Introduction:
The “Checklist for Annex A.5.1.1 Policies for Information Security” is a comprehensive guide for Annex A.5.1.1 that helps organizations establish and maintain effective information security policies.
It’s a fundamental road map that ensures organizations are heading in the right direction toward a secure environment.
This checklist covers various aspects of information security policies, including governance and management structure, policy comprehensiveness and management, policy consistency with legal and regulatory obligations, and policy quality.
By following this checklist, organizations can establish a clear hierarchy for managing information risk and security, ensure policies cover all essential areas, and ensure policies are consistent with relevant laws, regulations, and standards.
The checklist also emphasizes the importance of regularly assessing and improving information risk and security management processes.
This includes using metrics and performance indicators to measure progress and identify areas for improvement, as well as incorporating lessons learned from incidents and problems.
Finally, the checklist emphasizes the need for continuous review and updating of information security policies to remain relevant and effective, just like updating maps for new road constructions.
This ensures that policies remain up-to-date with changing threats and technology and that organizations can continue to maintain a strong security posture.
Overall, the “Checklist for Annex A.5.1.1 Policies for Information Security” is a valuable tool for organizations looking to improve their security posture and ensure compliance with relevant legal and regulatory requirements.
By following this checklist, organizations can establish a strong foundation for effective information security policies and ultimately protect their assets from potential threats.
Checklist for Annex A.5.1.1 Policies for information security:
Governance and management structure
- Evidence of a clearly defined and managed overall framework/structure/hierarchy for information risk and security governance and management
- Evidence that information risk and security is given sufficient emphasis and management support
- Evidence of a senior management forum to discuss information risk and security policies, risks, and issues
- Evidence of coordination within the organization between business units and HQ
Example evidence:
- Organization chart showing the reporting lines and responsibilities for information risk and security
- Minutes from senior management meetings discussing information risk and security policies, risks, and issues
- Budget allocated for information risk and security activities
- Emails or other communications demonstrating coordination between business units and HQ
Policy comprehensiveness and management
- Evidence that policies cover all relevant information risks and control areas, including privacy, business continuity, compliance, governance, risk management, HR, physical/site security, change management, configuration management, incident management, logging, classification, systems development, and acquisition
- Evidence of a sensibly designed and managed overall framework/structure/hierarchy for policies
- Evidence that policies are authorized, communicated, understood, and accepted by all workers and where relevant their employers
- Evidence of suitable compliance enforcement and reinforcement arrangements
Example evidence:
- Copies of policies for information risk and security and related areas, including privacy, business continuity, compliance, governance, risk management, HR, physical/site security, change management, configuration management, incident management, logging, classification, systems development, and acquisition
- Records of policy authorizations, communications, understandings, and acceptances, such as training records, acknowledgment forms, or sign-offs
- Records of compliance enforcement and reinforcement, such as audit reports, incident reports, or disciplinary actions
Policy consistency with good practices, legal and regulatory obligations, and corporate strategies and policies
- Evidence that policies, standards, procedures, guidelines, etc. are consistent with good practices, such as ISO27001, NIST SP800, and other relevant standards, advisories, and guidelines
- Evidence that policies, standards, procedures, guidelines, etc. are consistent with applicable legal, regulatory, and contractual obligations
- Evidence that policies, standards, procedures, guidelines, etc. are consistent with corporate strategies and other policies
- Evidence of appropriate cross-references, both internal and external, among policies, standards, procedures, guidelines, etc.
Example evidence:
- Comparison of policies, standards, procedures, guidelines, etc. with relevant good practices, legal and regulatory obligations, and corporate strategies and policies
- Records of compliance with legal and regulatory obligations, such as licenses, permits, certifications, or inspections
- Minutes from meetings discussing corporate strategies and policies and their alignment with information risk and security policies
- Cross-references among policies, standards, procedures, guidelines, etc. showing their alignment and coherence
Policy quality
- Evidence that policies are well-written i.e. readable, reasonable, and workable
- Evidence that policies incorporate suitable and sufficient controls
- Evidence that policies cover all essential information assets, systems, services, etc.
- Evidence of policy review and update mechanisms
Example evidence:
- Review of policies for readability, reasonability, and workability, such as readability scores, readability tests, or readability surveys
- Review of policies for suitability and sufficiency of controls, such as control mapping, control assessments, or control tests
- Review of policies for coverage of essential information assets, systems, services, etc., such as asset inventories, system diagrams, or service catalogs
- Records of policy reviews and updates, such as review schedules, review reports, or update logs
Maturity and improvement
- Is the organization aware of its current level of maturity with respect to information risk and security management?
- Are metrics and performance indicators used to measure and demonstrate improvements in information risk and security management over time?
- Are there regular assessments, audits or reviews of the organization’s information risk and security posture, with resulting action plans and follow-up?
- Are identified areas for improvement being systematically addressed and monitored for progress?
- Are lessons learned from incidents and problems being fed back into the information risk and security management processes?
- Is there a process in place for continually reviewing and updating information risk and security policies, procedures, guidelines and other documentation to ensure they remain relevant and effective?
Example evidence:
- Documentation of regular information security assessments and audits, including the identification of areas for improvement and resulting action plans and follow-up.
- Records of lessons learned from incidents and problems, and evidence of how these have been used to improve information risk and security management processes.
- Reports showing improvements in information risk and security management metrics and performance indicators over time.
- Evidence of regular reviews and updates to information risk and security policies, procedures, guidelines, and other documentation to ensure they remain relevant and effective.
- Demonstrable evidence of the organization’s awareness of its current level of maturity with respect to information risk and security management, such as the use of maturity models or frameworks.
