The ISO 27001 certification is a significant milestone in your organization’s journey toward robust information security management. The Stage I audit is the first formal step in this process. This article will guide you through what to expect during the Stage I audit and how to best prepare for it.
What to expect during the Stage I audit
The Stage 1 audit is often referred to as the "Document Review." During this stage, the auditor's primary focus is to assess whether your organization's Information Security Management System (ISMS) documentation meets the requirements of the ISO 27001 standard. This audit is typically conducted remotely and involves the following key activities:
Review of documentation
The auditor will review the scope of your ISMS, the Statement of Applicability (SOA), your internal audit report, your information security policies, risk assessment procedures, and other related documents.
They will check whether your policies, procedures, and controls are aligned with the requirements of ISO 27001.
Evaluation of readiness
The auditor will assess your organization's readiness for the Stage II audit by determining whether your ISMS is in place and operational.
They will provide you a final audit report with a list non-comformities or potential improvements needed before moving to Stage II.
💡 Note: The goal of the auditor is to find any noncomformities in your ISMS so you can fix them on time. They're trying to help you build a robust ISMS. It is common at this stage to have some noncomformities during your audit. Just make sure to reserve some time to fix them after the audit.
Stage II audit planning
Once you've received the final feedback from the auditor, you'll have 30 days to fix any noncomformities found and send a root cause analysis and action plan back to the auditor with the fixed noncomformities. Make sure to also fix your stage II audit date by this time.
The auditor will discuss and finalize the plan for the Stage 2 audit, including the timeline, scope, and specific areas to be audited.
How to prepare for the Stage I audit
Preparation is key to a successful audit. Follow these steps to ensure you are well-prepared:
Step 1: Gather and organize documentation
Ensure that all ISMS-related documents are up-to-date, complete, and easily accessible.
This includes policies, the SOA, your internal audit report, your information security policies, risk assessment procedures, and other related documents.
Step 2: Review the SOA and the health score on the Secfix platform
Conduct a final review of your SOA and check that all the applicable controls are 100% implemented and the non applicable controls have a justification for exclusion.
To update the SOA, you can use the Security Report as a reference. Review that all controls are marked as complete in the Security Report. Learn more on how to use the Security Report for your audit here.
Review that your health score is between 90 and 100% in the Secfix Dashboard.
Step 3: Share the SOA with your auditor
Once you've worked on all controls in the SOA and the security report, make sure to share the SOA with the auditor at least one week before the audit.
Step 4: Prepare your team
Before the audit, the auditor will provide an agenda outlining the topics and controls to be discussed.
Make sure relevant team members know their roles and book the necessary time slots in their calendars. Ensure everyone understands what to expect and their responsibilities.
Step 5: Test your remote setup
Ensure that your technology infrastructure is ready for the remote audit. Test your video conferencing tools, document sharing platforms, and any other necessary software.
Make sure that you have a stable internet connection and that your team members are comfortable with the remote communication tools.
Book a meeting room with no background noise to ensure a smooth audit.
Step 6: Be prepared to discuss your ISMS
Be ready to explain your ISMS's scope, objectives, and how it is implemented within your organization according to the ISO 27001 controls. You can use the Security Report as a cheat sheet to guide you through the evidence you need to show during the audit.
Practice discussing how your organization manages information security risks and how your controls mitigate these risks.
Remember, you're already on the road to achieving a globally recognized standard for information security, which is a significant achievement in itself. Stay positive, keep focused, and know that you have the skills and knowledge to navigate this process successfully. Everything will be fine!