ISO 27001 Audit Checklist Template – Free PDF

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ISO 27001 audit checklist

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Use this template with Lumiform

The Lumiform application helps frontline teams uphold internal standards effortlessly.

Customize this template or build your own
Fill out templates via mobile app
Assign and track corrective actions
Get reports and analyse your data

Prices start from ░░░ per month

Book a demo

Learn more

Navigate the complex requirements of ISO 27001 certification with this audit checklist for information security professionals. The template guides you through evaluating key components like ISMS policy, risk assessments, management responsibility, and continuous improvement processes. Since 2010, ISO 27001 certifications have gone up by more than four times, demonstrating the growing importance of standardized information security practices.

This checklist helps you conduct thorough internal audits to identify weaknesses in your security controls and documentation before external auditors arrive. You’ll have more time to address issues that might otherwise result in certification delays.

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Preview of the template

Audit

Insert company logo

Scope

Enter the scope

Opening meeting

List of attendees of opening meeting and their roles

Are there any Health & Safety issues that might affect the conduct of the audit?

Overview of the company

Review of previous audit findings

Describe the findings and indicate if they have been addressed and in what way

Key themes

Identify key themes

INFORMATION SECURITY MANAGEMENT SYSTEM

ISMS Policy

Does the ISMS policy include a framework for setting objectives?

Take into account legal and regulatory requirements?

Establish criteria against which risk will be evaluated?

Been approved by management?

Record the date the ISMS policy was last updated

Risk Assessments

Has the risk assessment methodology been defined

Describe how risks are identified, analysed, evaluated and treated

Record the date the Risk Assessment was last updated

Statement of Applicability

Have control objectives and controls been defined, selected, implemented or justification for their exclusion been documented.

Record the date the SoA was last updated

Operating the ISMS

How is the effectiveness of controls measured to ensure consistent and reproducible results?

Is there a log of actions and events which impact upon the effectiveness of the ISMS? Give examples of records seen

Is there evidence of any improvements to the ISMS?

Is there a documented Control of Documents procedure?

Is there Control of Records Procedure? Are records protected and controlled? Have the controls required to identify, store, protect, retrieve, retain, and dispose of records been documented?

MANAGEMENT RESPONSIBILITY

Is there evidence that sufficient resources have been provided to adequately monitor, review, maintain and improve the ISMS?

Is there a training and awareness programme? Give examples of records seen to demonstrate this.

How is the effectiveness of any training given evaluated?

INTERNAL ISMS AUDITS

Have Internal ISMS audits been conducted and is there evidence that they have been planned?

Give dates and examples of audits conducted

MANAGEMENT REVIEW OF THE ISMS

Have management reviews of the ISMS been conducted and recorded?

Give details of the inputs and outputs

Give the date of the latest management review

ISMS IMPROVEMENT

Are there any records of non-conformities? If yes how have these been addressed and what evidence was seen?

Is there any evidence of preventive action taken to identify potential non-conformities, and evaluation of the need for action? Give examples

Closing meeting

List of attendees of closing meeting and their roles

Major non-conformances

List any MAJOR non-conformances

❌I regret to inform you that on this occasion I am unable to recommend your certification

Minor non-Conformances

List all MINOR non-conformances

Observations and opportunities for improvemement

List any observations or opportunities for improvement

I am pleased to be able to tell you that you have met the requirements of the standard and I will therefore be recommending your certification

Sign off the audit

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Frequently asked questions

How can I use this ISO 27001 audit checklist most effectively?

First, customize the checklist to reflect your organization’s specific scope and controls. Conduct regular internal audits (quarterly is ideal) rather than just before certification audits. Document evidence for each checkpoint and assign clear responsibilities for addressing any gaps identified during the audit process.

Who should be involved when completing this ISO 27001 audit checklist?

Include your information security officer, IT manager, and representatives from key departments affected by your ISMS. For objectivity, the lead auditor should be independent of the areas being audited. Consider involving senior management in opening and closing meetings to demonstrate leadership commitment.

What should I do with the non-conformities identified using this checklist?

Document each non-conformity with clear evidence and root cause analysis. You can then create a remediation plan with specific actions, responsibilities, and deadlines. Implement corrections and verify their effectiveness through follow-up checks. Finally, use the findings to improve your overall ISMS and prevent similar issues in the future.

Can I modify this ISO 27001 audit checklist for my organization’s needs?

Yes, customize the checklist to reflect your specific scope, risk profile, and implemented controls. Add organization-specific questions based on your Statement of Applicability. However, maintain all core ISO 27001 requirements to ensure compliance with the standard while making the audit relevant to your operations.

This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.