ISO 27001 is an Information Security Management System (ISMS) Standard, this standard is adopted by the organization for further enhancement of Information security management in the organization. When an organization implements ISMS in the organization by establishing various Information Security Policies, SOP, information security Controls, and other relevant documentation in the organization.
So, it’s a requirement to conduct an ISO 27001 internal Audit in the organization at a pre-defined frequency, to verify the effectiveness of implementing ISO 27001 standards in the organization. Also, an ISO 27001 Internal Audit is one of the key requirements for an organization planning for ISO 27001 Certification from the ISO Certification Body (i.e OSS Certification). To conduct the ISO 27001 Internal Audit in the organization, the organization must have a Certified Internal Auditor, who has attended ISO 27001 Internal Auditor Training and has personal Certification from the Training provider organization. In some cases, any of the organization’s employees – who have certification of ISO 27001 Lead Auditor Training, can also provide the Internal Auditor Training to the rest of the staff of the organization on ISO 27001 Standard.
What is Internal Audit and why it is important for an organization?
When the organization implement management system standard the organization further enhancement of overall organizational credibility and builds leadership in the competitive market along with meeting compliance obligation /Legal requirement, etc so on, i.e, for Example – ISO 9001 -Quality Management System for enhancement of Customer Satisfaction, productivity, etc, further ISO 9001 Certification, Similarly ISO 27001 – Information security Management System for to protect the confidentiality, integrity, and availability of information and provides interested parties with the assurance that risks are being handled, etc also further for ISO 27001 Certification, Similar other management system standards are implemented in the organization as per their requirement of the business.
Internal Audit is conducted at a pre-defined frequency to verify the implemented management in the different processes & activities of the organization to ensure the effectiveness of the management system in process/activities/functions of the organization, where the outcomes of Internal Audit provide the information that – whether the management system is effective or any further improvement required to meets the organizational objectives. To conduct the Internal Audit of the organization, the followings point are to be ensured by the organization
- The organization has the documented internal Audit procedure
- The frequency to conduct the Internal Audit has been established
- The organization has a sufficient number of Internal Auditor in the organization (represent the different processes of the organization)
- All the Internal Auditor has Internal Auditor Training Certificate for the Management System (for which they do the Internal Audit), i.e the organization has sufficient pieces of evidence of their Competency documents /records.
- The Organization has an Internal Audit Checklist of each process/activity / Function.
- The Organization’s annual Internal Audit Plan is communicated within the organization.
- The Corrective action procedure is established in the organization
Internal Audit Planning – while Internal Audit planning in the organization, the following to be considered, at least
- Availability of Competent Internal Auditor
- The Internal Auditor Team assignment in such a way that the Internal Auditor cannot do the Internal Audit to own process and function
- The Internal Auditor has a skill in Communication, Knowledge of Process & function -when assigned to Internal Audit, able to write the Internal Audit Findings and have sound knowledge of implemented management System Standard
- During periodic Internal Audit planning, it is not necessary to cover all the process /functions of the organization, but at least the Key Process and Functions must be covered. Also ensure that on annual basis – all processes/functions of the organization must be considered, which is also known as a Completed Internal Audit
For Further clarification and understanding, take the case study of two different management Systems for Conducting Internal audits in the organization.
Case Study -1
Generally, the ISO 27001 -Information Security Management System is implemented in the organization for enhancement of Information security, Building the Confidence of its Clients in data security, and further for ISO 27001 Certification from an accredited Certification Body (i.e OSS Certification), whereas per ISO 27001 requirement, the Internal Audit is one of the key requirements of ISMS, so for Conducting ISO 27001 Internal Audit in the organization, the followings to be looked into
- Availability of ISO 27001 Internal Audit Check List of each process
- ISO 27001 Internal Auditor – have completed ISO 27001 Internal Audit Training Certificate.
- ISO 27001 Internal Auditors have knowledge of ISO 27001 requirements and knowledge of the process/function which the Internal Auditor has assigned to conduct the ISMS Internal Audit
Case Study – 2
ISO 9001 – Quality Management System is implemented in the organization for ISO 9001 Certification and further for process performance enhancement, Customer Satisfaction enhancement, etc, so on. As per ISO 9001 Certification requirement, it is mandatory that before applying for ISO 9001 Certification to the Certification Body ( i.e OSS Certification ), the organization has completed at least one full ISO 9001 Internal Audit in the organization and have a record of ISO 9001 Internal Audit Findings available, with the organization.
So, to conduct the ISO 9001 Internal Audit in the organization, the following to be looked into while Planning the Internal Audit
- Internal Auditor Knowledge and Skill in ISO 9001 Standard
- Auditors have Completed ISO 9001 Lead Auditor Training
- Internal Audit Checklist is available for each process and Function, in line with ISO 9001 requirements
- The auditor should not do its own process Internal Audit
What are the benefits of ISO 27001 Internal Audit for the organization?
- Provides the Weakness and Strengths of Implemented Management System Standard
- Provides the Opportunity for Continual Improvements for the organization, as Internal Audit Findings.
- Add value to an organization
- Provides information about the effectiveness of the Management System and business objective of the organization
Internal Auditor Training
Any professional wanted to become the Internal Auditor for Management System Standards (i.e ISO 9001, ISO 14001, ISO 45001, ISO 27001, ISO 22000, ISO 13485, ISO 22301, ISO 31001, etc, so on.). There are two options – Either they can get In-house Internal Audit Training from a competent Lead Auditor, who has valid Lead Auditor Training Certification from any personal Certification Training provider organization (i.e OSS Certification).
The second option is for the candidate can join the Internal Auditor Training Course to Certified Lead Auditor Training Provider organization (i.e OSS Certification), attend the two days of Classroom training / online Training and after successful completion of the examination, the candidate will be awarded Internal Auditor Training Certificate for the particular Management System Standard.
Sum-up of this Blog
At the end of this blog, we have tried to explain Internal Auditor Training, its requirements, and its Benefits to the organization, in case of any further more information about Internal Auditor Training you can reach out to OSS Certification.