In this ultimate how to audit guide to ISO 27001 Annex A 6.3 Information Security Awareness, 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
- ISO 27001 Annex A 6.3 Information Security Awareness, Education and Training Audit Checklist
- 1. Information Security Awareness Programme Formalised
- 2. Induction Security Training Completion Verified
- 3. Annual Refresher Training Cycle Confirmed
- 4. Specialised Role-Based Security Training Validated
- 5. Practical Threat Simulation (Phishing) Performance Monitored
- 6. Comprehension and Competency Assessments Recorded
- 7. Topic-Specific Policy Awareness Evidenced
- 8. Security Awareness Communication Trail Identified
- 9. Management Engagement in Awareness Activities Verified
- 10. External Party (Contractor) Awareness Alignment Confirmed
ISO 27001 Annex A 6.3 Information Security Awareness, Education and Training Audit Checklist
Auditing ISO 27001 Annex A 6.3 is the systematic evaluation of personnel competency and security culture through targeted education. The Primary Implementation Requirement is a formal awareness programme, delivering the Business Benefit of a resilient workforce capable of identifying cyber threats and protecting vital organizational assets.
This technical verification tool is designed for lead auditors to confirm the efficacy of the organisation’s security culture and personnel competency. Use this checklist to validate compliance with ISO 27001 Annex A 6.3.
1. Information Security Awareness Programme Formalised
Verification Criteria: A documented programme exists that defines the strategy, frequency, and delivery methods for security awareness across all personnel levels.
Required Evidence: Approved Security Awareness Strategy or Annual Training Plan with version history and management sign-off.
Pass/Fail Test: If the organisation cannot produce a documented plan that schedules awareness activities for the current fiscal year, mark as Non-Compliant.
2. Induction Security Training Completion Verified
Verification Criteria: Every new employee and contractor completes mandatory information security induction training prior to being granted access to production systems or sensitive data.
Required Evidence: Learning Management System (LMS) reports or HR onboarding logs showing completion timestamps cross-referenced against system account creation dates.
Pass/Fail Test: If a sample of five recent joiners shows system access was granted more than 48 hours before the security induction was completed, mark as Non-Compliant.
3. Annual Refresher Training Cycle Confirmed
Verification Criteria: All personnel undergo regular refresher training at least once per year to maintain awareness of evolving threats and policy changes.
Required Evidence: Historical training logs showing >95% completion rates for annual security modules over the last two audit cycles.
Pass/Fail Test: If the organisation allows more than 13 months to pass between training sessions for any active employee, mark as Non-Compliant.
