In this ultimate how to audit guide to ISO 27001 Annex A 5.14 Information Transfer, you will learn directly from an ISO 27001 Lead Auditor:
- 10 Key Audit Steps
- Verification Criteria
- Required Evidence
- The Pass / Fail Test
I am Stuart Barker, the ISO 27001 Lead Auditor and author of the Ultimate ISO 27001 Toolkit.
Using over 30 years of industry experience across hundreds of audits, I’m giving you the exact templates, walkthroughs, and practical examples you need to achieve ISO 27001 certification.
Table of contents
- 1. Information Transfer Policy Formalisation Verified
- 2. Enforceable Transfer Agreements Present
- 3. Secure Messaging Configuration Validated
- 4. Physical Media Transit Protection Verified
- 5. Information Labelling During Transfer Confirmed
- 6. Transfer Traceability and Logging Logs Present
- 7. Verbal Information Transfer Controls Evidenced
- 8. Technical Integrity Controls (Checksums/Signatures) Verified
- 9. Information Reception Procedures Documented
- 10. Non-Disclosure Agreement (NDA) Compliance Confirmed
Auditing ISO 27001 Annex A 5.14 Information Transfer validates the security of data in transit across organizational boundaries. This process confirms the Primary Implementation Requirement of using formal transfer agreements and secure protocols to protect information integrity and confidentiality. The Business Benefit mitigates data leakage risks during communication, ensuring compliance with legal and contractual obligations.
1. Information Transfer Policy Formalisation Verified
Verification Criteria: A documented policy exists that defines the rules, procedures, and technical standards for transferring information within the organisation and to external parties.
Required Evidence: Approved Information Transfer Policy or Operating Procedures, including specific sections on secure electronic messaging and physical media transit.
Pass/Fail Test: If the policy lacks specific technical requirements for encryption levels or allowed transfer methods (e.g., SFTP vs. email), mark as Non-Compliant.
2. Enforceable Transfer Agreements Present
Verification Criteria: Information transfers involving external parties are governed by formal agreements that specify security requirements, liability, and handling instructions.
Required Evidence: Signed Data Transfer Agreements (DTAs), Service Level Agreements (SLAs), or specific security clauses within master contracts for a sampled external vendor.
Pass/Fail Test: If sensitive data is being transferred to a third party without a signed agreement that defines the recipient’s security obligations, mark as Non-Compliant.
3. Secure Messaging Configuration Validated
Verification Criteria: Electronic messaging systems (email, Slack, Teams) are configured to protect information from unauthorised disclosure or modification during transit.
Required Evidence: Screenshots of mail server configurations showing TLS 1.2+ enforcement, or logs of encrypted message delivery for sensitive data.
Pass/Fail Test: If the organisation allows the transfer of “Confidential” information via unencrypted standard email, mark as Non-Compliant.
