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CISO Function Audit Checklist | ISO 27001 All Clauses 4 to 10.2 Checklist
CISO function is primarily responsible for deployment and implementation of ISMS framework. CISO Function Audit Checklist with all Clauses from 4 to 10.2 form the bulwark of ISMS framework. Professionally drawn Comprehensive and Robust Checklist cover all Clauses from 4 to 10.2 of ISO 27001 to find out gaps and non conformances in the Information Security Management System framework. CISO Function Audit Checklist is prepared by a committee of Industry experts, Principal Auditors and Lead Instructors of ISO 27001, under the aegis of ISO 27001 Institute.
CISO Functions Audit Checklist for ISO 27001 ISMS Framework
CISO Function Audit Checklist questions cover entire ISMS framework requirements from Clause 4 to Clause 10.2 to find out the Compliance level of the Information Security management system. In this bundle of checklists, each Clause has a dedicated Checklist questions in an Excel sheet. In total, ISO 27001 Checklist for 16 Clauses contains dedicated 16 Excel files. ISO 27001:2022 Checklist salient features are highlighted below:-
- Total 1336 Checklist questions span all the ISO 27001 requirements of Clauses 4 to 10.2.
- Automated 07 Analytic tables and Graphs for every 16 files, based on statistics of the audit to be conducted.
- The Complete List of ISO 27001:2022 Clauses, Clause numbers, and Clause titles.
- The complete list of ISO 27001:2022 Controls, control numbers, control objectives, and Domains of ISO 27001:2022
- Each of the 16 Excel files have 4 sheets. All 16 Checklist Excel files are compressed in a zip folder.
Important Features of ISO 27001 Requirements Checklist File
File format – Excel compatible for both Mac and Windows
Language – English
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These checklists are useful for-
- Organization Planning for ISO 27001 Certification.
- Compliance Audits
- Gap Assessments prior to mergers and acquisitions, ISO 27001 Certification audit, vendor selection due diligence
- Enhancing longevity of the business by helping to conduct business in the most secured manner.
- Organizations keen for robust, resilient, and value-added Information Security Management System.
- Organizations keen to protect themselves against entire ISMS framework issues from all clauses 4 to 10.2 requirements of ISO 27001.
- Organizations that want to survive client audits.
- Information Security Professionals.
- Internal auditors of Information Security Management System
- External Auditors of Information Security Management System
- Auditors of the client organizations tasked to assess the ISMS capability of their Service Providers, Vendors, and contractors.
- Students of Information Security Management System
- ISO 27001 Lead Auditor Training Participants
- ISO 27001 Lead Implementer participants
- Professionals doing Career switchover to Information security.
- Owners of Business.
- CTO, CIO, CISO, HODs, ISO 27001 SPOCs from departments, IT Teams, Central Security Team
- These ISO 27001 Checklists are prepared by an Expert Panel of IRCA Principal Auditors & Lead Instructors of Information Security Management System having aggregated panel team experience of over 300 years, under the aegis of ISO training Institute.
- The checklist is validated by the Head of the expert committee and approved by ISO Training Institute.
The Information Security Audit checklist on Requirements of ISO 27001 clauses 4 to 10.2 follows the cardinals of:-
- Risk-based thinking (RBT),
- Process approach, and
- PDCA (Plan Do Check Act) methodology.
The expert panel of Information Security auditors and Instructors has conducted thousands of Information security audits and Training on ISO 27001. Besides, there is a continuous calibration of the Lead Auditors w.r.t requirements, interpretation, and audit experiences.
- Securely save the original checklist file, and use the copy of the file as your working document during preparation/conduct of the Information Security Audit on clauses 4 to 10.2.
- The organization's InfoSec processes are at varying levels of ISMS maturity, therefore, use checklist quantum apportioned to the current status of threats emerging from risk exposure.
ISO 27001 Checklist Description
Context-4.1,4.2 clauses ISMS Checklist
ISMS Scope-4.3 Clause ISMS Checklist
Leadership and Commitment-Clause 5.1-ISMS Checklist
ISMS Policy-5.2 Clause ISMS Checklist
Roles Responsibility Authority-5.3 Clause ISMS Checklist
RA & RT and review-6.1.1,6.1.2,6.1.3,8.2,8.3 ISMS Checklist
Objective & Plans to achieve objectives-6.2 Clause ISMS Checklist
Resources, Competence, Awareness- 7.1, 7.2, 7.3
Communication-7.4 Clause ISMS Checklist
Documented Information-7.5-7.5.1,7.5.2,7.5.3 Clause ISMS Checklist
Operations-8-8.1,8.2,8.3 Clause ISMS Checklist
Monitoring Measurement Analysis & Evaluation-9.1 Clause ISMS Checklist
Internal Audit-9.2 Clause ISMS checklist
Management Review-9.3 Clause ISMS Checklist
Non Conformance and corrective action-10.1 Clause ISMS Checklist
Continual Improvement-10.2 Clause ISMS Checklist
Broadly there are 3 types of ISO 27001 audit.
- First Party Audit
- Second Party Audit
- Third Party Audit
First Party ISO 27001 Audit –
Here auditee performs audit on itself. First-party audits are commonly called internal audits. This is when someone from the organization itself will audit a process or set of processes in the Information Security management system to ensure it meets the ISO 27001 requirements, and Organizations’ own SOP (standard operating procedures), Policies, Work Instructions that the company has specified.
The Internal auditor will look for information security pain areas in ISMS framework, Sites, departments, and processes where ISMS processes do not align with each other for carrying out Operations, opportunities for Information Security improvement, and the effectiveness of the Information Security management system. By design, these internal audits should be much more in depth than the other audits, since this is one of the best ways for a company to find non-compliance areas to improve upon.
Second-Party ISO 27001 Audits
This pertains Primarily to Customer driven Information Security Audits performed on their supplier for onboarding due diligence, retention criteria, and for outsourcing scale up or scale down decisions. In running parlance, these are called Supplier Audits. A second-party audit takes place when a company carryout an Information Security audit of a supplier (Service Provider, Contractor, Vendor) to ensure that they are meeting the specified ISMS requirements. These requirements may include special Security control over its processes, requirements on traceability of some parts of the service, requirements for specific ISMS documentation, records, Logs, or any of the numerous items of special interest to that customer. These audits can be done on-site by reviewing the ISMS processes or even off-site by reviewing its documents, logs, and evidences submitted by the supplier. The customer can audit all or part of the contract Scope. It is important to know that a second-party audit is between the customer and the supplier and has nothing to do with getting certified.
Many people guess that second-party assessments would not be necessary once a certification body certifies an organization, but this is not correct. Even when a third-party audit certifies your Company, any of your customers may still be keen to perform a 2nd party audit to verify the elements of their contract, more so if these elements are insufficiently addressed by the requirements set out in the SOPs, Policies and standards the company has adhered to.
Moreover, customers are aware of time limitation, and random sampling methodology constraints of Certification audit.
Third-Party ISO 27001 Audits
When an independent organization performs audit on yet another independent organization, provided that there is no customer-supplier relationship, then it is called 3rd party audit or Certification Audit. A third-party audit happens when a Firm has decided to create a Information Security management system (ISMS) that conforms to the requirements, of ISO 27001 and engage an independent auditing Agency to perform an audit to verify that the company has succeeded in fulfilling the ISO 27001standard compliances. These independent companies are called as certification bodies, and they are in the domain of conducting audits. The certification is awarded or suspended based on the compliance status. This can be used to give customers of the certified company confidence that the ISMS meets the requirements of the chosen standard. Information Security audit is performed during every assessment visit for core and critical areas, whereas other support department are audited on rolling basis in an audit cycle of 3 years.
Information Security is backbone of an organization. All Processes and functions of an organization are carried out with varying degree of help of Information Systems. It is therefore important that Information Security operations are carried out in the most diligent manner otherwise Organizations would cease to exit due to barrage of InfoSec threats/risks its systems and processes are exposed to. The most important objective while carrying out assessment of numerous niche areas in each department, the auditor must ascertain that what is the “degree of compliance” of information Security Controls to run its Systems, Processes, Infrastructure, and Operations?
- In order to perform Value-Added ISO 27001 Audit, the auditor must set out a large canvas with help of the following extremely deep pointers. Only step-by-step, systematic planning of audit Questions followed by extensive audit-trail would help the auditor cover all areas of Information Security assessment. Otherwise, it would be professional Hara-kiri (Japanese term for Ceremonial Suicide).
- How Information System processes running like a bloodline across the organization are ensuring that information at rest, information getting processed, and information in transit remain “confidential” in accordance with the information value and information exposure risk value?
- How information System processes are ensuring to preserve “Integrity” of information at rest, information getting processed, and information in transit?
- How Information System processes are ensuring that information at rest, information getting processed, and information in transit remains “available” to the right person, at the right time, and right place?
- How the organization’s processes are carried out on the basis of RBT?
- What controls are in place triggered due to RBT?
- What PDCA rigors are followed for “Controls” life Cycle management?
- ISO 27001 Security audits are investigative audits carried out to confirm the status of compliances.
- Value added ISO 27001 audit cannot be performed effectively without meticulous planning, and preparation.
- There is an important adage that “we never plan to fail, but invariably we fail to plan”. Ignorance is the germinating ground for Overconfidence. An ignorant child trying to catch fire gets burnt.
- ISO 27001 audit Checklist is an important working document of an auditor. It contains all Information Security performance, and security compliance questions against which the auditee must demonstrate evidences of compliance.
- The auditor needs to keep referring to this working document throughout the audit to ensure that assessment is taking place in a focussed planned manner, and no vital area is missed out in the investigation audit.
- ISO 27001 audit checklist improves the efficiency of the audit including time management. The audit checklist serve as an aide-memoire that is equally useful for auditor or auditee,
- It is extremely important to prepare and plan for an ISO 27001audit. The checklist to perform ISO 27001 audit is essential component of audit planning and preparation. There are numerous departments with dozens and dozens niche areas to be covered during the assessment, and time is the biggest constraint for the auditor. The time-pressure viz urgency to cover niche verticals inadvertently or otherwise, makes an auditor to skip processes, sub-processes, critical elements thus resulting into erroneous audit outputs. For example, a fully body health check-up has a defined cycle time, if performed hurriedly, without planning, without preparation, with an urgency to complete the check-up "somehow-anyhow" would definitely produce erroneous results even though factual status of body organs and systems would be otherwise.
- It takes plenty of years, and costly lessons learnt to arrive at a decent level of understanding of the InfoSec subject. Therefore, it is highly advantageous to have a well-prepared detailed ISO 27001 audit checklist. A meticulously prepared comprehensive Professional ISO 27001 audit checklist has all the compliance questions to be covered by the auditor seamlessly. An auditor without ISO 27001 audit Checklist would be like a soldier without fighting equipment.
- If a business is worth doing, then it is worth doing it in a secured manner. Hence, there can not be any compromise. Without a Comprehensive professionally drawn Information security checklist by your side, there is the likelihood that compromise may take place. This compromise is extremely costly for Organizations and Professionals.
- Information Security audit is though very logical but requires a systematic detailed investigative approach. For a newbie entity (organization and professional) there are proverbial many a slip between cup and lips in the realm of information security management' thorough understanding let alone ISO 27001 audit.
- Even with several years of experience by an entity's (organization and professional) side, information security assessments (read investigations) go astray due to several reasons including engineered distractions, bias, time constraint, (un)comfortable niches, auditee guided audit (investigation), lack of optimum exposure and experience etc.
- Each vulnerability/Risk at the organization level, site level, department level, process, sub-process level, device & component level, tools/application level, people level, technology platform level, delivered products/services level, it is humanly possible to miss out a large number of unidentified vulnerabilities/risk due to various reasons including ignorance, rush, vested disinterest, insider threat, connivance between the various working groups, tendency to promote tools for shear commercial interests rather than a holistic security solution, and so on the list is very long. Comprehensive and detailed ISO 27001 Checklist Questions enables "carpet bombing" of all ISMS requirements to detect what "exactly" is the compliance and non-compliance status.
- What is the biggest risk for an organization? The biggest vulnerability is the "Gang of unidentified risks", lurking in the dark, ready to pounce when the victim organization least expects it. The risks in this Gang, work sympathetically, and in synergy to inflict maximum damage, including corporate Mortality, huge penalties by the customers/clients and regulatory bodies, flight away of business, loss of reputation and brand value, loss of Jobs, Bankruptcy, etc. This becomes very much possible without a professionally drawn comprehensive and robust ISO 27001 Audit Checklist by your side.
- Of course, Information security Audit becomes a robust, immensely focused, efficient, time saver exercise with sharp Checklist Questions, because a comprehensive professionally drawn ISMS checklist is built over a period of time pooled by panel of SMEs having decades of experience. The checklists have significant number of dynamic questions leading to further deep audit investigation trail.
The exciting and challenging task of ISMS audit becomes smooth, and streamlined if you know the business model of the organization in which Information system security is like a (internal) service provider and how it facilitates secure conduct of business through secured platforms, secured systems, secured infrastructure, secured DBMS, security processes, Security Policies, Top Management function, CISO functions, Core revenue generation Operations (Productions/Service delivery), Products/Services, IT department, HR, Training, SCM (Purchase, Outsourced activities, Shipments ), Organization legal compliances, Administration (Physical and Environment Security, Facilities, Utilities, Maintenance), Sales and Marketing, Software design and development, etc. Further, there are dozens and dozens more verticals in each of these departments which must be assessed by you as an auditor.
If you are auditee then it will be useful to understand ISO 27001 Certification Life Cycle, spanning gap assessment before initiating ISO 27001 Information Security journey, followed by milestones of the certification life cycle. Once Implementation of the ISO 27001 has taken place in your organization, then obtain these ISO 27001 Checklists to perform internal audit, and plug the gaps with Root cause analysis and CAPA (corrective actions and preventive actions). Our recommendation is to run the internal audits twice with closure status of the findings. You will find your confidence level has risen to unparalleled new level.
If you are an auditor, whether representing customer to perform supplier audits, or representing a certification body to perform 3rd party audit, these checklists is a must-part of your arsenal to bring tremendous value on table by conducting value added Information Security Audits. It is recommended to go through checklists patiently as many times possible (not less than 4 to 5 times) to find enormous myriad auditing patterns emerging with numerous permutations and combination for audits, audit-probes, and investigations trail. During audits keep referring to these as you proceed with your audit in a department, and moving from one department to another. Always keep it open in minimized mode on your laptop. It is pertinent to mention that your checklists as well as your laptop need to be password protected.
Titular Clauses from 4 to clause 10.2 are the springboard of requirements of Information security Management system framework which is mandatory for organizations to fullfil. These clauses give rise to hundreds upon hundreds of compliance requirements to be fullfilled by the organizations and which the auditors must audit. From the below clauses of 4 to 10.2, the "ultimate chaecklist" captures 1336 compliance requirements which need to be addressed by the auditees as well as auditors.
In order to meet the requirements of Information security Risk assessment and Risk treatment of Clauses 6.1.1, 6.1.2, and 6.1.3, a minimum list of 114 controlls are annexed to the main standard. Since these 114 controls in the annexure are minimum controls and not the maximum controls based on the risk appetite of each unique business model, that is why it is annexed to the main standard. To understand this from real life example, consider main body of any international Master Service Agreement (MSA) alias contract, as the main body from clause 4 to 10.2 of the ISO 27001 standard which is static, undynamic, fixed, permanent. The annexure to the MSA is always dynamic, variable, executable component in support of some clause(s) of the MSA, which in case of the ISO 27001, are the clause No. 6.1.1, 6.1.2, and 6.1.3. To be more precise, the annexure supports clause 6.1.3.
4: Context of the Organization
4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the information security management system
4.4 Information Security Management System
5.1 Leadership and commitment
5.3 Organizational roles, responsibilities and authorities
Actions to address risks and opportunities
6.1.2 Information security risk assessment
6.1.3 Information security risk treatment
6.2 Information security objectives and planning to achieve them
7.5 Documented Information
7.5.2 Creating and updating
7.5.3 Control of documented information
8.1 Operational planning and control
8.2 Information security risk assessment
8.3 Information security risk treatment
9: Performance Evaluation
9.1 Monitoring, measurement, analysis and evaluation
9.2 Internal audit
9.3 Management review
10.1 Nonconformity and corrective action
10.2 Continual improvement
The best, most effective, and the easiest way which can bring you laurels, professional satisfaction is to grab the checklist of the clause(s) you want to audit from “ISO Store” of ISO Training Institute. Once you get immersed with the shear immense depth and width of the Clause audit checklist Questionnaires, go for all clauses 4 to 10.2 audit checklist with 1336 compliance questions. Do not forget to request for a discount of the same amount you purchased earlier the clause checklist to test waters, by sharing with us transaction copy