Free ISO 27001 Vendor Questionnaire Template (PDF Download)

Download this template to track vendor compliance with ISO 27001.

ISO 27001 is commonly used for assessing supply chain and data breach risks during due diligence. This post provides a free ISO 27001 vendor questionnaire template for a high-level evaluation of vendor information security standards. Though this security assessment template only broadly covers Supply Chain Risk Management aspects of ISO 27001, it should still be sufficient for identifying potential deficiencies in a vendor’s security control strategy requiring further investigation.

Security questionnaires should be managed within the content of a Vendor Risk Management program, ideally within a single platform, so that the entire questionnaire lifecycle can be automated.

Free ISO 27001 Template for Service Providers

The following ISO 27001 template emphasizes security control families mapping to the data security and data protection standards of third-party vendors, primarily the following control families:

• A.5 Information security policies
• A.9 Access control
• A.12 Operational security
• A.15 Supplier relationships
• A.16 Information security incident management
• A.17 Information security aspects of business continuity management
• A.18 Compliance

This template also covers the following clauses:

• Clause 4: Context of the Organization - Proof of confident knowledge of all internal and external regulatory issues.
• Clause 5: Leadership - The leadership’s team commitment to an Information Security Management System (ISMS).
• Clause 6: Planning - Competence in evaluating the security risks of assets within the context of the ISMS.
• Clause 7: Support - Ensures all staff are supported with sufficient resources for maintaining the ISMS
• Clause 8: Operation - The ability to apply appropriate security measures to all identified risks to sensitive data integrity, discovered vulnerabilities, and any exposures facilitating cyber attacks and data breaches.
• Clause 9: Performance Evaluation - An evaluation of internal audits for monitoring the efficacy of security controls and processes.
• Clause 10: Improvement - Ensuring processes are in place to improve the ISMS continuously.

Note: This template is helpful for a high-level evaluation of the information security of vendors and service providers. For a comprehensive vendor risk assessment, it’s recommended to use a Vendor Risk Management platform like UpGuard to ensure your questionnaire management processes are built upon an efficient and scalable framework.

Context of the Organization

1. Will you accommodate an onsite security audit with 24 hours’ notice?

• Yes
• No
• Not applicable
• Vendor to add comments

2. WIll you maintain an audit log of data servers and backup processes for your confidential data?

• Yes
• No
• Not applicable
• Vendor to add comments

3. Can you provide proof of where your confidential data is located at any point in time?

• Yes
• No
• Not applicable
• Vendor to add comments

4. Are there internal or external issues negatively impacting your ability to achieve the intended outcomes of your Information Security Management System (ISMS)?

• Yes
• No
• Not applicable
• Vendor to add comments

5. Can you define and decide on the limits and areas where the information security management system (ISMS) will be applied?

• Yes
• No
• Not applicable
• Vendor to add comments

An organization may have various departments or business units that handle different types of information and have different security needs. They must clearly identify which specific information assets will be covered by the ISMS.

6. Have you created a system for managing information security?

• Yes
• No
• Not applicable
• Vendor to add comments

7. Has this information security policy been put into action?

• Yes
• No
• Not applicable
• Vendor to add comments

8. Do you have a policy for maintaining this information security system?

• Yes
• No
• Not applicable
• Vendor to add comments

Leadership

1. Have you established your information security policy and objectives?

• Yes
• No
• Not applicable
• Vendor to add comments

2. Can you provide evidence that your information security policy and objectives are compatible with your business’s strategic direction?

• Yes
• No
• Not applicable
• Vendor to add comments

This question ensures that information security is integrated into the overall organizational strategy and receives the necessary support to achieve its objectives effectively.

3. Can you provide evidence that the requirements of your information security management system are smoothly integrated into its everyday processes?

• Yes
• No
• Not applicable
• Vendor to add comments

4. Can you provide evidence for the availability of all necessary resources required by your information security management systems?

• Yes
• No
• Not applicable
• Vendor to add comments

5. Can you provide evidence for continuously communicating the importance of effective information security management?

• Yes
• No
• Not applicable
• Vendor to add comments

6. Can you provide evidence for continuously aligning with the requirements of your information security management system?

• Yes
• No
• Not applicable
• Vendor to add comments

7. Can you provide evidence that your information security management system is achieving its predetermined objectives and intended outcomes?

• Yes
• No
• Not applicable
• Vendor to add comments

8. Can you provide evidence that your information security management system is achieving its predetermined objectives and intended outcomes?

• Yes
• No
• Not applicable
• Vendor to add comments

9. Do you have processes supporting the continuous improvement of your information security management system

• Yes
• No
• Not applicable
• Vendor to add comments

10. Does your upper management ensure the responsibilities of information security staff are communicated?

• Yes
• No
• Not applicable
• Vendor to add comments

Planning

1. Does your organization have safeguards to identify risks associated with your information security management system?

• Yes
• No
• Not applicable
• Vendor to add comments

2. Does your organization have solutions for the remediation of risks associated with your information security management system?

• Yes
• No
• Not applicable.
• Vendor to add comments

3. Does your organization have risk acceptance criteria as part of a third-party risk management program?

• Yes
• No
• Not applicable.
• Vendor to add comments

4. Does your organization have a repeatable risk assessment framework for investigating vendor risks and their impact on your security posture?

• Yes
• No
• Not applicable
• Vendor to add comments

5. What is your process for applying risk assessments to identified risks, and how do you track their progress?

• Yes
• No.
• Not applicable.
• Vendor to add comments

6. What is your system for measuring the projected impact on your security posture should any detected risks materialize?

• Vendor to add comments

Solutions like UpGuard can evaluate the efficacy of remediation efforts by projecting their impact on your security posture.

7. What is your process for determining risk severity for all identified vulnerabilities?

• Not applicable
• Vendor to add comments

8. What is your process for prioritizing critical security risks, both internally and as part of your Third-Party Risk Management program?

• Not applicable
• Vendor to add comments

The process of organizing vendors based on increasing security risk severity is known as Vendor Tiering.

9. What is your system for choosing security controls supporting your information security objectives?

• Not applicable
• Vendor to add comments

Having a system for selecting security controls demonstrates that the vendor follows a structured and systematic approach to selecting appropriate security measures.

10. What is your system for communicating risk mitigation efforts with board members and stakeholders?

• Not applicable
• Vendor to add comments

11. Do you have a disaster recovery plan in place?

• Yes
• No
• Not applicable
• Vendor to add comments

12. Do you have an Incident Response Plan in place?

• Yes
• No
• Not applicable
• Vendor to add comments

13. What incident notification processes do you have in place for activating security practices?

• Yes
• No
• Not applicable
• Vendor to add comments

Support

1. Have you supplied security teams with the resources needed for establishing and maintaining your ISMS?

• Yes
• No
• Not applicable
• Vendor to add comments

2. Are all persons within your cybersecurity teams aware of your information security policy?

• Yes
• No
• Not applicable
• Vendor to add comments

3. What security program processes do you have in place for protecting sensitive documentation (including access control details, physical security, cloud security controls, penetration testing, etc.)?

• Not applicable
• Vendor to add comments

Operation

1. What is your system for managing your attack surface?

• Not applicable
• Vendor to add comments

2. What is your system for detecting threats in your attack surface (SaaS product misconfigurations, legacy software, unpatched servers, etc.)?

• Not applicable
• Vendor to add comments

3. What is your process for tracking all outsourced processes?

• Not applicable
• Vendor to add comments

4. Do you use other questionnaires or frameworks to track your cloud security or data security efforts (CAIQ, SIG, SOC 2, etc.)?

• Yes
• No
• Not applicable
• Vendor to add comments

5. Are your vendor security risk assessments performed at planned intervals?

• Yes
• No
• Not applicable
• Vendor to add comments

6. What is your process for activating risk assessment processes when unexpected ISMS changes occur?

• Not applicable
• Vendor to add comments

The ability to rapidly respond to ISMS changes, such as system updates, policy changes, or security incidents, proves the vendor can maintain adequate information security controls.

7. Do you have a policy for retaining the results of information risk assessment?

• Yes
• No
• Not applicable
• Vendor to add comments

8. What is your retention period for completed information risk assessments?

• Not applicable
• Vendor to add comments

Performance Evaluation

1. What is your system for continuously evaluating the efficacy of your Information Security Management System?

• Not applicable
• Vendor to add comments

2. Do you have a system for continuously monitoring your internal attack surface?

• Yes
• No
• Not applicable
• Vendor to add comments

3. Do you have a system for continuously monitoring your external attack surface?

• Yes
• No
• Not applicable
• Vendor to add comments

4. Do you have a system for continuously monitoring your external attack surface?

• Yes
• No
• Not applicable
• Vendor to add comments

Vendors that continuously monitor their external attack surface reduce the risk of your business being impacted by supply chain attacks and third-party breaches.

5. Do you perform regular internal audits to determine if your Information Security Management System meets the standard of ISO 27001?

• Yes
• No
• Not applicable
• Vendor to add comments

Improvement

1. What is your system for evaluating the efficacy of remediation efforts?

• Not applicable
• Vendor to add comments

2. What is your system for adjusting your Information Security Management system when needed?

• Not applicable
• Vendor to add comments

By having a well-defined system for making adjustments, organizations can adapt their security controls, policies, and processes promptly, ensuring the ongoing protection of information assets and maintaining compliance with ISO 27001 standards.

3. Explain your process for continuously improving your ISMS

• Not applicable
• Vendor to add comments

4. Provide evidence of the continuous improvement of your ISMS since its implementation

• Not applicable
• Vendor to add comments

To learn how UpGuard can help you streamline and automate your risk assessment workflows, watch the video below.