ISO 27001 2013 Compliance audit Checklist
May 7, 2017 | Author: gsuriv | Category: N/A
Short Description
ISO 27001:2013 Compliance audit Checklist...
Description
1 0.9 0.8 0.7 0.6 0.5 0.4 0.3 0.2 0.1 0
A.5 A.6 A.7 A.8
Co mp lia n ce
In fo rma tio n s e cu rity in c id e n t ma n a g e me n t
S ys te m a cq u is itio n , d e ve lo p me n t a n d ma in te n a n ce
Op e ra tio n s s e c u rity
Cryp to g ra p h y
As s e t ma n a g e me n t
Org a n is a tio n o f in fo rma tio n s e c u rity
ISO27001:2013 Assessment
Compliance Status - By Section 1
0.8
0.6
0.4
A.9 A.10 A.11 A.12 A.13 A.14 A.15 A.16 A.17 A.18
0.2 0
013 Assessment Status Compliance Status - By Control 1 0.8 0.6 0.4 0.2 0
Introduction
This tool is designed to assist a skilled and experienced professional ensure that the relevant contr of ISO / IEC 27001:2013 haveabeen This tool does not constitute validaddressed. assessment and the use of this tool does not confer ISO/IEC 27 certification. The findings here must be confirmed as part of a formal audit / assessment visit.
Instructions for use Pre-assessment 1. Determine assessment scope.
2. Collect evidence.
3. Prepare toolkit.
Assessment 4. Review control areas.
5. Determine level of compliance.
Post Assessment 6. Record areas of weakness 7. Determine improvement plan
8. Schedule re-assessment Lifecycle Review 9. ISMS Review Schedules
troduction
rienced professional ensure that the relevant control areas and the use of this tool does not confer ISO/IEC 27001:2013 ed as part of a formal audit / assessment visit.
uctions for use Work with the relevant business stakeholders to determine what the appropriate scope of the assessment is. Identify and centralise as much evidence as possible. This can include policy documents, process documents, interview transcripts etc. Using the assessment scope you can identify what areas of the tool kit are not appropriate and set these to 100% to close reporting. Additionally, where suggested audit questions are not relevant, these can be replaced with more suitable ones.
Work through the tool kit, reviewing the evidence for each control and determining how compliant it is with the requirements. The toolkit allows for this to be done in 5% increments. On completion of the review, the tool kit will give you an overall level of compliance by control area and by individual controls. Make a note of any areas where compliance is unsuitable (normally less than 90%) For each area of weakness, work with the relevant business stakeholders to determine how the control can be improved. Arrange a date to review weak areas to set a target for improvement plans. Ensure that the ISMS is re-assessed on a regular basis, ideally once every 12 months.
Standard A.5 A.6 A.7 A.8 A.9 A.10 A.11 A.12 A.13 A.14 A.15 A.16 A.17 A.18
Overall Compliance
Compliance per Section Section Information Security Policies Organisation of information security Human resources security Asset management Access control Cryptography Physical and environmental security Operations security Communications security System acquisition, development and maintenance Supplier relationships Information security incident management Information security aspects of business continuity management Compliance
Overall Compliance
Status 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%
0%
Standard A.5.1 A.6.1 A.6.2 A.7.1 A.7.2 A.7.3 A.8.1 A.8.2 A.8.3 A.9.1 A.9.2 A.9.3 A.9.4 A.10.1 A.11.1 A.11.2 A.12.1 A.12.2 A.12.3 A.12.4 A.12.5 A.12.6 A.12.7 A.13.1 A.13.2 A.14.1 A.14.2 A.14.3 A.15.1 A.15.2 A.16.1 A.17.1 A.17.2 A.18.1 A.18.2
Compliance per Control Section Management direction for information security Internal Organisation Mobile devices and teleworking Prior to employment During employment Termination and change of employment Responibility for assets Information classification Media handling Business requirements for access control User access management User responsibilities System and application access control Crypographic controls Secure areas Equipment Operational procedures and responsibilities Protection from malware Backup Logging and monitoring Control of operational software Technical vulnerability management Information systems audit considerations Network security management Information transfer Security requirements of information systems Security in development and support processes Test data Information security in supplier relationships Supplier service delivery management Management of infosec incidents & improvements Information security continuity Redundancies Compliance with legal and contractual requirements Information security reviews
Status 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0%
Reference Checklist
Standard A.5 A.5.1 A.5.1.1
A.5.1.2
A.6 A.6.1 A.6.1.1
A.6.1.2
A.6.1.3
A.6.1.4
A.6.1.5
A.6.2 A.6.2.1
A.6.2
A.7 A.7.1 A.7.1.1
A.7.1.2
A.7.2 A.7.2.1
A.7.2.2
A.7.2.3
A.7.3
A.8 A.8.1 A.8.1.1
A.8.1.2
A.8.1.3
A.8.1.4
A.8.2 A.8.2.1
A.8.2.2
A.8.2.3
A.8.3 A.8.3.1
A.8.3.2
A.8.3.3
A.9 A.9.1 A.9.1.1
A.9.1.2
A.9.2 A.9.2.1
A.9.2.2
A.9.2.3
A.9.2.4
A.9.2.5
A.9.2.6
A.9.3 A.9.3.1
A.9.4 A.9.4.1
A.9.4.2
A.9.4.3
A.9.4.4
A.9.4.5
A.10 A.10.1 A.10.1.1
A.10.1.2
A.11 A.11.1 A.11.1.1
A.11.1.2
A.11.1.3
A.11.1.4
A11.1.5
A.11.1.6
A11.2 A11.2.1
A11.2.2
A11.2.3
A11.2.4
A11.2.5
A11.2.6
A11.2.7
A11.2.8
A11.2.9
A.12 A.12.1 A.12.1.1
A12.1.2
A.12.1.3
A.12.1.4
A.12.2 A.12.2.1
A.12.3 A.12.3.1
A.12.4 A.12.4.1
A.12.4.2
A.12.4.3
A.12.4.4
A.12.5 A.12.5.1
A.12.6 A.12.6.1
A.12.6.2
A.12.7 A.12.7.1
A.13 A.13.1 A.13.1.1
A.13.1.2
A.13.1.3
A.13.2 A.13.2.1
A.13.2.2
A.13.2.3
A.13.2.4
A.14 A.14.1 A.14.1.1
A.14.1.2
A.14.1.3
A.14.2 A.14.2.1
A.14.2.2
A.14.2.3
A.14.2.4
A.14.2.5
A.14.2.6
A.12.2.7
A.12.2.8
A.12.2.9
A.14.3 A.14.3.1
A.15 A.15.1
A.15.1.1
A.15.1.2
A.15.1.3
A.15.2 A.15.2.1
A.15.2.2
A.16 A.16.1 A.16.1.1
A.16.1.2
A.16.1.3
A.16.1.4
A.16.1.5
A.16.1.6
A.16.1.7
A.17 A.17.1 A.17.1.1
A.17.1.2
A.17.1.3
A.17.2 A.17.2.1
A.18 A.18.1 A.18.1.1
A.18.1.2
A.18.1.3
A.18.1.4
A.18.1.5
A.18.2 A.18.2.1
A.18.2.2
A.18.2.3
Compliance Section Information Security Policies Management direction for information security Policies for information security
Review of the policies for information security
Organisation of Information Security Internal organization Information security roles and responsibilities
Segregation of duties
Contact with authorities
Contact with special interest groups
Information security in project management
Mobile devices and teleworking Mobile device policy
Teleworking
Human Resources Security Prior to employment Screening
Terms and conditions of employment
During employment Management responsibilities
Information security awareness, education and training
Disciplinary process
Termination and change of employment
Asset Management Responsibility for assets Inventory of assets
Ownership of assets
Acceptable use of assets
Return of assets
Information classification Classification of information
Labelling of information
Handling of assets
Media handling Management of removable media
Disposal of media
Physical media transfer
Access Control Business requirements for access control Access control policy
Access to networks and network services
User access management User registration and de-registration
User access provisioning
Management of privileged access rights
Management of secret authentication information of users
Review of user access rights
Removal or adjustment of access rights
User responsibilities Use of secret authentication information
System and application access control Information access restriction
Secure log-on procedures
Password management system
Use of privileged utility programs
Access control to program source code
Cryptography Cryptographic controls Policy on the use of cryptographic controls
Key management
Physical and Environmental Security Secure areas Physical security perimeter
Physical entry controls
Securing offices, rooms and facilities
Protecting against external and environmental threats
Working in secure areas
Delivery and loading areas
Equipment Equipment siting and protection
Supporting utilities
Cabling security
Equipment maintenance
Removal of assets
Security of equipment and assets off-premises
Secure disposal or reuse of equipment
Unattended user equipment
Clear desk and clear screen policy
Operations Security Operational procedures and responsibilities Documented operating procedures
Change management
Capacity management
Separation of development, testing and operational environments
Protection from malware Controls against malware
Backup Information backup
Logging and monitoring Event Logging
Protection of log information
Administrator and operator logs
Clock synchronisation
Control of operational software Installation of software on operational systems
Technical vulnerability management Management of technical vulnerabilities
Restrictions on software installations
IInformation systems audit considerations Information systems audit controls
Communications Security Network security management Network controls
Security of network services
Segregation in networks
Information transfer Information transfer policies and procedures
Agreements on information transfer
Electronic messaging
Confidentiality or nondisclosure agreements
System Acquisition, Development and Maintenance Security requirements of information systems Information security requirements analysis and specification
Securing application services on public networks
Protecting application services transactions
Security in development and support processes Secure development policy
System change control procedures
Technical review of applications after operating platform changes
Restrictions on changes to software packages
Secure system engineering principles
Secure development environment
Outsourced development
System security testing
System acceptance testing
Test data Protection of test data
Supplier Relationships Information security in supplier relationships
Information security policy for supplier relationships
Addressing security within supplier agreements
Information and communication technology supply chain
Supplier service delivery management Monitoring and review of supplier services
Managing changes to supplier services
Information Security Incident Management Management of information security incidents and improvements Responsibilities and procedures
Reporting information security events
Reporting information security weaknesses
Assessment of and decision on information security events
Response to information security incidents
Learning from information security incidents
Collection of evidence
Information Security Aspects of Business Continuity Management Information security continuity Planning information security continuity
Implementing information security continuity
Verify, review and evaluate information security continuity
Redundancies Availability of information processing facilities
Compliance Compliance with legal and contractual requirements Identification of applicable legislation and contractual requirements
Intellectual property rights
Protection of records
Privacy and protection of personally identifiable information
Regulation of cryptographic controls
Information security reviews Independent review of information security
Compliance with security policies and standards
Technical compliance review
Assessment
Do Security policies exist? Are all policies approved by management? Are policies properly communicated to employees?
Are security policies subject to review? Are the reviews conducted at regular intervals? Are reviews conducted when circumstances change?
Are responsibilities for the protection of individual assets, and for carrying out specific security processes, clearly identified and defined and communicated to the relevant parties?
Are duties and areas of responsibility separated, in order to reduce opportunities for unauthorized modification or misuse of information, or services?
Is there a procedure documenting when, and by whom, contact with relevant authorities (law enforcement etc.) will be made? Is there a process which details how and when contact is required? Is there a process for routine contact and intelligence sharing?
Do relevant individuals within the organisation maintain active membership in relevant special interest groups?
Do all projects go through some form of information security assessment?
Does a mobile device policy exist? Does the policy have management approval? Does the policy document and address additional risks from using mobile devices (e.g. Theft of asset, use of open wireless hotspots etc.)
Is there a policy for teleworking? Does this have management approval? Is there a set process for remote workers to get access? Are teleworkers given the advice and equipment to protect their assets?
Are background verification checks carried out on all new candidates for employment? Are these checks approved by appropriate management authority? Are the checks compliant with relevant laws, regulations and ethics? Are the level of checks required supported by business risk assessments?
Are all employees, contractors and third party users asked to sign confidentiality and non-disclosure agreements? Do employment / service contracts
Are managers (of all levels) engaged in driving security within the business? Does management behaviour and policy drive, and encourage, all employees, contractors and 3rd party users to apply security in accordance with established policies and procedures?
Do all employees, contractors and 3rd party users undergo regular security awareness training appropriate to their role and function within the organisation?
Is there a formal disciplinary process which allows the organisation to take action against employees who have committed an information security breach? Is this communicated to all employees?
Is there a documented process for terminating or changing employment duties? Are any information security duties which survive employment communicated to the employee or contractor? Is the organisation able to enforce compliance with any duties that survive employment?
Is there an inventory of all assets associated with information and information processing facilities? Is the inventory accurate and kept up to date?
All information assets must have a clearly defined owner who is aware of their responsibilities.
Is there an acceptable use policy for each class / type of information asset? Are users made aware of this policy prior to use?
Is there a process in place to ensure all employees and external users return the organisation's assets on termination of their employment, contract or agreement?
Is there a policy governing information classification? Is there a process by which all information can be appropriately classified?
Is there a process or procedure for ensuring information classification is appropriately marked on each asset?
Is there a procedure for handling each information classification? Are users of information assets made aware of this procedure?
Is there a policy governing removable media? Is there a process covering how removable media is managed? Are the policy and process(es) communicated to all employees using removable media?
Is there a formal procedure governing how removable media is disposed?
Is there a documented policy and process detailing how physical media should be transported? Is media in transport protected against unauthorised access, misuse or corruption?
Is there a documented access control policy? Is the policy based on business requirements? Is the policy communicated appropriately?
Are controls in place to ensure users only have access to the network resources they have been specially authorised to use and are required for their duties?
Is there a formal user access registration process in place?
Is there a formal user access provisioning process in place to assign access rights for all user types and services?
Are privileged access accounts separately managed and controlled?
Is there a formal management process in place to control allocation of secret authentication information?
Is there a process for asset owners to review access rights to their assets on a regular basis? Is this review process verified?
Is there a process to ensure user access rights are removed on termination of employment or contract, or adjusted upon change of role?
Is there a policy document covering the organisations practices in how secret authentication information must be handled? Is this communicated to all users?
Is access to information and application system functions restricted in line with the access control policy?
Where the access control policy requires it, is access controlled by a secure log-on procedure?
Are password systems interactive? Are complex passwords required?
Are privilege utility programs restricted and monitored?
Is access to the source code of the Access Control System protected?
Is there a policy on the use of cryptographic controls?
Is there a policy governing the whole lifecycle of cryptographic keys?
Is there a designated security perimeter? Are sensitive or critical information areas segregated and appropriately controlled?
Do secure areas have suitable entry control systems to ensure only authorised personnel have access?
Have offices, rooms and facilities been designed and configured with security in mind? Do processes for maintaining the security (e.g. Locking up, clear desks etc.) exist?
Have physical protection measures to prevent natural disasters, malicious attack or accidents been designed in?
Do secure areas exist? Where they do exist, do secure areas have suitable policies and processes? Are the policies and processes enforced and monitored?
Are there separate delivery / loading areas? Is access to these areas controls?
Is access from loading areas isolated from information processing facilities?
Are environmental hazards identified and considered when equipment locations are selected? Are the risks from unauthorised access /passers-by considered when siting equipment?
Is there a UPS system or back up generator? Have these been tested within an appropriate timescale?
Have risk assessments been conducted over the location of power and telecommunications cables? Are they located to protect from interference, interception or damage?
Is there a rigorous equipment maintenance schedule?
Is there a process controlling how assets are removed from site? Is this process enforced? Are spot checks carried out?
Is there a policy covering security of assets off-site? Is this policy widely communicated?
Is there a policy covering how information assets may be reused? Where data is wiped, is this properly verified before reuse/disposal?
Does the organisation have a policy around how unattended equipment should be protected? Are technical controls in place to secure equipment that has been inadvertently left unattended?
Is there a clear desk / clear screen policy?
Is this well enforced?
Are operating procedures well documented? Are the procedures made available to all users who need them?
Is there a controlled change management process in place?
Is there a capacity management process in place?
Does the organisation enforce segregation of development, test and operational environments?
Are processes to detect malware in place? Are processes to prevent malware spreading in place? Does the organisation have a process and capacity to recover from a malware infection?
Is there an agreed backup policy? Does the organisation's backup policy comply with relevant legal frameworks? Are backups made in accordance with the policy? Are backups tested?
Are appropriate event logs maintained and regularly reviewed?
Are logging facilities protected against tampering and unauthorised access?
Are sysadmin / sysop logs maintained, protected and regularly reviewed?
Are all clocks within the organisation synchronized?
Is there a release management process in place to control the installation of software onto operational systems?
Does the organisation have access to updated and timely information on technical vulnerabilities? Is there a process to risk assess and react to any new vulnerabilities as they are discovered?
Are there processes in place to restrict how users install software?
Are IS Systems subject to audit? Does the audit process ensure business disruption is minimised?
Is there a network management process in place?
Does the organisation implement a risk management approach which identifies all network services and service agreements? Is security mandated in agreements and contracts with service providers (in house and outsourced)? Are security related SLAs mandated?
Does the network topology enforce segregation of networks for different tasks?
Do organisational policies govern how information is transferred? Are procedures for how data should be transferred made available to all employees? Are relevant technical controls in place to prevent nonauthorised forms of data transfer?
Do contracts with external parties and agreements within the organisation detail the requirements for securing business information in transfer?
Do security policies cover the use of information transfer while using electronic messaging systems?
Do employees, contractors and agents sign confidentiality or non disclosure agreements? Are these agreements subject to regular review? Are records of the agreements maintained?
Are information security requirements specified when new systems are introduced? When systems are being enhanced or upgraded, are security requirements specified and addressed?
Do applications which send information over public networks appropriately protect the information against fraudulent activity, contract dispute, unauthorised discloser and unauthorised modification?
Are controls in place to prevent incomplete transmission, misrouting, unauthorised message alteration, unauthorised disclosure, unauthorised message duplication or replay attacks?
Does the organisation develop software or systems?
If so, are there policies mandating the implementation and assessment of security controls?
Is there a formal change control process?
Is there a process to ensure a technical review is carried out when operating platforms are changed?
Is there a policy in place which mandates when and how software packages can be changed or modified?
Does the organisation have documented principles on how systems must be engineered to ensure security?
Has a secure development environment been established? Do all projects utilise the secure development environment appropriately during the system development lifecycle?
Where development has been outsourced, is this supervised? Is externally developed code subject to a security review before deployment?
Where systems or applications are developed, are they security tested as part of the development process?
Is there an established process to accept new systems / applications, or upgrades, into production use?
Is there a process for selecting test data? Is test data suitably protected?
Is information security included in contracts established with suppliers and service providers? Is there an organisation-wide risk management approach to supplier relationships?
Are suppliers provided with documented security requirements? Is supplier access to information assets & infrastructure controlled and monitored?
Do supplier agreements include requirements to address information security within the service & product supply chain?
Are suppliers subject to regular review and audit?
Are changes to the provision of services subject to a management process which includes security & risk assessment?
Are management responsibilities clearly identified and documented in the incident management processes?
Is there a process for timely reporting of information security events? Is there a process for reviewing and acting on reported information security events?
Is there a process for reporting of identified information security weaknesses? Is this process widely communicated?
Is there a process for reviewing and addressing reports in a timely manner?
Is there a process to ensure information security events are properly assessed and classified?
Is there an incident response process which reflects the classification and severity of information security incidents?
Is there a process or framework which allows the organisation to learn from information security incidents and reduce the impact / probability of future events?
Is there a forensic readiness policy? In the event of an information security incident is relevant data collected in a manner which allows it to be used as evidence?
Is information security included in the organisation's continuity plans?
Does the organisation's information security function have documented, implemented and maintained processes to maintain continuity of service during an adverse situation?
Are continuity plans validated and verified at regular intervals?
Do information processing facilities have sufficient redundancy to meet the organisations availability requirements?
Has the organisation identified and documented all relevant legislative, regulatory or contractual requirements related to security? Is compliance documented?
Does the organisation keep a record of all intellectual property rights and use of proprietary software products? Does the organisation monitor for the use of unlicensed software?
Are records protected from loss, destruction, falsification and unauthorised access or release in accordance with legislative, regulatory, contractual and business requirements?
Is personal data identified and appropriately classified? Is personal data protected in accordance with relevant legislation?
Are cryptographic controls protected in accordance with all relevant agreements, legislation and regulations?
Is the organisations approach to managing information security subject to regular independent review? Is the implementation of security controls subject to regular independent review?
Does the organisation instruct managers to regularly review compliance with policy and procedures within their area of responsibility?
Are records of these reviews maintained?
Does the organisation regularly conduct technical compliance reviews of its information systems?
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