The incidence of cyberattacks on organisations is relatively high, reaching 43%. These attacks target and steal data from small to medium-sized businesses, which can have a significant impact on business continuity. Therefore, ISMS and ISO 27001 are necessary. In addition to providing a more secure layer of protection, the ISO 27001 certificate is one of the recognised international security standards that signifies that your organisation has a robust and reliable security system. It brings many benefits to an institution, as it can gain the trust of clients and compete in a highly competitive business world. However, this article will explain the ISO 27001 audit for enhancing your security system more effectively.
What is an ISO 27001 Audit?
An ISO 27001 audit is an evaluation process conducted to determine whether an organisation’s information security management system (ISMS) is functioning correctly and in accordance with the standard. It helps businesses understand how well their data protection system is performing and how it aligns with the ISO 27001 framework, which focuses on managing and securing sensitive information.
What does an ISO 27001 Audit actually evaluate?
ISO 27001 sets a high standard for security systems, meaning that businesses with an ISO 27001 certificate have an ISMS that is well-maintained and of high quality. Therefore, the audit evaluates a system to ensure it meets these international standards. It includes assessing the effectiveness of security measures in place to protect the confidentiality, integrity, and availability of information. Additionally, it analyses how an organisation identifies risks and how it finds solutions to them.
What are the requirements of an ISO 27001 audit?
The ISO 27001 audit requires organisations to demonstrate that they have an effective ISMS in place, and that they follow ISO 27001’s clauses. These audits focus on assessing the following areas: management commitment, risk assessment, control implementation, documentation practices, and continuous improvement efforts.
Clause 9.2a
ISO 27001 comprises various clauses, each of which provides distinct requirements. Clause 9.2a requires business groups to monitor and evaluate their ISMS. It aims to measure the effectiveness of their security system and identify areas that need improvement.
Clause 9.2b
Meanwhile, other requirements in this section focus on conducting regular management reviews. These requirements help businesses ensure they receive objective reviews and enhance their systems in line with ISO 27001 standards.
Clause 9.2c
To avoid compliance gaps in a system, clause 9.2c requires addressing the need for solutions and actions if risks or issues arise in the system. This clause identifies whether the organisation has the best and safest solutions to protect its data properly.
Clause 9.2d
Clause 9.2d requires that all non-conformities identified during the audit be documented and addressed. It includes issues related to the implementation of security controls and the management of information risks.
Clause 9.2e
Clause 9.2e ensures that organisations conduct objective reviews and continuously monitor the performance of the ISMS. By conducting reviews, organisations can stay up to date and find the best solutions to meet their security goals.
Clause 9.2f
In another section, clause 9.2f focuses more on the continuous improvement of the ISMS. Similar to 9.2e, it aims to adjust security practices and achieve optimal performance in line with the organisation’s goals. Moreover, it can also minimise potential threats and enhance the security framework.
Clause 9.2g
Meanwhile, clause 9.2g requires analysing audit results as feedback that should be applied. Accepting this feedback means improving existing controls to ensure the organisation has a more secure information security system.
What are the types of ISO 27001 Audits?
Internal Audit
Internal audit is an evaluation process conducted by an organisation’s internal parties, such as staff, or it can be performed by external parties working for that organisation. The main objective is sometimes not to obtain certification but to regularly review their information security system and identify areas that need improvement.
How to get started with an ISO 27001 internal audit?
Identify business and security objectives.
To get started with an internal audit, it’s essential to identify your business’s security objectives. These will guide the audit process and ensure it aligns with organisational goals. Next, define the audit’s scope to understand which areas of the business require assessment.
Define the scope of the audit
Defining the scope of an internal audit means outlining what parts of the organisation or ISMS will be assessed. It will ensure that the audit focuses on relevant areas and avoids unnecessary overlaps or omissions.
Risk assessment and treatment plan
The most crucial aspect of internal auditing is conducting a risk assessment to minimise potential threats. It helps identify potential vulnerabilities and threats to information security. Once risks are identified, businesses must develop a treatment plan to mitigate or eliminate these risks.
Policies and Procedures to control information security risk
Internal audits should review the policies and procedures put in place to manage information security risks. It includes conducting effective evaluations of security measures such as firewalls, encryption, and training programs for internal staff.
Implement employee awareness & training
Running a business means providing information and training to staff or employees in a group setting. Spreading awareness and understanding the main objectives of the company can enhance its performance in the long term, which also applies to maintaining a strong ISMS. Providing information to staff, such as security risks, the importance of protecting sensitive data, and company policies, can help your business grow and make it easier to achieve its goals.
Monitor the ISMS
Regularly monitoring the ISMS is crucial to determine whether the system is aligned with the organisation’s objectives. Moreover, conducting periodic checks can also help you identify which parts of the system need improvement and adjustment as needed.
What does an ISO 27001 internal audit checklist look like?
Documentation review
Several steps need to be taken to obtain ISO certification. It includes a document review that assesses the procedures, policies, and other documentation of an organisation to determine whether it meets ISO standards. Document checking will also identify which parts of the organisation need to make improvements and adjustments to their security practices.
Field review
After conducting document reviews, the field review is a more complex and detailed stage. It includes inspecting both virtual and physical assets, data centres, and digital systems owned by an organisation. In this area, auditors verify whether security measures are being effectively applied or still require improvement.
Internal audit report
The report produced by the internal audit is the overall result of the audit process. It can be defined as a summary of the audit findings, identifying areas that require improvement, gaps or issues, and recommending actions that will be very useful for every organisation to keep their information security system up to date. The internal audit report is also very important for organisations to mitigate threats and potential risks.
Management review
The internal audit, compiled into a report, then undergoes a management review stage, where further evaluation is conducted on the implementation of the audit findings. It also provides a review of how an organisation’s ISMS is performing and what strategies are best for improving the performance of its information security system.
External Audit
Independent auditors conduct external audits to verify that the organisation’s ISMS meets ISO 27001 standards. These audits are essential for obtaining certification and maintaining compliance with the standard.
How to get started with an external certification audit
Documentation Review
The main audit involves interviews, field assessments, and technical reviews to assess the effectiveness of the ISMS. The auditor will identify any gaps in security practices and recommend improvements.
Main Audit
The main audit involves interviews, field assessments, and technical reviews to assess the effectiveness of the ISMS. The auditor will identify any gaps in security practices and recommend improvements.
Periodic surveillance audit
Surveillance audits are periodic checks that ensure the organisation continues to comply with ISO 27001 over time. These audits help maintain a high level of security awareness and prevent any backsliding.
Recertification audit
Recertification audits take place when a company’s ISO 27001 certification is due for renewal. This process ensures that the ISMS remains effective and continues to meet the latest standards.
ISO 27001 Audit Stages
ISO 27001 audits are carried out in two main stages. These stages help ensure that the audit process is thorough and that all key aspects of the ISMS are reviewed.
Stage 1
In stage one of the audit, the organisation will receive a preliminary review assessment from the auditors to determine its eligibility for certification. This includes a high-level evaluation of their security practices and a review and monitoring of their security system.
Stage 2
After receiving a positive response from stage 1, an organisation will proceed to a more complex stage, as the auditor conducts an evidential field review. They will assess and study further how an organisation’s system can operate effectively.
Who can perform ISO 27001 Audits?
ISO 27001 audits can only be performed by qualified auditors who are experts in information security and ISO 27001 standards. It could be an individual external auditor or a third-party auditor firm with relevant experience. However, internal staff can also perform audits and identify information security issues. To ensure the audit is thorough, they must be familiar with the specific controls and risk management techniques employed in information security.
ISO 27001 Audit Timeline
There are two stages or two phases that must be completed to obtain ISO 27001 certification, with various detailed and complex requirements. Therefore, an organisation may require a significant amount of time, although they may need a shorter period. The exact duration of the process depends on its complexity, which can vary greatly. However, generally, stage 1 can take a few days, while stage 2 may take longer or even a month. Therefore, businesses should plan for these timelines to ensure minimal disruption during the audit process.
What happens if you fail an ISO 27001 audit?
If an organisation does not meet the requirements of the ISO 27001 standard, it cannot obtain its certification. However, failing the audit does not mean you cannot benefit from the audit process. An organisation can identify its weaknesses in the system and understand the issues that need to be improved and enhanced to achieve a more secure system. After determining what needs to be improved and analysing the security posture, you can obtain certification at the appropriate time.
Frequently Asked Questions
What is the ISO 27001 audit criteria?
The criteria for an ISO 27001 audit include evaluating whether the organisation’s ISMS meets the standards set out in the ISO 27001 framework. It includes assessing the effectiveness of controls and ensuring the organisation is following appropriate procedures to protect information.
How often is ISO 27001 audited?
ISO 27001 audits are typically conducted annually, with periodic surveillance audits in between. It ensures that businesses maintain compliance and continuously improve their information security systems.
What is the purpose of an ISO 27001 audit?
The purpose of an ISO 27001 audit is to ensure that an organisation’s information security management system is effective, compliant with ISO 27001 standards, and capable of managing and mitigating information security risks.
Conclusion
An ISO 27001 audit is a critical process for ensuring that your organisation’s information security management system is robust, effective, and compliant with international standards. By understanding the audit process and meeting its requirements, businesses can improve their security posture and protect sensitive information.
