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ISO 27001 Internal Audit Checklist Template

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ISO 27001 Internal Audit Checklist Template

Opening Meeting

Opening Meeting Notes

Review of previous audit findings for effectiveness

Previous Findings Review

Previous Findings

Review Details

Review Outcome

Recommendation Effectiveness Review

Recommendation Raised in previous audit?

Recommendation Details

Recommendation Effectiveness Outcome

Please Specify Other(s)

Conclusion/Outcome Details:

Section 4 - Context of the organisation

Section applicable to the function being audited

Applicable Clauses

4.1 Understanding the organisation and it's context

Requirements: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.NOTE Determining these issues refers to establishing the external and internal context of the organization considered in Clause 5.3 of ISO 31000:2009[5].

Has the above requirements been met for 4.1

Auditor Notes

Compliance Level

Finding Type

4.2 Understanding the needs and expectations of interested parties

Requirements:The organization shall determine:a) interested parties that are relevant to the information security management system; andb) the requirements of these interested parties relevant to information security.NOTE The requirements of interested parties may include legal and regulatory requirements and contractual obligations.

Has the above requirements been met for 4.2

Auditor Notes

Compliance Level

Finding Type

4.3 Determining the scope of the ISMS

Requirements: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;b) the requirements referred to in 4.2; andc) interfaces and dependencies between activities performed by the organization, and those that are performed by other organizations.The scope shall be available as documented information.

Has the above requirements been met for 4.3

Auditor Notes

Compliance Level

Finding Type

4.4 Information Security Management System

Requirements:The organization shall establish, implement, maintain and continually improve an information security management system, in accordance with the requirements of this International Standard.

Has the above requirements been met for 4.4

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 4

Section 5 - Leadership

Section applicable to the function being audited

Applicable Clauses

5.1 Leadership & Commitment

Requirements: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;c) ensuring that the resources needed for the information security management system are available;d) communicating the importance of effective information security management and of conforming to the information security management system requirements;e) ensuring that the information security management system achieves its intended outcome(s);f) directing and supporting persons to contribute to the effectiveness of the information security management system;g) promoting continual improvement; andh) supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.

Has the above requirements been met for 5.1

Auditor Notes

Compliance Level

Finding Type

5.2 Policy

Requirements: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; andd) includes a commitment to continual improvement of the information security management system.The information security policy shall:e) be available as documented information;f) be communicated within the organization; andg) be available to interested parties, as appropriate.

Has the above requirements been met for 5.2

Auditor Notes

Compliance Level

Finding Type

5.3 Organisational roles, responsibilities and authorities

Requirements: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; andb) reporting on the performance of the information security management system to top management.NOTE Top management may also assign responsibilities and authorities for reporting performance of the information security management system within the organization.

Has the above requirements been met for 5.3

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 5

Section 6 - Planning

Section applicable to the function being audited

Applicable Clauses

6.1.1 General: Actions to address risk and opportunities

Requirements: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; andc) achieve continual improvement.The organization shall plan:d) actions to address these risks and opportunities; ande) how to1) integrate and implement the actions into its information security management system processes; and2) evaluate the effectiveness of these actions.

Has the above requirements been met for 6.1.1

Auditor Notes

Compliance Level

Finding Type

6.1.2 Information security risk assessment

Requirements: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; and2) criteria for performing information security risk assessments;b) ensures that repeated information security risk assessments produce consistent, valid and comparable results;c) identifies the information security risks:1) apply the information security risk assessment process to identify risks associated with the loss of confidentiality, integrity and availability for information within the scope of the information security management system; and2) identify the risk owners;d) analyses the information security risks:1) assess the potential consequences that would result if the risks identified in 6.1.2 c) 1) were to materialize;2) assess the realistic likelihood of the occurrence of the risks identified in 6.1.2 c) 1); and3) determine the levels of risk;e) evaluates the information security risks:1) compare the results of risk analysis with the risk criteria established in 6.1.2 a); and2) prioritize the analysed risks for risk treatment.The organization shall retain documented information about the information security risk assessment process.

Has the above requirements been met for 6.1.2

Auditor Notes

Compliance Level

Finding Type

6.1.3 Information security risk treatment

Requirements: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;NOTE Organizations can design controls as required, or identify them from any source.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;NOTE 1 Annex A contains a comprehensive list of control objectives and controls. Users of this International Standard are directed to Annex A to ensure that no necessary controls are overlooked.NOTE 2 Control objectives are implicitly included in the controls chosen. The control objectives and controls listed in Annex A are not exhaustive and additional control objectives and controls may be needed.d) produce a Statement of Applicability that contains the necessary controls (see 6.1.3 b) and c)) and justification for inclusions, whether they are implemented or not, and the justification for exclusions of controls from Annex A;e) formulate an information security risk treatment plan; andf) obtain risk owners’ approval of the information security risk treatment plan and acceptance of the residual information security risks.The organization shall retain documented information about the information security risk treatment process.NOTE The information security risk assessment and treatment process in this International Standard aligns with the principles and generic guidelines provided in ISO 31000[5].

Has the above requirements been met for 6.1.3

Auditor Notes

Compliance Level

Finding Type

6.2 Information security objectives and planning to achieve them

Requirements: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;b) be measurable (if practicable);c) take into account applicable information security requirements, and results from risk assessment and risk treatment;d) be communicated; ande) be updated as appropriate.The organization shall retain documented information on the information security objectives.When planning how to achieve its information security objectives, the organization shall determine:f) what will be done;g) what resources will be required;h) who will be responsible;i) when it will be completed; andj) how the results will be evaluated.

Has the above requirements been met for 6.2

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 6

Section 7 - Support

Section applicable to the function being audited

Applicable Clauses

7.1 Resources

Requirements:The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the information security management system.

Has the above requirements been met for 7.1

Auditor Notes

Compliance Level

Finding Type

7.2 Competence

Requirements:The organization shall:a) determine the necessary competence of person(s) doing work under its control that affects itsinformation 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 effectivenessof the actions taken; andd) retain appropriate documented information as evidence of competence.NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the reassignment of current employees; or the hiring or contracting of competent persons.

Has the above requirements been met for 7.2

Auditor Notes

Compliance Level

Finding Type

7.3 Awareness

Requirements: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, includingc) the benefits of improved information security performance; and the implications of not conforming with the information security management system requirements.

Has the above requirements been met for 7.3

Auditor Notes

Compliance Level

Finding Type

7.4 Communication

Requirements:The organization shall determine the need for internal and external communications relevant to theinformation security management system including:a) on what to communicate;b) when to communicate;c) with whom to communicate;d) who shall communicate; and e) the processes by which communication shall be effected

Has the above requirements been met for 7.4

Auditor Notes

Compliance Level

Finding Type

7.5.1 General

Requirements:The organization’s information security management system shall include:a) documented information required by this International Standard; andb) documented information determined by the organization as being necessary for the effectiveness ofthe information security management system.NOTE The extent of documented information for an information security management system can differfrom one organization to another due to:1) the size of organization and its type of activities, processes, products and services;2) the complexity of processes and their interactions; and3) the competence of persons.

Has the above requirements been met for 7.5.1

Auditor Notes

Compliance Level

Finding Type

7.5.2 Creating and updating

Requirements: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); andc) review and approval for suitability and adequacy.

Has the above requirements been met for 7.5.2

Auditor Notes

Compliance Level

Finding Type

7.5.3 Control of documented information

Requirements:Documented information required by the information security management system and by thisInternational Standard shall be controlled to ensure:a) it is available and suitable for use, where and when it is needed; andb) 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:c) distribution, access, retrieval and use;d) storage and preservation, including the preservation of legibility;e) control of changes (e.g. version control); andf) retention and disposition.Documented information of external origin, determined by the organization to be necessary forthe planning and operation of the information security management system, shall be identified asappropriate, and controlled.NOTE Access implies a decision regarding the permission to view the documented information only, or thepermission and authority to view and change the documented information, etc.

Has the above requirements been met for 7.5.3

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 7

Section 8 - Operation

Section applicable to the function being audited

Applicable Clauses

8.1 Operational planning and control

Requirements:The organization shall plan, implement and control the processes needed to meet information securityrequirements, and to implement the actions determined in 6.1. The organization shall also implementplans to achieve information security objectives determined in 6.2.The organization shall keep documented information to the extent necessary to have confidence thatthe 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.

Has the above requirements been met for 8.1

Auditor Notes

Compliance Level

Finding Type

8.2 Information security risk assessment

Requirement:The organization shall perform information security risk assessments at planned intervals or whensignificant 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 securityrisk assessments.

Has the above requirements been met for 8.2

Auditor Notes

Compliance Level

Finding Type

8.3 Information security risk treatment

Requirements:The organization shall implement the information security risk treatment plan.The organization shall retain documented information of the results of the information securityrisk treatment.

Has the above requirements been met for 8.3

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 8

Section 9 - Performance Evaluation

Section applicable to the function being audited

Applicable Clauses

9.1 Monitoring, measurement, analysis and evaluation

Requirements:The organization shall evaluate the information security performance and the effectiveness of theinformation security management system.The organization shall determine:a)what needs to be monitored and measured, including information security processes and controls;b) the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensurevalid results;NOTE The methods selected should produce comparable and reproducible results to be considered valid.c) when the monitoring and measuring shall be performed;d) who shall monitor and measure;e) when the results from monitoring and measurement shall be analysed and evaluated; andf) who shall analyse and evaluate these results.The organization shall retain appropriate documented information as evidence of the monitoring andmeasurement results.

Has the above requirements been met for 9.1

Auditor Notes

Compliance Level

Finding Type

9.2 Internal audits

Requirements:The organization shall conduct internal audits at planned intervals to provide information on whetherthe information security management system:a) conforms to1) the organization’s own requirements for its information security management system; and2) the requirements of this International Standard;b) is effectively implemented and maintained.The organization shall:c) plan, establish, implement and maintain an audit programme(s), including the frequency, methods,responsibilities, planning requirements and reporting. The audit programme(s) shall take intoconsideration the importance of the processes concerned and the results of previous audits;d) define the audit criteria and scope for each audit;e) select auditors and conduct audits that ensure objectivity and the impartiality of the audit process;f) ensure that the results of the audits are reported to relevant management; andg) retain documented information as evidence of the audit programme(s) and the audit results.

Has the above requirements been met for 9.2

Auditor Notes

Compliance Level

Finding Type

9.3 Management Reviews

Requirements:Top management shall review the organization’s information security management system at plannedintervals to ensure its continuing suitability, adequacy and effectiveness.The management review shall include consideration of:a) the status of actions from previous management reviews;b) changes in external and internal issues that are relevant to the information security managementsystem;c) feedback on the information security performance, including trends in:1) nonconformities and corrective actions;2) monitoring and measurement results;3) audit results; and4) fulfilment of information security objectives;d) feedback from interested parties;e) results of risk assessment and status of risk treatment plan; andf) opportunities for continual improvement.The outputs of the management review shall include decisions related to continual improvementopportunities and any needs for changes to the information security management system.The organization shall retain documented information as evidence of the results of management reviews.

Has the above requirements been met for 9.3

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 9

Section 10 - Improvement

Section applicable to the function being audited

Applicable Clauses

10.1 Nonconformity and corrective action

Requirements:When a nonconformity occurs, the organization shall:a) react to the nonconformity, and as applicable:1) take action to control and correct it; and2) deal with the consequences;b) evaluate the need for action to eliminate the causes of nonconformity, in order that it does not recuror occur elsewhere, by:1) reviewing the nonconformity;2) determining the causes of the nonconformity; and3) determining if similar nonconformities exist, or could potentially occur;c) implement any action needed;d) review the effectiveness of any corrective action taken; ande) make changes to the information security management system, if necessary.Corrective actions shall be appropriate to the effects of the nonconformities encountered.The organization shall retain documented information as evidence of:f) the nature of the nonconformities and any subsequent actions taken, andg) the results of any corrective action.

Has the above requirements been met for 10.1

Auditor Notes

Compliance Level

Finding Type

10.2 Continual Improvement

Requirement:The organization shall continually improve the suitability, adequacy and effectiveness of the information security management system.

Has the above requirements been met for 10.2

Auditor Notes

Compliance Level

Finding Type

Total Number of Findings in Section 10

Annex A (Reference control objectives and controls)

Section applicable to the function being audited

Applicable Controls

A.5.1.1Policies for information securityA set of policies for information security shall be defined, approved by management, published and communicated to employees and relevant external parties.

Auditor Notes

A.5.1.2Review of the policies for information securityThe policies for information security shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness.

Auditor Notes

A.6.1.1Information security roles and responsibilitiesAll information security responsibilities shall be defined and allocated.

Auditor Notes

A.6.1.2Segregation of dutiesConflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of the organization’s assets.

Auditor Notes

A.6.1.3Contact with authoritiesAppropriate contacts with relevant authorities shall be maintained.

Auditor Notes

A.6.1.4Contact with special interest groupsAppropriate contacts with special interest groups or other specialist security forums and professional associations shall be maintained.

Auditor Notes

A.6.1.5Information security in project managementInformation security shall be addressed in project management, regardless of the type of the project.

Auditor Notes

A.6.2.1Mobile device policyA policy and supporting security measures shall be adopted to manage the risks introduced by using mobile devices.

Auditor Notes

A.6.2.2TeleworkingA policy and supporting security measures shall be implemented to protect information accessed, processed or stored at teleworking sites.

Auditor Notes

A.7.1.1Screening"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."

Auditor Notes

A.7.1.2Terms and conditions of employmentThe contractual agreements with employees and contractors shall state their and the organization’s responsibilities for information security.

Auditor Notes

A.7.2.1Management responsibilitiesManagement shall require all employees and contractors to apply information security in accordance with the established policies and procedures of the organization.

Auditor Notes

A.7.2.2 "Information security awareness, education and training"

Auditor Notes

A.7.2.3 Disciplinary process"There shall be a formal and communicated disciplinary process in place to take action against employees who have committed an information security breach."

Auditor Notes

A.7.3.1Termination or change of employment responsibilitiesInformation security responsibilities and duties that remain valid after termination or change of employment shall be defined, communicated to the employee or contractor and enforced.

Auditor Notes

A.8.1.1Inventory of assetsAssets associated with information and information processing facilities shall be identified and an inventory of these assets shall be drawn up and maintained.

Auditor Notes

A.8.1.2Ownership of assetsAssets maintained in the inventory shall be owned.

Auditor Notes

A.8.1.3"Acceptable use of assets"Rules for the acceptable use of information and of assets associated with information and information processing facilities shall be identified, documented and implemented.

Auditor Notes

A.8.1.4Return of assetsAll employees and external party users shall return all of the organizational assets in their possession upon termination of their employment, contract or agreement.

Auditor Notes

A.8.2.1Classification of information"Information shall be classified in terms of legal requirements, value, criticality and sensitivity to unauthorised disclosure or modification."

Auditor Notes

A.8.2.2Labelling of informationAn appropriate set of procedures for information labelling shall be developed and implemented in accordance with the information classification scheme adopted by the organization.

Auditor Notes

A.8.2.3Handling of assetsProcedures for handling assets shall be developed and implemented in accordance with the information classification scheme adopted by the organization.

Auditor Notes

A.8.3.1"Management of removable media"Procedures shall be implemented for the management of removable media in accordance with the classification scheme adopted by the organization.

Auditor Notes

A.8.3.2Disposal of mediaMedia shall be disposed of securely when no longer required, using formal procedures.

Auditor Notes

A.8.3.3Physical media transferMedia containing information shall be protected against unauthorized access, misuse or corruption during ransportation.

Auditor Notes

A.9.1.1Access control policyAn access control policy shall be established, documented and reviewed based on business and information security requirements.

Auditor Notes

A.9.1.2"Access to networks and network services"Users shall only be provided with access to the network and network services that they have been specifically authorized to use.

Auditor Notes

A.9.2.1"User registration and de-registration"A formal user registration and de-registration process shall be implemented to enable assignment of access rights.

Auditor Notes

A.9.2.2User access provisioningA formal user access provisioning process shall be implemented to assign or revoke access rights for all user types to all systems and services.

Auditor Notes

A.9.2.3"Management of privileged access rights"The allocation and use of privileged access rights shall be restricted and controlled.

Auditor Notes

A.9.2.4"Management of secret authentication information of users"The allocation of secret authentication information shall be controlled through a formal management process."

Auditor Notes

A.9.2.5Review of user access rightsAsset owners shall review users’ access rights at regular intervals.

Auditor Notes

A.9.2.6"Removal or adjustment of access rights"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.

Auditor Notes

A.9.3.1"Use of secret authentication information""Users shall be required to follow the organization’s practices in the use of secret authentication information."

Auditor Notes

A.9.4.1"Information access restriction"Access to information and application system functions shall be restricted in accordance with the access control policy.

Auditor Notes

A.9.4.2Secure log-on proceduresWhere required by the access control policy, access to systems and applications shall be controlled by a secure log-on procedure.

Auditor Notes

A.9.4.3"Password management system"Password management systems shall be interactive and shall ensure quality passwords.

Auditor Notes

A.9.4.4"Use of privileged utility programs"The use of utility programs that might be capable of overriding system and application controls shall be restricted and tightly controlled.

Auditor Notes

A.9.4.5"Access control to program source code"Access to program source code shall be restricted.

Auditor Notes

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 developed and implemented.

Auditor Notes

A.10.1.2Key managementA policy on the use, protection and lifetime of cryptographic keys shall be developed and implemented through their whole lifecycle.

Auditor Notes

A.11.1.1Physical security perimeterSecurity perimeters shall be defined and used to protect areas that contain either sensitive or critical information and information processing facilities.

Auditor Notes

A.11.1.2Physical entry controlsSecure areas shall be protected by appropriate entry controls to ensure that only authorized personnel are allowed access."

Auditor Notes

A.11.1.3"Securing offices, rooms and facilities""Physical security for offices, rooms and facilities shall be designed and applied."

Auditor Notes

A.11.1.4"Protecting against external and environmental threats""Physical protection against natural disasters, malicious attack or accidents shall be designed and applied."

Auditor Notes

A.11.1.5"Working in secure areas""Procedures for working in secure areas shall be designed and applied."

Auditor Notes

A.11.1.6"Delivery and loading areas""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."

Auditor Notes

A.11.2.1"Equipment siting and protection"Equipment shall be sited and protected to reduce the risks from environmental threats and hazards, and opportunities for unauthorized access.

Auditor Notes

A.11.2.2Supporting utilities"Equipment shall be protected from power failures and other disruptions caused by failures in supporting utilities."

Auditor Notes

A.11.2.3Cabling security"Power and telecommunications cabling carrying data or supporting information services shall be protected from interception, interference or damage."

Auditor Notes

A.11.2.4Equipment maintenanceEquipment shall be correctly maintained to ensure its continued availability and integrity.

Auditor Notes

A.11.2.5Removal of assets"Equipment, information or software shall not be taken off-site without prior authorization."

Auditor Notes

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 working outside the organization’s premises.

Auditor Notes

A.11.2.7"Secure disposal or reuse of equipment"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.

Auditor Notes

A.11.2.8"Unattended user equipment"Users shall ensure that unattended equipment has appropriate protection.

Auditor Notes

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 for information processing facilities shall be adopted.

Auditor Notes

A.12.1.1"Documented operating procedures"Operating procedures shall be documented and made available to all users who need them.

Auditor Notes

A.12.1.2Change managementChanges to the organization, business processes, information processing facilities and systems that affect information security shall be controlled.

Auditor Notes

A.12.1.3Capacity managementThe use of resources shall be monitored, tuned and projections made of future capacity requirements to ensure the required system performance.

Auditor Notes

A.12.1.4"Separation of development, testing and operational environments"Development, testing, and operational environments shall be separated to reduce the risks of unauthorized access or changes to the operational environment.

Auditor Notes

A.12.2.1Controls against malwareDetection, prevention and recovery controls to protect against malware shall be implemented, combined with appropriate user awareness.

Auditor Notes

A.12.3.1Information backup"Backup copies of information, software and system images shall be taken and tested regularly in accordance with an agreed backuppolicy."

Auditor Notes

A.12.4.1Event loggingEvent logs recording user activities, exceptions, faults and information security events shall be produced, kept and regularly reviewed.

Auditor Notes

A.12.4.2Protection of log informationLogging facilities and log information shall be protected against tampering and unauthorized access.

Auditor Notes

A.12.4.3"Administrator and operator logs"System administrator and system operator activities shall be logged and the logs protected and regularly reviewed.

Auditor Notes

A.12.4.4Clock synchronisationThe clocks of all relevant information processing systems within an organization or security domain shall be synchronised to a single reference time source.

Auditor Notes

A.12.5.1"Installation of software on operational systems"Procedures shall be implemented to control the installation of software on operational systems.

Auditor Notes

A.12.6.1"Management 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.

Auditor Notes

A.12.6.2"Restrictions on software installation"Rules governing the installation of software by users shall be established and implemented.

Auditor Notes

A.12.7.1"Information systems audit controls""Audit requirements and activities involving verification of operational systems shall be carefully planned and agreed to minimise disruptions to business processes."

Auditor Notes

A.13.1.1Network controls"Networks shall be managed and controlled to protect information in systems and applications."

Auditor Notes

A.13.1.2"Security of network services"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.

Auditor Notes

A.13.1.3Segregation in networks"Groups of information services, users and information systems shall be segregated on networks."

Auditor Notes

A.13.2.1"Information transfer policies and procedures"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.

Auditor Notes

A.13.2.2"Agreements on information transfer"Agreements shall address the secure transfer of business information between the organization and external parties.

Auditor Notes

A.13.2.3Electronic messaging"Information involved in electronic messaging shall be appropriately protected."

Auditor Notes

A.13.2.4"Confidentiality or nondisclosure agreements"Requirements for confidentiality or non-disclosure agreements reflecting the organization’s needs for the protection of information shall be identified, regularly reviewed and documented.

Auditor Notes

A.14.1.1"Information security requirements analysis and specification"The information security related requirements shall be included in the requirements for new information systems or enhancements to existing information systems.

Auditor Notes

A.14.1.2"Securing application services on public networks"Information involved in application services passing over public networks shall be protected from fraudulent activity, contract dispute and unauthorized disclosure and modification.

Auditor Notes

A.14.1.3"Protecting application services transactions""Information involved in application service transactions shall be protected to prevent incomplete transmission, mis-routing, unauthorized message alteration, unauthorized disclosure, unauthorized message duplication or replay."

Auditor Notes

A.14.2.1"Secure development policy"Rules for the development of software and systems shall be established and applied to developments within the organization.

Auditor Notes

A.14.2.2"System change control procedures"Changes to systems within the development lifecycle shall be controlled by the use of formal change control procedures.

Auditor Notes

A.14.2.3Technical review of applications after operating platform changesWhen operating platforms are changed, business critical applications shall be reviewed and tested to ensure there is no adverse impact on organizational operations or security.

Auditor Notes

A.14.2.4Restrictions on changes to software packagesModifications to software packages shall be discouraged, limited to necessary changes and all changes shall be strictly controlled.

Auditor Notes

A.14.2.5"Secure system engineering principles"Principles for engineering secure systems shall be established, documented, maintained and applied to any information system implementation efforts.

Auditor Notes

A.14.2.6"Secure development environment"Organizations shall establish and appropriately protect secure development environments for system development and integration efforts that cover the entire system development lifecycle.

Auditor Notes

A.14.2.7Outsourced developmentThe organization shall supervise and monitor the activity of outsourced system development.

Auditor Notes

A.14.2.8System security testingTesting of security functionality shall be carried out during development.

Auditor Notes

A.14.2.9"System acceptance testing"Acceptance testing programs and related criteria shall be established for new information systems, upgrades and new versions.

Auditor Notes

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

Auditor Notes

A.15.1.1"Information security policy for supplier relationships"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.

Auditor Notes

A.15.1.2"Addressing security within supplier agreements"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.

Auditor Notes

A.15.1.3"Information and communication technology supply chain"Agreements with suppliers shall include requirements to address the information security risks associated with information and communications technology services and product supply chain.

Auditor Notes

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

Auditor Notes

A.15.2.2"Managing changes to supplier services"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.

Auditor Notes

A.16.1.1"Responsibilities and procedures"Management responsibilities and procedures shall be established to ensure a quick, effective and orderly response to information security incidents.

Auditor Notes

A.16.1.2"Reporting information security events"Information security events shall be reported through appropriate management channels as quickly as possible.

Auditor Notes

A.16.1.3"Reporting information security 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."

Auditor Notes

A.16.1.4"Assessment of and decision on information security events"Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents.

Auditor Notes

A.16.1.5"Response to information security incidents"Information security incidents shall be responded to in accordance with the documented procedures.

Auditor Notes

A.16.1.6Learning from information security incidentsKnowledge gained from analysing and resolving information security incidents shall be used to reduce the likelihood or impact of future incidents.

Auditor Notes

A.16.1.7Collection of evidenceThe organization shall define and apply procedures for the identification, collection, acquisition and preservation of information, which can serve as evidence.

Auditor Notes

A.17.1.1Planning information security continuityThe 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.

Auditor Notes

A.17.1.2"Implementing information security continuity"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.

Auditor Notes

A.17.1.3"Verify, review and evaluate information security continuity"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.

Auditor Notes

A.17.2.1"Availability of information processing facilities"Information processing facilities shall be implemented with redundancy sufficient to meet availability requirements.

Auditor Notes

A.18.1.1"Identification of applicable legislation and contractual 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."

Auditor Notes

A.18.1.2"Intellectual property rights""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."

Auditor Notes

A.18.1.3Protection of recordsRecords shall be protected from loss, destruction, falsification, unauthorized access and unauthorized release, in accordance with legislatory, regulatory, contractual and business requirements.

Auditor Notes

A.18.1.4Privacy and protection of personally identifiable informationPrivacy and protection of personally identifiable information shall be ensured as required in relevant legislation and regulation where applicable.

Auditor Notes

A.18.1.5"Regulation of cryptographic controls"Cryptographic controls shall be used in compliance with all relevant agreements, legislation and regulations.

Auditor Notes

A.18.2.1"Independent review of information security""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 changesoccur."

Auditor Notes

A18.2.2 Compliance with security policies and standardsManagers shall regularly review the compliance of information processing and procedures within their area of responsibility with the appropriate security policies, standards and other security requirements

Auditor Notes

A18.2.3 Technical compliance reviewInformation systems shall be regularly reviewed for compliance with the organisations information security policies and standards.

Auditor Notes

Findings Raised

Non-Conformance RED

Non-Conformance AMBER

Observation RED

Observation AMBER

Observation GREEN

Recommendation GREEN

Total Number of Findings in Annex A Control Objectives and Controls

Closing Meeting

Closing Meeting Notes

Positives

Overall Audit Summary

Findings Raised

Non-Conformance RED

Non-Conformance AMBER

Observation RED

Observation AMBER

Observation GREEN

Feedback GREEN

Audit Signoff

Sign off Audit Team

Lead Auditor

Support Auditor

Auditor in Training

Functional Owner

Auditee Team

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