Skip to content

Three Stages Of An ISO 27001 Audit You Must Know

  • by
Stages Of An ISO 27001 Audit

The most important three stages of an ISO 27001 Audit are Audit Planning including Audit Team selection, on-site Auditing verifying compliance effectiveness of ISMS along with SOA. ISO 27001 Audit is performed by ISO Certification Body (i.e OSS Certification) auditor for providing ISO 27001 Certification to the company.

Let’s understand ISO 27001 Standard

ISO 27001 is an Information Security Management System Standard (ISMS).  The organization adopts ISO 27001 implementation and ISO 27001 Certification from an accredited ISO Certification Body (i.e OSS Certification). To enhance the information security management system of the organization. Build the confidence of clients and stakeholders that information is safe and secured and confidentiality & integrity of information are maintained with us. These are all about the purpose of ISO 27001 Standard.  The key requirements of ISO 27001 Standard – Statement of Applicability (SOA) development based on applicable information Security Controls, Information Security Policy development, Risk Analysis & Risk Treatment, and Monitoring of the Information Security Controls implemented in the organization. Training to an employee and overall performance monitoring of information security and periodic review of implemented Information security management system.


Three stages of an ISO 27001 audit

As said above the three stages of an ISO 27001 Audit are Audit Planning, Onsite Auditing, and post Audit activities. Generally, there are three types of Internal Audit, Second Party Audit, and Third-Party Audit. When the organization has implemented ISO 27001 Standard in the organization for ISO 27001 Certification. An ISO 27001 Audit is performed by the organization on its own to verify the effectiveness of implementation before applying for ISO Certification is known as Internal Audit.

ISO 27001 Internal Audit – Internal Audit was performed by the Team of an employee of the organization as per ISO 27001 audit criteria and ISO 27001 audit guidelines. As per the expert view, it is advised the prepare the ISO 27001 audit checklist for Internal Audit covering all the key processes of the organization’s information security management System requirements. Internal audits, also known as first-party audits, may serve as the foundation for an organization’s self-declaration of conformance to ISO 27001 Standard compliances. They are performed by or on behalf of the organization for management review and other internal objectives.

Second Party ISO 27001 Audit – When the Audit performed by Its customer or to its supplier is known as second Party Audit. Generally, the customer does the supplier audit during Initial Approval or ongoing monitoring of the Information security management System (ISO 27001) Compliances. This Audit is known as second Party Audit. While performing the Second Party Audit, the customers provide the ISO 27001 Audit Criteria and ISO 27001 Audit Guideline requirements to their suppliers in advance. So that the supplier keeps the evidence for a smooth Second Party Audit. In the Second Party Audit, only the Audit Finding reports can be provided to the supplier not ISO 27001 Certification. Based on the second party Audit finding the customer can decide on supplier approval or continuing the supplier services. Please note that Second Party Audit is not an ISO Certification Audit (i.e ISO 27001 Certification or ISO 9001 Certification, etc so on.). The Second Party Audit is also a Type of Third-Party Audit, but it is between – Customer and Supplier or organization and regulatory Body., etc. so on.

Third-Party Audit – When the Audit is performed by Certification Body (I.e OSS Certification) against the ISO Standard (Management System Standard) as Audit Criteria is Known as a Third-Party Audit. Third-Party Audit performed by a competent ISO Auditor Team intending to verify the compliances & effectiveness of Management System Standards. The outcome of a Third-Party Audit is an award of ISO Certification to the organization -For Example – such as the award of ISO 45001 Certification, ISO 9001 Certification, etc, so on.

stages of an ISO 27001

How to Conduct for ISO 27001 audit?

The organization planning to conduct ISO 27001 Audit, must know how to prepare for ISO 27001 Audit. So, the Further explanation on how an organization can prepare before the ISO 27001 audit, the key points of consideration given as follows, must be considered by the organization, before the conduct of ISO 27001 Audit.

  • ISO 27001 Audit Criteria – Develop the iso 27001 Audit Criteria i.e set of policies, procedures, or requirements used as a reference against which audit evidence is compared.
  • ISO 27001 Audit Checklist – Prepare the Audit Checklist as per the set Audit Criteria
  • ISO 27001 audit man-days calculation- How many days of Audit Man-day is required to complete ISO 27001 Audit as per set Audit Criteria?
  • ISO 27001 Audit Guideline – Develop the ISO 27001 Audit Guidelines – such as Audit Code of Conduct, On-site Interaction and collecting evidence, Timeline for submission of Corrective action and Closer of Non-Conformity, Confidentiality, Appeal & Complain Handling method, method of communication during Audit and reporting method and post audit activities, etc, so on.
  • Set the Criteria for ISO 27001 Auditor Selection -such as Qualification, Experience, Training, and Skill.
  • Audit Planning

So, to know how to perform ISO 27001 audit, the organization much do consider the above points before conducting for ISO 27001 Audit. Now to perform ISO 27001 Audit onsite, the following are to be considered

  • ISO 27001 Audit Man-day Calculations as per organization size, Complexity, user, ISO 27001 Audit Controls, location, number of sites, activities of the organization, etc.
  • Audit Team Selection
  • Preparation Audit Plan and schedule – Send to Auditee well in advance to acceptance of date of Audit, Audit Team, and Audit Criteria
  • Onsite Audit – Conduct of Opening meeting as per the Code of Conduct
  • Verifying the Audit evidence against Audit Criteria
  • Conduct Closing meeting and made recommendations as per Audit Findings

These are the key points of consideration to perform the ISO 27001 Audit, but it is not limited


How to prepare for ISO 27001 audit?

The organization planning for ISO 27001 Certification, so to prepare for ISO 27001 Audit. The organization must ensure implementation and availability of that ISO 27001 audit controls i.e Statement of Applicability (SOA), Information Security Policy, procedures, Risk Analysis, Training, Internal Audit, and Management review meeting records.  To prepare for ISO 27001 Audit, the following points are to be considered by the organization

  • ISO 27001 certification documentation- The organization preparing for the ISO 27001 Audit ensures that necessary implementations and availability of ISO 27001 documentation – ISMS Manual, ISO 27001 Controls (SOA), Risk Analysis, Information Security Policy, Internal Audit, Management Review, etc. so on.

Once the above-said preparation for ISO 27001 Audit is completed, the organization may proceed for ISO 27001 Certification by applying to ISO Certification Body (i.e OSS Certification).

Some organization has questioned how long it takes to become iso 27001 certified. So as per expert view generally, after completion of ISO Certification by the Certification Body in the organization. The Audit Team prepares the Audit report and submits it for review. Based on the Audit file review the Certification decisions made by the team per committee of the Certification body to award Certification or Not.  Generally, it takes 3 to 4 months required to become ISO 27001 Certified. But in some cases where the organization already effectively implemented the ISMS in the organization in this case the organization can become ISO 27001 Certified, within 30 days from the last day of the Audit.


How much does it cost to become iso 27001 certified?

Many organizations wanted to know how much it costs to become iso 27001 certified. As per expert views, the cost of ISO 27001 Certification is not fixed, it can vary from organization to organization.  The cost to become ISO 27001 Certified is derived from the Size, Activities, and location of the organization.


ISO 27001 certification advantages

There are several ISO 27001 Certification advantages, but few are the most prominent advantages are

  • Enhancement of Information Security
  • Reduced the Risk of information breach, threat, etc
  • Enhance the Information security regulatory Compliance and Contractual requirements
  • Improve the organizational performance
  • Enhancement of the Credibility of the organization

Leave a Reply

Your email address will not be published. Required fields are marked *