AS/NZS 4444.1:1999
Warning: Superseded Standard. This document has been replaced by:
AS/NZS ISO/IEC 17799:2001Information security management - Code of practice for information security management (Redesignated as AS/NZS 7799:2000)
Gives recommendations for information security management for use by those who are responsible for initiating, implementing or maintaining security in their organization. It is intended to provide a common basis for developing organizational security standards and effective security management practice and to provide confidence in inter-organizational dealings. This Standard is identical to BS 7799.1:1999.
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AS/NZS 4444.1:1999 INFORMATION SECURITY MANAGEMENT - CODE OF PRACTICE FOR INFORMATION SECURITY MANAGEMENT
Preface
Contents
Introduction
What is information security?
Why information security is needed?
How to establish security requirements?
Assessing security risks
Selecting controls
Information security starting point
Critical success factors
Developing your own guidelines
1 Scope
2 Terms and definitions
2.1 Information security
2.2 Risk assessment
2.3 Risk management
3 Security policy
3.1 Information security policy
3.1.1 Information security policy document
3.1.2 Review and evaluation
4 Security organization
4.1 Information security infrastructure
4.1.1 Management information security forum
4.1.2 Information security co-ordination
4.1.3 Allocation of information security responsibilities
4.1.4 Authorization process for information processing facilities
4.1.5 Specialist information security advice
4.1.6 Co-operation between organizations
4.1.7 Independent review of information security
4.2 Security of third party access
4.2.1 Identification of risks from third party access
4.2.2 Security requirements in third party contracts
4.3 Outsourcing
4.3.1 Security requirements in outsourcing contracts
5 Asset classification and control
5.1 Accountability for assets
5.1.1 Inventory of assets
5.2 Information classification
5.2.1 Classification guidelines
5.2.2 Information labelling and handling
6 Personnel security
6.1 Security in job definition and resourcing
6.1.1 Including security in job responsibilities
6.1.2 Personnel screening and policy
6.1.3 Confidentiality agreements
6.1.4 Terms and conditions of employment
6.2 User training
6.2.1 Information security education and training
6.3 Responding to security incidents and malfunctions
6.3.1 Reporting security incidents
6.3.2 Reporting security weaknesses
6.3.3 Reporting software malfunctions
6.3.4 Learning from incidents
6.3.5 Disciplinary process
7 Physical and environmental security
7.1 Secure areas
7.1.1 Physical security perimeter
7.1.2 Physical entry controls
7.1.3 Securing offices, rooms and facilities
7.1.4 Working in secure areas
7.1.5 Isolated delivery and loading areas
7.2 Equipment security
7.2.1 Equipment siting and protection
7.2.2 Power supplies
7.2.3 Cabling security
7.2.4 Equipment maintenance
7.2.5 Security of equipment off-premises
7.2.6 Secure disposal or re-use of equipment
7.3 General controls
7.3.1 Clear desk and clear screen policy
7.3.2 Removal of property
8 Communications and operations management
8.1 Operational procedures and responsibilities
8.1.1 Documented operating procedures
8.1.2 Operational change control
8.1.3 Incident management procedures
8.1.4 Segregation of duties
8.1.5 Separation of development and operational facilities
8.1.6 External facilities management
8.2 System planning and acceptance
8.2.1 Capacity planning
8.2.2 System acceptance
8.3 Protection against malicious software
8.3.1 Controls against malicious software
8.4 Housekeeping
8.4.1 Information back-up
8.4.2 Operator logs
8.4.3 Fault logging
8.5 Network management
8.5.1 Network controls
8.6 Media handling and security
8.6.1 Management of removable computer media
8.6.2 Disposal of media
8.6.3 Information handling procedures
8.6.4 Security of system documentation
8.7 Exchanges of information and software
8.7.1 Information and software exchange agreements
8.7.2 Security of media in transit
8.7.3 Electronic commerce security
8.7.4 Security of electronic mail
8.7.5 Security of electronic office systems
8.7.6 Publicly available systems
8.7.7 Other forms of information exchange
9 Access control
9.1 Business requirement for access control
9.1.1 Access control policy
9.2 User access management
9.2.1 User registration
9.2.2 Privilege management
9.2.3 User password management
9.2.4 Review of user access rights
9.3 User responsibilities
9.3.1 Password use
9.3.2 Unattended user equipment
9.4 Network access control
9.4.1 Policy on use of network services
9.4.2 Enforced path
9.4.3 User authentication for external connections
9.4.4 Node authentication
9.4.5 Remote diagnostic port protection
9.4.6 Segregation in networks
9.4.7 Network connection control
9.4.8 Network routing control
9.4.9 Security of network services
9.5 Operating system access control
9.5.1 Automatic terminal identification
9.5.2 Terminal log-on procedures
9.5.3 User identification and authentication
9.5.4 Password management system
9.5.5 Use of system utilities
9.5.6 Duress alarm to safeguard users
9.5.7 Terminal time-out
9.5.8 Limitation of connection time
9.6 Application access control
9.6.1 Information access restriction
9.6.2 Sensitive system isolation
9.7 Monitoring system access and use
9.7.1 Event logging
9.7.2 Monitoring system use
9.7.3 Clock synchronization
9.8 Mobile computing and teleworking
9.8.1 Mobile computing
9.8.2 Teleworking
10 Systems development and maintenance
10.1 Security requirements of systems
10.1.1 Security requirements analysis and specification
10.2 Security in application systems
10.2.1 Input data validation
10.2.2 Control of internal processing
10.2.3 Message authentication
10.2.4 Output data validation
10.3 Cryptographic controls
10.3.1 Policy on the use of cryptographic controls
10.3.2 Encryption
10.3.3 Digital signatures
10.3.4 Non-repudiation services
10.3.5 Key management
10.4 Security of system files
10.4.1 Control of operational software
10.4.2 Protection of system test data
10.4.3 Access control to program source library
10.5 Security in development and support processes
10.5.1 Change control procedures
10.5.2 Technical review of operating system changes
10.5.3 Restrictions on changes to software packages
10.5.4 Covert channels and Trojan code
10.5.5 Outsourced software development
11 Business continuity management
11.1 Aspects of business continuity management
11.1.1 Business continuity management process
11.1.2 Business continuity and impact analysis
11.1.3 Writing and implementing continuity plans
11.1.4 Business continuity planning framework
11.1.5 Testing, maintaining and re-assessing business continuity plans
12 Compliance
12.1 Compliance with legal requirements
12.1.1 Identification of applicable legislation
12.1.2 Intellectual property rights (IPR)
12.1.3 Safeguarding of organizational records
12.1.4 Data protection and privacy of personal information
12.1.5 Prevention of misuse of information processing facilities
12.1.6 Regulation of cryptographic controls
12.1.7 Collection of evidence
12.2 Reviews of security policy and technical compliance
12.2.1 Compliance with security policy
12.2.2 Technical compliance checking
12.3 System audit considerations
12.3.1 System audit controls
12.3.2 Protection of system audit tools
Appendix A - OECD information security principles
Security Objective
Appendix B - Australian's information privacy principles
Appendix C - New Zealand's information privacy principles
PRIVACY ACT (1993)
NEW ZEALAND'S COPYRIGHT ACT (1994)
OTHER NEW ZEALAND LEGISLATION
Index
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AS/NZS 4444.1:1999 INFORMATION SECURITY MANAGEMENT - CODE OF PRACTICE FOR INFORMATION SECURITY MANAGEMENT
Preface
Contents
Introduction
What is information security?
Why information security is needed?
How to establish security requirements?
Assessing security risks
Selecting controls
Information security starting point
Critical success factors
Developing your own guidelines
1 Scope
2 Terms and definitions
2.1 Information security
2.2 Risk assessment
2.3 Risk management
3 Security policy
3.1 Information security policy
3.1.1 Information security policy document
3.1.2 Review and evaluation
4 Security organization
4.1 Information security infrastructure
4.1.1 Management information security forum
4.1.2 Information security co-ordination
4.1.3 Allocation of information security responsibilities
4.1.4 Authorization process for information processing facilities
4.1.5 Specialist information security advice
4.1.6 Co-operation between organizations
4.1.7 Independent review of information security
4.2 Security of third party access
4.2.1 Identification of risks from third party access
4.2.2 Security requirements in third party contracts
4.3 Outsourcing
4.3.1 Security requirements in outsourcing contracts
5 Asset classification and control
5.1 Accountability for assets
5.1.1 Inventory of assets
5.2 Information classification
5.2.1 Classification guidelines
5.2.2 Information labelling and handling
6 Personnel security
6.1 Security in job definition and resourcing
6.1.1 Including security in job responsibilities
6.1.2 Personnel screening and policy
6.1.3 Confidentiality agreements
6.1.4 Terms and conditions of employment
6.2 User training
6.2.1 Information security education and training
6.3 Responding to security incidents and malfunctions
6.3.1 Reporting security incidents
6.3.2 Reporting security weaknesses
6.3.3 Reporting software malfunctions
6.3.4 Learning from incidents
6.3.5 Disciplinary process
7 Physical and environmental security
7.1 Secure areas
7.1.1 Physical security perimeter
7.1.2 Physical entry controls
7.1.3 Securing offices, rooms and facilities
7.1.4 Working in secure areas
7.1.5 Isolated delivery and loading areas
7.2 Equipment security
7.2.1 Equipment siting and protection
7.2.2 Power supplies
7.2.3 Cabling security
7.2.4 Equipment maintenance
7.2.5 Security of equipment off-premises
7.2.6 Secure disposal or re-use of equipment
7.3 General controls
7.3.1 Clear desk and clear screen policy
7.3.2 Removal of property
8 Communications and operations management
8.1 Operational procedures and responsibilities
8.1.1 Documented operating procedures
8.1.2 Operational change control
8.1.3 Incident management procedures
8.1.4 Segregation of duties
8.1.5 Separation of development and operational facilities
8.1.6 External facilities management
8.2 System planning and acceptance
8.2.1 Capacity planning
8.2.2 System acceptance
8.3 Protection against malicious software
8.3.1 Controls against malicious software
8.4 Housekeeping
8.4.1 Information back-up
8.4.2 Operator logs
8.4.3 Fault logging
8.5 Network management
8.5.1 Network controls
8.6 Media handling and security
8.6.1 Management of removable computer media
8.6.2 Disposal of media
8.6.3 Information handling procedures
8.6.4 Security of system documentation
8.7 Exchanges of information and software
8.7.1 Information and software exchange agreements
8.7.2 Security of media in transit
8.7.3 Electronic commerce security
8.7.4 Security of electronic mail
8.7.5 Security of electronic office systems
8.7.6 Publicly available systems
8.7.7 Other forms of information exchange
9 Access control
9.1 Business requirement for access control
9.1.1 Access control policy
9.2 User access management
9.2.1 User registration
9.2.2 Privilege management
9.2.3 User password management
9.2.4 Review of user access rights
9.3 User responsibilities
9.3.1 Password use
9.3.2 Unattended user equipment
9.4 Network access control
9.4.1 Policy on use of network services
9.4.2 Enforced path
9.4.3 User authentication for external connections
9.4.4 Node authentication
9.4.5 Remote diagnostic port protection
9.4.6 Segregation in networks
9.4.7 Network connection control
9.4.8 Network routing control
9.4.9 Security of network services
9.5 Operating system access control
9.5.1 Automatic terminal identification
9.5.2 Terminal log-on procedures
9.5.3 User identification and authentication
9.5.4 Password management system
9.5.5 Use of system utilities
9.5.6 Duress alarm to safeguard users
9.5.7 Terminal time-out
9.5.8 Limitation of connection time
9.6 Application access control
9.6.1 Information access restriction
9.6.2 Sensitive system isolation
9.7 Monitoring system access and use
9.7.1 Event logging
9.7.2 Monitoring system use
9.7.3 Clock synchronization
9.8 Mobile computing and teleworking
9.8.1 Mobile computing
9.8.2 Teleworking
10 Systems development and maintenance
10.1 Security requirements of systems
10.1.1 Security requirements analysis and specification
10.2 Security in application systems
10.2.1 Input data validation
10.2.2 Control of internal processing
10.2.3 Message authentication
10.2.4 Output data validation
10.3 Cryptographic controls
10.3.1 Policy on the use of cryptographic controls
10.3.2 Encryption
10.3.3 Digital signatures
10.3.4 Non-repudiation services
10.3.5 Key management
10.4 Security of system files
10.4.1 Control of operational software
10.4.2 Protection of system test data
10.4.3 Access control to program source library
10.5 Security in development and support processes
10.5.1 Change control procedures
10.5.2 Technical review of operating system changes
10.5.3 Restrictions on changes to software packages
10.5.4 Covert channels and Trojan code
10.5.5 Outsourced software development
11 Business continuity management
11.1 Aspects of business continuity management
11.1.1 Business continuity management process
11.1.2 Business continuity and impact analysis
11.1.3 Writing and implementing continuity plans
11.1.4 Business continuity planning framework
11.1.5 Testing, maintaining and re-assessing business continuity plans
12 Compliance
12.1 Compliance with legal requirements
12.1.1 Identification of applicable legislation
12.1.2 Intellectual property rights (IPR)
12.1.3 Safeguarding of organizational records
12.1.4 Data protection and privacy of personal information
12.1.5 Prevention of misuse of information processing facilities
12.1.6 Regulation of cryptographic controls
12.1.7 Collection of evidence
12.2 Reviews of security policy and technical compliance
12.2.1 Compliance with security policy
12.2.2 Technical compliance checking
12.3 System audit considerations
12.3.1 System audit controls
12.3.2 Protection of system audit tools
Appendix A - OECD information security principles
Security Objective
Appendix B - Australian's information privacy principles
Appendix C - New Zealand's information privacy principles
PRIVACY ACT (1993)
NEW ZEALAND'S COPYRIGHT ACT (1994)
OTHER NEW ZEALAND LEGISLATION
Index