms are changed, business critical applications shall be True
platform changes reviewed and tested to ensure there is no adverse impact on organizational
operations or security.
Loss of system integrity due to Incorrectly configured operating system
Loss of system integrity due to Operating system vulnerabilities
Software errors due to Inadequate or insufficient software testing
A.14.2.4 Restrictions on changes to software packages Modifications to software packages shall be discouraged, limited to necessary True
changes and all changes shall be strictly controlled.
Introduction of unauthorized or untested code due to Failure in change management
A.14.2.5 Secure system engineering principles Principles for engineering secure systems shall be established, documented, True
maintained and applied to any information system implementation efforts.
Software failure due to Inadequate software development standards
A.14.2.6 Secure development environment Organizations shall establish and appropriately protect secure development True
environments for system development and integration efforts that cover the entire
system development lifecycle.
Software failure due to Inadequate software development standards
A.14.2.7 Outsourced development The organization shall supervise and monitor the activity of outsourced system True
development.

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 Over/under licensing due to Inadequate policies relating to software licensing
Introduction of unauthorized or untested code due to Failure in change management
Software errors due to Inadequate or insufficient software testing
A.14.2.8 System security testing Testing of security functionality shall be carried out during development. True

Software failure due to Inadequate software development standards

A.14.2.9 System acceptance testing Acceptance testing programs and related criteria shall be established for new True
information systems, upgrades and new versions.
Hardware failure due to Inadequate configuration management
Overloading/lack of systems/network capacity due to Inadequate network management
Hardware failure due to Inadequate configuration management
ISO 27001:2013 A.14.3 Test data

Objective: To ensure the protection of data used for testing.

Clause Title Description Applied

A.14.3.1 Protection of test data Test data shall be selected carefully, protected and controlled. True

Software errors due to Incorrect selection of test data

ISO 27001:2013 A.15.1 Information security in supplier relationships

Objective: To ensure protection of the organizations assets that is accessible by suppliers.

Clause Title Description Applied

A.15.1.1 Information security policy for supplier Information security requirements for mitigating the risks associated with suppliers True
relationships access to the organizations assets shall be agreed with the supplier and
documented.
Inappropriate/lack of action by third parties due to Inadequate monitoring mechanisms
A.15.1.2 Addressing security within supplier agreements All relevant information security requirements shall be established and agreed with True
each supplier that may access, process, store, communicate, or provide IT
infrastructure components for, the organizations information.
Data breach due to Inadequate classification / labelling of information
Inappropriate/lack of action by third parties due to Inadequate confidentiality agreements (third parties)
Inappropriate/lack of action by third parties due to Inadequate monitoring mechanisms
Inappropriate/lack of action by third parties due to Inadequate security awareness/training for suppliers
Over/under licensing due to Number of software users exceeds valid licences

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 Illegal use of software due to Inadequate control of software distribution
Network intrusion due to Inadequate or incorrect access control policies
A.15.1.3 Information and communication technology Agreements with suppliers shall include requirements to address the information True
supply chain security risks associated with information and communications technology services
and product supply chain.
Inappropriate/lack of action by third parties due to Inadequate monitoring mechanisms
ISO 27001:2013 A.15.2 Supplier service delivery management

Objective: To maintain an agreed level of information security and service delivery in line with supplier agreements.

Clause Title Description Applied

A.15.2.1 Monitoring and review of supplier services Organizations shall regularly monitor, review and audit supplier service delivery. True

Inappropriate/lack of action by third parties due to Inadequate monitoring mechanisms

A.15.2.2 Managing changes to supplier services Changes to the provision of services by suppliers, including maintaining and True
improving existing information security policies, procedures and controls, shall be
managed, taking account of the criticality of business information, systems and
processes involved and re-assessment of risks.
Inappropriate/lack of action by third parties due to Inadequate monitoring mechanisms
ISO 27001:2013 A.16.1 Management of information security incidents and improvements

Objective: To ensure a consistent and effective approach to the management of information security incidents, including
communication on security events and weaknesses.
Clause Title Description Applied
A.16.1.1 Responsibilities and procedures Management responsibilities and procedures shall be established to ensure a quick, True
effective and orderly response to information security incidents.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements
A.16.1.2 Reporting information security events Information security events shall be reported through appropriate management True
channels as quickly as possible.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements
A.16.1.3 Reporting information security weaknesses Employees and contractors using the organizations information systems and services True
shall be required to note and report any observed or suspected information security
weaknesses in systems or services.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements
A.16.1.4 Assessment of and decision on information Information security events shall be assessed and it shall be decided if they are to be True
security events classified as information security incidents.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements

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A.16.1.5 Response to information security incidents Information security incidents shall be responded to in accordance with the True
documented procedures.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements
A.16.1.6 Learning from information security incidents Knowledge gained from analysing and resolving information security incidents shall True
be used to reduce the likelihood or impact of future incidents.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements
A.16.1.7 Collection of evidence The organization shall define and apply procedures for the identification, collection, True
acquisition and preservation of information, which can serve as evidence.
Business disasters (e.g. financial collapse) due to Inadequate incident reporting arrangements
ISO 27001:2013 A.17.1 Information security continuity

Objective: Information security continuity shall be embedded in the organizations business continuity management systems.

Clause Title Description Applied

A.17.1.1 Planning information security continuity The organization shall determine its requirements for information security and the True
continuity of information security management in adverse situations, e.g. during a
crisis or disaster.
Business disasters (e.g. financial collapse) due to Inadequate business continuity
A.17.1.2 Implementing information security continuity The organization shall establish, document, implement and maintain processes, True
procedures and controls to ensure the required level of continuity for information
security during an adverse situation.
Business disasters (e.g. financial collapse) due to Inadequate business continuity
A.17.1.3 Verify, review and evaluate information security The organization shall verify the established and implemented information security True
continuity continuity controls at regular intervals in order to ensure that they are valid and
effective during adverse situations.
Business disasters (e.g. financial collapse) due to Inadequate business continuity
ISO 27001:2013 A.17.2 Redundancies

Objective: To ensure availability of information processing facilities.

Clause Title Description Applied

A.17.2.1 Availability of information processing facilitiesInformation processing facilities shall be implemented with redundancy sufficient to True
meet availability requirements.
Business disasters (e.g. financial collapse) due to Inadequate business continuity
ISO 27001:2013 A.18.1 Compliance with legal and contractual requirements

Objective: To avoid breaches of legal, statutory, regulatory or contractual obligations related to information security and of any
security requirements.

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Clause Title Description Applied
A.18.1.1 Identification of applicable legislation and All relevant legislative statutory, regulatory, contractual requirements and the True
contractual requirements organizations approach to meet these requirements shall be explicitly identified,
documented and kept up to date for each information system and the organization.
Business disasters (e.g. financial collapse) due to Failure to comply with policies, standards and technical
compliance
A.18.1.2 Intellectual property rights Appropriate procedures shall be implemented to ensure compliance with legislative, True
regulatory and contractual requirements related to intellectual property rights and
use of proprietary software products.
Business disasters (e.g. financial collapse) due to Failure to comply with policies, standards and technical
compliance
Over/under licensing due to Inadequate policies relating to software licensing
Over/under licensing due to Number of software users exceeds valid licences
Illegal use of software due to Inadequate control copying of data/software
Illegal use of software due to Inadequate control of software distribution
A.18.1.3 Protection of records Records shall be protected from loss, destruction, falsification, unauthorized access True
and unauthorized release, in accordance with legislatory, regulatory, contractual and
business requirements.
Business disasters (e.g. financial collapse) due to Failure to comply with policies, standards and technical
compliance
Network intrusion due to Inadequate audit logs
A.18.1.4 Privacy and protection of personally identifiable Privacy and protection of personally identifiable information shall be ensured as True
information required in relevant legislation and regulation where applicable.
Data breach due to DPA (Data Protection Act)
Business disasters (e.g. financial collapse) due to Failure to comply with policies, standards and technical
compliance
A.18.1.5 Regulation of cryptographic controls Cryptographic controls shall be used in compliance with all relevant agreements, True
legislation and regulations.
Business disasters (e.g. financial collapse) due to Failure to comply with policies, standards and technical
compliance
ISO 27001:2013 A.18.2 Information security reviews

Objective: To ensure that information security is implemented and operated in accordance with the organizational policies and
procedures.
Clause Title Description Applied

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A.18.2.1 Independent review of information security The organizations approach to managing information security and its implementation True
(i.e. control objectives, controls, policies, processes and procedures for information
security) shall be reviewed independently at planned intervals or when significant
changes occur.
Loss of system integrity due to Inadequate internal / external audit
A.18.2.2 Compliance with security policies and standards Managers shall regularly review the compliance of information processing and True
procedures within their area of responsibility with the appropriate security policies,
standards and any other security requirements.
Data breach due to Failure to adhere to company policies
Business disasters (e.g. financial collapse) due to Failure to comply with legal/contractual requirements
A.18.2.3 Technical compliance review Information systems shall be regularly reviewed for compliance with the True
organizations information security policies and standards.
Business disasters (e.g. financial collapse) due to Failure to comply with legal/contractual requirements

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