Your 10-Point Audit Checklist for ISO 27001 Clause 7.3: Awareness

In the world of information security management, ISO 27001 Clause 7.3 Awareness is far more than a compliance item to be satisfied with a single annual training video. It is the cornerstone of a resilient security culture.

An effective awareness programme transforms security from a niche IT concern into an embedded, shared responsibility that permeates every level of the organisation. As an auditor, I’m not looking for a training certificate; I’m testing your human firewall. My goal is to confirm that security is a reflex, not an afterthought. This practical, 10-point checklist provides a framework for evaluating the true effectiveness of your awareness initiatives and preparing for a successful audit.

The Core Requirements of Clause 7.3

Before diving into the audit points, it is essential to understand the precise wording of the standard. Clause 7.3 establishes the minimum knowledge that must be imparted to all individuals working under the organisation’s control. An auditor will structure their inquiry around these core tenets.

Persons doing work under the organisation’s control shall be aware of:

• a) the information security policy;
• b) their contribution to the effectiveness of the information security management system (ISMS), including the benefits of improved information security performance; and
• c) the implications of not conforming with the information security management system requirements.

The 10-Point Audit Checklist for Clause 7.3

This checklist is a strategic tool designed for Information Security Managers and internal auditors. Use it to proactively assess your readiness, identify gaps, and gather the necessary evidence to demonstrate compliance to an external auditor. It is directly supported by Annex A 6.3 (Awareness, education and training) which guides the ‘how’ through a formal programme.

1. Audit Point: Policy Awareness and Accessibility

What to Check: Verify that the main information security policy is not merely documented, but has been actively communicated to all staff, contractors, and relevant third parties. Confirm that the policy is stored in a central, easily accessible location that all personnel are aware of.

Evidence to Look For:

• A direct link to the policy on the company intranet or shared knowledge base.
• Records of email communications distributing the policy.
• Confirmation from staff during interviews that they know where to find the policy.

2. Audit Point: Understanding Personal Contribution

What to Check: Assess whether individuals can articulate their specific role in maintaining the effectiveness of the ISMS. Determine if employees understand how their daily tasks connect to broader information security objectives.

Evidence to Look For:

• Direct responses from staff linking their job duties to security outcomes.
• Role-specific training materials outlining security responsibilities.
• Performance review templates including information security metrics.

Pro-Tip: An auditor will ask, ‘How do you help keep the company’s information secure?’ A strong answer connects specific daily tasks (like verifying invoices) to broader security goals.

3. Audit Point: Comprehension of Benefits

What to Check: Evaluate if personnel understand the positive outcomes—for the business and personally—that result from improved information security performance. Confirm that the “why” behind security rules is communicated.

Evidence to Look For:

• Content within training modules highlighting business benefits (brand reputation, customer trust).
• Interview responses connecting good security practices to business success.

4. Audit Point: Knowledge of Non-Conformity Consequences

What to Check: Confirm that all staff are aware of the implications of failing to adhere to ISMS requirements. Verify that potential disciplinary actions for non-compliance are clearly defined.

Evidence to Look For:

• A dedicated “Sanctions” section in the information security policy.
• References to security compliance within the employee handbook.
• Documentation aligning the ISMS with formal HR disciplinary processes.

5. Audit Point: Evidence of a Planned Programme

What to Check: Review for evidence of a planned, systematic approach to awareness activities that includes structure, objectives, and a schedule. Ensure alignment with the risk assessment findings.

Evidence to Look For:

• A formal Awareness Plan (primary evidence).
• Management review minutes or communication plans referencing awareness activities.
• Risk treatment plans specifying training interventions.

Check out the High Table ISO 27001 Toolkit for templates to structure your awareness plan.

6. Audit Point: Targeted and Relevant Content

What to Check: Analyse training materials to ensure they are engaging and free of excessive jargon. Verify that content is tailored to different audiences based on role and risk.

Evidence to Look For:

• Distinct modules for technical vs. non-technical staff.
• Materials using practical, real-world scenarios relevant to your industry.
• Interactive content or gamification elements.

7. Audit Point: Integration Across the Employee Lifecycle

What to Check: Confirm that security awareness is integrated into onboarding, regular refreshers, and offboarding processes.

Evidence to Look For:

• Onboarding checklists including security training completion.
• Attendance logs for annual refresher training.
• Termination process documentation covering asset return and ongoing confidentiality.

8. Audit Point: Evidence of Ongoing Communication

What to Check: Look for proof of regular communication reinforcing security messages throughout the year. Assess if multiple channels are used.

Evidence to Look For:

• Security tips in newsletters or all-staff emails.
• Intranet posts or internal social media updates.
• Agendas from team meetings or Town Halls discussing security.

Pro-Tip: Auditors value security messages integrated into the natural rhythm of business, like a CEO update mentioning a recent threat.

9. Audit Point: Measuring Programme Effectiveness

What to Check: Investigate how the organisation measures if awareness activities are changing behaviour and reducing risk. Confirm metrics are collected and analysed.

Evidence to Look For:

• Quiz or assessment reports post-training.
• Employee survey results on security attitudes.
• Phishing simulation campaign performance reports.

10. Audit Point: Demonstrating Continual Improvement

What to Check: Assess whether feedback, incident data, and metrics are used to update the programme. Look for a closed-loop process where lessons learned are incorporated.

Evidence to Look For:

• Meeting minutes where programme effectiveness was discussed.
• Version control on training materials showing updates based on new threats.
• A documented annual review process for the awareness programme.

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Conclusion: From Awareness to a True Security Culture

Passing an audit for Clause 7.3 is not the result of a single training effort. It is the outcome of a continuous, well-documented programme that demonstrates a genuine commitment to security. Use this checklist as a strategic framework for building a proactive security culture. Ultimately, a successful audit proves you have built a vigilant, security-first culture that represents your strongest defence.

About the author

Stuart Barker is a veteran practitioner with over 30 years of experience in systems security and risk management.

Holding an MSc in Software and Systems Security, Stuart combines academic rigor with extensive operational experience. His background includes over a decade leading Data Governance for General Electric (GE) across Europe, as well as founding and exiting a successful cyber security consultancy.

As a qualified ISO 27001 Lead Auditor and Lead Implementer, Stuart possesses distinct insight into the specific evidence standards required by certification bodies. He has successfully guided hundreds of organizations – from high-growth technology startups to enterprise financial institutions – through the audit lifecycle.

His toolkits represents the distillation of that field experience into a standardised framework. They move beyond theoretical compliance, providing a pragmatic, auditor-verified methodology designed to satisfy ISO/IEC 27001:2022 while minimising operational friction.