Audit Information
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Audit Number
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Function
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Audit Date & Time
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Lead Auditor
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Support Auditor(s)
- Austin Songer
- Melvis Mofor Mofor
- David Scovetta
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
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
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
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
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
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
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
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
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
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Auditor Notes
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Compliance Level
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Finding Type
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
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
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
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Auditor Notes
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Compliance Level
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Finding Type
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
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Finding Type
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
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
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Finding Type
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
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Finding Type
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
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Finding Type
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
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Finding Type
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
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Auditor Notes
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Compliance Level
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Finding Type
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
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Auditor Notes
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Compliance Level
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Finding Type
8.3 Information security risk treatment
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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
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Auditor Notes
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Compliance Level
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Finding Type
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
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Auditor Notes
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Compliance Level
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Finding Type
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
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Auditor Notes
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Compliance Level
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Finding Type
9.3 Management Reviews
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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
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Auditor Notes
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Compliance Level
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Finding Type
Section 10 - Improvement
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Section applicable to the function being audited
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Applicable Clauses
- 10.1
- 10.2
10.1 Nonconformity and corrective action
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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
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Auditor Notes
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Compliance Level
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Finding Type
10.2 Continual Improvement
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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
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Auditor Notes
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Compliance Level
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Finding Type
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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Major Non-Conformities
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
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Minor Non-Conformities
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
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Observation
- 0
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
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Feedback
- 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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