Control Objectives for Information and Related Technologies (COBIT) is a framework created by ISACA for developing, implementing, monitoring, and improving IT governance and management of enterprise IT practices. The COBIT 5 framework is the latest edition, providing a comprehensive model that helps enterprises maximize the value of their information.
While ISACA describes COBIT 5 as “the globally accepted framework for optimizing enterprise IT governance”, it is used not just for IT governance but also for auditing, risk management, and ensuring that IT activities are aligned with business objectives.
The COBIT 5 framework encompasses principles and enablers that allow organizations to design a tailored governance system that fits their needs and strategic goals. It integrates and extends the scope of previous COBIT versions by linking business, IT, compliance, and risk management into a unified approach.
This post provides a free template for enterprises to ensure they and their vendors comply with the framework and uphold internal practices of COBIT 5 requirements.
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Importance of COBIT 5 Security Questionnaire
Security questionnaires are a vital tool in the assessment and management of information security within an organization. They help in identifying gaps in the security posture and in ensuring compliance with various standards, policies, and procedures. For organizations utilizing the COBIT 5 framework, a security questionnaire is important for the following reasons:
- Assessment of Current Practices: It helps in assessing if the current IT practices align with the desired security needs and objectives defined by COBIT 5.
- Risk Management: Security questionnaires assist in identifying potential risks and vulnerabilities within IT processes and governance.
- Compliance Verification: They serve to verify compliance with the control objectives outlined in COBIT 5.
- Continuous Improvement: By periodically completing the questionnaire, organizations can track their progress and maturity in implementing security controls.
COBIT 5 Security Questionnaire Template
The COBIT governance framework follows five main principles, according to ISACA author Craciela Braga, CGEIT, CP:
- Governance objectives must meet stakeholder needs. It needs to create a practical strategy and governance system, and it must add value while balancing benefits, risks, and resources.
- This governance system must have a holistic approach.
- There is a difference between structures, management activities, and governance.
- The governance system should be customized to the organization’s needs. This necessitates a set of design factors to prioritize and customize the governance system’s components and apply this single integrated framework.
- The system should cover all enterprise functions, encompassing all IT functions and the enterprise’s technology and information.
Section 1: Governance and Framework
1. Policy and Compliance
Have all relevant information security policies been documented, communicated, and approved by the appropriate authorities as per COBIT 5 guidelines?
- Yes
- No
- [Free text field]
Are information security policies reviewed and updated on a regular basis to reflect the changing risk landscape and business requirements?
- Yes
- No
- [Free text field]
2. Roles and Responsibilities
Are roles and responsibilities for information security clearly defined and aligned with COBIT 5's RACI (Responsible, Accountable, Consulted, and Informed) chart principles?
- Yes
- No
- [Free text field]
3. Risk Management
Does the organization conduct regular risk assessments in line with COBIT 5’s EDM03 (Ensure Risk Optimization) process?
- Yes
- No
- [Free text field]
4. Framework Integration
How does the information security framework integrate with other processes and frameworks in use within the organization?
- Yes
- No
- [Free text field]
5. Information Security Strategy
Has the organization established and maintained an information security strategy that is in alignment with its business objectives and consistent with COBIT 5’s APO02 (Manage Strategy)?
- Yes
- No
- [Free text field]
Section 2: Strategic Alignment
6. Alignment of IT and Business Objectives
How does the organization ensure that IT security measures are aligned with overall business objectives as stated in COBIT 5’s EDM01 (Ensure Governance Framework Setting and Maintenance)?
- Yes
- No
- [Free text field]
7. Value Delivery
Is there a process to evaluate whether the IT security investments are delivering the expected benefits as per COBIT 5’s EDM02 (Ensure Benefits Delivery)?
- Yes
- No
- [Free text field]
8. Stakeholder Communication
How does the organization communicate information security objectives and issues to its stakeholders to ensure ongoing alignment?
- Yes
- No
- [Free text field]
9. Strategic Planning
Are strategic planning activities for information security undertaken to ensure that they meet the objectives set forth in COBIT 5’s APO01 (Manage the IT Management Framework)?
- Yes
- No
- [Free text field]
Section 3: Resource Management
10. Resource Optimization
Can the organization demonstrate efficient and optimal use of IT resources (people, infrastructure, applications) in supporting information security objectives, as guided by COBIT 5’s APO07 (Manage Human Resources)?
- Yes
- No
- [Free text field]
11. Knowledge and Expertise
Are staff members and management provided with appropriate information security training as suggested by COBIT 5’s DSS02 (Manage Service Requests and Incidents)?
- Yes
- No
- [Free text field]
12. Service Provider Management
How does the organization manage external service providers to ensure they comply with the organization's information security requirements?
- Yes
- No
- [Free text field]
13. Information Security Architecture
Is there a defined information security architecture in place that aligns with COBIT 5’s APO03 (Manage Enterprise Architecture)?
- Yes
- No
- [Free text field]
Section 4: Risk Management
14. Risk Management Framework
Does the organization have a formal risk management framework in place that is in line with COBIT 5’s APO12 (Manage Risk)?
- Yes
- No
- [Free text field]
15. Risk Identification
Are there established processes for identifying internal and external information security risks in accordance with COBIT 5’s APO12 (Manage Risk)?
- Yes
- No
- [Free text field]
16. Risk Response
How does the organization respond to information security risks, and are these responses documented and managed per COBIT 5’s DSS05 (Manage Security Services)?
- Yes
- No
- [Free text field]
17. Risk Appetite and Tolerance
How does the organization define and communicate its risk appetite and tolerance levels in line with COBIT 5’s EDM03 (Ensure Risk Optimization)?
- Yes
- No
- [Free text field]
Section 5: Performance Measurement
18. Monitoring and Evaluation of Control Effectiveness
Are there regular audits or reviews performed to assess the effectiveness of information security controls as recommended by COBIT 5’s MEA02 (Monitor and Evaluate Control)?
- Yes
- No
- [Free text field]
19. Security Incident Metrics
Does the organization maintain and review metrics related to information security incidents in line with COBIT 5’s DSS02 (Manage Service Requests and Incidents)?
- Yes
- No
- [Free text field]
20. KPIs and KRIs
Are key performance indicators (KPIs) and key risk indicators (KRIs) used to measure and report on information security performance effectively?
- Yes
- No
- [Free text field]
21. Service Measurement
How does the organization measure and monitor the performance of information security services in line with COBIT 5’s DSS04 (Manage Continuity)?
- Yes
- No
- [Free text field]
Section 6: Information Security Management
22. Information Security Framework
Has the organization implemented an information security management framework that is compliant with COBIT 5’s APO01 (Manage the IT Management Framework)?
- Yes
- No
- [Free text field]
23. Data Protection and Privacy
How does the organization ensure the protection of sensitive and private data as directed by COBIT 5’s DSS01 (Manage Operations)?
- Yes
- No
- [Free text field]
24. Access Controls
Are access control policies in place and effective in managing who has access to what information, as per COBIT 5’s DSS06 (Manage Business Process Controls)?
- Yes
- No
- [Free text field]
25. Incident Management
Are processes for managing and responding to information security incidents defined and aligned with COBIT 5’s DSS02 (Manage Service Requests and Incidents)?
- Yes
- No
- [Free text field]
26. Information Lifecycle Management
How does the organization manage the lifecycle of information, ensuring its confidentiality, integrity, and availability throughout its lifecycle, in accordance with COBIT 5’s DSS01 (Manage Operations)?
- Yes
- No
- [Free text field]
27. Business Impact Analysis
Does the organization perform a regular business impact analysis for information security events as part of COBIT 5’s DSS04 (Manage Continuity)?
- Yes
- No
- [Free text field]
Section 7: Continuous Improvement
28. Improvement Initiatives
What processes are in place for continuous improvement in information security practices as described by COBIT 5’s APO08 (Manage Relationships)?
- Yes
- No
- [Free text field]
29. Feedback Mechanisms
What mechanisms are in place to obtain feedback on the effectiveness of the information security program and initiatives?
- Yes
- No
- [Free text field]
30. Change Management
How does the organization manage changes to the information security program to ensure continuous improvement in line with COBIT 5’s BAI06 (Manage Changes)?
- Yes
- No
- [Free text field]
Section 8: Additional Comments and Action Items
- Please provide any additional comments or observations noted during the completion of this questionnaire.
- Are there any areas where the organization does not conform to its own information security policies or the COBIT 5 framework?
- List any immediate action items or areas
