The ISO 27001 Clause 8.1 audit checklist is designed to help an ISO 27001 Lead Auditor conduct internal audits and external audits of ISO 27001 Clause 8.1 Operational Planning and Control.
The 10 point ISO 27001 audit plan sets out what to audit, the challenges faced and the audit techniques to adopt.
With over 30 years industry experience I will show you the audit checklist used by professional ISO 27001 Lead Auditors for ISO 27001 certification.
I am Stuart Barker, author of the Ultimate ISO 27001 Toolkit and this is the ISO 27001 Operations audit checklist.
Documented Processes
Verify that documented information security processes exist for all planned and controlled operations related to the ISMS.
This includes processes for incident management, change management, access control, and vulnerability management.
Challenges
Processes may exist but not be effectively implemented or consistently followed. Documentation might be out of date or incomplete.
Audit Techniques
Review documented procedures, interview staff involved in operational activities, observe processes in action, and examine records of process execution (e.g., incident logs, change requests).
Resource Allocation
Ensure that adequate resources (people, budget, technology) are allocated to support the operation and control of the ISMS.
Challenges
Resource constraints can lead to shortcuts or inadequate controls. Difficulty in demonstrating a direct link between resource allocation and ISMS effectiveness.
Audit Techniques
Review resource plans, budget documentation, and staff training records. Interview management and operational staff to assess resource adequacy.
Outsourcing
Where processes are outsourced, confirm that appropriate controls are in place to manage the security risks associated with third-party involvement. This includes contractual agreements and ongoing monitoring.
Challenges
Difficulty in maintaining oversight of outsourced activities. Contracts may not adequately address security requirements.
Audit Techniques
Review contracts with third-party providers, examine service level agreements (SLAs), and conduct interviews with both internal and external personnel. Review audit reports of outsourced providers where available.
Capacity Management
Verify that capacity planning is performed to ensure that sufficient resources are available to meet current and future business needs without compromising security.
Challenges
Forecasting future capacity requirements can be difficult. Capacity issues can lead to security vulnerabilities.
Audit Techniques
Review capacity plans, trend analysis data, and performance monitoring reports. Interview IT staff regarding capacity management processes.
Change Management
Confirm that a formal change management process is in place to control changes to the ISMS, including infrastructure, software, and processes.
Challenges
Adherence to the change management process can be inconsistent. Urgent changes may bypass formal procedures.
Audit Techniques
Examine change requests, approvals, and implementation records. Interview IT staff and users about the change management process. Review emergency change procedures.
Incident Management
Verify the existence and effectiveness of an incident management process to detect, respond to, and recover from security incidents.
Challenges
Incident response may be ad-hoc or poorly coordinated. Lack of clear escalation procedures.
Audit Techniques
Review incident logs, incident reports, and post-incident reviews. Interview incident response team members. Conduct simulated incident scenarios.
Vulnerability Management
Ensure that a vulnerability management process is in place to identify, assess, and remediate security vulnerabilities.
Challenges
Vulnerability scanning may not be performed regularly or comprehensively. Remediation efforts may be delayed.
Audit Techniques
Review vulnerability scan reports, penetration testing results, and remediation plans. Interview IT security staff. Observe vulnerability scanning activities.
Backup and Restoration
Confirm that appropriate backup and restoration procedures are in place to protect critical data and systems.
Challenges
Backups may not be tested regularly. Restoration procedures may be inadequate.
Audit Techniques
Review backup and restoration procedures, backup logs, and restoration test results. Conduct spot checks of backup media.
Security Awareness Training
Verify that security awareness training is provided to all personnel to ensure they are aware of their security responsibilities.
Challenges
Training may be infrequent or ineffective. Difficulty in measuring the effectiveness of training.
Audit Techniques
Review training materials, training records, and awareness campaign materials. Interview staff to assess their security awareness.
Monitoring and Review
Ensure that the effectiveness of operational controls is regularly monitored and reviewed.
Challenges
Monitoring may not be comprehensive. Review findings may not be acted upon.
Audit Techniques
Review monitoring logs, performance reports, and management review minutes. Interview management and operational staff regarding monitoring and review activities.
Further Reading
ISO 27001 Clause 8.1 Operational Planning and Control
