Active Directory & Office 365 Reporting Tool

ISO 27001 Compliance Checklist – Audit Requirements. In the face of detrimental cyber attacks, businesses must implement more robust solutions. One of the ways organizations safeguard themselves from attacks is through cybersecurity compliance. Ideally, cybersecurity compliance is a risk management approach that paves the way for data and information protection. 

Various cybersecurity compliance standards exist to help organizations safeguard crucial IT systems. Hence, ISO 27001 was developed by the International Organization for Standardizations (ISO) and International Electrochemical Commission (IEC) to help businesses secure sensitive data and customers’ personal information. Following that, this article discusses what ISO 27001 is and the various compliance and audit requirements.

Shall we start the article ISO 27001 Compliance Checklist – Audit Requirements. Read on!

What is ISO 27001 Compliance?

ISO 27001 is an international cybersecurity standard designed to help organizations secure their information systems. Additionally,  it helps organizations implement effective information security management systems (ISMS) to safeguard information. Basically, it outlines the requirements for an ISMS such that an organization can implement it effortlessly and be fully confident in keeping information secure.

Secondly, ISO 27001 specifies the requirements for establishing, implementing, maintaining, and improving an ISMS within the organization’s context. Achieving ISO 27001 compliance places you in a great place if you want to assure customers and business partners of the security of their sensitive data. This, in turn, gives you a competitive edge and a higher reputation.

Compliance Requirements for ISO 27001

Image Source: Imperva 

To achieve ISO 27001 compliance, you must implement robust information security controls. However, it’s a long, continuous, and time consuming process. Here is an ISO 27001 checklist to help your organization achieve compliance:

1. Appoint an ISO 27001 Team

The first step towards achieving ISO 27001 compliance is assembling a team to oversee the ISMS implementation. Further, the team members should have knowledge and experience in information security. In addition, your team should have a leader to drive the project.

Even more, the security team creates a plan detailing all ISMS implementation processes, including objectives, costs, timeframe, etc. Indeed, this document is useful when evaluating progress and helps the team stay on track.

2. Build your ISMS

Image Source: Anitech

After appointing a security team, the next step toward ISO 27001 compliance is building an internal ISMS. Likewise, the ISMS should be comprehensive and define the organization’s overall approach. Nevertheless, it should outline expectations for the management, staff, and partners when it comes to handling sensitive data and IT systems.

Essentially, the ISMS should be tailored to your organization. It should align with your company’s business process and the nature of the security risks you face. In addition, the ISMS should cover the organization’s internal processes as well as each employee’s contribution to ISMS implementation.

3. Define the Risk Assessment Methodology

Risk assessment is crucial when you want to achieve ISO 27001 certification. For this reason, the organization should take a systematic approach to understand the potential security threats, the likelihood of happening, and any potential impacts. Given that, risk assessment begins with mapping out the business assets involved in information handling. Next step is to identify all assets and document them according to priority.

4. Conduct a Risk Assessment

Afterwards, perform a vulnerability assessment to identify any weaknesses that could lead to unauthorized access to sensitive data. An in-depth security assessment is essential to establish the likelihood of a cyber attack.

To conduct a comprehensive risk assessment, you should combine various strategies. These include penetration testing, socially engineered attacks, manual testing, ethical hacking, etc. These tools provide a wide overview of your security posture and your organization’s risks. Finally, document the risk assent process and findings.

5. Complete a Statement of Applicability (SOA) Document

Image Source: Advisera 

The Statement of Applicability (SOA) details your organization’s system security scope. The SOA states all security controls applicable to your organization. Ideally, ISO 27001 has a control set known as Annex A, containing 114 possible controls. You should select the controls that address the risk identified in your assessment. Besides, you should also state the controls that you apply.

6. Decide How to Measure the Effectiveness of ISMS

Following the risk assessment and SoA filling, you should follow up with a basis for evaluating the implemented controls. Particularly, this approach helps to identify any missing areas in your ISMS. This step involves setting a threshold of all processes, policies, and thresholds that determine the effectiveness of the ISMS.

7. Implement ISMS Policies and Controls

You need to implement all security policies and controls relevant to your organization. Based on the risk assessment report, you should create comprehensive security policies that dictate the organization’s security approach.

Your security policy document should outline how to secure business assets, how to act in the event of a cyber attack, employee training, monitoring, etc. In any case, you should also implement control processes such as identity and access management, least privilege access, role based access, etc. These controls ensure that only authorized users can access information.

8. Implement Training & Awareness Programmes

Once you have established the ISMS, you must train your employees about the new security approach. ISO 27001 requires organizations to train employees to be aware of security risks and how to curb them. Ideally, you should use social engineering and phishing campaigns to exploit any security awareness weaknesses. Once you have discovered weaknesses, you can create a custom security training approach that addresses the issues at hand.

9. Assemble Required Documents and Records

To comply with ISO 27001, you should properly document every security procedure. Provide proof of procedures and prepare the required documents during auditing.

10. Undergo an Internal Audit

An internal audit of your ISMS helps identify areas that need improvement and gives an insight into the relevancy of your ISMS. Choose an accredited ISO 27001 auditor to perform an audit and a comprehensive document review. Afterward, implement the audit advice and address all nonconformities identified by the auditor.

The internal audit should not involve the persons responsible for implementing the ISMS. This paves the way for comprehensive, unbiased auditing that highlights the strengths and weaknesses of the ISMS.

11. Monitor the ISMS

ISO 27001 requires organizations to monitor their security systems and procedures. Significantly, monitoring enables you to detect any new vulnerabilities in real time. Also, it enables you to verify whether your security controls achieve the required objectives. You should implement a monitoring solution that monitors your ISMS continuously and collects user logs for auditing. A real time monitoring solution gives you visibility into all activities in your system. In the event of an anomaly, it sends alerts instantly, enabling you to remediate them immediately.

12. Perform Subsequent Audits and Assessments

ISO 27001 requires organizations to perform subsequent security audits and assessments. You should hold management reviews quarterly or annually. Annual risk assessments are mandatory, if you need to remain compliant.

13. Perform a Certification Audit

The final step towards ISO 27001 compliance is a certification audit. You need to hire an external auditor to perform a second audit after the first internal audit. The certification audit is more extensive and is performed by an accredited body that’s a member of the International Accreditation Forum (IAF). The ISO 27001 certification lasts for three years. During that period, your organization should perform annual audits.

Up next is Audit requirements. Please follow reading ISO 27001 Compliance Checklist – Audit Requirements.

Improve your Active Directory Security Compliance & Azure AD

Try us out for Free, Access to all features. – 200+ AD Report templates Available. Easily customise your own AD reports.

ISO 27001 Audit Requirements

Image Source: Alcumus 

Significantly, ISO 27001 audits are necessary to ensure the ISMS meets the set criteria. They involve competent auditors reviewing whether the ISMS and its elements meet the standard’s requirements. Also, it checks whether the controls and policies are practical and efficient and can help maintain the organization’s security posture.

There are two types of ISO 27001 audits:

Internal Audit

An internal audit is done by the organization using its own resources. Either use its own internal auditors or contract a third party. The internal audit involves reviewing the policies and procedures and testing whether they are followed consistently. Also, it involves checking whether the findings from the document review meet the ISO 27001 requirements.

External Audit

An external audit is also known as a certification audit. Carried out by an external, accredited auditor who reviews your organization’s procedures, documentation, and controls for compliance. Once the external auditor is satisfied with the ISMS design, they recommend your organization for certification. The certifying body performs periodic audits before recertification.

To remain compliant, the organization must meet the following audit requirements:

  • Effective management review.
  • Updated documentation.
  • Internal audit report.
  • Audit report analysis.

Ideally, ISO 27001 auditing is an ongoing process that needs an organizational approach. You must perform an internal audit once every three years to remain compliant.

Thank you for reading ISO 27001 Compliance Checklist – Audit Requirements. We shall conclude. 

ISO 27001 Compliance Checklist - Audit Requirements Conclusion

While ISO 27001 isn’t required by law, it provides many benefits to organizations. It helps protect critical information and increase a company’s credibility. This certification is an excellent way to showcase your company’s reliability to customers and partners. Therefore, it’s crucial you work with an accredited body to help you achieve ISO 27001 compliance.

Read our blog for more cybersecurity tips like these!

Edyta Wisniowska

Edyta Wisniowska

I am a Linux and Windows enthusiast and cyber security researcher. Currently working as InfraSOS technical writer and content manager.

Leave a comment

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