How to Execute an ISO 27001 Audit Plan for Enhanced Security

When it comes to locking down your information security, the ISO 27001 audit is your golden ticket to compliance and to proving and improving your security defenses, operational processes, and risk management practices.

If you’ve been nodding along to ISO 27001 requirements without a clear game plan, you’re definitely not alone. Many companies dive into the audit process hoping for the best, only to feel overwhelmed halfway through. But with the right tools and a bit of preparation, it doesn’t have to be that way.

Let’s break down how to execute an ISO 27001 audit plan that not only gets you certified but actually strengthens your security posture for the long haul. Grab a coffee, and let’s turn this beast of an audit into something far more manageable.

Setting the Stage: ISO 27001 Framework

ISO 27001 isn’t just another compliance framework. It’s the global gold standard for building and maintaining a strong Information Security Management System (ISMS). Its strength lies in its risk-based approach to information security, helping businesses of all sizes identify threats, implement the right controls, and demonstrate to customers that data security is a top priority.

A few key components to get familiar with as you dive into ISO 27001:

ISMS (Information Security Management System):

This is the backbone of your entire ISO 27001 compliance journey. Your ISMS brings together all your security policies, processes, and controls into a single, integrated system. It’s how you manage, monitor, and improve your information security over time – and more importantly, it’s what auditors will examine closely when assessing your readiness for certification.

Annex A Controls:

Here’s where things get a bit more tactical. Annex A of the ISO/IEC 27001:2022 standard includes 93 specific controls (yes, 93!), a streamlined update from the previous 114, covering everything from access management to incident response and vendor relationships. This latest version addresses modern security challenges and makes it easier for companies, especially in SaaS, to build a practical, risk-based ISMS. But don’t panic! You’re not expected to implement every single control. You select the ones that align with your unique risk profile and business model.

💡You can learn more about what this update means here.

Risk Assessment:

This is the core of ISO 27001. You’ll need to identify the threats that could impact your information assets, evaluate how serious they are, and decide what to do about them. The goal isn’t to eliminate all risk (spoiler alert: you can’t), but to manage it wisely and show that you’re in control and ready to handle any security vulnerabilities that might arise.

💡 Did you know?

The top security concerns in SaaS often include data leakage, access control, password management, and Multi-Factor Authentication (MFA) – all of which ISO 27001 directly addresses. So if you think ISO 27001 is “just for show,” think again. It can actually help you prevent the data breaches you hope never happen.

Becoming ISO 27001 Certified

Achieving ISO 27001 certification is a major milestone, signaling that your organization has met the rigorous security standards required by the global community. The process involves two key audits conducted by a reputable, accredited certification body: a documentation review and an on-site assessment.

If your ISMS meets all the necessary requirements, you’ll earn the prestigious ISO 27001 certification – a powerful testament to your organization’s unwavering commitment to security and a critical step in building trust with customers, partners, and investors.

Creating an ISO 27001 Audit Plan

Now that you understand what becoming ISO 27001 certified means, it’s time to focus on the plan that will get you there.

Simply put, a solid ISO 27001 audit plan is your roadmap to success, turning that initial thought of “We need to get compliant” into “We crushed our certification audit!” It helps you map out every step: what needs to be done, who’s responsible, and when it needs to happen, ensuring that nothing important slips through the cracks.

With a well-drafted plan in place, you’ll stay on track, avoid last-minute surprises, and walk into your audit with complete confidence. Here’s a quick look at the key elements that need to be included:

1. Define the scope of your audit

• What departments are you covering?
• Which locations?
• What systems and processes are in scope?

2. Pick your audit team

Whether you choose internal staff, external auditors, or a mix of both, ensure they’re independent from the processes they’re reviewing to avoid any conflicts of interest. For startups with limited resources, consider partnering with GRC experts and leveraging audit software to streamline the audit process.

3. Use an ISO 27001 internal audit plan template

Save yourself some time and structure your process. A good template includes:

• Objectives of the audit
• Scope and boundaries
• Audit criteria (hello, ISO 27001 controls!)
• Roles and responsibilities
• Audit methods (interviews, document reviews, testing controls, etc.)

4. Schedule the audits

Plan when each part of your ISMS will be reviewed, taking into account:

• Business cycles: Schedule audits during off-peak periods to minimize disruption to daily operations.
• High-risk areas: Prioritize auditing high-risk areas to address potential vulnerabilities first.
• Dependencies between departments: Consider how different departments interact, and ensure audits are scheduled in a way that avoids overlapping or missed dependencies.

5. Develop audit checklists

Use checklists to standardize your reviews and ensure consistency. Base your questions on ISO 27001 control objectives to ensure all areas are covered. For additional guidance, you can search for “ISO 27001 audit questions and answers” to see common questions auditors may ask during the assessment.

Conducting the ISO 27001 Audit

Now that you’ve got your audit plan in place, it’s time for the audit phase. Here’s what you can expect:

The ISO 27001 audit involves a deep dive into your ISMS to make sure your security practices aren’t just compliant but also effectively implemented and that you’re actually practicing what you preach.

There are two main types of ISO audits you’ll undergo:

Internal audit

Think of this as your dress rehearsal. You’ll audit your own processes to identify and address any weaknesses before the official certification audit.

External certification audit

This is the official audit, typically conducted in two stages:

• Stage 1: Documentation Review – The auditor reviews your ISMS documentation to ensure it aligns with ISO 27001 standards.
• Stage 2: Operational Effectiveness – The auditor will check if you’re not just talking the talk but walking the walk. This stage assesses whether your security controls are effectively implemented and maintained in practice.

What do auditors look for in an ISO 27001 audit?

• Policy documents
• Risk assessments
• Evidence of control implementation
• Incident response plans
• Training records

💡 Pro Tip: Don’t panic if you discover gaps. ISO 27001 is all about continual improvement, so use these gaps as an opportunity to show progress and commitment to better security practices.

Evaluating and Reporting ISO 27001 Audit Findings

After the audit, you’ll receive your ISO 27001 report. This could either be a helpful guide for the next steps in improvement or the exciting news that you’re officially ISO 27001 certified.

Compliance reports can be challenging to navigate, but here’s what you can expect to see in your ISO 27001 report:

• Nonconformities: Gaps that require attention and remediation.
• Observations: Minor issues or potential future risks to be addressed.
• Opportunities for improvement: Not mandatory but valuable suggestions for optimization.

Here’s a clear breakdown of how to handle each type of audit finding:

Finding Type	What It Means	What To Do Next
Major Nonconformity	Significant issue. Non-compliance with ISO 27001.	Address immediately, as it must be fixed before certification.
Minor Nonconformity	A smaller issue that still needs attention.	Correct it, but it won’t prevent certification.
Observation	Not a nonconformity yet, but could become one.	Keep an eye on it and consider improvements as needed.
Opportunity for Improvement	Suggestions for optimizing your security practices.	Optional, but can help enhance your overall security posture.

Address Issues with a Corrective Action Plan:

When an issue arises during the ISO security audit, it’s crucial to demonstrate a proactive, structured approach to resolve it. A Corrective Action Plan not only fixes the problem but also prevents future occurrences.

• Root Cause Analysis: Understand the “why” behind the issue.
• Mitigation Steps: Outline how you’ll fix the problem.
• Timeline: Set clear deadlines for resolution.
• Owner of the Action: Assign responsibility to ensure accountability.

Auditors will appreciate this approach, as it highlights your commitment to maintaining strong security practices in line with ISO 27001 expectations.

Maintaining ISO 27001 Certification

So, you’ve got the badge. Now what? 

ISO 27001 isn’t a one-time milestone. It’s a living, breathing system that requires ongoing attention. As the digital threat landscape constantly changes and cyberattacks become more advanced, your ISMS needs to evolve with it to keep up. 

You’ll need to stay ahead with:

• Regular internal audits
• Annual surveillance checks
• Full re-certification every three years. 

It might sound like a lot, but staying compliant doesn’t have to be an operational nightmare. With Scytale’s AI-powered automation platform, SaaS companies can achieve and maintain ISO 27001 compliance faster and more efficiently. With a dedicated team of GRC experts by your side and smart features like automated evidence collection, user access reviews, risk assessments, continuous control monitoring, multi-framework cross-mapping, and more, Scytale takes care of the heavy lifting to ensure you stay audit-ready all year round.

Rather than chasing documentation or panicking before an audit, you can automate key processes, set quarterly ISMS reviews, and maintain peace of mind knowing your security posture is always aligned with ISO 27001.

Strengthen Your Security Posture with ISO 27001 Compliance and Effective Audit Planning

Executing an ISO 27001 auditing plan isn’t about making your auditor happy. It’s about protecting your business, your customers, and your future. When done right, the audit process provides visibility, accountability, and the kind of confidence that lets you sleep a little better at night.

Your Next Steps:

• Leverage ISO 27001 compliance software to streamline the audit prep and compliance process.
• Create your ISO 27001 internal audit plan.
• Schedule your internal audit (don’t wait!).
• Start plugging any gaps before the external team walks in.

Remember, the audit isn’t the finish line. It’s the beginning of becoming a truly secure, trustworthy company.

FAQs

What is the ISO 27001 audit plan?

An ISO 27001 audit plan outlines how your organization will review and assess its information security controls. It includes the scope, timeline, audit objectives, roles, and methods to ensure your ISMS meets ISO 27001 requirements.

What should an ISO audit plan include?

Your audit plan should include the audit scope, objectives, timeline, involved departments, key audit criteria, methods of assessment and assigned audit roles.

How to prepare for an ISO 27001 audit?

Start by reviewing your ISMS documentation, conducting an internal audit, addressing compliance gaps, and ensuring all required ISO 27001 controls are in place. Use audit checklists and templates to stay organized, and streamline audit preparation from start to finish with compliance automation tools like Scytale.