Category: ISO 28000 Audit Checklist

ISO 28000 Audit Checklist

ISO 28000 audit checklist is an essential tool for organizations preparing for certification or conducting internal audits of their Security and resilience- security management system for supply Chain (SRSMS). In today’s globalized economy, supply chains are increasingly exposed to risks such as theft, terrorism, smuggling, cyber threats, counterfeiting, and logistics disruptions. Organizations involved in logistics, transportation, manufacturing, warehousing, ports, and international trade must ensure that their supply chains are secure, resilient, and compliant with global standards. This is where ISO 28000 audit checklist plays a critical role.

The ISO 28000 audit checklist is applicable to organizations of all sizes involved in:

• Logistics and transportation
  
• Shipping and freight forwarding
  
• Ports, terminals, and warehouses
  
• Manufacturing and distribution
  
• Import, export and trade operations

ISO 28000 Audit Checklist – Clause Wise Guide

Below is a detailed ISO 28000 audit checklist, aligned with the standard’s clauses.

1. Context of the Organization

Audit Checklist Points:

• Has the organization identified internal and external issues affecting supply chain security?
  
• Are stakeholders (customers, suppliers, authorities) clearly identified?
  
• Is the scope of the ISO 28000 Supply Chain Security Management System defined?
  
• Are supply chain boundaries and interfaces documented?
  

  Objective: Ensure the organization understands its operational and security context.

2. Leadership and Management Commitment

Audit Checklist Points:

• Is the top management committed to supply chain security?
  
• Is a documented Supply Chain Security Policy formed?
  
• Are the roles, responsibilities, and authorities defined?
  
• Is a management representative appointed for ISO 28000?
  

Objective: Confirm leadership involvement and accountability.

3. Supply Chain Security Policy

Audit Checklist Points:

• Is the policy documented, approved, and communicated?
  
• Does the policy align with organizational objectives?
  
• Is the policy reviewed periodically?
  
• Is it available to relevant interested parties?
  

Objective: Ensure strategic direction for every security management.

4. Risk Assessment and Threat Identification

This is one of the most critical sections of the ISO 28000 audit checklist.

Audit Checklist Points:

• Has the organization identified supply chain security risks?
  
• Are threats such as theft, sabotage, terrorism, cyber risks, and smuggling assessed?
  
• Is a documented risk assessment methodology used?
  
• Are risk levels evaluated and prioritized?
  
• Are mitigation controls defined and implemented?
  

 Objective: Verify proactive risk-based security planning.

5. Legal and Regulatory Compliance

Audit Checklist Points:

• Are applicable legal and regulatory requirements identified?
  
• Are customs, port, transport, and trade security regulations complied with?
  
• Are licenses and permits maintained?
  
• Is compliance periodically reviewed?
  

Objective: Ensure adherence to statutory and contractual obligations.

6. Operational Controls

Audit Checklist Points:

• Are access controls in place for facilities and restricted areas?
  
• Are physical security measures implemented (CCTV, fencing, guards)?
  
• Are cargo handling and storage procedures defined?
  
• Are supplier and contractor security requirements established?
  
• Are information and data security controls implemented?
  

Objective: Ensure security controls are operational and effective.

7. Personnel Security and Awareness

Audit Checklist Points:

• Are background checks conducted where applicable?
  
• Are employees trained on supply chain security?
  
• Is security awareness promoted across departments?
  
• Are responsibilities communicated clearly?
  

Objective: Reduce human-related security risks.

8. Communication and Documentation

Audit Checklist Points:

• Are internal and external communication processes defined?
  
• Is documentation controlled and updated?
  
• Are records maintained as evidence of compliance?
  
• Are incident reports and logs properly documented?
  

Objective: Ensure traceability and effective information flow.

9. Emergency Preparedness and Incident Management

Audit Checklist Points:

• Are emergency response procedures established?
  
• Are security incidents recorded and investigated?
  
• Are corrective and preventive actions implemented?
  
• Are mock drills or simulations conducted?
  

Objective: Ensure preparedness for security disruptions.

10. Performance Evaluation and Monitoring

Audit Checklist Points:

• Are key performance indicators (KPIs) defined for supply chain security?
  
• Is monitoring conducted regularly?
  
• Are internal audits planned and executed?
  
• Are audit findings documented and addressed?
  

  Objective: Measure effectiveness of the SCSMS.

11. Management Review

Audit Checklist Points:

• Are management reviews conducted periodically?
  
• Are audit results, incidents, and improvement opportunities discussed?
  
• Are decisions documented?
  
• Are improvement actions tracked?
  

 Objective: Ensure continual improvement through leadership oversight.

12. Continual Improvement

Audit Checklist Points:

• Are non-conformities identified and addressed?
  
• Are corrective actions implemented and verified?
  
• Is the continual improvement demonstrated?
  
• Are the lessons learned integrated into processes?
  

Objective: Maintain and enhance supply chain security over time.

Common ISO 28000 Audit Non-Conformities

Organizations often face the following issues during ISO 28000 audit checklist:

• Incomplete risk assessments
  
• Poor documentation control
  
• Lack of employee awareness
  
• Weak supplier security evaluation
  
• Inadequate incident response records
  

Using a detailed audit checklist helps prevent these non-conformities.

Benefits of Using an ISO 28000 Audit Checklist

Implementing an ISO 28000 audit checklist provides multiple benefits:

• Improved supply chain security
  
• Reduced risk of theft and disruption
  
• Better compliance with trade regulations
  
• Increased customer and stakeholder trust
  
• Enhanced global market credibility

Who Should Use ISO 28000 Audit Checklist ?

This checklist is ideal for:

• Organizations seeking ISO 28000 certification
  
• Internal auditors and compliance teams
  
• Logistics and supply chain managers
  
• Consultants and implementation partners

An ISO 28000 audit checklist is a powerful tool for organizations aiming to secure their supply chains and achieve ISO 28000 certification. By systematically reviewing policies, risks, controls, and performance, organizations can identify gaps early and strengthen their Supply Chain Security Management System.