Audit Information
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Address
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Audit Number
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Function
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Region
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Audit Date & Time
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Lead Auditor
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Support Auditor(s)
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Auditor in Training
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Auditee
Opening Meeting
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Opening Meeting Notes
Review of previous audit findings for effectiveness
Previous Findings Review
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Previous Findings
Finding Number
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Review Details
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Review Outcome
Recommendation Effectiveness Review
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Recommendation Raised in previous audit?
Recommendation Number
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Recommendation Details
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Recommendation Effectiveness Outcome
- Process Improvement - quality of service
- Process efficiency improved (reduction in cost)
- Process efficiency improved (time reduction)
- Process efficiency improved (less staff required)
- Process resilience improved
- Security controls enhanced
- Positive impact to candidates and clients
- Supplier relationship/process improved
- Other(s)
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Please Specify Other(s)
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Conclusion/Outcome Details:
Section 4 - Context of the organisation
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Section applicable to the function being audited
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Applicable Clauses
- 4.1
- 4.2
- 4.3
- 4.4
4.1 Understanding the organisation and it's context
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Requirements:
The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system.
NOTE Determining these issues refers to establishing the external and internal context of the organization considered in Clause 5.3 of ISO 31000:2009[5]. -
Has the above requirements been met for 4.1
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
4.2 Understanding the needs and expectations of interested parties
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Requirements:
The organization shall determine:
a) interested parties that are relevant to the information security management system; and
b) the requirements of these interested parties relevant to information security.
NOTE The requirements of interested parties may include legal and regulatory requirements and
contractual obligations. -
Has the above requirements been met for 4.2
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
4.3 Determining the scope of the ISMS
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Requirements:
The organization shall determine the boundaries and applicability of the information security
management system to establish its scope.
When determining this scope, the organization shall consider:
a) the external and internal issues referred to in 4.1;
b) the requirements referred to in 4.2; and
c) interfaces and dependencies between activities performed by the organization, and those that are
performed by other organizations.
The scope shall be available as documented information. -
Has the above requirements been met for 4.3
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
4.4 Information Security Management System
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Requirements:
The organization shall establish, implement, maintain and continually improve an information security management system, in accordance with the requirements of this International Standard. -
Has the above requirements been met for 4.4
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Section 5 - Leadership
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Section applicable to the function being audited
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Applicable Clauses
- 5.1
- 5.2
- 5.3
5.1 Leadership & Commitment
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Requirements:
Top management shall demonstrate leadership and commitment with respect to the information
security management system by:
a) ensuring the information security policy and the information security objectives are established
and are compatible with the strategic direction of the organization;
b) ensuring the integration of the information security management system requirements into the
organization’s processes;
c) ensuring that the resources needed for the information security management system are available;
d) communicating the importance of effective information security management and of conforming to
the information security management system requirements;
e) ensuring that the information security management system achieves its intended outcome(s);
f) directing and supporting persons to contribute to the effectiveness of the information security
management system;
g) promoting continual improvement; and
h) supporting other relevant management roles to demonstrate their leadership as it applies to their
areas of responsibility. -
Has the above requirements been met for 5.1
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
5.2 Policy
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Requirements:
Top management shall establish an information security policy that:
a) is appropriate to the purpose of the organization;
b) includes information security objectives (see 6.2) or provides the framework for setting information
security objectives;
c) includes a commitment to satisfy applicable requirements related to information security; and
d) includes a commitment to continual improvement of the information security management system.
The information security policy shall:
e) be available as documented information;
f) be communicated within the organization; and
g) be available to interested parties, as appropriate. -
Has the above requirements been met for 5.2
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
5.3 Organisational roles, responsibilities and authorities
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Requirements:
Top management shall ensure that the responsibilities and authorities for roles relevant to information
security are assigned and communicated.
Top management shall assign the responsibility and authority for:
a) ensuring that the information security management system conforms to the requirements of this
International Standard; and
b) reporting on the performance of the information security management system to top management.
NOTE Top management may also assign responsibilities and authorities for reporting performance of the
information security management system within the organization. -
Has the above requirements been met for 5.3
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Section 6 - Planning
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Section applicable to the function being audited
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Applicable Clauses
- 6.1.1
- 6.1.2
- 6.1.3
- 6.2
6.1.1 General: Actions to address risk and opportunities
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Requirements:
When planning for the information security management system, the organization shall consider the
issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities
that need to be addressed to:
a) ensure the information security management system can achieve its intended outcome(s);
b) prevent, or reduce, undesired effects; and
c) achieve continual improvement.
The organization shall plan:
d) actions to address these risks and opportunities; and
e) how to
1) integrate and implement the actions into its information security management system processes; and
2) evaluate the effectiveness of these actions. -
Has the above requirements been met for 6.1.1
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
6.1.2 Information security risk assessment
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Requirements:
The organization shall define and apply an information security risk assessment process that:
a) establishes and maintains information security risk criteria that include:
1) the risk acceptance criteria; and
2) criteria for performing information security risk assessments;
b) ensures that repeated information security risk assessments produce consistent, valid and
comparable results;
c) identifies the information security risks:
1) apply the information security risk assessment process to identify risks associated with the loss
of confidentiality, integrity and availability for information within the scope of the information
security management system; and
2) identify the risk owners;
d) analyses the information security risks:
1) assess the potential consequences that would result if the risks identified in 6.1.2 c) 1) were
to materialize;
2) assess the realistic likelihood of the occurrence of the risks identified in 6.1.2 c) 1); and
3) determine the levels of risk;
e) evaluates the information security risks:
1) compare the results of risk analysis with the risk criteria established in 6.1.2 a); and
2) prioritize the analysed risks for risk treatment.
The organization shall retain documented information about the information security risk assessment process. -
Has the above requirements been met for 6.1.2
-
Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
6.1.3 Information security risk treatment
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Requirements:
The organization shall define and apply an information security risk treatment process to:
a) select appropriate information security risk treatment options, taking account of the risk
assessment results;
b) determine all controls that are necessary to implement the information security risk treatment
option(s) chosen;
NOTE Organizations can design controls as required, or identify them from any source.
c) compare the controls determined in 6.1.3 b) above with those in Annex A and verify that no necessary
controls have been omitted;
NOTE 1 Annex A contains a comprehensive list of control objectives and controls. Users of this International
Standard are directed to Annex A to ensure that no necessary controls are overlooked.
NOTE 2 Control objectives are implicitly included in the controls chosen. The control objectives and
controls listed in Annex A are not exhaustive and additional control objectives and controls may be needed.
d) produce a Statement of Applicability that contains the necessary controls (see 6.1.3 b) and c)) and
justification for inclusions, whether they are implemented or not, and the justification for exclusions
of controls from Annex A;
e) formulate an information security risk treatment plan; and
f) obtain risk owners’ approval of the information security risk treatment plan and acceptance of the
residual information security risks.
The organization shall retain documented information about the information security risk treatment
process.
NOTE The information security risk assessment and treatment process in this International Standard aligns
with the principles and generic guidelines provided in ISO 31000[5]. -
Has the above requirements been met for 6.1.3
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
6.2 Information security objectives and planning to achieve them
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Requirements:
The organization shall establish information security objectives at relevant functions and levels.
The information security objectives shall:
a) be consistent with the information security policy;
b) be measurable (if practicable);
c) take into account applicable information security requirements, and results from risk assessment
and risk treatment;
d) be communicated; and
e) be updated as appropriate.
The organization shall retain documented information on the information security objectives.
When planning how to achieve its information security objectives, the organization shall determine:
f) what will be done;
g) what resources will be required;
h) who will be responsible;
i) when it will be completed; and
j) how the results will be evaluated. -
Has the above requirements been met for 6.2
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Section 7 - Support
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Section applicable to the function being audited
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Applicable Clauses
- 7.1
- 7.2
- 7.3
- 7.4
- 7.5.1
- 7.5.2
- 7.5.3
7.1 Resources
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Requirements:
The organization shall determine and provide the resources needed for the establishment, implementation,
maintenance and continual improvement of the information security management system. -
Has the above requirements been met for 7.1
-
Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
7.2 Competence
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Requirements:
The organization shall:
a) determine the necessary competence of person(s) doing work under its control that affects its
information security performance;
b) ensure that these persons are competent on the basis of appropriate education, training, or experience;
c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness
of the actions taken; and
d) retain appropriate documented information as evidence of competence.
NOTE Applicable actions may include, for example: the provision of training to, the mentoring of, or the reassignment of current employees; or the hiring or contracting of competent persons. -
Has the above requirements been met for 7.2
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Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
7.3 Awareness
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Requirements:
Persons doing work under the organization’s control shall be aware of:
a) the information security policy;
b) their contribution to the effectiveness of the information security management system, including
c) the benefits of improved information security performance; and the implications of not conforming with the information security management system requirements. -
Has the above requirements been met for 7.3
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Auditor Notes
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Compliance Level
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Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
7.4 Communication
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Requirements:
The organization shall determine the need for internal and external communications relevant to the
information security management system including:
a) on what to communicate;
b) when to communicate;
c) with whom to communicate;
d) who shall communicate; and
e) the processes by which communication shall be effected -
Has the above requirements been met for 7.4
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Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
7.5.1 General
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Requirements:
The organization’s information security management system shall include:
a) documented information required by this International Standard; and
b) documented information determined by the organization as being necessary for the effectiveness of
the information security management system.
NOTE The extent of documented information for an information security management system can differ
from one organization to another due to:
1) the size of organization and its type of activities, processes, products and services;
2) the complexity of processes and their interactions; and
3) the competence of persons. -
Has the above requirements been met for 7.5.1
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Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
7.5.2 Creating and updating
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Requirements:
When creating and updating documented information the organization shall ensure appropriate:
a) identification and description (e.g. a title, date, author, or reference number);
b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic); and
c) review and approval for suitability and adequacy. -
Has the above requirements been met for 7.5.2
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Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
7.5.3 Control of documented information
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Requirements:
Documented information required by the information security management system and by this
International Standard shall be controlled to ensure:
a) it is available and suitable for use, where and when it is needed; and
b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).
For the control of documented information, the organization shall address the following activities,
as applicable:
c) distribution, access, retrieval and use;
d) storage and preservation, including the preservation of legibility;
e) control of changes (e.g. version control); and
f) retention and disposition.
Documented information of external origin, determined by the organization to be necessary for
the planning and operation of the information security management system, shall be identified as
appropriate, and controlled.
NOTE Access implies a decision regarding the permission to view the documented information only, or the
permission and authority to view and change the documented information, etc. -
Has the above requirements been met for 7.5.3
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Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Section 8 - Operation
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Section applicable to the function being audited
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Applicable Clauses
- 8.1
- 8.2
- 8.3
8.1 Operational planning and control
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Requirements:
The organization shall plan, implement and control the processes needed to meet information security
requirements, and to implement the actions determined in 6.1. The organization shall also implement
plans to achieve information security objectives determined in 6.2.
The organization shall keep documented information to the extent necessary to have confidence that
the processes have been carried out as planned.
The organization shall control planned changes and review the consequences of unintended changes,
taking action to mitigate any adverse effects, as necessary.
The organization shall ensure that outsourced processes are determined and controlled. -
Has the above requirements been met for 8.1
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
8.2 Information security risk assessment
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Requirement:
The organization shall perform information security risk assessments at planned intervals or when
significant changes are proposed or occur, taking account of the criteria established in 6.1.2 a).
The organization shall retain documented information of the results of the information security
risk assessments. -
Has the above requirements been met for 8.2
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
8.3 Information security risk treatment
-
Requirements:
The organization shall implement the information security risk treatment plan.
The organization shall retain documented information of the results of the information security
risk treatment. -
Has the above requirements been met for 8.3
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Section 9 - Performance Evaluation
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Section applicable to the function being audited
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Applicable Clauses
- 9.1
- 9.2
- 9.3
9.1 Monitoring, measurement, analysis and evaluation
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Requirements:
The organization shall evaluate the information security performance and the effectiveness of the
information security management system.
The organization shall determine:
a)what needs to be monitored and measured, including information security processes and controls;
b) the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure
valid results;
NOTE The methods selected should produce comparable and reproducible results to be considered valid.
c) when the monitoring and measuring shall be performed;
d) who shall monitor and measure;
e) when the results from monitoring and measurement shall be analysed and evaluated; and
f) who shall analyse and evaluate these results.
The organization shall retain appropriate documented information as evidence of the monitoring and
measurement results. -
Has the above requirements been met for 9.1
-
Auditor Notes
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Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
9.2 Internal audits
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Requirements:
The organization shall conduct internal audits at planned intervals to provide information on whether
the information security management system:
a) conforms to
1) the organization’s own requirements for its information security management system; and
2) the requirements of this International Standard;
b) is effectively implemented and maintained.
The organization shall:
c) plan, establish, implement and maintain an audit programme(s), including the frequency, methods,
responsibilities, planning requirements and reporting. The audit programme(s) shall take into
consideration the importance of the processes concerned and the results of previous audits;
d) define the audit criteria and scope for each audit;
e) select auditors and conduct audits that ensure objectivity and the impartiality of the audit process;
f) ensure that the results of the audits are reported to relevant management; and
g) retain documented information as evidence of the audit programme(s) and the audit results. -
Has the above requirements been met for 9.2
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
9.3 Management Reviews
-
Requirements:
Top management shall review the organization’s information security management system at planned
intervals to ensure its continuing suitability, adequacy and effectiveness.
The management review shall include consideration of:
a) the status of actions from previous management reviews;
b) changes in external and internal issues that are relevant to the information security management
system;
c) feedback on the information security performance, including trends in:
1) nonconformities and corrective actions;
2) monitoring and measurement results;
3) audit results; and
4) fulfilment of information security objectives;
d) feedback from interested parties;
e) results of risk assessment and status of risk treatment plan; and
f) opportunities for continual improvement.
The outputs of the management review shall include decisions related to continual improvement
opportunities and any needs for changes to the information security management system.
The organization shall retain documented information as evidence of the results of management reviews. -
Has the above requirements been met for 9.3
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Section 10 - Improvement
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Section applicable to the function being audited
-
Applicable Clauses
- 10.1
- 10.2
10.1 Nonconformity and corrective action
-
Requirements:
When a nonconformity occurs, the organization shall:
a) react to the nonconformity, and as applicable:
1) take action to control and correct it; and
2) deal with the consequences;
b) evaluate the need for action to eliminate the causes of nonconformity, in order that it does not recur
or occur elsewhere, by:
1) reviewing the nonconformity;
2) determining the causes of the nonconformity; and
3) determining if similar nonconformities exist, or could potentially occur;
c) implement any action needed;
d) review the effectiveness of any corrective action taken; and
e) make changes to the information security management system, if necessary.
Corrective actions shall be appropriate to the effects of the nonconformities encountered.
The organization shall retain documented information as evidence of:
f) the nature of the nonconformities and any subsequent actions taken, and
g) the results of any corrective action. -
Has the above requirements been met for 10.1
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
10.2 Continual Improvement
-
Requirement:
The organization shall continually improve the suitability, adequacy and effectiveness of the information security management system. -
Has the above requirements been met for 10.2
-
Auditor Notes
-
Compliance Level
-
Finding Type
- Non-Conformance RED
- Non-Conformance AMBER
- Observation RED
- Observation AMBER
- Observation GREEN
- Feedback GREEN
Annex A (Reference control objectives and controls)
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Section applicable to the function being audited
-
Applicable Controls
- A.5.1.1
- A.5.1.2
- A.6.1.1
- A.6.1.2
- A.6.1.3
- A.6.1.4
- A.6.1.5
- A.6.2.1
- A.6.2.2
- A.7.1.1
- A.7.1.2
- A.7.2.1
- A.7.2.2
- A.7.2.3
- A.7.3.1
- A.8.1.1
- A.8.1.2
- A.8.1.3
- A.8.1.4
- A.8.2.1
- A.8.2.2
- A.8.2.3
- A.8.3.1
- A.8.3.2
- A.8.3.3
- A.9.1.1
- A.9.1.2
- 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.9.3.1
- A.9.4.1
- A.9.4.2
- A.9.4.3
- A.9.4.4
- A.9.4.5
- A.10.1.1
- A.10.1.2
- A.11.1.1
- A.11.1.2
- A.11.1.3
- A.11.1.4
- A.11.1.5
- A.11.1.6
- A.11.2.1
- A.11.2.2
- A.11.2.3
- A.11.2.4
- A.11.2.5
- A.11.2.6
- A.11.2.7
- A.11.2.8
- A.11.2.9
- A.12.1.1
- A.12.1.2
- A.12.1.3
- A.12.1.4
- A.12.2.1
- A.12.3.1
- A.12.4.1
- A.12.4.2
- A.12.4.3
- A.12.4.4
- A.12.5.1
- A.12.6.1
- A.12.6.2
- A.12.7.1
- A.13.1.1
- A.13.1.2
- A.13.1.3
- A.13.2.1
- A.13.2.2
- A.13.2.3
- A.13.2.4
- A.14.1.1
- A.14.1.2
- A.14.1.3
- 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.14.2.7
- A.14.2.8
- A.14.2.9
- A.14.3.1
- A.15.1.1
- A.15.1.2
- A.15.1.3
- A.15.2.1
- A.15.2.2
- 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.17.1.1
- A.17.1.2
- A.17.1.3
- A.17.2.1
- A.18.1.1
- A.18.1.2
- A.18.1.3
- A.18.1.4
- A.18.1.5
- A.18.2.1
- A.18.2.2
- A.18.2.3
-
A.5.1.1 Policies for information security
A set of policies for information security shall be defined, approved by management, published and communicated to employees and relevant external parties. -
Auditor Notes
-
A.5.1.2 Review of the policies for information security
The policies for information security shall be reviewed at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. -
Auditor Notes
-
A.6.1.1 Information security roles and responsibilities
All information security responsibilities shall be defined and allocated. -
Auditor Notes
-
A.6.1.2 Segregation of duties
Conflicting duties and areas of responsibility shall be segregated to reduce opportunities for unauthorized or unintentional modification or misuse of the organization’s assets. -
Auditor Notes
-
A.6.1.3 Contact with authorities
Appropriate contacts with relevant authorities shall be maintained. -
Auditor Notes
-
A.6.1.4 Contact with special interest groups
Appropriate contacts with special interest groups or other specialist security forums and professional associations shall be maintained. -
Auditor Notes
-
A.6.1.5 Information security in project management
Information security shall be addressed in project management, regardless of the type of the project. -
Auditor Notes
-
A.6.2.1 Mobile device policy
A policy and supporting security measures shall be adopted to manage the risks introduced by using mobile devices. -
Auditor Notes
-
A.6.2.2 Teleworking
A policy and supporting security measures shall be implemented to protect information accessed, processed or stored at teleworking sites. -
Auditor Notes
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A.7.1.1 Screening
"Background verification checks on all candidates for employment shall be carried out in accordance with relevant laws, regulations and ethics and shall be proportional to the business requirements, the classification of the information to be accessed and the perceived risks." -
Auditor Notes
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A.7.1.2 Terms and conditions of employment
The contractual agreements with employees and contractors shall state their and the organization’s responsibilities for information security. -
Auditor Notes
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A.7.2.1 Management responsibilities
Management shall require all employees and contractors to apply information security in accordance with the established policies and procedures of the organization. -
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A.7.2.2 "Information security awareness, education and training"
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Auditor Notes
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A.7.2.3 Disciplinary process
"There shall be a formal and communicated disciplinary process in place to take action against employees who have committed an information security breach." -
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A.7.3.1 Termination or change of employment responsibilities
Information security responsibilities and duties that remain valid after termination or change of employment shall be defined, communicated to the employee or contractor and enforced. -
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A.8.1.1 Inventory of assets
Assets associated with information and information processing facilities shall be identified and an inventory of these assets shall be drawn up and maintained. -
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A.8.1.2 Ownership of assets
Assets maintained in the inventory shall be owned. -
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A.8.1.3 "Acceptable use of assets"
Rules for the acceptable use of information and of assets associated with information and information processing facilities shall be identified, documented and implemented. -
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A.8.1.4 Return of assets
All employees and external party users shall return all of the organizational assets in their possession upon termination of their employment, contract or agreement. -
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A.8.2.1 Classification of information
"Information shall be classified in terms of legal requirements, value, criticality and sensitivity to unauthorised disclosure or modification." -
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A.8.2.2 Labelling of information
An appropriate set of procedures for information labelling shall be developed and implemented in accordance with the information classification scheme adopted by the organization. -
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A.8.2.3 Handling of assets
Procedures for handling assets shall be developed and implemented in accordance with the information classification scheme adopted by the organization. -
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A.8.3.1 "Management of removable media"
Procedures shall be implemented for the management of removable media in accordance with the classification scheme adopted by the organization. -
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A.8.3.2 Disposal of media
Media shall be disposed of securely when no longer required, using formal procedures. -
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A.8.3.3 Physical media transfer
Media containing information shall be protected against unauthorized access, misuse or corruption during ransportation. -
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A.9.1.1 Access control policy
An access control policy shall be established, documented and reviewed based on business and information security requirements. -
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A.9.1.2 "Access to networks and network services"
Users shall only be provided with access to the network and network services that they have been specifically authorized to use. -
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A.9.2.1 "User registration and de-registration"
A formal user registration and de-registration process shall be implemented to enable assignment of access rights. -
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A.9.2.2 User access provisioning
A formal user access provisioning process shall be implemented to assign or revoke access rights for all user types to all systems and services. -
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A.9.2.3 "Management of privileged access rights"
The allocation and use of privileged access rights shall be restricted and controlled. -
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A.9.2.4 "Management of secret authentication information of users"
The allocation of secret authentication information shall be controlled through a formal management process." -
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A.9.2.5 Review of user access rights
Asset owners shall review users’ access rights at regular intervals. -
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A.9.2.6 "Removal or adjustment of access rights"
The access rights of all employees and external party users to information and information processing facilities shall be removed upon termination of their employment, contract or agreement, or adjusted upon change. -
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A.9.3.1 "Use of secret authentication information"
"Users shall be required to follow the organization’s practices in the use of secret authentication information." -
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A.9.4.1 "Information access restriction"
Access to information and application system functions shall be restricted in accordance with the access control policy. -
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A.9.4.2 Secure log-on procedures
Where required by the access control policy, access to systems and applications shall be controlled by a secure log-on procedure. -
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A.9.4.3 "Password management system"
Password management systems shall be interactive and shall ensure quality passwords. -
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A.9.4.4 "Use of privileged utility programs"
The use of utility programs that might be capable of overriding system and application controls shall be restricted and tightly controlled. -
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A.9.4.5 "Access control to program source code"
Access to program source code shall be restricted. -
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A.10.1.1 "Policy on the use of cryptographic controls"
A policy on the use of cryptographic controls for protection of information shall be developed and implemented. -
Auditor Notes
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A.10.1.2 Key management
A policy on the use, protection and lifetime of cryptographic keys shall be developed and implemented through their whole lifecycle. -
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A.11.1.1 Physical security perimeter
Security perimeters shall be defined and used to protect areas that contain either sensitive or critical information and information processing facilities. -
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A.11.1.2 Physical entry controls
Secure areas shall be protected by appropriate entry controls to ensure that only authorized personnel are allowed access." -
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A.11.1.3 "Securing offices, rooms and facilities"
"Physical security for offices, rooms and facilities shall be designed and applied." -
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A.11.1.4 "Protecting against external and environmental threats"
"Physical protection against natural disasters, malicious attack or accidents shall be designed and applied." -
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A.11.1.5 "Working in secure areas"
"Procedures for working in secure areas shall be designed and applied." -
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A.11.1.6 "Delivery and loading areas"
"Access points such as delivery and loading areas and other points where unauthorized persons could enter the premises shall be controlled and, if possible, isolated from information processing facilities to avoid unauthorized access." -
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A.11.2.1 "Equipment siting and protection"
Equipment shall be sited and protected to reduce the risks from environmental threats and hazards, and opportunities for unauthorized access. -
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A.11.2.2 Supporting utilities
"Equipment shall be protected from power failures and other disruptions caused by failures in supporting utilities." -
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A.11.2.3 Cabling security
"Power and telecommunications cabling carrying data or supporting information services shall be protected from interception, interference or damage." -
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A.11.2.4 Equipment maintenance
Equipment shall be correctly maintained to ensure its continued availability and integrity. -
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A.11.2.5 Removal of assets
"Equipment, information or software shall not be taken off-site without prior authorization." -
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A.11.2.6 "Security of equipment and assets off-premises"
Security shall be applied to off-site assets taking into account the different risks of working outside the organization’s premises. -
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A.11.2.7 "Secure disposal or reuse of equipment"
All items of equipment containing storage media shall be verified to ensure that any sensitive data and licensed software has been removed or securely overwritten prior to disposal or re-use. -
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A.11.2.8 "Unattended user equipment"
Users shall ensure that unattended equipment has appropriate protection. -
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A.11.2.9 "Clear desk and clear screen policy"
A clear desk policy for papers and removable storage media and a clear screen policy for information processing facilities shall be adopted. -
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A.12.1.1 "Documented operating procedures"
Operating procedures shall be documented and made available to all users who need them. -
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A.12.1.2 Change management
Changes to the organization, business processes, information processing facilities and systems that affect information security shall be controlled. -
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A.12.1.3 Capacity management
The use of resources shall be monitored, tuned and projections made of future capacity requirements to ensure the required system performance. -
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A.12.1.4 "Separation of development, testing and operational environments"
Development, testing, and operational environments shall be separated to reduce the risks of unauthorized access or changes to the operational environment. -
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A.12.2.1 Controls against malware
Detection, prevention and recovery controls to protect against malware shall be implemented, combined with appropriate user awareness. -
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A.12.3.1 Information backup
"Backup copies of information, software and system images shall be taken and tested regularly in accordance with an agreed backup
policy." -
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A.12.4.1 Event logging
Event logs recording user activities, exceptions, faults and information security events shall be produced, kept and regularly reviewed. -
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A.12.4.2 Protection of log information
Logging facilities and log information shall be protected against tampering and unauthorized access. -
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A.12.4.3 "Administrator and operator logs"
System administrator and system operator activities shall be logged and the logs protected and regularly reviewed. -
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A.12.4.4 Clock synchronisation
The clocks of all relevant information processing systems within an organization or security domain shall be synchronised to a single reference time source. -
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A.12.5.1 "Installation of software on operational systems"
Procedures shall be implemented to control the installation of software on operational systems. -
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A.12.6.1 "Management of technical vulnerabilities"
Information about technical vulnerabilities of information systems being used shall be obtained in a timely fashion, the organization’s exposure to such vulnerabilities evaluated and appropriate measures taken to address the associated risk. -
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A.12.6.2 "Restrictions on software installation"
Rules governing the installation of software by users shall be established and implemented. -
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A.12.7.1 "Information systems audit controls"
"Audit requirements and activities involving verification of operational systems shall be carefully planned and agreed to minimise disruptions to business processes." -
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A.13.1.1 Network controls
"Networks shall be managed and controlled to protect information in systems and applications." -
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A.13.1.2 "Security of network services"
Security mechanisms, service levels and management requirements of all network services shall be identified and included in network services agreements, whether these services are provided in-house or outsourced. -
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A.13.1.3 Segregation in networks
"Groups of information services, users and information systems shall be segregated on networks." -
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A.13.2.1 "Information transfer policies and procedures"
Formal transfer policies, procedures and controls shall be in place to protect the transfer of information through the use of all types of communication facilities. -
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A.13.2.2 "Agreements on information transfer"
Agreements shall address the secure transfer of business information between the organization and external parties. -
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A.13.2.3 Electronic messaging
"Information involved in electronic messaging shall be appropriately protected." -
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A.13.2.4 "Confidentiality or nondisclosure agreements"
Requirements for confidentiality or non-disclosure agreements reflecting the organization’s needs for the protection of information shall be identified, regularly reviewed and documented. -
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A.14.1.1 "Information security requirements analysis and specification"
The information security related requirements shall be included in the requirements for new information systems or enhancements to existing information systems. -
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A.14.1.2 "Securing application services on public networks"
Information involved in application services passing over public networks shall be protected from fraudulent activity, contract dispute and unauthorized disclosure and modification. -
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A.14.1.3 "Protecting application services transactions"
"Information involved in application service transactions shall be protected to prevent incomplete transmission, mis-routing, unauthorized message alteration, unauthorized disclosure, unauthorized message duplication or replay." -
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A.14.2.1 "Secure development policy"
Rules for the development of software and systems shall be established and applied to developments within the organization. -
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A.14.2.2 "System change control procedures"
Changes to systems within the development lifecycle shall be controlled by the use of formal change control procedures. -
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A.14.2.3 Technical review of applications after operating platform changes
When operating platforms are changed, business critical applications shall be reviewed and tested to ensure there is no adverse impact on organizational operations or security. -
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A.14.2.4 Restrictions on changes to software packages
Modifications to software packages shall be discouraged, limited to necessary changes and all changes shall be strictly controlled. -
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A.14.2.5 "Secure system engineering principles"
Principles for engineering secure systems shall be established, documented, maintained and applied to any information system implementation efforts. -
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A.14.2.6 "Secure development environment"
Organizations shall establish and appropriately protect secure development environments for system development and integration efforts that cover the entire system development lifecycle. -
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A.14.2.7 Outsourced development
The organization shall supervise and monitor the activity of outsourced system development. -
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A.14.2.8 System security testing
Testing of security functionality shall be carried out during development. -
Auditor Notes
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A.14.2.9 "System acceptance testing"
Acceptance testing programs and related criteria shall be established for new information systems, upgrades and new versions. -
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A.14.3.1 Protection of test data
Test data shall be selected carefully, protected and controlled. -
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A.15.1.1 "Information security policy for supplier relationships"
Information security requirements for mitigating the risks associated with supplier’s access to the organization’s assets shall be agreed with the supplier and documented. -
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A.15.1.2 "Addressing security within supplier agreements"
All relevant information security requirements shall be established and agreed with each supplier that may access, process, store, communicate, or provide IT infrastructure components for, the organization’s information. -
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A.15.1.3 "Information and communication technology supply chain"
Agreements with suppliers shall include requirements to address the information security risks associated with information and communications technology services and product supply chain. -
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A.15.2.1 "Monitoring and review of supplier services"
Organizations shall regularly monitor, review and audit supplier service delivery. -
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A.15.2.2 "Managing changes to supplier services"
Changes to the provision of services by suppliers, including maintaining and improving existing information security policies, procedures and controls, shall be managed, taking account of the criticality of business information, systems and processes involved and re-assessment of risks. -
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A.16.1.1 "Responsibilities and procedures"
Management responsibilities and procedures shall be established to ensure a quick, effective and orderly response to information security incidents. -
Auditor Notes
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A.16.1.2 "Reporting information security events"
Information security events shall be reported through appropriate management channels as quickly as possible. -
Auditor Notes
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A.16.1.3 "Reporting information security weaknesses"
"Employees and contractors using the organization’s information systems and services shall be required to note and report any observed or suspected information security weaknesses in systems or services." -
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A.16.1.4 "Assessment of and decision on information security events"
Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents. -
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A.16.1.5 "Response to information security incidents"
Information security incidents shall be responded to in accordance with the documented procedures. -
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A.16.1.6 Learning from information security incidents
Knowledge gained from analysing and resolving information security incidents shall be used to reduce the likelihood or impact of future incidents. -
Auditor Notes
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A.16.1.7 Collection of evidence
The organization shall define and apply procedures for the identification, collection, acquisition and preservation of information, which can serve as evidence. -
Auditor Notes
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A.17.1.1 Planning information security continuity
The organization shall determine its requirements for information security and the continuity of information security management in adverse situations, e.g. during a crisis or disaster. -
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A.17.1.2 "Implementing information security continuity"
The organization shall establish, document, implement and maintain processes, procedures and controls to ensure the required level of continuity for information security during an adverse situation. -
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A.17.1.3 "Verify, review and evaluate information security continuity"
The organization shall verify the established and implemented information security continuity controls at regular intervals in order to ensure that they are valid and effective during adverse situations. -
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A.17.2.1 "Availability of information processing facilities"
Information processing facilities shall be implemented with redundancy sufficient to meet availability requirements. -
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A.18.1.1 "Identification of applicable legislation and contractual requirements"
"All relevant legislative statutory, regulatory, contractual requirements and the organization’s approach to meet these requirements shall be explicitly identified, documented and kept up to date for each information system and the organization." -
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A.18.1.2 "Intellectual property rights"
"Appropriate procedures shall be implemented to ensure compliance with legislative, regulatory and contractual requirements related to intellectual property rights and use of proprietary software products." -
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A.18.1.3 Protection of records
Records shall be protected from loss, destruction, falsification, unauthorized access and unauthorized release, in accordance with legislatory, regulatory, contractual and business requirements. -
Auditor Notes
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A.18.1.4 Privacy and protection of personally identifiable information
Privacy and protection of personally identifiable information shall be ensured as required in relevant legislation and regulation where applicable. -
Auditor Notes
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A.18.1.5 "Regulation of cryptographic controls"
Cryptographic controls shall be used in compliance with all relevant agreements, legislation and regulations. -
Auditor Notes
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A.18.2.1 "Independent review of information security"
"The organization’s approach to managing information security and its implementation (i.e. control objectives, controls, policies, processes and procedures for information security) shall be reviewed independently at planned intervals or when significant changes
occur." -
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A18.2.2 Compliance with security policies and standards
Managers shall regularly review the compliance of information processing and procedures within their area of responsibility with the appropriate security policies, standards and other security requirements -
Auditor Notes
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A18.2.3 Technical compliance review
Information systems shall be regularly reviewed for compliance with the organisations information security policies and standards. -
Auditor Notes
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Findings Raised
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Non-Conformance RED
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
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Non-Conformance AMBER
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
-
Observation RED
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
-
Observation AMBER
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
-
Observation GREEN
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 0
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Recommendation GREEN
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 0
Closing Meeting
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Closing Meeting Notes
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Positives
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Overall Audit Summary
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Findings Raised
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Non-Conformance RED
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
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Non-Conformance AMBER
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
-
Observation RED
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
-
Observation AMBER
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
-
Observation GREEN
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 0
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Feedback GREEN
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 0
Audit Signoff
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Sign off Audit Team
- Lead Auditor
- Support Auditor
- Auditor in Training
- Functional Owner
- Auditee
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Lead Auditor
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Support Auditor
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Auditor in Training
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Functional Owner
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Auditee Team
Auditee
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