Five Steps to Conduct Audit Checklist for ISO 27001

Posted by Charles Wilson on October 26th, 2024

Organizations can comply with the International Standard for Information Security Management System (ISMS) using the ISO 27001 audit checklist to prepare for inspection. As an organization, it assists you in determining any areas or gaps where your ISMS might not be completely compliant. The checklist also introduces a list of criteria and questions that address the standard's requirements. An ISO 27001 audit checklist is a useful tool for making sure that the company’s ISMS conforms with the standards, but it cannot take the place of a comprehensive audit.

There are two types of ISO 27001 audits;

•  External Audit
•  Internal Audit

The recertification audit, which is conducted after three years (after certification), and the annual periodic surveillance audits make up the external audits.

Before submitting to an authorized external auditor for certification, companies must do an internal audit by the ISO 27001 standard.

Why ISO 27001 Audit is Needed?

You must perform periodic surveillance audits in between regular internal audits as required by the ISO 27001 standard. Compared to other standards, including SOC2, the ISO 27001 audit is not conducted every year. Your following certification audit would only take place at the end of the third year after you were certified. But don’t let out a sigh of relief just yet.

Even if these aren't as thorough as your certification audit, you still need to be very aware of compliance.

ISO 27001 Audit Checklist in Five Steps

Information security standards are followed thanks to the ISO audit checklist. It helps companies to evaluate their ISMS for ongoing compliance and expedites the audit process. This 5-step ISO 27001 audit checklist might help you expedite your preparations for an internal or external certification audit.

• Create an Internal Group: To lead your company’s compliance procedure and serve as a point of reference during the certification audit, create a group of internal resources. Among offers, this team may include heads of people operations, security officers, and IT. Each stage of planning, constructing and monitoring the ISMS would involve this team, therefore in the greatest position to respond to the questions posed by the external auditor during the certification audit.
• Verify the Integration of the ISMS Plan and Scope: Review your ISO 27001 certification’s scope together with function heads. The data, goods, procedures, services, systems, functions, subsidiaries, and regions that your company has to safeguard with its ISMS may serve as the basis for this. Make sure everything your company wishes to safeguard with its ISMS is covered within scope.  
• Examine the Documentation: Examine several ISO 27001 documents, including the Information Security Policy, Risk Treatment Plan, and Statement of Applicability, to mention a few, and verify that management has examined and approved each one. Additionally, document all policies and make them available to all employees via the company intranet.
• Gathering Evidence: To prove adherence to the ISO standard standards, make sure documentation and records are gathered and a trail is created. For example, post policies on the company intranet that all employees may view, including the following: Vendor Risk Management Policy, Change Management Policy, Data Backup Policy, Business Continuity Management Policy, Vulnerability Management Policy, and Data Retention Policy.
• Include the Results of the Internal Audit: Examine the internal audit report, taking into account all of the conclusions, suggestions, and remedial measures. One of the first things your external auditor would check during the primary audit would be your internal audit report.