ISO 27001 program Audit Checklist

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The ISO 27001 program Audit Checklist is a simplified checklist to follow and move forward with confidence. You can download this checklist at the end of this article.

ISO 27001 Audit Checklist

Identify the people, processes and technology that support your business.

       ☐ Have you identified the relevant stakeholders needs relevant for your product/service?

       ☐Have you identified the most relevant laws and regulations relevant for your product/service?

       ☐ Have you identified a critical physical location relevant for your product/service?

Identify the people, processes, technology, stakeholders needs, applicable legislations, location that support your business. Both stages are performed during an ISO 27001 audit

       ☐ Stage 1 if you were asked to demonstrate the design and execution of controls

       ☐ Stage 2 if you were asked to demonstrate operating effectiveness of controls over a period of time

Identify your current documentation posture

       ☐ Have you specified and properly documented the activities and procedures that make up your company’s control environment?

       ☐ Do you review documents on a regular basis to make sure they are up to date and accurate?

       ☐ Do you have your Information Security Management System (ISMS) policy documented?

Identify your current control environment posture

       ☐ What is the organization’s governance structure?

       ☐ What are the executive leadership and management tone and example?

       ☐ Have you designed and implemented hiring and exit procedures?

       ☐ What are the executive leadership and management tone and example?

       ☐ How are personnel who are implementing or directing internal controls evaluated for competency?

       ☐ Are possible threats being identified?

       ☐ Have you put any mitigating plans in place?

       ☐ Do you have a protocol for dealing with incidents and a disaster recovery plan in place?

       ☐ What kind of management supervision and governance do you have in place for your

control the environment and reporting events, security problems, and fraud?

       ☐ Have you established a Management Review Committee to discuss ISMS specific topics?

Identify your current security environment posture

       ☐ Do you have access limited to positions that need it, with the appropriateness of the access? given being reviewed on a regular basis?

       ☐ Do you have policies in place for giving and taking away access from workers, customers, and other parties?

       ☐ Do you encrypt data while it’s in transit and while it’s at rest?

       ☐ Do you impose restrictions on administrative access to the technological stack?

Identify your current risk mitigation environment posture

       ☐ Have you conducted vulnerability assessments or penetration testing regular basis to detect weaknesses in your environment?

       ☐ Do you have backup processes in place?

       ☐ Do you test your disaster recovery procedures on a yearly basis to guarantee that you can restart  operations in case of a calamity?

       ☐ Do you regularly check for intrusion attempts, system performance, and availability?

Identify your current system changes environment posture

       ☐ Are system modifications tested and authorized before they are implemented?

       ☐ Do you inform your employees about system changes?

       ☐ Are your controls being monitored on a regular basis?

       ☐ Have you enabled notification of settings changes?

       ☐ Is your technology up to date in terms of upgrades?

       ☐ Do you have a system in place for separating development and production tasks?

Identify your current remote working environment posture

       ☐ Is technology being used uniformly across all employee locations?

       ☐ is time synchronization enabled on all employees workstations and software?

       ☐ Do you provide staff with regular security awareness training, address data privacy in common spaces, use secure connections while working from home, and raise awareness of phishing attempts?

       ☐ Do you use multifactor authentication to get into your company’s network and other systems?

       ☐ Have you deployed mobile device management to make sure that mobile devices are encrypted and authenticated?

☐ Design the controls to address your gaps

☐ Implement controls to address your gaps

☐ Test the controls to ensure that they are operating effectively.

Document all your clauses controls in an SOA

☐ Document all your Annex A controls in an SOA

☐ Document any non-applicability (i.e Physical Security)

Identify an internal auditor

☐ Grant them access to TrustCloud.

Identify the auditor

☐ Initiate kickoff to set expectations

☐ Grant them access to TrustCloud.

Maintain the program to show continuous compliance via TC integrations

Perform surveillance audit every year

Download ISO 27001 Checklist (docx)

Download ISO 27001 Checklist (pdf)

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