Halkyn Consulting Ltd 11/12/2020

ISO27001:2013 Assessment Status

Status
100%
Status
90% 100%
80% 90%
70% 80%
60% 70%
50% 60%
40% 50%

A.17Information security aspects of business continuity management

30% 40%

System acquisition, development and maintenance

Information security incident management

20% 30%
Organisation of information security

Physical and environmental security

Information Security Policies

10% 20%
Human resources security

Communications security

Supplier relationships
Operations security
Asset management

Access control

10%
Cryptography

0%

Compliance
0%
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ts
A.10

A.11

A.12

A.13

A.14

A.15

A.16

A.18
A.5

A.6

A.7

A.8

A.9

www.halkynconsulting.co.uk info@halkynconsulting.co.uk
 Overview
This tool is designed to assist a skilled and experienced professional ensure that the relevant control
areas of ISO / IEC 27001:2013 have been addressed.

This tool does not constitute a valid assessment and the use of this tool does not confer ISO/IEC
27001:2013 certification. The findings here must be confirmed as part of a formal audit / assessment
visit.

Instructions for use

Pre-assessment
1. Determine assessment scope. Work with the relevant business stakeholders to
determine what the appropriate scope of the
assessment is.

2. Collect evidence. Identify and centralise as much evidence as

possible. This can include policy documents,
process documents, interview transcripts etc.

3. Prepare toolkit. Using the assessment scope you can identify

what areas of the tool kit are not appropriate
and set these to 100% to close reporting.
Additionally, where suggested audit questions
are not relevant, these can be replaced with
more suitable ones.

Assessment
4. Review control areas. Work through the tool kit, reviewing the
evidence for each control and determining how
compliant it is with the requirements.
The toolkit allows for this to be done in 5%
increments.

5. Determine level of compliance. On completion of the review, the tool kit will
give you an overall level of compliance by control
area and by individual controls.

Post Assessment
6. Record areas of weakness Make a note of any areas where compliance is
unsuitable (normally less than 90%)
7. Determine improvement plan For each area of weakness, work with the
relevant business stakeholders to determine
how the control can be improved.

8. Schedule re-assessment Arrange a date to review weak areas to set a

target for improvement plans.
Lifecycle Review
9. ISMS Review Schedules Ensure that the ISMS is re-assessed on a regular
basis, ideally once every 12 months.
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ISO 27001:2013 Halkyn Consulting Ltd
Compliance Checklist
Reference Compliance Assessment Area Results
Checklist Standard Section Initial Assessment Points Findings Status
A.5 Information Security Policies
A.5.1 Management direction for information security

1. Do Security policies exist?

2. Are all policies approved by management?
A.5.1.1 Policies for information security 0%
3. Are policies properly communicated to
employees?

1. Are security policies subject to review?

2. Are the reviews conducted at regular
Review of the policies for information
A.5.1.2 intervals? 0%
security
3. Are reviews conducted when circumstances
change?

A.6 Organisation of information security

A.6.1 Internal Organisation

Are responsibilities for the protection of

individual assets, and for carrying out specific
Information security roles and
A.6.1.1 responsibilities security processes, clearly identified and 0%
defined and communicated to the relevant
parties?

Are duties and areas of responsibility

separated, in order to reduce opportunities
A.6.1.2 Segregation of duties 0%
for unauthorized modification or misuse of
information, or services?

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ISO 27001:2013 Halkyn Consulting Ltd
Compliance Checklist

1. Is there a procedure documenting when,

and by whom, contact with relevant
authorities (law enforcement etc.) will be
made?
A.6.1.3 Contact with authorities 0%
2. Is there a process which details how and
when contact is required?
3. Is there a process for routine contact and
intelligence sharing?

Do relevant individuals within the

A.6.1.4 Contact with special interest groups organisation maintain active membership in 0%
relevant special interest groups?

Information security in project Do all projects go through some form of

A.6.1.5 0%
management information security assessment?
A.6.2 Mobile devices and teleworking

1. Does a mobile device policy exist?

2. Does the policy have management
approval?
A.6.2.1 Mobile device policy 3. Does the policy document and address 0%
additional risks from using mobile devices
(e.g. Theft of asset, use of open wireless
hotspots etc.)

1. Is there a policy for teleworking?

2. Does this have management approval?
3. Is there a set process for remote workers to
A.6.2.2 Teleworking 0%
get access?
4. Are teleworkers given the advice and
equipment to protect their assets?

A.7 Human resources security

A.7.1 Prior to employment

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Compliance Checklist

1. Are background verification checks carried

out on all new candidates for employment?
2. Are these checks approved by appropriate
management authority?
A.7.1.1 Screening 0%
3. Are the checks compliant with relevant
laws, regulations and ethics?
4. Are the level of checks required supported
by business risk assessments?

1. Are all employees, contractors and third

party users asked to sign confidentiality and
non-disclosure agreements?
A.7.1.2 Terms and conditions of employment 0%
2. Do employment / service contracts
specifically cover the need to protect business
information?

A.7.2 During employment

1. Are managers (of all levels) engaged in

driving security within the business?
2. Does management behaviour and policy
A.7.2.1 Management responsibilities drive, and encourage, all employees, 0%
contractors and 3rd party users to apply
security in accordance with established
policies and procedures?

Do all employees, contractors and 3rd party

Information security awareness, education users undergo regular security awareness
A.7.2.2 0%
and training training appropriate to their role and function
within the organisation?

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Compliance Checklist

1. Is there a formal disciplinary process which

allows the organisation to take action against
A.7.2.3 Disciplinary process employees who have committed an 0%
information security breach?
2. Is this communicated to all employees?

A.7.3 Termination and change of employment

1. Is there a documented process for

terminating or changing employment duties?
2. Are any information security duties which
Termination or change of employment survive employment communicated to the
A.7.3.1 0%
responsibilities employee or contractor?
3. Is the organisation able to enforce
compliance with any duties that survive
employment?

A.8 Asset management

A.8.1 Responsibility for assets

1. Is there an inventory of all assets

associated with information and information
A.8.1.1 Inventory of assets processing facilities? 0%
2. Is the inventory accurate and kept up to
date?

All information assets must have a clearly

A.8.1.2 Ownership of assets defined owner who is aware of their 0%
responsibilities.

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ISO 27001:2013 Halkyn Consulting Ltd
Compliance Checklist

1. Is there an acceptable use policy for each

class / type of information asset?
A.8.1.3 Acceptable use of assets 0%
2. Are users made aware of this policy prior to
use?

Is there a process in place to ensure all

employees and external users return the
A.8.1.4 Return of assets 0%
organisation's assets on termination of their
employment, contract or agreement?

A.8.2 Information classification

1. Is there a policy governing information

classification?
A.8.2.1 Classification of information 2. Is there a process by which all information 0%
can be appropriately classified?

Is there a process or procedure for ensuring

A.8.2.2 Labelling of information information classification is appropriately 0%
marked on each asset?

1. Is there a procedure for handling each

information classification?
A.8.2.3 Handling of assets 0%
2. Are users of information assets made
aware of this procedure?

A.8.3 Media handling

1. Is there a policy governing removable

media?
2. Is there a process covering how removable
A.8.3.1 Management of removable media media is managed? 0%
3. Are the policy and process(es)
communicated to all employees using
removable media?

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ISO 27001:2013 Halkyn Consulting Ltd
Compliance Checklist
Is there a formal procedure governing how
A.8.3.2 Disposal of media 0%
removable media is disposed?

1. Is there a documented policy and process

detailing how physical media should be
A.8.3.3 Physical media transfer transported? 0%
2. Is media in transport protected against
unauthorised access, misuse or corruption?

A.9 Access control

A.9.1 Business requirements for access control

1. Is there a documented access control

policy?
A.9.1.1 Access control policy 2. Is the policy based on business 0%
requirements?
3. Is the policy communicated appropriately?

Are controls in place to ensure users only

have access to the network resources they
A.9.1.2 Access to networks and network services 0%
have been specially authorised to use and are
required for their duties?

A.9.2 User access management

Is there a formal user access registration
A.9.2.1 User registration and de-registration 0%
process in place?

Is there a formal user access provisioning

A.9.2.2 User access provisioning process in place to assign access rights for all 0%
user types and services?

Are privileged access accounts separately

A.9.2.3 Management of privileged access rights 0%
managed and controlled?

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Compliance Checklist

Is there a formal management process in

Management of secret authentication
A.9.2.4 place to control allocation of secret 0%
information of users
authentication information?

1. Is there a process for asset owners to

review access rights to their assets on a
A.9.2.5 Review of user access rights 0%
regular basis?
2. Is this review process verified?

Is there a process to ensure user access rights

A.9.2.6 Removal or adjustment of access rights are removed on termination of employment 0%
or contract, or adjusted upon change of role?

A.9.3 User responsibilities

1. Is there a policy document covering the

organisations practices in how secret
A.9.3.1 Use of secret authentication information 0%
authentication information must be handled?
2. Is this communicated to all users?

A.9.4 System and application access control

Is access to information and application
A.9.4.1 Information access restriction system functions restricted in line with the 0%
access control policy?

Where the access control policy requires it, is

A.9.4.2 Secure log-on procedures access controlled by a secure log-on 0%
procedure?

A.9.4.3 Password management system 1. Are password systems interactive? 0%

2. Are complex passwords required?
Are privilege utility programs restricted and
A.9.4.4 Use of privileged utility programs 0%
monitored?
Is access to the source code of the Access
A.9.4.5 Access control to program source code 0%
Control System protected?

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Compliance Checklist
A.10 Cryptography
A.10.1 Cryptographic controls
Is there a policy on the use of cryptographic
A.10.1.1 Policy on the use of cryptographic controls 0%
controls?
Is there a policy governing the whole lifecycle
A.10.1.2 Key management 0%
of cryptographic keys?
A.11 Physical and environmental security
A.11.1 Secure areas

1. Is there a designated security perimeter?

A.11.1.1 Physical security perimeter 2. Are sensitive or critical information areas 0%
segregated and appropriately controlled?

Do secure areas have suitable entry control

A.11.1.2 Physical entry controls systems to ensure only authorised personnel 0%
have access?

1. Have offices, rooms and facilities been

designed and configured with security in
A.11.1.3 Securing offices, rooms and facilities mind? 0%
2. Do processes for maintaining the security
(e.g. Locking up, clear desks etc.) exist?

Have physical protection measures to prevent

Protecting against external and
A.11.1.4 natural disasters, malicious attack or 0%
environmental threats
accidents been designed in?

1. Do secure areas exist?

2. Where they do exist, do secure areas have
A.11.1.5 Working in secure areas suitable policies and processes? 0%
3. Are the policies and processes enforced
and monitored?

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Compliance Checklist

1. Are there separate delivery / loading areas?

2. Is access to these areas controls?
A.11.1.6 Delivery and loading areas 0%
3. Is access from loading areas isolated from
information processing facilities?

A.11.2 Equipment

1. Are environmental hazards identified and

considered when equipment locations are
selected?
A.11.2.1 Equipment siting and protection 0%
2. Are the risks from unauthorised access /
passers-by considered when siting
equipment?

1. Is there a UPS system or back up

generator?
A.11.2.2 Supporting utilities 0%
2. Have these been tested within an
appropriate timescale?

1. Have risk assessments been conducted

over the location of power and
A.11.2.3 Cabling security telecommunications cables? 0%
2. Are they located to protect from
interference, interception or damage?

Is there a rigorous equipment maintenance

A.11.2.4 Equipment maintenance 0%
schedule?

1. Is there a process controlling how assets

are removed from site?
A.11.2.5 Removal of assets 0%
2. Is this process enforced?
3. Are spot checks carried out?

1. Is there a policy covering security of assets

Security of equipment and assets off-
A.11.2.6 off-site? 0%
premises
2. Is this policy widely communicated?

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1. Is there a policy covering how information

assets may be reused?
A.11.2.7 Secure disposal or reuse of equipment 0%
2. Where data is wiped, is this properly
verified before reuse/disposal?

1. Does the organisation have a policy around

how unattended equipment should be
protected?
A.11.2.8 Unattended user equipment 0%
2. Are technical controls in place to secure
equipment that has been inadvertently left
unattended?

A.11.2.9 Clear desk and clear screen policy 1. Is there a clear desk / clear screen policy? 0%
2. Is this well enforced?

A.12 Operations security

A.12.1 Operational procedures and responsibilities

1. Are operating procedures well

documented?
A.12.1.1 Documented operating procedures 2. Are the procedures made available to all 0%
users who need them?

Is there a controlled change management

A.12.1.2 Change management 0%
process in place?
Is there a capacity management process in
A.12.1.3 Capacity management 0%
place?

Separation of development, testing and Does the organisation enforce segregation of

A.12.1.4 development, test and operational 0%
operational environments
environments?
A.12.2 Protection from malware

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Compliance Checklist

1. Are processes to detect malware in place?

2. Are processes to prevent malware
A.12.2.1 Controls against malware spreading in place? 0%
3. Does the organisation have a process and
capacity to recover from a malware infection.

A.12.3 Backup

1. Is there an agreed backup policy?

2. Does the organisation's backup policy
comply with relevant legal frameworks?
A.12.3.1 Information backup 0%
3. Are backups made in accordance with the
policy?
4. Are backups tested?

A.12.4 Logging and monitoring

Are appropriate event logs maintained and
A.12.4.1 Event logging 0%
regularly reviewed?
Are logging facilities protected against
A.12.4.2 Protection of log information 0%
tampering and unauthorised access?
Are sysadmin / sysop logs maintained,
A.12.4.3 Administrator and operator logs 0%
protected and regularly reviewed?
A.12.4.4 Clock synchronisation Are all clocks within the organisation 0%
A.12.5 Control of operational software

Installation of software on operational Is there a process in place to control the

A.12.5.1 installation of software onto operational 0%
systems
systems?
A.12.6 Technical vulnerability management

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Compliance Checklist

1. Does the organisation have access to

updated and timely information on technical
vulnerabilities?
A.12.6.1 Management of technical vulnerabilities 0%
2. Is there a process to risk assess and react to
any new vulnerabilities as they are
discovered?

Are there processes in place to restrict how

A.12.6.2 Restrictions on soft-ware installation 0%
users install software?
A.12.7 Information systems audit considerations
1. Are IS Systems subject to audit?
A.12.7.1 Information systems audit controls 2. Does the audit process ensure business 0%
disruption is minimised?
A.13 Communications security
A.13.1 Network security management
Is there a network management process in
A.13.1.1 Network controls place? 0%

1. Does the organisation implement a risk

management approach which identifies all
network services and service agreements?
A.13.1.2 Security of network services 2. Is security mandated in agreements and 0%
contracts with service providers (in house and
outsourced).
3. Are security related SLAs mandated?

Does the network topology enforce

A.13.1.3 Segregation in networks 0%
segregation of networks for different tasks?

A.13.2 Information transfer

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Compliance Checklist

1. Do organisational policies govern how

information is transferred?
2. Are procedures for how data should be
Information transfer policies and
A.13.2.1 transferred made available to all employees? 0%
procedures
3. Are relevant technical controls in place to
prevent non-authorised forms of data
transfer?

Do contracts with external parties and

agreements within the organisation detail the
A.13.2.2 Agreements on information transfer 0%
requirements for securing business
information in transfer?

Do security policies cover the use of

A.13.2.3 Electronic messaging information transfer while using electronic 0%
messaging systems?

1. Do employees, contractors and agents sign

confidentiality or non disclosure agreements?
Confidentiality or nondisclosure
A.13.2.4 2. Are these agreements subject to regular 0%
agreements
review?
3. Are records of the agreements maintained?

A.14 System acquisition, development and maintenance

A.14.1 Security requirements of information systems

1. Are information security requirements

Information security requirements
A.14.1.1
analysis and specification
specified when new systems are introduced?
2. When systems are being enhanced or 0%
upgraded, are security requirements specified
and addressed?

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Compliance Checklist

Do applications which send information over

public networks appropriately protect the
Securing application services on public
A.14.1.2 information against fraudulent activity, 0%
networks
contract dispute, unauthorised discloser and
unauthorised modification?

Are controls in place to prevent incomplete

transmission, misrouting, unauthorised
Protecting application services
A.14.1.3 message alteration, unauthorised disclosure, 0%
transactions
unauthorised message duplication or replay
attacks?

A.14.2 Security in development and support processes

1. Does the organisation develop software or

systems?
A.14.2.1 Secure development policy 2. If so, are there policies mandating the 0%
implementation and assessment of security
controls?

A.14.2.2 System change control procedures
Technical review of applications after
A.14.2.3
operating platform changes
Is there a formal change control process? 0%
Is there a process to ensure a technical review
is carried out when operating platforms are 0%
changed?

Is there a policy in place which mandates

Restrictions on changes to software
A.14.2.4 when and how software packages can be 0%
packages
changed or modified?

Does the organisation have documented

A.14.2.5 Secure system engineering principles principles on how systems must be 0%
engineered to ensure security?

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Compliance Checklist

1. Has a secure development environment

been established?
A.14.2.6 Secure development environment 2. Do all projects utilise the secure 0%
development environment appropriately
during the system development lifecycle?

1. Where development has been outsourced

is this supervised?
A.14.2.7 Outsourced development 2. Is externally developed code subject to a 0%
security review before deployment?

Where systems or applications are developed,

A.14.2.8 System security testing are they security tested as part of the 0%
development process?

Is there an established process to accept new

A.14.2.9 System acceptance testing systems / applications, or upgrades, into 0%
production use?
A.14.3 Test data

1. Is there a process for selecting test data?

A.14.3.1 Protection of test data 0%
2. Is test data suitably protected?

A.15 Supplier relationships

A.15.1 Information security in supplier relationships

1. Is information security included in contracts

established with suppliers and service
Information security policy for supplier providers?
A.15.1.1 0%
relationships 2. Is there an organisation-wide risk
management approach to supplier
relationships?

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Compliance Checklist

1. Are suppliers provided with documented

Addressing security within supplier security requirements?
A.15.1.2 0%
agreements 2. Is supplier access to information assets &
infrastructure controlled and monitored?

Do supplier agreements include requirements

Information and communication
A.15.1.3 technology supply chain to address information security within the 0%
service & product supply chain?

A.15.2 Supplier service delivery management

Are suppliers subject to regular review and
A.15.2.1 Monitoring and review of supplier services 0%
audit?

Are changes to the provision of services

A.15.2.2 Managing changes to supplier services subject to a management process which 0%
includes security & risk assessment?
A.16 Information security incident management
A.16.1 Management of information security incidents and improvements
Are management responsibilities clearly
A.16.1.1 Responsibilities and procedures identified and documented in the incident 0%
management processes?

1. Is there a process for timely reporting of

information security events?
A.16.1.2 Reporting information security events 2. Is there a process for reviewing and acting 0%
on reported information security events?

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Compliance Checklist

1. Is there a process for reporting of identified

information security weaknesses?
Reporting information security
A.16.1.3 2. Is this process widely communicated? 0%
weaknesses
3. Is there a process for reviewing and
addressing reports in a timely manner?

Is there a process to ensure information

Assessment of and decision on
A.16.1.4 security events are properly assessed and 0%
information security events classified?

Is there an incident response process which

A.16.1.5 Response to information security incidents reflects the classification and severity of 0%
information security incidents?

Is there a process or framework which allows

Learning from information security the organisation to learn from information
A.16.1.6 0%
incidents security incidents and reduce the impact /
probability of future events?

1. Is there a forensic readiness policy?

2. In the event of an information security
A.16.1.7 Collection of evidence 0%
incident is relevant data collected in a manner
which allows it to be used as evidence?

A.17 Information security aspects of business continuity management

A.17.1 Information security continuity
Is information security included in the
A.17.1.1 Planning information security continuity 0%
organisation's continuity plans?

Does the organisation's information security

Implementing information security function have documented, implemented and
A.17.1.2 0%
continuity maintained processes to maintain continuity
of service during an adverse situation?

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Compliance Checklist
Verify, review and evaluate information Are continuity plans validated and verified at
A.17.1.3 0%
security continuity regular intervals?
A.17.2 Redundancies

Availability of information processing Do information processing facilities have

A.17.2.1 facilities sufficient redundancy to meet the 0%
organisations availability requirements?
A.18 Compliance
A.18.1 Compliance with legal and contractual requirements

1. Has the organisation identified and

documented all relevant legislative,
A.18.1.1 Identification of applicable legislation and regulatory or contractual requirements 0%
contractual requirements related to security?
2. Is compliance documented?

1. Does the organisation keep a record of all

intellectual property rights and use of
A.18.1.2 Intellectual property rights proprietary software products? 0%
2. Does the organisation monitor for the use
of unlicensed software?

Are records protected from loss, destruction,

falsification and unauthorised access or
A.18.1.3 Protection of records release in accordance with legislative, 0%
regulatory, contractual and business
requirements?

1. Is personal data identified and

Privacy and protection of personally appropriately classified?
A.18.1.4 0%
identifiable information 2. Is personal data protected in accordance
with relevant legislation?

Are cryptographic controls protected in

A.18.1.5 Regulation of cryptographic controls accordance with all relevant agreements, 0%
legislation and regulations?

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Compliance Checklist
A.18.2 Information security reviews

1. Is the organisations approach to managing

information security subject to regular
Independent review of information
A.18.2.1 independent review? 0%
security
2. Is the implementation of security controls
subject to regular independent review?

1. Does the organisation instruct managers to

Compliance with security policies and regularly review compliance with policy and
A.18.2.2 0%
standards procedures within their area of responsibility?
2. Are records of these reviews maintained?

Does the organisation regularly conduct

A.18.2.3 Technical compliance review technical compliance reviews of its 0%
information systems?

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Status Report

Standard Section Status

A.5 Information Security Policies 0%
A.6 Organisation of information security 0%
A.7 Human resources security 0%
A.8 Asset management 0%
A.9 Access control 0%
A.10 Cryptography 0%
A.11 Physical and environmental security 0%
A.12 Operations security 0%
A.13 Communications security 0%
A.14 System acquisition, development and maintenance 0%
A.15 Supplier relationships 0%
A.16 Information security incident management 0%
A.17 Information security aspects of business continuity management 0%
A.18 Compliance 0%

Overall Compliance 0%

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Status Report

Standard Section Status

A.5.1 Management direction for information security 0%
A.6.1 Internal Organisation 0%
A.6.2 Mobile devices and teleworking 0%
A.7.1 Prior to employment 0%
A.7.2 During employment 0%
A.7.3 Termination and change of employment 0%
A.8.1 Responibility for assets 0%
A.8.2 Information classification 0%
A.8.3 Media handling 0%
A.9.1 Business requirements for access control 0%
A.9.2 User access management 0%
A.9.3 User responsibilities 0%
A.9.4 System and application access control 0%
A.10.1 Crypographic controls 0%
A.11.1 Secure areas 0%
A.11.2 Equipment 0%
A.12.1 Operational procedures and responsibilities 0%
A.12.2 Protection from malware 0%
A.12.3 Backup 0%
A.12.4 Logging and monitoring 0%
A.12.5 Control of operational software 0%
A.12.6 Technical vulnerability management 0%
A.12.7 Information systems audit considerations 0%
A.13.1 Network security management 0%
A.13.2 Information transfer 0%
A.14.1 Security requirements of information systems 0%
A.14.2 Security in development and support processes 0%
A.14.3 Test data 0%
A.15.1 Information security in supplier relationships 0%
A.15.2 Supplier service delivery management 0%
A.16.1 Management of infosec incidents & improvements 0%
A.17.1 Information security continuity 0%
A.17.2 Redundancies 0%
A.18.1 Compliance with legal and contractual requirements 0%
A.18.2 Information security reviews 0%

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