Compliance isn’t just a “nice to have,” but a “must have” to do business today. Which framework is top of mind for many organizations? ISO/IEC 27001:2022. This global leading certification is a common way to demonstrate trust, win new business, and drive results. Read on for a guide to your ISO 27001 audit.
What is ISO 27001?
ISO 27001 is an international standard for information security management systems. It provides a systematic approach to managing sensitive company information, ensuring its confidentiality, integrity, and availability. The standard outlines requirements for establishing, implementing, maintaining, and continuously improving an organization’s ISMS.
Why should you conduct an ISO 27001 audit?
ISO 27001 isn’t a legal requirement but may be a prerequisite to customers doing business with your organization.
Some industries are more likely to need an ISO 27001 certification because of the type of data that companies store. These industries include:
- Information technology
- Healthcare
- Finance
- Consulting
- Telecommunications
Beyond a requirement of doing business, an ISO 27001 certification is a best practice for forward-thinking companies that care about cybersecurity. Successfully completing an ISO 27001 audit demonstrates to customers and other stakeholders that you care about protecting their data. Plus, it gives your organization a competitive advantage over similar vendors who might not have the same standards for data protection.
Preparing for your ISO 27001 audit
The prep work is just as important as the audit when it comes to compliance. Your organization should take the time to understand the standard, define your goals, and research certified third-party assessment organizations. You should also be willing to conduct a gap assessment and understand the state of your company’s compliance journey before jumping into an ISO 27001 audit.
How to select a certification body
Selecting a certification body is one of the most important parts of a successful ISO 27001 audit. This team will be responsible for evaluating and certifying your ISMS, so choosing a partner with experience and certifications is essential to a high-quality audit. Here are some things to consider before selecting a certification body:
- Accreditation: Your certification body must be certified by a recognized accreditation body to conduct an ISO 27001 audit and award your team a certification. For example, two top accreditation bodies include ANAB and UKAS. If your auditor does not have an accreditation, you will not have a valid certification after your ISO 27001 audit.
- Experience: Similarly, picking an experienced team is essential. You’ll be trusting this team to provide a high-quality ISO 27001 audit. Your chosen team should be trained and certified to provide a valuable audit experience.
- Technology-enabled audit process: Choosing an audit partner that uses technology to its fullest extent can help you get the most out of your audit. Technology keeps teams organized, projects on track, and sets your company up for success for future audits.
The ISO 27001 audit process: What to expect
There are several steps to your ISO 27001 audit. Your team should be prepared to identify gaps, work with your audit team, and implement changes based on any recommendations or findings to ensure a smooth process.
Pre-assessment
The ISO 27001 pre-assessment process is designed for companies that will undergo the certification process for the first time and is only performed on an as-needed basis. Organizations such as certification or implementation bodies, will simulate the actual certification audit by performing a review of your company’s entire management system including scope, policies, procedures, and processes to review any gaps that may exist and should be evaluated prior to conducting the ISO 27001 audit.
The pre-assessment phase can give your organization a head-start on the ISO 27001 audit process by revealing any oversights or potential weaknesses that your organization may have ahead of the certification audit so that you can act on areas that require remediation or attention.
Stage 1 audit
First, an auditor reviews an organization’s documentation to confirm it is following ISO 27001 requirements. The Stage 1 audit also checks to see if the required activities of the standard have either been completed or are scheduled for completion prior to starting Stage 2.
At the end of Stage 1, the auditor will determine if your company is ready to move forward to Stage 2 of the ISO 27001 audit process, or if there are any areas of concern regarding your company’s policies, procedures, and supporting documentation before proceeding. In rare cases where significant areas of concern are noted, you may be required to complete a second Stage 1 audit before moving on to Stage 2.
Stage 2 audit
The Stage 2 audit is performed to test the conformance of the system with the ISO 27001 standard. During this stage, the certification body will perform testing procedures including interviews, an inspection of documented evidence, and an observation of processes. Every audit is different in duration, and the time to completion is determined by several factors.
Upon completion of Stage 2, the certification body will determine if your organization is ready to be certified. If there are any major nonconformities, they will need to be remediated before a certificate can be issued. At this point, an organization is issued a certificate valid for three years, contingent on the continued successful completion of surveillance audits.
Surveillance audit
Obtaining ISO 27001 certification is not the end of the journey; it marks the beginning of a commitment to maintaining and improving information security practices. Surveillance audits are conducted annually after your initial ISO 27001 audit to ensure ongoing compliance with the standard’s requirements.
For the next two years, annual surveillance audits are required to ensure ongoing conformity with the ISO 27001 standard. These audits provide assurance that your systems and processes remain compliant over time. Surveillance audits are shorter in time and scope than the initial Stage 2 ISO 27001 audit and test a sampled set of controls. Typically, this process should take a few months to complete each year.
Recertification
Your ISO 27001 certificate is valid for three years after the issue date as long as the surveillance requirements are met. However, your organization will need to recertify before the expiration date, which will then restart the three-year certification process.
The recertification process differs from the initial certification, as organizations do not typically need to go through the Stage 1 audit again. Organizations begin recertification with a full system audit, which is similar to a Stage 2 audit. Upon completion of recertification, organizations will undergo further surveillance audits.
How long does an ISO 27001 audit take?
The duration of an ISO 27001 audit can vary depending on the size and complexity of your organization, the maturity of your information security management system, and your organization’s level of preparedness. Here’s a general overview of the time frame for each stage of the ISO 27001 audit process:
Pre-audit preparation
Before the actual audit begins, organizations typically spend several months preparing and implementing their ISMS. This phase includes conducting a gap analysis, developing and implementing security controls, and performing internal audits. The duration of this preparation phase can range from a few months to over a year, depending on the organization’s readiness and resources.
Stage 1 audit: Documentation review
The Stage 1 audit, also known as the documentation review, usually takes 1-2 days. During this phase, the auditor reviews the ISMS documentation to ensure it meets ISO 27001 requirements. The duration may vary based on the complexity of your ISMS and the thoroughness of your documentation.
Stage 2 audit: On-site assessment
The Stage 2 audit, or on-site assessment, will be dependent on the headcount supporting the ISMS, number of locations, and overall environment complexity. These factors will determine the number of days needed to perform the audit. During this phase, the auditor conducts interviews, examines records, and observes processes to verify that the ISMS is effectively implemented and maintained. The length of the on-site ISO 27001 audit depends on the size of your organization and the scope of the audit.
Post-audit activities
After the walkthrough portion of the audit, the auditor will provide a report detailing their findings. If there are non-conformities, your organization will need to address them within the defined timeline. The time required to resolve non-conformities and complete the follow-up audit can vary, but it generally takes a few weeks to a couple of months, depending on the severity.
The time it takes to complete an ISO 27001 audit will vary based on the size of your organization, how established your ISMS is, and the availability of your audit team.
Get started with your ISO 27001 audit
Navigating the ISO 27001 audit process can be challenging, but with proper preparation and commitment, your organization can achieve certification and reap the benefits of enhanced information security. By demonstrating your dedication to protecting sensitive data, you can build trust with customers, comply with legal requirements, and gain a competitive edge in the market. Contact us today to get started on your compliance journey.
The post ISO 27001 Audit Essentials: Everything You Need to Know appeared first on A-LIGN.