Look for evidence supporting or refuting the correlation between documented risks and controls and those actually in operation.4.2.3 Review the ISMS monitoring and review processes using evidence such as plans, minutes of review meetings, management reviewinternal audit reports, breachincident reports etc.

Audit Checklist 27001 Controls Iso 27001 Audit

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Information security management system 4.2.1a) Review the documented scope and boundaries of the ISMS, particularly any exclusions.

To what extent does the ISMS match the organization Are there justified reasons for excluding any elements4.2.1b) Review the organizations ISMS policy.

Audit Checklist 27001 Controls Plus Any Legal

Does it adequately reflect the organizations general characteristics and its strategic risk management approach Does it incorporate the organizations business requirements plus any legal or regulatory obligations for information security Confirm that it has been formally approved by management and sets meaningful criteria for evaluating information security risks.

The more detailed information security policies, standards, procedures and guidelines will be reviewed under 4.2.1 and 4.2.2.4.2.1c) Ascertain and review the organizations choices of risk assessment methods (whether bespoke or a generally-accepted method see ISOIEC 27005, when issued, for further guidance).

Are the results of risk assessments comparable and reproducible Look for any examples of anomalous results to determine how they were addressed and resolved.

Was the risk assessment method updated as a result Also review managements definition of criteria to accept or mitigate risks (the risk appetite).

Are all relevant in-scope information assets included Are accountable owners identified for all the assets Review the analysisevaluation of threats, vulnerabilities and impacts, the documentation of risk scenarios plus the prioritization or ranking of risks.

ISO 27001; 2013 transition checklist ISO 27001: 2013 requirements Comments and evidence 0 Introduction 0.1 General There are some textural changes for example the new standard are requirements for an ISMS rather than a model for.

Look for risks that are materially mis-stated or under-played, for example those where the corresponding controls are expensive or difficult to implement, perhaps where the risks have been misunderstood.4.2.1f) Review the organizations Risk Treatment Plan.

Are appropriate treatments ( i.e.

Look for gaps and other anomalies.

Check also whether recent changes ( e.g.

New IT systems or business processes) have been suitably incorporated, in other words is the Risk Treatment Plan being used and updated proactively as an information security management tool4.2.1g) For those information security risks that are to be mitigated, review the defined control objectives and selected controls using suitable sampling e.g.

Compare the objectives and controls against those suggested by ISOIEC 27002 and summarized in Annex A of ISOIEC 27001, in particular identifying and reviewing any significant discrepancies from the standards ( e.g.

Also check that any information security requirements explicitly mandated by corporate policies, industry regulations, laws or contracts etc.

Are properly reflected in the documented control objectives and controls.

Note: the ISM audit checklist in Appendix B may prove useful in auditing the controls, but beware of sinking too much audit time into this one aspect4.2.1h) Briefly evaluate the residual information security risks.

Has management formally considered and approved them Are they within the organizations defined risk appetite4.2.1i) Confirm whether management has authorized the implementation and operation of the ISMS, for example through a formal memorandum, project approval, letter of support from the CEO etc.

Is this a mere formality or is there evidence that management genuinely understands and supports the ISMS4.2.1j) Review the organizations Statement of Applicability documenting and justifying the control objectives and controls, both those that are applicable and any that have been excludeddeselected.

Confirm that suitable entries exist for all control objectives and controls listed in Annex A of ISOIEC 27001.

Has the Statement of Applicability been reviewed and endorsedauthorized by an appropriate level of management4.2.2 Review the ISMS as implemented and operated against the documented ISMS requirements by sampling (see 4.2.1g and Annex A of ISOIEC 27001).

Audit Checklist Iso 27001 Controls