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Security Assessment Questionnaire
Security Assessment Questionnaire
General Information:
a. Name of the organization:
b. Date of assessment:
c. Name of the person completing the questionnaire:
Governance and Policies:
a. Does the organization have a comprehensive information security policy that addresses legal and regulatory requirements?
Yes
No
Handled by a third party supplier
b. Are policies and procedures in place to ensure compliance with legal professional standards and client confidentiality?
Yes
No
Handled by a third party supplier
c. How frequently are policies and procedures reviewed and updated to reflect changes in legal and regulatory obligations?
Annually
Biannually
Quarterly
Other
No review process
d. How are legal and ethical risks assessed, identified, and documented?
Through risk assessment frameworks and methodologies
Through legal and compliance experts
Other
Risk Management:
a. Does the organization have a formal risk management process that considers legal and regulatory risks?
Yes
No
Handled by a third party supplier
b. How are legal and regulatory risks assessed, identified, and documented?
c. Is there a process for monitoring and reviewing legal and regulatory risks on an ongoing basis?
Yes, there is a process in place
No, there is no process in place
d. Are risk mitigation measures in place to protect sensitive legal information and maintain legal professional standards?
Yes, there are measures in place
No, there are no measures in place
Client Confidentiality and Data Protection:
a. Are there policies and procedures in place to protect client confidentiality and comply with data protection laws and regulations?
Yes
No
Handled by a third party supplier
b. Is client information classified and protected based on its sensitivity and legal requirements?
Yes, it is classified and protected
No, it is not classified and protected
c. Are there controls in place to safeguard client information from unauthorized access, disclosure, or loss?
Yes, controls are in place
No, controls are not in place
d. Is there a process for obtaining and documenting client consent for the use and storage of their information?
Yes, there is a process
No, there is no process
Access Control:
a. Is there a formal process for granting, modifying, and revoking user access rights to legal information systems and sensitive client data?
Yes, there is a formal process
No, there is no formal process
b. Are strong authentication mechanisms, such as multi-factor authentication, implemented to ensure secure access to legal systems?
Yes, strong authentication mechanisms are implemented
No, strong authentication mechanisms are not implemented
c. How are privileged access rights managed, monitored, and audited to prevent unauthorized actions?
Yes, there is a process for managing, monitoring, and auditing privileged access rights
No, there is no process for managing, monitoring, and auditing privileged access rights
d. Is there a process for regularly reviewing user access rights to legal information systems?
Yes, there is a process for regularly reviewing user access rights
No, there is no process for regularly reviewing user access rights
Secure Communication and Collaboration:
a. Are there secure communication channels in place to protect attorney-client privileged communication and confidential information?
Yes, secure communication channels are in place
No, secure communication channels are not in place
b. Is there a process for securely sharing and collaborating on legal documents and files with clients and external parties?
Yes, there is a process for securely sharing and collaborating on legal documents and files
No, there is no process for securely sharing and collaborating on legal documents and files
c. Are encryption and secure file transfer mechanisms utilized when transmitting sensitive legal information?
Yes, encryption and secure file transfer mechanisms are utilized
No, encryption and secure file transfer mechanisms are not utilized
Incident Response and Data Breach Management:
a. Is there an incident response plan in place that addresses legal and regulatory requirements?
Yes, there is an incident response plan in place
No, there is no incident response plan in place
b. Are roles and responsibilities clearly defined in the incident response plan, including legal and compliance considerations?
Yes, roles and responsibilities are clearly defined
No, roles and responsibilities are not clearly defined
c. Is there a process for detecting, reporting, and responding to security incidents and data breaches involving legal information and client data?
Yes, there is a process for detecting, reporting, and responding to security incidents and data breaches
No, there is no process for detecting, reporting, and responding to security incidents and data breaches
d. Is there a process for conducting post-incident analysis, legal assessment, and client notification in the event of a data breach?
Yes, there is a process
No, there is no process
Training and Awareness:
a. Is there an ongoing security awareness and training program for employees, emphasizing legal and ethical responsibilities?
Yes, there is an ongoing program
No, there is no program
b. Are employees regularly trained on legal professional standards, client confidentiality, and data protection requirements?
Yes, employees are regularly trained
No, employees are not regularly trained
c. Are there mechanisms in place to test and verify employees' understanding of legal and security practices relevant to the legal sector?
Yes, there are mechanisms in place
No, there are no mechanisms in place
Physical Security:
a. Are physical access controls (e.g., badges, locks) implemented to protect physical assets containing legal information?
Yes, physical access controls are implemented
No, physical access controls are not implemented
b. Are there procedures in place to prevent unauthorized physical access to sensitive areas where legal information is stored?
Yes, procedures are in place
No, procedures are not in place
c. Is there monitoring and surveillance of critical areas to detect and prevent unauthorized access or tampering?
Yes, monitoring and surveillance are in place
No, monitoring and surveillance are not in place
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