A Guide to an Internal ISO 27001 Audit: Checklist & Template

If you’re responsible for information systems within your organization, then you need to be aware of ISO 27001 – a global standard that specifies the requirements for an information security management system (ISMS) and helps to identify any information security risks.

An internal ISO 27001 audit is one way to ensure that your organization’s ISMS meets these requirements. And with our help, you’ll be able to audit for ISO 27001 and develop a treatment plan for your information security management system, all without even having to take an ISO 27001 internal audit course or class.

In this blog post, we will provide a comprehensive checklist and template that you can use to complete your own internal audit.

What is an ISO 27001 Audit?

An ISO 27001 audit is an assessment of your organization’s ISMS and its adherence to the standard’s requirements. It can be conducted by a third-party auditor, or the internal ISO 27001 audit process can be conducted by your own team.

Why Perform an ISO Audit 27001?

Regular ISO 27001 compliance audits are important for maintaining compliance with ISO 27001 and for identifying any gaps or weaknesses in your ISMS. Additionally, having strong procedures in place for conducting regular internal audits can demonstrate due diligence to external auditors.

How Do Internal ISO 27001 Audits and External Audits Differ?

ISO 27001 Internal audits are typically more hands-on and in-depth, as they are conducted by a team that is already familiar with the organization’s ISMS and has ISO 27001 internal audit training.

ISO 27001 External audits, on the other hand, provide an independent assessment from a third-party auditor who may have more objectivity and expertise in ISO 27001 audit requirements.

What is the Difference Between an ISO 27001 Stage 1 and Stage 2 Audit?

An ISO 27001 Stage 1 audit checklist is a preliminary assessment of your organization’s ISMS and its readiness for a Stage 2 audit. This typically involves reviewing documentation, conducting interviews with key personnel, and completing a gap analysis.

A Stage 2 audit is the detailed evaluation of your ISMS in action, including sample testing of controls.

Your 10-Step ISO 27001 Internal Audit Checklist Template

Here is a detailed internal audit ISO 27001 checklist that you can use to achieve a successful ISO 27001 audit certification. Feel free to save or print it out for your future use.

1. Plan the Audit – Determine scope, objectives, criteria, resources, and schedule    ☐
2. Prepare Documentation for Review – Gather ISMS policies and procedures, risk assessments and supporting evidence in preparation for auditor reviewing    ☐
3. Conduct Opening Meeting – Introduce audit process to relevant stakeholders    ☐
4. Collect Evidence – Observe processes in action, review records and documents   ☐
5. Assess Compliance – Compare evidence to ISO 27001 requirements and ISMS objectives    ☐
6. Reporting – Report non-conformities and identify corrective actions in an executive summary    ☐
7. Conduct Closing Meeting – Discuss audit results with relevant stakeholders    ☐
8. Prepare Audit Report – Document findings, non-conformities, corrective actions, and recommendations    ☐
9. Follow Up On Corrective Actions – Ensure that appropriate measures have been taken to address identified issues with implemented controls  ☐
10. Review Audit Process – Evaluate the effectiveness of the internal audit process and make necessary improvements for future audits.    ☐

Following this checklist for your ISO 27001 audit can help ensure that your organization’s internal audit for ISO 27001 is comprehensive and thorough. And for additional support in completing your audit, feel free to use our template below:

ISO 27001 Internal Audit Plan Template

Here is a thorough ISO 27001 audit template you can use to help with your ISO 27001 certification audit process.

Audit Date: _____________

Audit Scope: _________________________________________________

1. Policy & Procedures

 ☐ Are policies and procedures in place for each aspect of the ISMS?

 ☐   Do they align with ISO 27001 requirements and your organization’s ISMS policies?

2. Asset Management

☐   Are information assets appropriately identified and classified?

☐   Is there a process in place for managing risks related to these assets?

3. Access Control

☐   Are access rights to information assets clearly defined and regularly reviewed?

 ☐   Are physical and remote access controls in place to prevent unauthorized access?

4. Risk Assessment & Treatment

 ☐   Is there a formal risk assessment process in place, including identification, analysis, and treatment of risks?

 ☐   Are the results of risk assessments regularly reviewed and updated as necessary?

5. Business Continuity Management

 ☐   Are potential disruptions to business operations identified and plans in place for maintaining continuity in the event of a disruption?

 ☐   Are these plans regularly tested and updated as necessary?

6. Monitoring & Review

 ☐   Are processes in place for monitoring compliance with the ISMS and information security policies, as well as effectiveness of risk treatment actions?

 ☐   Are results of monitoring activities reviewed at appropriate intervals and any necessary corrective actions taken?

7. Incident Management

 ☐   Is there a process in place for identifying, reporting, and managing information security incidents?

 ☐   Are incident response plans up to date and regularly tested?

8. Supplier Relationships

 ☐   Is there a formal process for managing relationships with suppliers, including assessing their information security practices and monitoring ongoing compliance?

9. Employee Awareness & Training

 ☐   Is there a program in place for employee awareness and training on information security, including policies and procedures?

 ☐   Are employees regularly trained and assessed on their understanding and compliance with information security requirements?

10. Documentation

 ☐   Are documentation and records related to the ISMS accurate, up to date, readily available, and securely managed?

Observations/Findings: _____________________________________________________________

Action Plan: ______________________________________________________________________

Responsible Party: _______________________________________________________________

Date of Completion: _________________

Getting Professional IT Help for Your Internal ISO 27001 Audit and Certification Process

With XL.net’s assistance and managed IT services, you’ll have no need to audit the auditor for your ISO 27001 internal audit, because we guarantee that we’ll do it right the first time.

We’re highly familiar and experienced with all the requirements of the standard processes involved in an internal ISO 27001 audit.

And, we’re the only ISO 27001 certified managed services provider that works with small- to medium-sized businesses in the Chicago area!

If you’d like to talk to us about getting the help you need, please feel free to schedule a no-charge consultation with us today!