MDPR11.1.D - Checklist Audit Interno 27001
| Checklist Audit Interno ISO/IEC 27001:2022 |
Revisioni
| Rev. | Data | Descrizione | Redatto | Approvato |
| 0.0 | 24/04/2026 | Prima emissione | RSGI | Direzione |
| DATA: | N° | AUDITOR: |
| Par | Punti Norma | Verificato | Stato | Evidenza |
| 4.1 | Understanding of the organization and its context | |||
Has the organization determined external and internal issues relevant to its purpose and that affect the ability to achieve the intended ISMS outcome(s)? Has the organization determined whether climate change is a relevant issue? |
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| 4.2 | Understanding the needs and expectations of interested parties | |||
Has the organization determined the interested parties, their requirements relevant to the interested parties, and which of these requirements will be addressed through the ISMS? The requirements of interested parties can include legal and regulatory requirements and contractual obligations. Relevant interested parties can have requirements related to climate change. |
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| 4.3 | Determining the scope of the information security management system | |||
| Has the organization determined boundaries and applicability of ISMS to establish the scope? | ||||
Is the scope available as documented information? Mandatory Document: Scope of ISMS |
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| 4.4 | Information security management system | |||
| Has the organization established, implemented, maintained and continually improve an ISMS, including the process needed and their interactions, according to ISO/IEC 27001:2022 requirements? | ||||
| 5 | Leadership | |||
| 5.1 | Leadership and commitment | |||
| Has Top management demonstrated leadership and commitment with respect to the ISMS? | ||||
| 5.2 | Policy | |||
| Has Top management established an information security policy? | ||||
Is the policy a documented information? Mandatory Document: Information security policy |
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| Has the policy been communicated within the organization? | ||||
| Is the policy available to appropriate interested parties? | ||||
| 5.3 | Organizational roles, responsibilities and authorities. | |||
| Has Top management assigned responsibilities and authorities relevant to IS? | ||||
| Have responsibilities and authorities been communicated with the organization? | ||||
| 6 | Planning | |||
| 6.1 | Actions to address risks and opportunities | |||
| 6.1.1 | General | |||
| Has the organization planning for the ISMS considered the issues referred to in 4.1 and the requirements referred to in 4.2? | ||||
| Has the organization determined risks, actions and opportunities that need to be addressed? | ||||
| Has the organization evaluated the effectiveness of these actions? | ||||
| 6.1.2 | Information security risk assessment | |||
| Has the organization defined and applied an information security risk assessment process? | ||||
| Does the security risk assessment process establish and maintain information security risk criteria? | ||||
| Does the security risk assessment process ensure that repeated information security risk assessments produce consistent, valid and comparable results? | ||||
| Does the security risk assessment process identify, analyze, and evaluate the information security risks? | ||||
Has the organization retained documented information about the information security risk assessment process? Mandatory Document: Risk assessment and risk treatment methodology |
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| 6.1.3 | Information security risk treatment | |||
| Has the organization defined and applied information security risk treatment process? | ||||
| Does the information security risk treatment process select appropriate information security risk treatment options? | ||||
| Does the information security risk treatment process determine all controls that are necessary to implement the information security risk treatment option(s) chosen? | ||||
| Does the information security risk treatment process compare the controls determined with those in Annex A and verify that no necessary controls have been omitted? | ||||
Does the information security risk treatment process produce a Statement of Applicability that contains the necessary control and justification for inclusions, whether they are implemented or not, and the justification for exclusions of controls from Annex A? Mandatory Document: Statement of Applicability |
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| Does the information security risk treatment process formulate an information security risk treatment plan? | ||||
| Does the information security risk treatment process obtain risk owners’ approval of the information security risk treatment plan and acceptance of the residual information security risks? | ||||
Has the organization retained documented information about the information security risk treatment process? Mandatory Document: Risk treatment methodology |
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| 6.2 | Information security objectives and planning to achieve them | |||
| Has the organization established information security objectives at relevant functions and levels? | ||||
Has the organization retained documented information on the information security objectives? Mandatory Document: Information security objectives |
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Has the organization planned how to achieve its information security objectives? Mandatory Document: Risk treatment plan |
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Has the organization determined and provided the resources for the ISMS? Mandatory Document: Definition of security roles and responsibilities |
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| 6.3 | Planning of Changes | |||
| Have the changes to the ISMS been carried out in a planned manner, when the organization determines they are needed? | ||||
| 7. | Support | |||
| 7.1 | Resources | |||
Has the organization determined and provided the resources for the ISMS? Mandatory Document: Definition of security roles and responsibilities |
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| 7.2 | Competence | |||
| Has the organization determined the necessary competence of person(s)? | ||||
| Has the organization ensured that these people are competent on the basis of appropriate education, training, or experience? | ||||
| Has the organization taken actions to acquire the necessary competence, and evaluate the effectiveness of such actions? | ||||
Has the organization retained appropriate documented information as evidence of competence? Records of training, skills, experience and qualifications |
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| 7.3 | Awareness | |||
| Are persons aware of information security policy, their contribution to the effectiveness of ISMS, the implications of not conforming with ISMS requirements? | ||||
| 7.4 | Communication | |||
| Has the organization determined the need for internal and external communications? | ||||
| 7.5 | Documented information | |||
| Does ISMS include documented information required by ISO/IEC 27001:2022 and determined by organizations as being necessary for the effectiveness of ISMS? | ||||
| 7.5.2 | Creating and updating | |||
| Has the organization ensured for the documented information appropriate identification and description, format and media, review and approval? | ||||
| 7.5.3 | Control of documented information | |||
| Has documented information been controlled to ensure it is available and suitable for use, it is adequately protected? | ||||
| Has the organization addressed activities for the control of documentation? | ||||
| Has documented information of external origin, determined by the organization to be necessary for the planning and operation of the ISMS been identified and controlled? | ||||
| 8 | Operation | |||
| 8.1 | Operational planning and control | |||
| Has the organization planned, implemented and controlled the processes needed to meet requirements, and to implement the actions determined in clause 6? | ||||
Has the organization kept documented information necessary to have confidence that the processes have been carried out as planned? |
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| Has the organization controlled planned changes and reviewed the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary? | ||||
| Has the organization ensured that externally provided processes, products or services that are relevant to the ISMS processes are controlled? | ||||
| 8.2 | Information security risk assessment | |||
| Has the organization performed information security risk assessments at planned intervals or when significant changes are proposed or occur? | ||||
Has the organization retained documented information of the results of the information security risk treatment? Mandatory Document: RIsk Assessment Report |
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| 8.3 | Information security risk treatment | |||
| Has the organization implemented the information security risk treatment plan? | ||||
Has the organization retained documented information of the results of the information security risk treatment? Mandatory Document: Risk Treatment Plan |
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| 9 | Performance evaluation | |||
| 9.1 | Monitoring, measurement, analysis and evaluation | |||
| Has the organization evaluated the IS performance and the effectiveness of the ISMS? | ||||
| Has the organization determined the process(es) for the monitoring and measurement analysis and evaluation? | ||||
Has the organization retained appropriate documented information as evidence of the monitoring and measurement results? Monitoring and measurement results |
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| 9.2 | Internal audit | |||
| Has the organization conducted internal audits at planned intervals to provide information on whether the ISMS conforms to the organization’s own requirements, the requirements of ISO/IEC 27001:2022, is effectively implemented and maintained? | ||||
Has the organization planned, established, implement and maintained (an) audit programme(s)? Internal audit program |
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| Has the organization defined the audit criteria and scope for each audit? | ||||
| Has the organization selected auditors conducted audits that ensure objectivity and the impartiality of the audit process? | ||||
| Has the organization ensured that the results of the audits are reported to relevant management? | ||||
Has the organization retained documented information as evidence of the audit programme(s) and the audit results? Results of internal audits |
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| 9.3 | Management review | |||
| 9.3.1 | General | |||
| Has Top management reviewed the organization’s ISMS, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness? | ||||
| 9.3.2 | Management review inputs | |||
| Has the management review included the status of actions from previous management reviews, changes in external and internal issues relevant for ISMS, changes in needs and expectations of interested parties that are relevant to the ISMS, feedback on the information security performance, feedback from interested parties, results of risk assessment and status of risk treatment plan, opportunities for continual improvement? | ||||
| Have the outputs of the management review included decisions related to continual improvement opportunities and any needs for changes to the ISMS? | ||||
| 9.3.3 | Management review results | |||
Do the results of the management review include decisions related to continual improvement opportunities and any need for changes to the ISMS? Results of the management review |
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| 10 | Improvement | |||
| 10.1 | Continual improvement | |||
| Has the organization continually improved the suitability, adequacy or effectiveness of the ISMS? | ||||
| 10.2 | Nonconformity and corrective action | |||
| When nonconformity occurs, has the organization reacted to the nonconformity, evaluated the need for action to eliminate the causes of the nonconformity, implemented any action needed, reviewed the effectiveness of any corrective action taken, made changes to the ISMS, if necessary? | ||||
| Have corrective actions been appropriate to the effects of the nonconformities encountered? | ||||
Has the organization retained documented information as evidence of the nature of the nonconformities and any subsequent actions taken and the results of any corrective action? Results of corrective actions |
| Par | ANNEX A | Verified | Status | Evidence |
| 5 | Organizational controls | |||
| 5.1 | Policies for information security Have information security policy and topic-specific policies been defined, approved by management, published, communicated to and acknowledged by relevant personnel and relevant interested parties, and reviewed at planned intervals and if significant changes occur? |
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| 5.2 | Information security roles and responsibilities Have information security roles and responsibilities been defined and allocated according to the organization needs? |
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| 5.3 | Segregation of duties Have conflicting duties and conflicting areas of responsibility been segregated? |
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| 5.4 | Management responsibilities Has management required all personnel to apply information security in accordance with the established information security policy, topic-specific policies and procedures of the organization? |
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| 5.5 | Contact with authorities Has the organization established and maintained contact with relevant authorities? |
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| 5.6 | Contact with special interest groups Has the organization established and maintained contact with special interest groups or other specialist security forums and professional associations? |
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| 5.7 | Threat intelligence Has information relating to information security threats been collected and analyzed to produce threat intelligence? |
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| 5.8 | Information security in project management Has information security been integrated into project management? |
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| 5.9 | Inventory of information and other associated assets Has an inventory of information and other associated assets, including owners, been developed and maintained? |
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| 5.10 | Acceptable use of information and other associated assets Have rules for the acceptable use and procedures for handling information and other associated assets been identified, documented and implemented? |
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| 5.11 | Return of assets Have personnel and other interested parties as appropriate returned all the organization’s assets in their possession upon change or termination of their employment, contract or agreement? |
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| 5.12 | Classification of information Is information classified according to the information security needs of the organization based on confidentiality, integrity, availability and relevant interested party requirements? |
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| 5.13 | Labelling of information Has an appropriate set of procedures for information labelling been developed and implemented in accordance with the information classification scheme adopted by the organization? |
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| 5.14 | Information transfer Are information transfer rules, procedures, or agreements in place for all types of transfer facilities within the organization and between the organization and other parties? |
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| 5.15 | Access control Have rules to control physical and logical access to information and other associated assets been established and implemented based on business and information security requirements? |
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| 5.16 | Identity management Is the full life cycle of identities managed? |
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| 5.17 | Authentication information Is allocation and management of authentication information shall be controlled by a management process, including advising personnel on appropriate handling of authentication information? |
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| 5.18 | Access rights Are access rights to information and other associated assets been provisioned, reviewed, modified and removed in accordance with the organization’s topic-specific policy on and rules for access control? |
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| 5.19 | Information security in supplier relationship Are processes and procedures defined and implemented to manage the information security risks associated with the use of supplier’s products or services? |
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| 5.20 | Addressing information security within supplier agreements Have information security requirements been established and agreed with each supplier based on the type of supplier relationship? |
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| 5.21 | Managing information security in the information and communication technology (ICT) supply chain Have processes and procedures been defined and implemented to manage change in supplier information security practices and service delivery? |
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| 5.22 | Monitoring, review and change management of supplier services Does the organization regularly monitor, review, evaluate and manage change in supplier information security practices and service delivery? |
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| 5.23 | Information security for use of cloud services Have processes for acquisition, use, management and exit from cloud services been established in accordance with the organization’s information security requirements? |
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| 5.24 | Information security incident management planning and preparation Has the organization planned and prepared for managing information security incidents by defining, establishing and communicating information security incident management processes, roles and responsibilities? |
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| 5.25 | Assessment and decision on information security events Has the organization assessed information security events and decided if they are to be categorized as information security incidents? |
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| 5.26 | Response to information security incidents Are information security incidents responded to in accordance with the documented procedures? |
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| 5.27 | Learning from information security incidents Is knowledge gained from information security incidents used to strengthen and improve the information security controls? |
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| 5.28 | Collection of evidence Has the organization established and implemented procedures for the identification, collection, acquisition and preservation of evidence related to information security events? |
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| 5.29 | Information security during disruption Has the organization planned how to maintain information security at an appropriate level during disruption? |
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| 5.30 | ICT readiness for business continuity Has ICT readiness been planned, implemented, maintained and tested based on business continuity objectives and ICT continuity requirements? |
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| 5.31 | Legal, statutory, regulatory and contractual requirements Have legal, statutory, regulatory and contractual requirements relevant to information security and the organization’s approach to meet these requirements been identified, documented and kept up to date? |
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| 5.32 | Intellectual property rights Has the organization implemented appropriate procedures to protect intellectual property rights? |
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| 5.33 | Protection of records Have records been protected from loss, destruction, falsification, unauthorized access and unauthorized release? |
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| 5.34 | Privacy and protection of personal identifiable information (PII) Has the organization identified and met the requirements regarding the preservation of privacy and protection of PII according to applicable laws and regulations and contractual requirements? |
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| 5.35 | Independent review of information security Is the organization’s approach to managing information security and its implementation including people, processes and technologies reviewed independently at planned intervals, or when significant changes occur? |
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| 5.36 | Compliance with policies, rules and standards for information security Is compliance with the organization’s information security policy, topic-specific policies, rules and standards regularly reviewed? |
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| 5.37 | Documented operating procedures Have operating procedures for information processing facilities been documented and made available to personnel who need them? |
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| 6 | People controls | |||
| 6.1 | Screening Are background verification checks on all candidates to become personnel carried out prior to joining the organization and on an ongoing basis taking into consideration applicable laws, regulations and ethics and be proportional to the business requirements, the classification of the information to be accessed and the perceived risks? |
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| 6.2 | Terms and conditions of employment Do the employment contractual agreements state the personnel’s and the organization’s responsibilities for information security? |
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| 6.3 | Information security awareness, education and training Does the personnel of the organization and relevant interested parties receive appropriate information security awareness, education and training and regular updates of the organization’s information security policy, topic- specific policies and procedures, as relevant for their job function? |
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| 6.4 | Disciplinary process Has a disciplinary process been formalized and communicated to take actions against personnel and other relevant interested parties who have committed an information security policy violation? |
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| 6.5 | Responsibilities after termination or change of employment Have information security responsibilities and duties that remain valid after termination or change of employment been defined, enforced and communicated to relevant personnel and other interested parties? |
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| 6.6 | Confidentiality or non-disclosure agreements Have confidentiality or non-disclosure agreements reflecting the organization’s needs for the protection of information been identified, documented, regularly reviewed and signed by personnel and other relevant interested parties? |
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| 6.7 | Remote working Have security measures been implemented, when personnel are working remotely, to protect information accessed, processed or stored outside the organization’s premises? |
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| 6.8 | Information security event reporting Has the organization provided a mechanism for personnel to report observed or suspected information security events through appropriate channels in a timely manner? |
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| 7 | Physical controls | |||
| 7.1 | Physical security perimeters Have security perimeters been defined and used to protect areas that contain information and other associated assets? |
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| 7.2 | Physical entry Are secure areas protected by appropriate entry controls and access points? |
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| 7.3 | Security offices, rooms and facilities Is physical security for offices, rooms and facilities designed and implemented? |
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| 7.4 | Physical security monitoring Are premises continuously monitored for unauthorized physical access? |
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| 7.5 | Protecting against physical and environmental threats Has protection against physical and environmental threat, such as natural disasters and other intentional or unintentional physical threats to infrastructure been designed and implemented? |
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| 7.6 | Working in secure areas Have security measures for working in secure areas been designed and implemented? |
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| 7.7 | Clear desk and clear screen Have clear desk and clear screen rules for papers and removable storage media and clear screen rules for information processing facilities been defined and appropriately enforced? |
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| 7.8 | Equipment siting and protection Is equipment sited securely and protected? |
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| 7.9 | Security of assets off premises Are off-site assets protected? | |||
| 7.10 | Storage media Is storage media managed through their life cycle of acquisition, use, transportation and disposal in accordance with the organization’s classification scheme and handling requirements? |
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| 7.11 | Supporting utilities Are information processing facilities protected from power failures and other disruptions caused by failures in supporting utilities? |
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| 7.12 | Cabling security Are cables carrying power, data or supporting information services protected from interception, interference or damage? |
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| 7.13 | Equipment maintenance Is equipment maintained correctly to ensure availability, integrity and confidentiality of information |
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| 7.14 | Secure disposal or re-use of equipment Are items of equipment containing storage media verified to ensure that any sensitive data and licensed software has been removed or securely overwritten prior to disposal or re-use? |
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| 8 | Technological controls | |||
| 8.1 | User end point devices Is information stored on , processed by or accessible via user end point devices, protected? |
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| 8.2 | Privileged access rights Is the allocation and use of privileged rights restricted and managed? |
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| 8.3 | Information access restriction Is access to information and other associated assets restricted in accordance with the established topic-specific policy on access control? |
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| 8.4 | Access to source code Is read and write access to source code, development tool and software libraries appropriately managed? |
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| 8.5 | Secure authentication Have secure authentication technologies and procedures be implemented based on information access restriction and the topic-specific policy on access control? |
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| 8.6 | Capacity management Is the use of resources monitored and adjusted in line with current and expected capacity requirements? |
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| 8.7 | Protection against malware Has protection against malware been implemented and supported by appropriate user awareness? |
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| 8.8 | Management of technical vulnerabilities Has information about technical vulnerabilities of information system been obtained? Has the organization’s exposure to such vulnerabilities been evaluated and has appropriate measures been taken? |
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| 8.9 | Configuration management Have configurations, including security configurations, of hardware, software, services and networks been established, documented, implemented, monitored and reviewed? |
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| 8.10 | Information deletion Is information stored in information systems, devices or in any other storage media deleted when no longer required? |
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| 8.11 | Data masking Is data masking used in accordance with the organization’s topic-specific policy on access control and other related topic-specific policies, and business requirements, taking applicable legislation into consideration? |
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| 8.12 | Data leakage prevention Are data leakage prevention measures applied to systems, networks and any other devices that process, store or transmit sensitive information? |
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| 8.13 | Information backup Are backup copies of information, software and systems been maintained and regularly tested in accordance with the agreed topic-specific policy on backup? |
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| 8.14 | Redundancy of information processing facilities Have information processing facilities been implemented with redundancy sufficient to meet availability requirements? |
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| 8.15 | Logging Are logs that record activities, exceptions, faults and other relevant events been produced, stored and analysed? |
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| 8.16 | Monitoring activities Are networks, systems and applications monitored for anomalous behaviour and appropriate actions taken to evaluate potential information security incidents? |
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| 8.17 | Clock synchronization Are the clocks of information processing systems used by the organization been synchronized to approved sources? |
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| 8.18 | Use of privileged utility programs Is the use of utility programs that can be capable of overriding system and application controls restricted and tightly controlled? |
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| 8.19 | Installation of software on operational systems Are procedures and measures implemented to securely manage software installation on operational systems? |
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| 8.20 | Network security Are network and network devices secured, managed and controlled to protect information in systems and applications? |
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| 8.21 | Security of network services Are security mechanisms, service levels and service requirements of network services identified, implemented and monitored? |
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| 8.22 | Segregation of networks Are groups of information services, users and information systems segregated in the organization’s network? |
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| 8.23 | Web filtering Is access to external websites managed to reduce exposure to malicious content? |
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| 8.24 | Use of cryptography Are rules for the effective use of cryptography, including cryptographic key management defined and implemented? |
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| 8.25 | Secure development life cycle Are rules for the secure development of software and systems established and applied? |
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| 8.26 | Application security requirements Are information security requirements identified, specified and approved when developing or acquiring applications? |
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| 8.27 | Secure system architecture and engineering principles Have principles for engineering secure systems established, documented, maintained and applied to any information system development activities? |
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| 8.28 | Secure coding Are secure coding principles applied to software development? |
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| 8.29 | Security testing in development and acceptance Are security testing processes defined and implemented in the development life cycle? |
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| 8.30 | Outsourced development Does the organization direct, monitor and review the activities related to outsourced system development? |
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| 8.31 | Separation of development, test and production environments Are development, testing and production environments separated and secured? |
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| 8.32 | Change management Are changes to information processing facilities and information systems subject to change management procedures? |
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| 8.33 | Test information Is test information appropriately selected, protected and managed? |
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| 8.34 | Protection of information systems during audit testing Are audit tests and other assurance activities involving assessment of operational systems planned and agreed between the tester and appropriate management? |