Preparing Your Checklist For an ISO 27001 Audit

Internal audits for ISO 27001 certifications are an essential element of their process, serving to ensure your organization abides by security policies and practices while managing risks effectively and meeting compliance.

Becoming compliant with ISO 27001 takes time, so it is crucial that you prepare for its auditing process in a systematic manner. This checklist will walk you through key steps of preparation for an ISO 27001 audit.

1. Documentation
As part of an ISO 27001 audit preparation plan, it’s crucial to documenting all processes and procedures that will be evaluated, such as conducting risk analyses, creating statements of applicability and gathering evidence.

Internal audits will evaluate how these processes are actually implemented and reveal any nonconformities or opportunities for improvement. They’ll also compare actual business practices against those outlined in clauses 4-10 of ISO 27001 standard.

At the conclusion of your three-year certification term, a recertification audit will provide a rigorous audit to assess adherence with ISO 27001 standard and Annex A controls. A rigorous evidential field review must also take place. Ideally performed by an auditor who knows your industry as well as this standard in depth.

2. Controls
Maintenance of an ISO 27001 checklist is of utmost importance, as you’ll want to ensure all critical areas have been covered, such as documenting operating procedures, isolating operational environments, installing anti-malware systems, following backup policies and overseeing software installations.

Step one involves having an external auditor or certification body conduct a high-level assessment of your ISMS. They will review documentation, interview managers and employees, observe your operations and measure its efficacy to ascertain its success.

Once this first audit is complete, stage two audits can commence – they provide more in-depth examination of how your ISMS is implemented in practice and should be undertaken as quickly as possible in order to avoid recertification issues. Once complete, stage two will enable you to move onto stage three auditing.

3. Auditor
Once your documents and controls are in order, it’s time to conduct a security audit. In this step, your auditor should conduct interviews with staff members and observe operational procedures to assess whether your ISMS complies with ISO 27001 standards. Use an audit checklist or other resources such as ISO 27001 risk assessments checklists or gap analyses checklists or business continuity policies as documentation to record any findings from inspections.

Next, you will prepare for the Certification Audit stage of your ISO audit, where a third-party auditor conducts a field review to assess whether your systems and processes comply with all 114 primary controls listed in Annex A of ISO 27001 and ensure full certification is granted.

4. Remediation
Remediation is the practice of correcting existing issues. Whether they have arisen as the result of internal auditing or less than favorable regulatory inspection, remediation involves devising and executing plans to rectify noncompliances and ensure their resolution.

Remediation could apply in various circumstances, including pollution sites that need to remove contaminants from the soil. This process includes finding, classifying and eliminating them.

Once remediation has been completed, you can organize an external auditor to perform your Stage 2 ISO 27001 audit. This audit will examine whether your ISMS and Annex A controls have been maintained correctly by reviewing documentation, conducting penetration testing, interviewing employees to understand how your ISMS operates, reviewing penetration test reports and compiling an audit report with details on any major nonconformities, minor nonconformities or opportunities for improvement (OFI). Throughout your three year certification period you must also schedule periodic surveillance audits as ongoing monitoring measures.

5. Monitoring
Monitoring refers to the practice of collecting and analyzing data in order to provide feedback on project implementation and inform decision-making processes. Data may be gathered through various means such as surveys, interviews and site visits.

Reviewing documentation is another essential aspect of an ISO 27001 audit checklist, helping ensure all necessary data is available to auditors and any non-compliant areas have been resolved.

Additionally, it’s crucial that you are prepared for the surveillance audits required every year in order to keep your certification active. These audits are more streamlined than the initial certification audit and will focus on how well your ISMS is functioning as well as reviewing how an organization deals with risk evaluation and treatment – specifically whether identified risks have been adequately mitigated and addressed.