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ISO 27001 Compliance and Legal Requirements Audit Checklist

A specialized audit checklist for evaluating an organization's practices in managing compliance with legal and regulatory requirements in accordance with ISO 27001 standards.

ISO 27001 Compliance and Legal Requirements Audit Checklist
by: audit-now
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About This Checklist

The ISO 27001 Compliance and Legal Requirements Audit Checklist is an indispensable tool for organizations striving to maintain regulatory compliance and adhere to legal obligations within their information security management system. This checklist focuses on evaluating an organization's practices related to identifying, documenting, and complying with relevant laws, regulations, and contractual requirements in alignment with ISO 27001 standards. By systematically assessing legal and regulatory landscapes, data protection practices, intellectual property rights, and records management processes, organizations can significantly reduce risks associated with non-compliance, legal disputes, and regulatory penalties. This comprehensive checklist aids in identifying gaps in compliance processes, improving legal risk management, and ensuring adherence to ISO 27001 requirements for compliance and contractual obligations.

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Industry

Information Technology

Standard

ISO/IEC 27001 - Information Security Management

Workspaces

Office Buildings
Records management centers
Office Buildings

Occupations

Compliance Officer
Legal Counsel
Data Protection Officer
Information Security Manager
Regulatory Affairs Specialist

1
Is the organization compliant with relevant legal regulations?

Select compliance status.

To ensure adherence to applicable laws and regulations.
2
Please provide a description of the regulatory requirements applicable to the organization.

Enter a brief description.

To document the specific regulations the organization must comply with.
3
How often are compliance reviews conducted?

Enter the number of reviews per year.

To assess the regularity of compliance evaluations.
Min: 1
Target: 12
Max: 52
4
Are adequate data protection measures in place?

Select the current status of data protection measures.

To evaluate the effectiveness of data protection strategies.

5
Provide an overview of the current intellectual property policies in place.

Enter a detailed overview of policies.

To ensure clarity and adherence to intellectual property rights.
6
When was the last audit of records management conducted?

Select the date of the last audit.

To track the frequency of records management audits.
7
How many records retention violations have been reported in the last year?

Enter the total number of violations.

To evaluate the effectiveness of records management practices.
Min: 0
Target: 0
8
Is the organization compliant with established records management standards?

Select compliance status.

To ensure adherence to best practices in records management.

9
Is there an incident response plan available for handling data breaches?

Indicate if the incident response plan is available.

To verify the readiness of the organization to respond to security incidents.
10
Are employees trained on data protection and information security policies?

Select the level of training provided.

To ensure that all staff are aware of their responsibilities regarding data security.
11
Please describe the process for assessing the security of third-party vendors.

Provide a description of the assessment process.

To evaluate how the organization manages risks from third-party relationships.
12
When was the last information security audit conducted?

Select the date of the last audit.

To ensure that regular security audits are being performed.

13
How many legal claims has the organization faced in the past year?

Enter the total number of claims.

To assess the level of legal exposure faced by the organization.
Min: 0
Target: 0
14
How effective is the legal compliance training for employees?

Select the effectiveness level of the training.

To evaluate the adequacy of training in preventing legal issues.
15
Provide a summary of the strategies implemented to mitigate legal risks.

Enter a detailed summary of mitigation strategies.

To understand the measures taken to reduce potential legal liabilities.
16
When is the next scheduled review of legal compliance and risk management?

Select the date of the next review.

To ensure that regular reviews are planned and executed.

17
Are data encryption practices implemented for sensitive information?

Select the status of data encryption practices.

To evaluate the organization's commitment to safeguarding sensitive data.
18
Is there a regular data backup process in place?

Indicate if data backups are conducted regularly.

To ensure that data can be restored in case of loss or corruption.
19
How often are data protection assessments conducted?

Enter the number of assessments conducted per year.

To determine the regularity of data protection evaluations.
Min: 1
Target: 12
Max: 52
20
Describe the procedures for reporting data breaches or incidents.

Provide a detailed description of incident reporting procedures.

To ensure that there are clear protocols for addressing data security incidents.

FAQs

This checklist primarily covers Section A.18 (Compliance) of ISO 27001 Annex A, focusing on compliance with legal and contractual requirements, information security reviews, and protection of records.

The checklist includes items to verify compliance with data protection laws and regulations, such as GDPR, including processes for data subject rights, consent management, and data breach notification.

Yes, it includes items to assess measures for protecting intellectual property rights, including software licensing compliance, copyright adherence, and trade secret protection.

It includes items to evaluate the organization's practices for records retention, protection, and disposal in compliance with legal, regulatory, and business requirements.

Yes, the checklist can be adapted to include items specific to industry regulations such as HIPAA for healthcare, PCI DSS for payment card industry, or SOX for financial reporting.

Benefits

Ensures alignment with relevant laws, regulations, and contractual requirements

Reduces risks of non-compliance and associated penalties

Improves management of legal and regulatory obligations in information security

Supports consistent application of compliance practices across the organization

Enhances protection of intellectual property and sensitive information