To provide management direction and support for information security in accordance with business requirements and relevant laws and regulations.
A set of policies for information security shall be defined, approved by management, published and communicated to employees and relevant external parties.
Company X deems this to be a key control and is necessary for its ISMS.
To provide management direction and support for information security in accordance with business requirements and relevant laws and regulations.
The policies for information security shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness.
To establish a management framework to initiate and control the implementation and operation of information security within the organization.
All information security responsibilities shall be defined and allocated.
To establish a management framework to initiate and control the implementation and operation of information security within the organization.
Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of the organization’s assets.
To establish a management framework to initiate and control the implementation and operation of information security within the organization.
Appropriate contacts with relevant authorities shall be maintained.
To establish a management framework to initiate and control the implementation and operation of information security within the organization.
Appropriate contacts with special interest groups or other specialist security forums and professional associations shall be main- tained.
To establish a management framework to initiate and control the implementation and operation of information security within the organization.
Information security shall be addressed in project management, regardless of the type of the project.
To ensure the security of teleworking and use of mobile devices.
A policy and supporting security measures shall be adopted to manage the risks introduced by using mobile devices.
To ensure the security of teleworking and use of mobile devices.
A policy and supporting security measures shall be implemented to protect information accessed, processed or stored at teleworking sites.
To ensure that employees and contractors understand their responsibilities and are suit-
able for the roles for which they are considered.
Background verification checks on all candidates for employment shall be carried out 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.
To ensure that employees and contractors understand their responsibilities and are suitable for the roles for which they are considered.
The contractual agreements with employees and contractors shall state their and the organization’s responsibilities for information security.
To ensure that employees and contractors are aware of and fulfil their information security responsibilities.
Management shall require all employees and contractors to apply information security in accordance with the established policies and procedures of the organization.
To ensure that employees and contractors are aware of and fulfil their information security
responsibilities.
All employees of the organization and, where relevant, contractors shall receive appropriate awareness education and training and regular updates in organizational policies and procedures, as relevant for their job function.
To ensure that employees and contractors are aware of and fulfil their information security
responsibilities.
There shall be a formal and communicated disciplinary process in place to take action against employees who have committed an information security breach.
To protect the organization’s interests as part of the process of changing or terminating employment.
Information security responsibilities and duties that remain valid after termination or change of employment shall be defined, communicated to the employee or contractor and enforced.
To identify organizational assets and define appropriate protection responsibilities.
Assets associated with information and information processing facilities shall be identified and an inventory of these assets shall be drawn up and maintained.
To identify organizational assets and define appropriate protection responsibilities.
Assets maintained in the inventory shall be owned.
To identify organizational assets and define appropriate protection responsibilities.
Rules for the acceptable use of information and of assets associated with information and information processing facilities shall be identified, documented and implemented.
To identify organizational assets and define appropriate protection responsibilities.
All employees and external party users shall return all of the organizational assets in their possession upon termination of their employment, contract or agreement.
To ensure that information receives an appropriate level of protection in accordance with its importance to the organization.
Information shall be classified in terms of legal requirements, value, criticality and sensitivity to unauthorised disclosure or modification.
To ensure that information receives an appropriate level of protection in accordance with its importance to the organization.
An appropriate set of procedures for information labelling shall be developed and implemented in accordance with the information classification scheme adopted by the organization.
To ensure that information receives an appropriate level of protection in accordance with its importance to the organization.
Procedures for handling assets shall be developed and implemented in accordance with the information classification scheme adopted by the organization.
To prevent unauthorized disclosure, modification, removal or destruction of information stored on media.
Procedures shall be implemented for the management of removable media in accordance with the classification scheme adopted by the organization.
To prevent unauthorized disclosure, modification, removal or destruction of information stored on media.
Media shall be disposed of securely when no longer required, using formal procedures.
To prevent unauthorized disclosure, modification, removal or destruction of information stored on media.
Media containing information shall be protected against unauthorized access, misuse or corruption during transportation.
To limit access to information and information processing facilities.
An access control policy shall be established, documented and reviewed based on business and information security requirements.
To limit access to information and information processing facilities.
Users shall only be provided with access to the network and network services that they have been specifically authorized to use.
To ensure authorized user access and to prevent unauthorized access to systems and services.
A formal user registration and de-registration process shall be implemented to enable assignment of access rights.
To ensure authorized user access and to prevent unauthorized access to systems and services.
A formal user access provisioning process shall be implemented to assign or revoke access rights for all user types to all systems and services.
To ensure authorized user access and to prevent unauthorized access to systems and services.
The allocation and use of privileged access rights shall be restricted and controlled.
To ensure authorized user access and to prevent unauthorized access to systems and services.
The allocation of secret authentication information shall be controlled through a formal management process.
To ensure authorized user access and to prevent unauthorized access to systems and services.
Asset owners shall review users’ access rights at regular intervals.
To ensure authorized user access and to prevent unauthorized access to systems and services.
The access rights of all employees and external party users to information and information processing facilities shall be removed upon termination of their employment, contract or agreement, or adjusted upon change.
To make users accountable for safeguarding their authentication information.
Users shall be required to follow the organization’s practices in the use of secret authentication information.
To prevent unauthorized access to systems and applications.
Access to information and application system functions shall be restricted in accordance with the access control policy.
To prevent unauthorized access to systems and applications.
Where required by the access control policy, access to systems and applications shall be controlled by a secure log-on procedure.
To prevent unauthorized access to systems and applications.
Password management systems shall be interactive and shall ensure quality passwords.
To prevent unauthorized access to systems and applications.
The use of utility programs that might be capable of overriding system and application controls shall be restricted and tightly controlled.
To prevent unauthorized access to systems and applications.
Access to program source code shall be restricted.
To ensure proper and effective use of cryptography to protect the confidentiality, authenticity and/or integrity of information.
A policy on the use of cryptographic controls for protection of information shall be developed and implemented.
To ensure proper and effective use of cryptography to protect the confidentiality, authenticity and/or integrity of information.
A policy on the use, protection and lifetime of cryptographic keys shall be developed and implemented through their whole lifecycle.
To prevent unauthorized physical access, damage and interference to the organization’s information and information processing facilities.
Security perimeters shall be defined and used to protect areas that contain either sensitive or critical information and information processing facilities.
To prevent unauthorized physical access, damage and interference to the organization’s information and information processing facilities.
Secure areas shall be protected by appropriate entry controls to ensure that only authorized personnel are allowed access.
To prevent unauthorized physical access, damage and interference to the organization’s information and information processing facilities.
Physical security for offices, rooms and facilities shall be designed and applied.
To prevent unauthorized physical access, damage and interference to the organization’s information and information processing facilities.
Physical protection against natural disasters, malicious attack or accidents shall be designed and applied.
To prevent unauthorized physical access, damage and interference to the organization’s information and information processing facilities.
Procedures for working in secure areas shall be designed and applied.
To prevent unauthorized physical access, damage and interference to the organization’s information and information processing facilities.
Access points such as delivery and loading areas and other points where unauthorized persons could enter the premises shall be controlled and, if possible, isolated from information processing facilities to avoid unauthorized access.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Equipment shall be sited and protected to reduce the risks from environmental threats and hazards, and opportunities for unauthorized access.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Equipment shall be protected from power failures and other disruptions caused by failures in supporting utilities.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Power and telecommunications cabling carrying data or supporting information services shall be protected from interception, interference or damage.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Equipment shall be correctly maintained to ensure its continued availability and integrity.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Equipment, information or software shall not be taken off-site without prior authorization.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Security shall be applied to off-site assets taking into account the different risks of working outside the organization’s premises.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
All items of equipment containing storage media shall be verified to ensure that any sensitive data and licensed software has been removed or securely overwritten prior to disposal or re-use.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
Users shall ensure that unattended equipment has appropriate protection.
To prevent loss, damage, theft or compromise of assets and interruption to the organization’s operations.
A clear desk policy for papers and removable storage media and a clear screen policy for information processing facilities shall be adopted.
To ensure correct and secure operations of information processing facilities.
Operating procedures shall be documented and made available to all users who need them.
To ensure correct and secure operations of information processing facilities.
Changes to the organization, business processes, information processing facilities and systems that affect information security shall be controlled.
To ensure correct and secure operations of information processing facilities.
The use of resources shall be monitored, tuned and projections made of future capacity requirements to ensure the required system performance.
To ensure correct and secure operations of information processing facilities.
Development, testing, and operational environments shall be separated to reduce the risks of unauthorized access or changes to the operational environment.
To ensure that information and information processing facilities are protected against malware.
Detection, prevention and recovery controls to protect against malware shall be implemented, combined with appropriate user awareness.
To protect against loss of data.
Backup copies of information, software and system images shall be taken and tested regularly in accordance with an agreed backup policy.
To record events and generate evidence.
Event logs recording user activities, exceptions, faults and information security events shall be produced, kept and regularly reviewed.
To record events and generate evidence.
Logging facilities and log information shall be protected against tampering and unauthorized access.
To record events and generate evidence.
System administrator and system operator activities shall be logged and the logs protected and regularly reviewed.
To record events and generate evidence.
The clocks of all relevant information processing systems within an organization or security domain shall be synchronised to a sin- gle reference time source.
To ensure the integrity of operational systems.
Procedures shall be implemented to control the installation of software on operational systems.
To prevent exploitation of technical vulnerabilities.
Information about technical vulnerabilities of information systems being used shall be obtained in a timely fashion, the organization’s exposure to such vulnerabilities evaluated and appropriate measures taken to address the associated risk.
To prevent exploitation of technical vulnerabilities.
Rules governing the installation of software by users shall be established and implemented.
To minimise the impact of audit activities on operational systems.
Audit requirements and activities involving verification of operational systems shall be carefully planned and agreed to minimise disruptions to business processes.
To ensure the protection of information in networks and its supporting information processing facilities.
Networks shall be managed and controlled to protect information in systems and applications.
To ensure the protection of information in networks and its supporting information processing facilities.
Security mechanisms, service levels and management requirements of all network services shall be identified and included in network services agreements, whether these services are provided in-house or outsourced.
To ensure the protection of information in networks and its supporting information processing facilities.
Groups of information services, users and information systems shall be segregated on networks.
To maintain the security of information transferred within an organization and with any external entity.
Formal transfer policies, procedures and controls shall be in place to protect the transfer of information through the use of all types of communication facilities.
To maintain the security of information transferred within an organization and with any external entity.
Agreements shall address the secure transfer of business information between the organization and external parties.
To maintain the security of information transferred within an organization and with any external entity.
Information involved in electronic messaging shall be appropriately protected.
To maintain the security of information transferred within an organization and with any external entity.
Requirements for confidentiality or non-disclosure agreements reflecting the organization’s needs for the protection of information shall be identified, regularly reviewed and documented.
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.
The information security related requirements shall be included in the requirements for new information systems or enhancements to existing information systems.
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.
Information involved in application services passing over public networks shall be protected from fraudulent activity, contract dispute and unauthorized disclosure and modification.
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.
Information involved in application service transactions shall be protected to prevent incomplete transmission, mis-routing, unauthorized message alteration, unauthorized disclosure, unauthor- ized message duplication or replay.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Rules for the development of software and systems shall be established and applied to developments within the organization.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Changes to systems within the development lifecycle shall be controlled by the use of formal change control procedures.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
When operating platforms are changed, business critical applications shall be reviewed and tested to ensure there is no adverse impact on organizational operations or security.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Modifications to software packages shall be discouraged, limited to necessary changes and all changes shall be strictly controlled.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Principles for engineering secure systems shall be established, documented, maintained and applied to any information system implementation efforts.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Organizations shall establish and appropriately protect secure development environments for system development and integration efforts that cover the entire system development lifecycle.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
The organization shall supervise and monitor the activity of outsourced system development.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Testing of security functionality shall be carried out during development.
To ensure that information security is designed and implemented within the development lifecycle of information systems.
Acceptance testing programs and related criteria shall be established for new information systems, upgrades and new versions.
To ensure the protection of data used for testing.
Test data shall be selected carefully, protected and controlled.
To ensure protection of the organization’s assets that is accessible by suppliers.
Information security requirements for mitigating the risks associated with supplier’s access to the organization’s assets shall be agreed with the supplier and documented.
To ensure protection of the organization’s assets that is accessible by suppliers.
All relevant information security requirements shall be established and agreed with each supplier that may access, process, store, communicate, or provide IT infrastructure components for, the organization’s information.
To ensure protection of the organization’s assets that is accessible by suppliers.
Agreements with suppliers shall include requirements to address the information security risks associated with information and communications technology services and product supply chain.
To maintain an agreed level of information security and service delivery in line with supplier agreements.
Organizations shall regularly monitor, review and audit supplier service delivery.
To maintain an agreed level of information security and service delivery in line with supplier agreements.
Changes to the provision of services by suppliers, including
maintaining and 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.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
Management responsibilities and procedures shall be established to ensure a quick, effective and orderly response to information security incidents.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
Information security events shall be reported through appropriate management channels as quickly as possible.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
Employees and contractors using the organization’s information systems and services shall be required to note and report any observed or suspected information security weaknesses in systems or services.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
Information security incidents shall be responded to in accordance with the documented procedures.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
Knowledge gained from analysing and resolving information security incidents shall be used to reduce the likelihood or impact of future incidents.
To ensure a consistent and effective approach to the management of information security incidents, including communication on security events and weaknesses.
The organization shall define and apply procedures for the identification, collection, acquisition and preservation of information, which can serve as evidence.
Information security continuity shall be embedded in the organization’s business continuity management systems.
The organization shall determine its requirements for information security and the continuity of information security management in adverse situations, e.g. during a crisis or disaster.
Information security continuity shall be embedded in the organization’s business continuity management systems.
The organization shall establish, document, implement and maintain processes, procedures and controls to ensure the required level of continuity for information security during an adverse situation.
Information security continuity shall be embedded in the organization’s business continuity management systems.
The organization shall verify the established and implemented information security continuity controls at regular intervals in order to ensure that they are valid and effective during adverse situations.
To ensure availability of information processing facilities.
Information processing facilities shall be implemented with redundancy sufficient to meet availability requirements.
To avoid breaches of legal, statutory, regulatory or contractual obligations related to information security and of any security requirements.
All relevant legislative statutory, regulatory, contractual requirements and the organization’s approach to meet these requirements shall be explicitly identified, documented and kept up to date for each information system and the organization.
To avoid breaches of legal, statutory, regulatory or contractual obligations related to information security and of any security requirements.
Appropriate procedures shall be implemented to ensure compliance with legislative, regulatory and contractual requirements related to intellectual property rights and use of proprietary software products.
To avoid breaches of legal, statutory, regulatory or contractual obligations related to information security and of any security requirements.
Records shall be protected from loss, destruction, falsification, unauthorized access and unauthorized release, in accordance with legislatory, regulatory, contractual and business requirements.
To avoid breaches of legal, statutory, regulatory or contractual obligations related to information security and of any security requirements.
Privacy and protection of personally identifiable information shall be ensured as required in relevant legislation and regulation where applicable.
To avoid breaches of legal, statutory, regulatory or contractual obligations related to information security and of any security requirements.
Cryptographic controls shall be used in compliance with all relevant agreements, legislation and regulations.
To ensure that information security is implemented and operated in accordance with the organizational policies and procedures.
The organization’s approach to managing information security and its implementation (i.e. control objectives, controls, policies, processes and procedures for information security) shall be reviewed independently at planned intervals or when significant changes occur.
To ensure that information security is implemented and operated in accordance with the organizational policies and procedures.
Managers shall regularly review the compliance of information processing and procedures within their area of responsibility with the appropriate security policies, standards and any other security requirements.
To ensure that information security is implemented and operated in accordance with the organizational policies and procedures.
Information systems shall be regularly reviewed for compliance with the organization’s information security policies and standards.
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Understanding the organization and its context
The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system.
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Understanding the needs and expectations of interested parties
The organization shall determine:
a) interested parties that are relevant to the information security management system; and
b) the requirements of these interested parties relevant to information security.
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Determining the scope of the information security management system
The organization shall determine the boundaries and applicability of the information security management system to establish its scope.
When determining this scope, the organization shall consider:
a) the external and internal issues referred to in 4.1;
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Information security management system
The organization shall establish, implement, maintain and continually improve an information security management system, in accordance with the requirements of this International Standard.
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Leadership and commitment
Top management shall demonstrate leadership and commitment with respect to the information security management system by:
a) ensuring the information security policy and the information security objectives are established and are compatible with the strategic direction of the organization;
b) ensuring the integration of the information security management system requirements into the organization’s processes;
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Top management shall establish an information security policy that:
a) is appropriate to the purpose of the organization;
b) includes information security objectives (see 6.2) or provides the framework for setting information security objectives;
c) includes a commitment to satisfy applicable requirements related to information security; and
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Top management shall ensure that the responsibilities and authorities for roles relevant to information security are assigned and communicated.
Top management shall assign the responsibility and authority for:
a) ensuring that the information security management system conforms to the requirements of this International Standard; and
b) reporting on the performance of the information security management system to top management.
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When planning for the information security management system, the organization shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to:
a) ensure the information security management system can achieve its intended outcome(s);
b) prevent, or reduce, undesired effects; and
c) achieve continual improvement.
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Information security risk assessment
The organization shall define and apply an information security risk assessment process that:
a) establishes and maintains information security risk criteria that include:
1) the risk acceptance criteria; and
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The organization shall define and apply an information security risk treatment process to:
a) select appropriate information security risk treatment options, taking account of the risk assessment results;
b) determine all controls that are necessary to implement the information security risk treatment option(s) chosen;
c) compare the controls determined in 6.1.3 b) above with those in Annex A and verify that no necessary controls have been omitted;
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Information security objectives and planning to achieve them
The organization shall establish information security objectives at relevant functions and levels.
The information security objectives shall:
a) be consistent with the information security policy;
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Resources
The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the information security management system.
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The organization shall:
a) determine the necessary competence of person(s) doing work under its control that affects its information security performance;
b) ensure that these persons are competent on the basis of appropriate education, training, or experience;
c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken; and
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Persons doing work under the organization’s control shall be aware of:
a) the information security policy;
b) their contribution to the effectiveness of the information security management system, including the benefits of improved information security performance; and
c) the implications of not conforming with the information security management system requirements.
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Communication
The organization shall determine the need for internal and external communications relevant to the information security management system including:
a) on what to communicate;
b) when to communicate;
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General
The organization’s information security management system shall include:
a) documented information required by this International Standard; and
b) documented information determined by the organization as being necessary for the effectiveness of the information security management system.
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When creating and updating documented information the organization shall ensure appropriate:
a) identification and description (e.g. a title, date, author, or reference number);
b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic); and
c) review and approval for suitability and adequacy.
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Documented information required by the information security management system and by this International Standard shall be controlled to ensure:
a) it is available and suitable for use, where and when it is needed; and
b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).
For the control of documented information, the organization shall address the following activities, as applicable:
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The organization shall plan, implement and control the processes needed to meet information security requirements, and to implement the actions determined in 6.1. The organization shall also implement plans to achieve information security objectives determined in 6.2.
The organization shall keep documented information to the extent necessary to have confidence that the processes have been carried out as planned.
The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary.
The organization shall ensure that outsourced processes are determined and controlled.
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The organization shall perform information security risk assessments at planned intervals or when significant changes are proposed or occur, taking account of the criteria established in 6.1.2 a).
The organization shall retain documented information of the results of the information security risk assessments.
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The organization shall implement the information security risk treatment plan.
The organization shall retain documented information of the results of the information security risk treatment.
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Monitoring, measurement, analysis and evaluation
The organization shall evaluate the information security performance and the effectiveness of the information security management system.
The organization shall determine:
a) what needs to be monitored and measured, including information security processes and controls;
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The organization shall conduct internal audits at planned intervals to provide information on whether
the information security management system:
a) conforms to
1) the organization’s own requirements for its information security management system; and
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B.9.3 Management review
Top management shall review the organization’s information security management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness.
The management review shall include consideration of:
a) the status of actions from previous management reviews;
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Nonconformity and corrective action
When a nonconformity occurs, the organization shall:
a) react to the nonconformity, and as applicable:
1) take action to control and correct it; and
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Continual Improvement
The organization shall continually improve the suitability, adequacy and effectiveness of the information security management system.