Single logo
LoginSign Up

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
4.7

Get Template

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.

Learn more

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?
2
Please provide a description of the regulatory requirements applicable to the organization.
3
How often are compliance reviews conducted?
Min: 1
Target: 12
Max: 52
4
Are adequate data protection measures in place?
5
Provide an overview of the current intellectual property policies in place.
6
When was the last audit of records management conducted?
7
How many records retention violations have been reported in the last year?
Min: 0
Target: 0
8
Is the organization compliant with established records management standards?
9
Is there an incident response plan available for handling data breaches?
10
Are employees trained on data protection and information security policies?
11
Please describe the process for assessing the security of third-party vendors.
12
When was the last information security audit conducted?
13
How many legal claims has the organization faced in the past year?
Min: 0
Target: 0
14
How effective is the legal compliance training for employees?
15
Provide a summary of the strategies implemented to mitigate legal risks.
16
When is the next scheduled review of legal compliance and risk management?
17
Are data encryption practices implemented for sensitive information?
18
Is there a regular data backup process in place?
19
How often are data protection assessments conducted?
Min: 1
Target: 12
Max: 52
20
Describe the procedures for reporting data breaches or 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 of ISO 27001 Compliance and Legal Requirements Audit Checklist

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