System Guides

A.5.22 "Monitoring, Review, and Change Management of Supplier Services" would include:

1. Supplier Service Evaluation Process: Documentation outlining the organization's process for evaluating the services provided by suppliers to ensure they meet information security requirements.

2. Supplier Performance Metrics: Records of performance metrics and key performance indicators (KPIs) used to measure the quality and security of supplier services.

3. Regular Reviews: Evidence of regular reviews or assessments conducted on supplier services to evaluate their compliance with agreed-upon security standards.

4. Incident and Problem Management: Documentation detailing how incidents and problems related to supplier services are managed, reported, and resolved.

5. Change Management: Proof of a change management process that covers changes to supplier services, ensuring that security implications are assessed and managed appropriately.

6. Documentation of Changes: Records of any changes made to supplier services, along with documentation of the associated risk assessments and approvals.

7. Risk Management: Documentation of risk assessments conducted on supplier services to identify potential security risks and vulnerabilities.

8. Continuous Improvement: Evidence of ongoing efforts to improve the security and quality of supplier services based on feedback, reviews, and audits.

9. Communication with Suppliers: Records of communication with suppliers regarding changes, issues, and improvements related to their services.

10. Supplier Compliance: Proof that suppliers are required to comply with the organization's information security policies and standards.

11. Escalation Procedures: Documentation outlining procedures for escalating issues related to supplier services to higher management levels if needed.

12. Disaster Recovery and Business Continuity: Evidence that supplier services are included in the organization's disaster recovery and business continuity plans.

13. Testing and Validation: Records of testing and validation activities carried out to ensure that supplier services meet the organization's security requirements.

14. Service Level Agreements (SLAs): Copies of SLAs that specify the security requirements, performance expectations, and response times for supplier services.

15. Termination and Transition: Documentation of procedures for terminating or transitioning supplier services, including the secure return or destruction of data.

16. Evidence of Collaboration: Proof of collaboration and communication with suppliers to address security concerns, implement improvements, and resolve issues.

17. Security Audits and Assessments: Records of security audits or assessments conducted on supplier services to verify their compliance with security requirements.

By examining these pieces of evidence, an auditor can determine whether the organization effectively monitors, reviews, and manages changes in supplier services to ensure they continue to meet the organization's information security standards and contribute to maintaining a secure environment.

A.5.20 "Addressing Information Security within Supplier Agreements" would include:

1. Supplier Agreements: Copies of supplier agreements or contracts that demonstrate the inclusion of clauses related to information security requirements, responsibilities, and expectations.

2. Information Security Requirements: Documentation indicating the specific information security requirements that are stipulated in the supplier agreements. This could include confidentiality, data protection, access controls, security incident reporting, etc.

3. Risk Assessment: Records of risk assessments conducted to identify the potential information security risks associated with the products or services provided by suppliers.

4. Due Diligence: Evidence of due diligence performed on suppliers' information security practices, such as security audits, questionnaires, or assessments, before entering into agreements.

5. Supplier Selection Criteria: Documentation outlining the criteria used to select suppliers based on their information security capabilities and practices.

6. Security Obligations: Proof of the contractual obligations imposed on suppliers regarding the protection of sensitive information, data handling, security controls, and compliance with relevant regulations.

7. Data Protection and Privacy: Evidence that supplier agreements align with data protection and privacy regulations, ensuring that the supplier handles personal data appropriately.

8. Incident Reporting: Documentation indicating that suppliers are required to report security incidents promptly and provide necessary support during incident response.

9. Third-Party Audits: Records of third-party audits or assessments conducted on suppliers' information security practices to ensure ongoing compliance.

10. Change Management: Proof that the supplier agreements address how changes to products or services, software updates, or modifications will be managed to maintain security.

11. Termination and Exit Strategy: Documentation outlining procedures for terminating supplier agreements and ensuring the secure return or disposal of sensitive information.

12. Contractual Enforcement: Evidence of mechanisms in place to enforce the information security requirements within supplier agreements, including consequences for non-compliance.

13. Communication and Training: Records indicating how the supplier's staff is informed and trained on the organization's information security requirements.

14. Continuous Monitoring: Documentation showing that the organization monitors the security practices of its suppliers on an ongoing basis.

15. Supplier Relationship Management: Proof of a process for maintaining a relationship with suppliers that includes periodic reviews of their security posture.

By examining these pieces of evidence, an auditor can assess whether the organization has established a robust approach to addressing information security within its supplier agreements, ensuring that the organization's information and data remain protected throughout the supply chain.