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Overview
Complete
Pacific Coast Data Center / Tony Smith / 04 Jan 2019
ISO 27001 Checklist
Inspection score
94.79%
Failed items
5
Created actions
0
Site
Pacific Coast Data Center
Prepared by
Tony Smith
Date and Time

4th Jan, 2019

11:33 AM +08

Location
8899 Pine Ln, Cotati, CA 94931, USA
Failed items
5
Audit / 5. Leadership
5.1 (b) ensuring the integration of the information security management system requirements into the organization’s processes;
More Work
Audit / 5. Leadership
5.1 (d) communicating the importance of effective information security management and of conforming to the information security management system requirements;
More Work
Notes
Will receive the confirmation electronic signatures of the newly onboarded employees from Julie.
Audit / 8. Operation
The organization shall retain documented information of the results of the information security risk treatment.
More Work
Audit / 10. Improvement
10.1 (f) the nature of the nonconformities and any subsequent actions taken, and
More Work
Notes
Getting the access for the east coast audit reports.
Audit / 10. Improvement
10.1 (g) the results of any corrective action.
More Work
Notes
Getting the access for the east coast audit reports.
Audit
5
94.79%
4. Context of the Organization
100%
4.1 Understanding the organization and its context
The organization shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system.
Done
4.2 Understanding the needs and expectations of interested parties
The organization shall determine: a) interested parties that are relevant to the information security management system; and b) the requirements of these interested parties relevant to information security
Done
4.3 Determining the scope of the information security management system
The organization shall determine the boundaries and applicability of the information security management system to establish its scope.
Done
4.4 Information security management system
The organization shall establish, implement, maintain and continually improve an information security management system, in accordance with the requirements of this International Standard.
Done
Notes
I am glad to say that the very nature of our business compels us to commit to the continued improvement of ISMS.
5. Leadership
2
80%
5.1 Leadership and commitment
Management shall provide evidence of its commitment to the establishment, implementation, operation, monitoring, review, maintenance and improvement of the ISMS by:
5.1 (a) ensuring the information security policy and the information security objectives are established and are compatible with the strategic direction of the organization;
Done
5.1 (b) ensuring the integration of the information security management system requirements into the organization’s processes;
More Work
5.1 (c) ensuring that the resources needed for the information security management system are available;
Done
5.1 (d) communicating the importance of effective information security management and of conforming to the information security management system requirements;
More Work
Notes
Will receive the confirmation electronic signatures of the newly onboarded employees from Julie.
5.1 (e) ensuring that the information security management system achieves its intended outcome(s);
Done
Notes
It's a work in progress but I am confident we are achieving our goals by following our ISMS procedures.
5.1 (f) directing and supporting persons to contribute to the effectiveness of the information security management system;
Done
Notes
Reminded People Team to properly onboard our new employees and get them up-to-date with our goal to get certified. Will meet with IT Team tomorrow to go through the files from the new site.
5.1 (g) promoting continual improvement; and
Done
5.1 (h) supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.
Done
5.2 Policy
Top management shall establish an information security policy that: a) is appropriate to the purpose of the organization; b) includes information security objectives (see 6.2) or provides the framework for setting information security objectives; c) includes a commitment to satisfy applicable requirements related to information security; and d) includes a commitment to continual improvement of the information security management system. The information security policy shall: e) be available as documented information; f) be communicated within the organization; and g) be available to interested parties, as appropriate
Done
5.3 Organizational roles, responsibilities and authorities
Top management shall ensure that the responsibilities and authorities for roles relevant to information security are assigned and communicated.
Done
6. Planning
100%
6.1 Actions to address risks and opportunities
6.1.1 General
When planning for the information security management system, the organization shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to: a) ensure the information security management system can achieve its intended outcome(s); b) prevent, or reduce, undesired effects; and c) achieve continual improvement
Done
6.1.1 (d) The organization shall plan actions to address these risks and opportunities; and
Done
6.1.1 (e) The organization shall plan how to: 1) integrate and implement these actions into its information security management system processes; and 2) evaluate the effectiveness of these actions.
Done
6.1.2 Information security risk assessment
6.1.2 (a) establishes and maintains information security risk criteria that include: 1) the risk acceptance criteria; and 2) criteria for performing information security risk assessments;
Done
The organization shall define and apply an information security risk assessment process that:
6.1.2 (b) ensures that repeated information security risk assessments produce consistent, valid and comparable results;
Done
6.1.2 (c) identifies the information security risks: 1) apply the information security risk assessment process to identify risks associated with the loss of confidentiality, integrity and availability for information within the scope of the information security management system; and 2) identify the risk owners;
Done
6.1.2 (d) analyses the information security risks: 1) assess the potential consequences that would result if the risks identified in 6.1.2 c) 1) were to materialize; 2) assess the realistic likelihood of the occurrence of the risks identified in 6.1.2 c) 1); and 3) determine the levels of risk;
Done
6.1.2 (e) evaluates the information security risks: 1) compare the results of risk analysis with the risk criteria established in 6.1.2 a); and 2) prioritize the analyzed risks for risk treatment.
Done
6.1.3 Information security risk treatment
The organization shall define and apply an information security risk treatment process to:
6.1.3 (a) select appropriate information security risk treatment options, taking account of the risk assessment results;
Done
6.1.3 (b) determine all controls that are necessary to implement the information security risk treatment option(s) chosen;
Done
6.1.3 (c) compare the controls determined in 6.1.3 (b) above with those in Annex A and verify that no necessary controls have been omitted;
Done
6.1.3 (d) produce a Statement of Applicability that contains the necessary controls (see 6.1.3.b and c) and justification for inclusions, whether they are implemented or not, and the justification for exclusions of controls from Annex A;
Done
6.1.3 (e) formulate an information security risk treatment plan; and
Done
6.1.3 (f) obtain risk owners’ approval of the information security risk treatment plan and acceptance of the residual information security risks.
Done
6.2 Information security objectives and plans to achieve them
The organization shall establish information security objectives at relevant functions and levels.
Done
The information security objectives shall: a) be consistent with the information security policy; b) be measurable (if practicable); c) take into account applicable information security requirements, and risk assessment and risk treatment results; d) be communicated; and e) be updated as appropriate.
Done
When planning how to achieve its information security objectives, the organization shall determine: f) what will be done; g) what resources will be required; h) who will be responsible; i) when it will be completed; and j) how the results will be evaluated.
Done
7. Support
100%
7.1 Resources
The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the information security management system.
Done
7.2 Competence
The organization shall:
7.2 (a) determine the necessary competence of person(s) doing work under its control that affects its information security performance;
Done
Notes
Julie has done a great job getting the right employees for our company.
7.2 (b) ensure that these persons are competent on the basis of appropriate education, training, or experience;
Done
7.2 (c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken; and
Done
7.2 (d) retain appropriate documented information as evidence of competence.
Done
7.3 Awareness
Persons doing work under the organization’s control shall be aware of:
7.3 (a) the information security policy;
Done
7.3 (b) their contribution to the effectiveness of the information security management system, including the benefits of improved information security performance; and
Done
7.3 (c) the implications of not conforming with the information security management system requirements.
Done
7.4 Communication
The organization shall determine the need for internal and external communications relevant to the information security management system including:
7.4 (a) on what to communicate;
Done
7.4 (b) when to communicate;
Done
7.4 (c) with whom to communicate;
Done
7.4 (d) who shall communicate; and
Done
7.4 (e) the processes by which communication shall be effected.
Done
7.5 Documented information
7.5.1 General
The organization’s information security management system shall include:
7.5.1 (a) documented information required by this International Standard; and
Done
7.5.1 (b) documented information determined by the organization as being necessary for the effectiveness of the information security management system.
Done
7.5.2 Creating and updating
When creating and updating documented information the organization shall ensure appropriate:
7.5.2 (a) identification and description (e.g. a title, date, author, or reference number);
Done
7.5.2 (b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic); and
Done
7.5.2 (c) review and approval for suitability and adequacy.
Done
7.5.3 Control of documented information
Documented information required by the information security management system and by this International Standard shall be controlled to ensure:
7.5.3 (a) it is available and suitable for use, where and when it is needed; and
Done
7.5.3 (b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity).
Done
For the control of documented information, the organization shall address the following activities, as applicable:
7.5.3 (c) distribution, access, retrieval and use;
Done
7.5.3 (d) storage and preservation, including the preservation of legibility;
Done
7.5.3 (e) control of changes (e.g. version control); and
Done
7.5.3 (f) retention and disposition.
Done
Documented information of external origin, determined by the organization to be necessary for the planning and operation of the information security management system, shall be identified as appropriate, and controlled.
Done
8. Operation
1
87.5%
8.1 Operational planning and control
The organization shall plan, implement and control the processes needed to meet information security requirements, and to implement the actions determined in 6.1. The organization shall also implement plans to achieve information security objectives determined in 6.2.
Done
The organization shall keep documented information to the extent necessary to have confidence that the processes have been carried out as planned.
Done
The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary.
Done
The organization shall ensure that outsourced processes are determined and controlled.
Done
8.2 Information security risk assessment
The organization shall perform information security risk assessments at planned intervals or when significant changes are proposed or occur, taking account of the criteria established in 6.1.2.a.
Done
The organization shall retain documented information of the results of the information security risk assessments.
Done
8.3 Information security risk treatment
The organization shall implement the information security risk treatment plan.
Done
The organization shall retain documented information of the results of the information security risk treatment.
More Work
9. Performance evaluation
100%
9.1 Monitoring, measurement, analysis and evaluation
The organization shall evaluate the information security performance and the effectiveness of the information security management system.
Done
The organization shall determine:
9.1 (a) what needs to be monitored and measured, including information security processes and controls;
Done
9.1 (b) the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results;
Done
9.1 (c) when the monitoring and measuring shall be performed;
Done
9.1 (d) who shall monitor and measure;
Done
9.1 (e) when the results from monitoring and measurement shall be analyzed and evaluated; and
Done
9.1 (f) who shall analyze and evaluate these results.
Done
9.2 Internal audit
The organization shall conduct internal audits at planned intervals to provide information on whether the information security management system:
Done
9.2 (a) conforms to 1) the organization’s own requirements for its information security management system; and 2) the requirements of this International Standard;
Done
9.2 (b) is effectively implemented and maintained.
Done
The organization shall:
9.2 (c) plan, establish, implement and maintain an audit programme(s), including the frequency, methods, responsibilities, planning requirements and reporting. The audit programme(s) shall take into consideration the importance of the processes concerned and the results of previous audits;
Done
9.2 (d) define the audit criteria and scope for each audit;
Done
9.2 (e) select auditors and conduct audits that ensure objectivity and the impartiality of the audit process;
Done
9.2 (f) ensure that the results of the audits are reported to relevant management; and
Done
9.2 (g) retain documented information as evidence of the audit programme(s) and the audit results.
Done
9.3 Management review
Top management shall review the organization’s information security management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness.
Done
The management review shall include consideration of:
9.3 (a) the status of actions from previous management reviews;
Done
9.3 (b) changes in external and internal issues that are relevant to the information security management system;
Done
9.3 (c) feedback on the information security performance, including trends in: 1) nonconformities and corrective actions; 2) monitoring and measurement results; 3) audit results; and 4) fulfilment of information security objectives;
Done
9.3 (d) feedback from interested parties;
Done
9.3 (e) results of risk assessment and status of risk treatment plan; and
Done
9.3 (f) opportunities for continual improvement.
Done
The outputs of the management review shall include decisions related to continual improvement opportunities and any needs for changes to the information security management system. The organization shall retain documented information as evidence of the results of management reviews.
Done
10. Improvement
2
77.78%
10.1 Nonconformity and corrective action
When a nonconformity occurs, the organization shall:
10.1 (a) react to the nonconformity, and as applicable: 1) take action to control and correct it; and 2) deal with the consequences;
Done
10.1 (b) evaluate the need for action to eliminate the causes of nonconformity, in order that it does not recur or occur elsewhere, by: 1) reviewing the nonconformity; 2) determining the causes of the nonconformity; and 3) determining if similar nonconformities exist, or could potentially occur;
Done
10.1 (c) implement any action needed;
Done
10.1 (d) review the effectiveness of any corrective action taken; and
Done
10.1 (e) make changes to the information security management system, if necessary.
Done
Corrective actions shall be appropriate to the effects of the nonconformities encountered.
Done
The organization shall retain documented information as evidence of:
10.1 (f) the nature of the nonconformities and any subsequent actions taken, and
More Work
Notes
Getting the access for the east coast audit reports.
10.1 (g) the results of any corrective action.
More Work
Notes
Getting the access for the east coast audit reports.
10.2 Continual improvement
The organization shall continually improve the suitability, adequacy and effectiveness of the information security management system.
Done
Completion
Comments/ Reconmmendations
We're well placed as far as working towards getting the third party certification for ISO 27001 is concerned. Everybody is working together and iAuditor has made our jobs simpler. I'll discuss more during our monthly meeting on Monday.
Name and Signature
Tony Smith
4th Jan, 2019 1:17 PM +08