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IT Security Audit Checklist

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Professionally drawn Comprehensive and Robust Checklist on ISO 27001 IT Security audit to find out gaps and non conformances in IT, is prepared by a committee of Industry experts, Principal Auditors and Lead Instructors of ISO 27001, under the aegis of ISO 27001 Institute. IT Security Audit Checklist has 1222 Compliance audit Questionnaires to fulfill the requirements of ISO 27001:2022.

ISO 27001 Audit Checklist for IT Security

 

IT Security Audit Checklist questionnaire to determine the non-compliance of IT Security in conformity with ISO 27001:2022, contains downloadable Excel file with 3 sheets having-

  1. 1222 Compliance Checklist questions covering the requirements of IT Security.
  2. Complete Inventory of Clauses, clause numbers, and Clause titles of ISO 27001:2022
  3. The complete inventory of Controls, control numbers, and Domains of ISO 27001:2022.

File format – Excel
Content Contribution – Information Security Committee of Industry Experts, Principal Instructors, and Lead Auditors of ISO 27001
Checklist Approved By– ISO Training Institute
Language – English
File Delivery method – Immediate and Automatic. Through the secure link in the email provided at the time of check-out
Link Validity – 01 Day from the time of receiving the link through email
Download Limit – 03
File Size – 208 Kilobyte(KB)

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The Checklist contains an investigation audit trails Questionnaires on numerous critical areas such as Access Management, IT Security Policies/SoPs, Communication Security, IT Operations Security, Legal/Regulatory compliances, Security in Suppliers relationship, BCP, Secure System Engineering, Protection from Malware, Cryptography, Logging and monitoring, Backups & restoration, management of Technical vulnerabilities, Change management, Capacity Planning, IT Risk assessment and Risk treatment, Effectiveness of IT Risks mitigation controls, and many many more.... It is a huge bank of checklist Questions. This is the main reason verticals like Network Security, Email, Website, and Application Security being vast functions by themselves have dedicated Security Checklist for these areas.

  1. Securely save the original checklist file, and use the copy of the file as your working document during  preparation/ conduct of the IT Security Audit.
  2. Information Security assessments probe multithreaded Investigation audit trails. IT Security Checklist has hundreds of investigative questions. Invariably, the organization's IT processes are at various levels of ISMS maturity, therefore, use checklist investigation Questionnaires' quantum apportioned to the current status of threats emerging from risk exposure.
  3. IT has a lot of verticals. That's why IT is one of the biggest departments in an organization. In the IT department, verticals like Network Security, Email, Website, and Application Security being vast by themselves, deserve dedicated and distinct focus due to a huge number of compliance requirements. Therefore Information Security Checklists for these verticals are made available separately. For example, Network Security Audit Checklist (SKU - ISMS 22) has a 515 Compliance Questionnaire.

This checklist is useful for-

  1. Organization Planning for ISO 27001 Certification.
  2. Compliance Audits
  3. Gap Assessments
  4. An organization that believes in survival of the fittest.
  5. Enhancing longevity of the business.
  6. Organizations keen for robust, resilient, and value-added IT Security Management systems.
  7. Organizations keen to protect themselves against issues from IT Security requirements of ISO 27001.
  8. Organizations that want to survive client audits.
  9. Information Security Professionals.
  10. Internal auditors of Information Security Management System
  11. External Auditors of Information Security Management System
  12. Auditors of the client organizations who are assigned to assess the ISMS capability of their Service Providers, Vendors, and contractors.
  13. Students of Information Security Management System
  14. ISO 27001 Lead Auditor Training Participants
  15. ISO 27001 Lead Implementer participants
  16. Professionals doing Career switchover to Information security.
  17. Owners of Business.
  18. CTO, CIO, CISO, HODs, ISO 27001 SPOCs from departments, IT Teams, Central Security Team
  1. These IT Security Audit 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.
  2. The checklists are validated by the Head of the expert committee panel and approved by ISO Training Institute.

The IT Security Audit checklist on Requirements of ISO 27001 follows the cardinals of:-

  1. Risk-based thinking (RBT),
  2. Process approach, and
  3. PDCA (Plan Do Check Act) methodology.

The expert panel of Information Security auditors and Instructors have 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.

Broadly there are 3 types of IT audit.

  1. First Party IT Audit
  2. Second Party Audit
  3. Third Party Audit

First Party IT 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 InfoSec pain areas in IT domain, areas where ISMS processes do not align with each other for carrying out IT operations, opportunities for Information Security improvement, and the effectiveness of the IT 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 IT Audits

This pertains Primarily to Customer driven  IT Security Audits performed on their supplier for onboarding due diligence, retention criteria, 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 IT Security audit of a supplier (Service Provider, Contractor, Vendor) to ensure that they are meeting the specified IT Security requirements. These requirements may include special Security control over IT processes, requirements on traceability of some parts of the service, requirements for specific IT documentation, records, IT Logs, or any of the numerous items of special interest to that customer. These audits can be done on-site by reviewing the IT processes or even off-site by reviewing IT 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 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. IT Security audit is performed during every assessment visit, whereas other support department are audited on rolling basis in an audit cycle of 3 years.

IT is backbone of an organization. All Processes and functions of an organization are carried out with varying degree of help of IT. It is therefore important that IT operations are carried out in the most secured manner otherwise Organizations would cease to exit due to barrage of Information Security threats/risks its systems and processes are exposed to. The most important objective while carrying out assessment of numerous niche areas in IT department, the auditor must ascertain that what is the "degree of compliance" of information Security Controls to run IT Systems, Processes, Infrastructure, and Operations?  

In order to perform Value-Added IT Security 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 IT Security assessment. Otherwise, it would be professional Hara-kiri (Japanese term for Ceremonial Suicide).

  1. How IT 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?
  2. How IT processes are ensuring to preserve “Integrity” of information at rest, information getting processed, and information in transit?
  3. How IT 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?
  4. How IT processes are carried out on the basis of RBT?
  5. What controls are place triggered due to RBT?
  6. What PDCA rigors are followed for “Controls” life Cycle management?
  1. IT Security audits are investigative audits carried out to confirm the status of compliances.
  2. Value added IT audit cannot be performed effectively without meticulous planning, and preparation.
  3. 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.
  4. IT audit Checklist is an important working document of an auditor. It contains all IT performance, and security compliance questions against which the auditee must demonstrate evidences of compliance.
  5. The auditor needs to keep referring to this working document throughout the audit to ensure that assessment is taking place in a focused planned manner, and no vital area is missed out in the investigation audit.
  6. IT audit checklist improves the efficiency of the audit including time management. IT audit checklist serve as an aide-memoire that is equally useful for auditor or auditee,
  7. It is extremely important to prepare and plan for an IT audit. The checklist to perform IT audit is essential component of audit planning and preparation. There are dozens and dozens of IT 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.
  8. It takes plenty of years, and costly lessons learnt to arrive at a decent level of understanding of the IT subject. Therefore it is highly advantageous to have a well prepared detailed IT audit checklist. A meticulously prepared comprehensive Professional IT audit checklist has all the compliance questions to be covered by the auditor seamlessly. An auditor without IT audit Checklist would be like a soldier without fighting equipment.
  1. 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 IT security checklist by your side, there is the likelihood that compromise may take place. This compromise is extremely costly for Organizations and Professionals.
  2. IT 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 slips between cup and lips in the realm of information security management' thorough understanding let alone ISO 27001 audit.
  3. 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.
  4. 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 IT Security Checklist Questions enables "carpet bombing" of all ISMS requirements to detect what "exactly" is the compliance and non-compliance status.
  5. 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 IT Audit Checklist by your side.
  6. Of course, IT security Audit becomes a robust, immensely focused, efficient, time saver exercise with sharp Checklist Questions, because a comprehensive professionally drawn IT security 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.
  1. The exciting and challenging task of IT audit becomes smooth, and streamlined if you know the business model of the organization in which IT department is like a (internal) service provider and how IT department facilitates secure conduct of business through IT run secured platforms, IT secured systems, IT secured infrastructure, IT based secured DBMS,  IT security processes, IT security Policies, Network security, Secured Communications, Application security, Web security, Security of IT outsourced activities, IT legal compliances so on and so forth there are dozens and dozens more verticals which must be assessed by you as an auditor.  
  2. It is strongly recommended to prepare an audit compliance questionnaires checklist well in advance and keep it handy during the audit so that no vital area remains un-audited by you before the audit time runneth over. If you are an experienced auditor, it is possible to prepare 40 to 70 audit checklist questions.
  3. Here, the IT audit checklist prepared by hard core vintage professional auditor have over 750 IT audit Compliance Questions. Mind you, this does not cover verticals like Network Security, IT service desk, Email security, Website security, Application Security, Software design and development security, Data Centre security, firewall security, router security, Database server security, Cloud security, Business continuity, and Information security Incident management. ‘Suggest you look for all checklists for entire IT department, which are available at further discount.

Hear What they say (Testimonials)

Nathalie Mertens - ISO 27001 Framework audit checklist Review
Nathalie Mertens
CIO

It is a huge reservoir of Compliance Checklist Questionnaires on IT Security, and ISMS Framework. This is my Go-To tool. Truly a Professional Checklist!

Oliver Anderson
Oliver Anderson
CISO

26 days before of ISO 27001 Certification Audit, we performed gap assessment with this Monster Compliance checklist on the ISMS framework, and IT Security deployed. We detected 37 major gaps, and we thought our ISMS is untouchable.

Daisuke Sugiyama - ISO 27001 Framework audit checklist Review
Daisuke Sugiyama
CTO

Being CTO of the large Japanese MNC Conglomerate, this checklist enables me to ensure much much superior internal audits of 65 locations worldwide, as well as large base of critical suppliers.

Leslie Chatwal - ISO 27001 audit checklist testimonial
Leslie Chatwal
SOC Head

This Checklist is an Eye Opener, rather mind opener in the realm of Information Security Management System Framework

Cathal O’Connor - ISO 27001 checklist testimonial
Cathal O'Connor
Founder, Information Security Risk Advisory Firm

All the niche area covered in the checklist are awesome to perform validation check on the compliance of the requirements of ISMS foundation as per ISO 27001. I am getting amazing feedback from my clients after completion of client audits by my team.

Daniel Archambeau - ISO 27001 Framework audit checklist Review
Daniel Archambeau
Senior Manager, IT

What they teach in Lead Auditor  and Lead Implementer Courses is like Kindergarten compared to the learning I received from this monster Compliance Checklist on ISO 27001 Framework. These Guys are ISMS wizards!

Adelinda M
Adelinda M
CRO

Excellent work! Definitely unparalleled in the entire world.  This Checklist is what I have been looking for a long time.

Walter Schulte-IT security audit checklist -Testimonials
George Mathews
President, Information Technology

I had made task force region wise for all 92 locations worldwide, to conduct IT security gap audits based on the checklist. We found 473 non-conformances globally, even as we are certified for many Security standards for the last 8 years. 

Graham Balderston - Secure SDLC Audit Checklist - customer feedback
Graham Balderston
Director, Systems & Technology

IT Security audit checklist is ready-reckoner for end to end information security compliance requirements which every IT professional must have.

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