Section

Audit Question

Findings

Compliance Y/N

Information Security Policy document

A policy that states management commitment and sets out the organizational approach to managing information security

Does there exists an Information security policy, which is approved by the management, published and communicated as appropriate to all employees?

Review of Informational Security Policy

Whether the information Security policy has an owner, has approved management responsibility for development, review and evaluation of the security policy.

Whether the information security policy is reviewed at planned intervals, or if significant changes occur to ensure it continuing suitability, adequacy and effectiveness.

Management commitment to information security

Whether management demonstrates active support for security measures within the organization. This can be done via clear direction, demonstrated commitment, explicit assignment and acknowledgement of information security responsibilities.

Information security coordination

Whether information security activities are coordinated by representatives from diverse parts of the organization, with pertinent roles and responsibilities.

Allocation of information security responsibilities

Whether responsibilities for the protection of individual assets, and for carrying out specific security processes, were clearly identified and defined.

Confidentiality agreements

Whether the organization’s need for Confidentiality or Non-Disclosure Agreement (NDA) for protection of information is clearly defined and regularly reviewed.

Does this address the requirement to protect the confidential information using legal enforceable terms?

Contact with authorities

Whether there exists a procedure that describes when, and by whom: relevant authorities such as Law enforcement, fire department etc., should be contacted, and how the incident should be reported.

Independent review of information security

Whether the organization’s approach to managing information security, and its implementation, is reviewed independently at planned intervals, or when major changes to security implementation occur.

Addressing Security when dealing with customers

Whether all identified security requirements are fulfilled before granting customer access to the organization’s information or assets.

Inventory of assets

Whether all assets are identified and an inventory or register is maintained with all the important assets.

Acceptable use of assets

Whether regulations for acceptable use of information and assets associated with an information processing facility were identified, documented and implemented.

Roles and responsibilities

Whether employee security roles and responsibilities, contractors and third-party users were defined and documented in accordance with the organization’s information security policy.

Were the roles and responsibilities defined and clearly communicated to job candidates during the pre-employment process?

Information security awareness, education and training

Whether all employees in the organization, and where relevant, contractors and third-party users, receive appropriate security awareness training and regular updates in organizational policies and procedures as it pertains to their job function.

Disciplinary process

Whether there is a formal disciplinary process for the employees who have committed a security breach.

Termination responsibilities

Whether responsibilities for performing employment termination, or change of employment, are clearly defined and assigned.