One of the basic functions of an Information Security Management System (ISMS) is a periodic ISMS internal audit performed independently aligned with the requirements of the ISO IEC 27001:2013 (ISO 27001) standard. According to section 9 of the ISO 27001:2013 management criteria, the internal audit aims at performance evaluation. To be brief, an internal audit is one of the programs showing whether the ISMS is reliable and whether its results are in line with the standards desired. Most likely the internal audit at the initial stages appears to be an overhead expense. On the other hand, internal audits will promote the detection of issues such as nonconformities that would otherwise remain unnoticed and harm the company for that reason.

ISO 27001 Audit Plan

For conducting an ISO 27001 Internal Audit, we have a five-step checklist.

1. Documentation Review

You need to review the documentation that was created during the implementation of ISMS at the first stage of an internal audit. That includes regulations, permits, specifications, and other document styles. The analysis of the documents would allow a specific framework to be set for what needs to be reviewed during the internal audit process.

2. Examination by Management

That’s when the audit gets underway. You will liaise with management before developing a comprehensive audit plan to decide on scheduling and audit resourcing. It will also include setting milestones at which you will be supplying the board with interim updates. Meeting with management at this early stage provides the opportunity for both parties to raise any concerns they may have.

3. Field Examination

This is what you might consider being the ‘proper audit’. It is at this stage that your organization’s practical assessment takes place.

You need to:

1. Observe how the ISMS works in practice by talking to members of the front line.
2. Carry out audit tests to verify proof as it is obtained.
3. To record the results of each check full audit report.
4. Review records, printouts, and any other data related to the ISMS.

4. Practical Assessment and Review

At this point, auditors would be investigating how the ISMS works by interviewing employees and managers of the organization. To verify it, internal auditors must conduct tests after the proof is obtained. This method often includes a thorough review of any data necessary for the operation of the ISMS. Finally, the auditors compile the results and measure them against the basic criteria of ISO 27001. The evidence review can reveal the gaps in enforcement and identify areas of ISMS that require additional testing.

5. In-house Audit Report

The final stage is an internal audit report being prepared. It must provide an exact reach, duration, and nature of the work being done. The primary part of the report must include;

1. An executive summary describing the main results, an overview at a high level, and a conclusion.
2. The report’s intended recipients and, where relevant, the classification and circulation guidelines.
3. A detailed review of the results. Conclusions, and proposed remedial measures.
4. A document setting out guidelines or shortcomings in terms of scope.
5. There may be a need for further analysis and adjustment as the final report usually requires management to agree to an action plan.

Top Management Involvement

Top management participation in the internal audits carries a critical importance. Their participation is important from authorizing the procedure and hiring the internal auditor, deciding on the audit plan, and going through the internal audit report. Most significantly, these duties should not be assigned to lower levels in the company hierarchy because this may give rise to an internal auditor’s conflict of interest. Another principal reason for doing so is that some important information may remain hidden from the top management. Therefore, it is the top management’s responsibility to make a careful choice that they will agree to take part and support the internal audit procedure for their business.

Need Help with an Audit of Your ISO 27001?

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