Fillable Printable Risk Assessment Checklist
Fillable Printable Risk Assessment Checklist
Risk Assessment Checklist
Risk Assessment Check List
Information Security Policy
1.
Information security policy document
Does an Information security policy exist, which is approved by the management, published and
communicated as appropriate to all employees?
Does it state the management commitment and set out the organizational approach to
managing information security?
2. Review and Evaluation
Does the Security policy have an owner, who is responsible for its maintenance and review
according to a defined review process?
Does the process ensure that a review takes place in response to any changes affecting the
basis of the original assessment, example: significant security incidents, new vulnerabilities or
changes to
organizational or technical structure?
Organizational Security
Information security infrastructure
1. Allocation of information security responsibilities
a. Are responsibilities for the protection of individual assets and for carrying out specific
security processes clearly defined?
2. Co-operation between organizations
a. Are the appropriate contacts with law enforcement authorities, regulatory bodies, utility
providers, information service providers and telecommunication operators maintained to
ensure that appropriate action can be quickly taken and advice obtained, in the event of an
incident?
3. Independent review of information security
a. Is the implementation of security policy reviewed independently on regular basis? This is
to provide assurance that organizational practices properly reflect the policy, and that it is
feasible and effective.
Security of third party access
1. Identification of risks from third party
a. Are risks from third party access identified and appropriate security controls
implemented?
b. Are the types of accesses identified, classified
and reasons for access justified?
c.
Are security risks with third party contractors working onsite identified and appropriate
controls implemented?
2. Security requirements in third party contracts
a. Is there a formal contract containing, or referring to, all the security requirements to ensure
compliance with the organization=s security policies and standards?
Outsourcing
1. Security requirements in outsourcing contracts
a. Are security requirements addressed in the contract with the third party, when the
organization has outsourced the management and control of all or some of its information
systems, networks and/ or desktop environments?
Does contract address how the legal requirements are to be met, how the security of
the organization =s assets are maintained and tested, and the right of audit, physical security
issues and how the availability of the services is to be maintained in the event of disaster
?
Asset classification and control
Accountability of assets
1. Inventory of assets
a. Is there a maintained inventory or register of the important assets associated with each
information system?
Information classification
1. Classification guidelines
a. Is there an Information classification scheme or guideline in place; which will assist in
determining how the information is to be handled and protected?
2. Information labeling and handling
a. Is there an appropriate set of procedures defined for information labeling and handling in
accordance with the classification scheme adopted by the organization?
Personnel security
Security in job definition and Resourcing
1. Including security in job responsibilities
a. Are security roles and responsibilities as laid in Organization=s information security policy
documented where appropriate?
Does this include general responsibilities for implementing or maintaining security policy
as well as specific responsibilities for protection of particular assets, or for extension of
particular security processes or activities?
2. Confidentiality agreements
a. Do employees sign Confidentiality or non-disclosure agreements as a part of their initial
terms and conditions of the employment and annually thereafter?
b. Does this agreement cover the security of the information processing facility and
organization assets?
3. Terms and conditions of employment
a. Do the terms and conditions of the employment cover the employee=s responsibility for
information security? Where appropriate, these responsibilities might continue for a defined
period after the end of the employment.
User training
1. Information security education and training
a.
Do all employees of the organization and third party users (where relevant) receive
appropriate Information Security training and regular updates in organizational policies and
procedures?
Responding to security/threat incidents
1. Reporting security/threat incidents
a. Does a formal reporting procedure exist, to report security/threat incidents through
appropriate management channels as quickly as possible?
2. Reporting security weaknesses
a. Does a formal reporting procedure or guideline exist for users, to report security weakness
in, or threats to, systems or services?
Physical and Environmental Security
Equipment Security
1. Equipment location protection
a. Are items requiring special protection isolated to reduce the general level of protection
required?
b.
Are controls adopted to minimize risk from potential threats such as theft, fire, explosives,
smoke, water, dist, vibration, chemical effects, electrical supply interfaces, electromagnetic
radiation and flood?
2. Power Supplies
a. Is the equipment protected from power failures by using redundant power supplies such
as multiple feeds, uninterruptible power supply (ups), backup generator etc.?
3. Equipment Maintenance
a. Is maintenance carried out only by authorized personnel?
b.
Is the equipment covered by insurance, and are the insurance requirements are satisfied?
4. Securing of equipment offsite
a. Does any equipment usage outside an organization =s premises for information processing have
to be authorized by the management?
b.
Is the security provided for equipment while outside the premises equal to or more than
the security provided inside the premises?
5. Secure disposal or re-use of equipment
a. Are storage devices containing sensitive information either physically destroyed or securely
over written?
General Controls
1. Removal of property
a. Can equipment, information or software be taken offsite without appropriate authorization?
b. Are spot checks or regular audits conducted to detect unauthorized removal of property?
c. Are individuals aware of these types of spot checks or regular audits?
Communications and Operations Management
Operational Procedure and responsibilities
1. Documented Operating procedures
a.
Does the Security Policy identify any Operating procedures such as Back-up, Equipment
maintenance etc.?
2. Incident management procedures
a. Does an Incident Management procedure exist to handle security/threat incidents?
b. Does the procedure address the incident management responsibilities, orderly and quick
response to security/threat incidents?
c. Does the procedure address different types of incidents ranging from denial of service to
breach of confidentiality etc., and ways to handle them?
d. Are the audit trails and logs relating to the incidents are maintained and proactive action
taken in a way that the incident doesn’t reoccur?
3. External facilities management
a. Are any of the Information processing facilities managed by an external company or
contractor (third party)?
b. Are the risks associated with such management identified in advance, discussed with the
third party and appropriate controls incorporated into the contract?
c. Is necessary approval obtained from business and application owners?
Media handling and Security
1. Management of removable computer media
a. Does a procedure exist for management of removable computer media such as tapes,
disks, cassettes, memory cards and reports?
Exchange of Information and software
1. Information and software exchange agreement
a. Is there any formal or informal agreement between the organizations for exchange of
information and software?
b. Does the agreement address the security issues based on the sensitivity of the business
information involved?
2. Other forms of information exchange
a. Are there are any policies, procedures or controls in place to protect the exchange of
information through the use of voice, facsimile and video communication facilities?
Access Control
Business Requirements for Access Control
1. Access Control Policy
a. Have the business requirements for access control been defined and documented.
b.
Does the Access control policy address the rules and rights for each user or a group of users?
c. Are the users and service providers given a clear statement of the business requirement to
be met by access controls?
Mobile computing and telecommuting
1. Mobile computing
a. Has a formal policy been adopted that takes into account the risks of working with
computing facilities such as notebooks, palmpilots etc., especially in unprotected
environments?
b. Was training arranged for staff that use mobile computing facilities to raise their awareness
on the additional risks resulting from this way of working and controls that need to be
implemented to mitigate the risks?
2. Telecommuting
a. Are there any policies, procedures and/ or standards to control telecommuting activities, this
should be consistent with organization=s security policy?
b. Is suitable protection of telecommuting site in place against threats such as theft of equipment,
unauthorized disclosure of information etc.?
Business Continuity Management
Aspects of Business Continuity Management
1. Business continuity management process
a. Is there a managed process in place for developing and maintaining business continuity
throughout the organization? This might include Organization wide Business continuity
plan, regular testing and updating of the plan, formulating and documenting a business
continuity strategy etc.,
2. Business continuity and impact analysis
a. Are events that could cause interruptions to business process been identified? Example:
equipment failure, flood and fire.
b. Was a risk assessment conducted to determine impact of such interruptions?
c. Was a strategy plan developed based on the risk assessment results to determine an
overall approach to business continuity?
3. Writing and implementing continuity plan
a. Were plans developed to restore business operations within the required time frame
following an interruption or failure to business process?
b. Is the plan regularly tested and updated?
4. Business continuity planning framework
a. Is there a single framework of Business continuity plan?
b. Is this framework maintained to ensure that all plans are consistent and identify priorities for
testing and maintenance?
c. Does this identify conditions for activation and individuals responsible for executing each
component of the plan?
5. Testing, maintaining and re-assessing business continuity plan
a. Are the Business continuity plans tested regularly to ensure that they are up to date and
effective?
b. Are the Business continuity plans maintained by regular reviews and updates to ensure their
continuing effectiveness?
c. Are procedures included within the organizations change management program to ensure
that Business continuity matters are appropriately addressed?
