Tips To Conduct a Successful ISO 27001 Audit!

Blogs   >   Tips To Conduct a Successful ISO 27001 Audit!

Tips To Conduct a Successful ISO 27001 Audit!

Regular audits are the key components of ISO 27001 Compliance. In an advanced technological era, ISO 27001:2022 Compliance sets golden standards of robust security measures.

The 2023 cybersecurity venture report states that cybercrime can cost the world $10.5 trillion annually by 2025. Furthermore, organizations with ISO 27001 certification experience 50% fewer data breaches compared to those without the certification.  Hence, it is important to conduct ISO 27001 audits to ensure compliance security, and trust.

This comprehensive guide will walk you through the intricacies of conducting a successful ISO 27001 audit. Whether you’re a big company or a startup looking for ISO 27001 Compliance, you’ll find valuable insights to streamline your audit process and achieve the certification with confidence.

Understanding ISO 27001:2022 Audit

Information Security Management System (ISMS) values are comprehensively evaluated with the help of ISO 27001 Audit. An ISO 27001:2022 audit is a systematic evaluation of an organization’s ISMS, assessing whether it meets the standard’s updated requirements. With this version of the standard, emphasis is placed on risk-based thinking, the role of leadership, and the broader integration of security within an organization’s strategy. The goal of the audit is to ensure your organization’s ISMS is robust enough to protect data and is aligned with ISO 27001:2022’s criteria.

Types Of ISO 27001:2022 Audits

ISO 27001:2022 audits can be broadly categorized into 4 types. All play a crucial role in maintaining and improving your ISMS.

Certification Audit

An evidence-based audit that verifies that a company is using the recommended procedures for its Information Security Management System (ISMS)

Internal Audit

A formal audit on which companies are required to report regularly to retain compliance

Surveillance Audit

This audit, which focuses on one or more ISMS topics and is performed in between certification and recertification audits, is sometimes referred to as a periodic audit.

Recertification Audit

An evaluation process is necessary to keep the certification valued. 

Key Updates in ISO 27001:2022 Audits

The ISO 27001:2022 update introduces several changes to the audit process:

  1. Annex A Controls: The 2022 version now features 93 controls (reduced from 114) under four categories: organizational, people, physical, and technological. Auditors will assess how effectively these controls are implemented to mitigate risks. These new controls include- 
  • Threat intelligence 
  • Information security for cloud services 
  • ICT readiness for business continuity 
  • Physical security monitoring 
  • Configuration management 
  • Information deletion 
  • Data masking 
  • Data leakage prevention 
  • Monitoring activities 
  • Web filtering 
  • Secure coding 
  1. Contextualized Risk Management: A more focused approach to risk management is emphasized. Auditors now examine how your ISMS aligns with the business’s context, including internal and external factors influencing risk.
  2. Leadership Involvement: Auditors will closely evaluate how leadership integrates information security into business operations. This ensures a proactive approach to governance, planning, and oversight of ISMS.
  3. Supply Chain Security: ISO 27001:2022 focuses on managing third-party risks. Audits will assess whether your organization includes vendors and suppliers in its risk management framework.
  4. Data Encryption and Cloud Security: With cloud services becoming more widespread, ISO 27001:2022 places importance on how data is encrypted and stored in cloud environments. The audit process now involves a thorough review of your cloud security policies.

Requirements For An ISO 27001 Audit

To conduct a successful ISO 27001 audit, several key requirements must be met:

  • Verify the security of your device- Organizations need to make sure the devices being used fulfill security requirements before allowing access to systems.
  • Determine the scope- The Information Security Management System (ISMS) scope of a business needs to match its strategic goals, customer expectations, and available resources.
  • Make audits- Audits are an impartial, unbiased, and methodical approach of obtaining information. They guarantee that best practices are followed and assist in identifying areas that require improvement.
  • Examine the proof- The organization’s risk treatments and control objectives are correlated with the evidence gathered during an audit through analysis. The results of this study may indicate control gaps and the need for strengthened security measures or more testing. 
  • Review the management- Companies must regularly assess their ISMS to make sure it is suitable for their requirements and operating as planned.
  • Finish the risk management plan- An organization’s reaction to the risks, vulnerabilities, and threats found during the risk assessment process is outlined in this strategy.  

The ISO 27001:2022 standard is structured into 10 primary clauses, out of which Clauses 4 through 10 are mandatory for organizations aiming for certification. These clauses set the foundation for creating a solid ISMS and guide businesses through the entire process of planning, implementing, monitoring, and improving their security posture.

Clause 4: Context of the Organization

This clause requires organizations to understand the context in which they operate, both internally and externally. It involves:

  • Identifying external and internal issues that can impact the ISMS.
  • Understanding the needs and expectations of interested parties (e.g., clients, regulatory bodies).
  • Determining the scope of the ISMS based on these factors.

Clause 4 emphasizes a comprehensive understanding of the organization’s environment, ensuring that the ISMS is tailored to the specific risks and opportunities faced by the business.

Clause 5: Leadership

Leadership commitment is a key factor in the success of any security program. Clause 5 places responsibility on top management to:

  • Provide leadership and commitment to the ISMS.
  • Ensure that the security policy is aligned with business objectives.
  • Assign roles and responsibilities for information security.
  • Promote continuous improvement in the ISMS.

Clause 6: Planning

Clause 6 focuses on risk management and planning, crucial to developing a proactive ISMS. This clause requires organizations to:

  • Conduct a risk assessment to identify, analyze, and prioritize security risks.
  • Develop a risk treatment plan to mitigate these risks.
  • Set clear information security objectives that align with the organization’s overall strategy.
  • Implement actions to address identified risks and opportunities. 

Clause 7: Support

The Support clause deals with the resources needed to implement and maintain an effective ISMS. It includes:

  • Ensuring adequate resources are available to support the ISMS.
  • Maintaining competence and training for employees involved in information security.
  • Communication plans to raise awareness of the ISMS both internally and externally.
  • Documenting information necessary to meet ISMS requirements.

Clause 8: Operations

Clause 8 focuses on implementing the ISMS in a practical, operational setting. It includes:

  • Planning, implementing, and controlling the security processes required to meet the ISMS objectives.
  • Implementing risk treatment plans.
  • Managing day-to-day security operations.

Clause 9: Performance Evaluations

Once the ISMS is operational, organizations must continuously monitor and evaluate its performance. Clause 9 outlines how this can be done through:

  • Internal audits to assess ISMS effectiveness.
  • Management reviews to ensure ongoing suitability, adequacy, and effectiveness of the ISMS.
  • Regular performance reviews and tracking key metrics to monitor security performance.

Clause 10: Continuous Improvement

The final mandatory clause, Clause 10, focuses on the continuous improvement of the ISMS. Organizations are expected to:

  • Identify opportunities for improvement in the ISMS.
  • Take corrective actions when non-conformities are detected.
  • Regularly update policies, procedures, and controls to adapt to new risks and opportunities.

What is The Difference Between Certification Audit and Internal Audit?

The primary distinction between internal audits and certification audits is found in the ISO 27001 standard’s objectives.

According to ISO 27001, the purpose of the certification audits is to:

  • Verify that the information security management system (ISMS) complies with the organization’s specifications.
  • Verify that the ISO 27001 standard is being applied and maintained efficiently.
  • Verify that the company follows its own goals, policies, and processes.
  • Verify that the ISMS is accomplishing the organization’s policy goals and meeting all ISO 27001 standard standards.

The effectiveness of the ISMS, whatever that may appear within your organization, is the main emphasis of the internal audit. The purpose of the certification audit is to evaluate an ISMS’s compliance with ISO 27001 standards.

The Process To Perform Internal Audit Certification

Along with the requirements, ISO 27001 Audit checklist documentation includes the following, making the performance much more accurate and precise for the auditors.

ISO 27001 Internal Audit Checklist Includes-

  • Documentation Review Tool
  • Field Review Tool
  • Internal Audit Reports
  • Management Review Tool

The requirements of ISO 27001 are also based on these certification tools and ensure that they align well with the ISMS.

  • Find The Business Security Objectives- The first step in performing an internal audit is to clearly define your business’s security objectives. These objectives should align with your organization’s overall goals and the specific requirements of ISO 27001:2022. Establishing clear, measurable objectives helps to focus the audit and ensures that all security measures are aligned with your business’s needs.
  • Confine The Scope Of The Audit- Once the security objectives are defined, the next step is to confine the scope of the audit. This involves identifying the boundaries and applicability of the ISMS within your organization. Defining the scope helps to ensure that all relevant areas are included in the audit and that resources are allocated efficiently.
  • Identify The Risk & Treatment Plan-  A comprehensive risk assessment is a cornerstone of the internal audit process. Identify potential risks to your information security and develop a detailed risk treatment plan. This plan should outline how each identified risk will be managed, mitigated, or accepted. Ensuring that risks are addressed effectively is the most crucial step for ISO 27001 compliance.
  • Control Information Security Risks- Implementing controls to manage information security risks is essential. These controls should be aligned with your risk treatment plan and tailored to your organization’s specific needs. Effective controls help to reduce the likelihood and impact of security incidents, ensuring that your ISMS remains robust and effective.
  • Apply Employee Training- Ensure that all employees are trained on information security policies, procedures, and best practices. Regular training helps to maintain a security-aware culture and ensures that everyone understands their role in maintaining information security.
  • Monitor The ISMS- Regularly review and assess the effectiveness of your ISMS, making necessary adjustments to improve its performance. Monitoring helps to ensure that your ISMS remains compliant with ISO 27001 and is capable of adapting to new threats and changes in the business environment.

What Are The Different ISO 27001 Audit Stages?

The ISO 27001 audit process typically involves three stages:

  1. Stage 1 Audit (Preliminary Audit): The auditor reviews your ISMS documentation to ensure that it meets the requirements of ISO 27001. This stage identifies any significant gaps that need to be addressed before the Stage 2 audit.
  2. Stage 2 Audit (Certification Audit): The auditor conducts a detailed examination of your ISMS, including on-site inspections and staff interviews. This stage verifies that your ISMS is effectively implemented and complies with ISO 27001 standards.
  3. Surveillance Audits: After achieving certification, surveillance audits are conducted periodically (usually annually) to ensure ongoing compliance with ISO 27001 requirements.

These three states are also required to perform the external ISO 27001 Audit Reports.

Hence it can be said that the ISO 27001 External Audit Certification is done following this process.

The Process To Perform External Audits Certification

  • Initial Certification Audit
  • Periodic Surveillance Audits
  • Recertification Audits

What Is The Time Required To Complete the ISO 27001 Audit?

The duration of an ISO 27001 audit can vary based on the size and complexity of your organization. Typically, the entire process, from initial preparation to certification, can take several months. The Stage 1 audit may take a few days, while the Stage 2 audit can take one to two weeks, depending on the scope of the audit and the readiness of your ISMS.

Therefore, the audit process will take less than five to six months if you address the non-conformities by deploying your ISMS in an effective and compliance-driven manner.

Who Performs The ISO 27001 Audit Reports?

The ISO 27001 audit is often carried out by an external auditor with the necessary training and certification to evaluate the organization’s adherence to the established standards and regulations by looking over the ISMS. An individual or a third-party auditing company that specializes in ISO 27001 audits might serve as the external auditor.

The ISO 27001 audit can also be carried out by an internal auditor. They must have finished a certain number of audits and training hours to conduct an audit. However, the certification body itself issues the final ISO certification.

FAQ

What happens if non-conformities are found during the audit?

Non-conformities must be addressed through corrective actions. The certification body will verify that these actions have been effectively implemented before granting certification.

Can small organizations achieve ISO 27001 certification?

All organizations are required to comply with ISO 27001, regardless of their size. The certification process is scalable and can be tailored to fit the specific needs of small organizations.

What Happens You Fail An ISO 27001 Audit Report?

Failing an ISO 27001 audit report means that your Information Security Management System (ISMS) does not fully comply with the standard’s requirements. If this happens, you will receive a detailed report outlining the non-conformities and areas needing improvement.

How often should internal audits be conducted?

A: Internal audits should be conducted at least once a year or more frequently if required by your organization’s risk assessment.

Get ISO 27001 Audits With Socurely

ISO 27001 certification is a powerful testament to your organization’s commitment to information security. Remember, preparation, following the ISO 27001 Standards and continuous improvement are key to maintaining compliance and safeguarding your organization’s valuable information assets.

The compliance automation platform from Socurely is designed to assist SaaS companies in taking proactive steps toward security. Your experience with Socurely for compliance is intended to be simple, error-free, and quick. It starts with strategically mapping and limiting risks and continues with dissecting the entire process into tactical, logical actions.

At Socurely, we specialize in helping organizations navigate the ISO 27001 audit process. Our team of experts provides comprehensive support, from initial preparation to certification and beyond. Socurely takes care of everything for you, including defining the scope of your ISMS, establishing strong information security policies, deploying entity-level checks, and putting in place infosec training programs for staff members.

Contact us today to improve your information security management system and get seamless ISO 27001 Certification Audits.