What is the Process of ISO 27001 Certification?

In 2025, the cost of cyberattacks will reach $10.5 trillion globally. The projected growth rate is 15% every year. While the cost of attack keeps increasing, a breach is now identified in 194 days on average. It takes 64 days to contain a breach and 88 days on average to resolve an attack facilitated through stolen credentials. All this is the result of compromise in an organization’s information security and calls for the need for ISO 27001 certification.

ISO 27001 is a standard compliance that lays down the guidelines for an organization to manage its information security risks. In simple terms, all organizations that have implemented an Information Security Management System (ISMS) need to obtain ISO 27001 certification. It is to ensure that it aligns with the best security practices put in place by the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC). Further, it helps organizations build trust among their clients, and relieve themselves from financial loss and legal penalties in case of any breaches related to information security.

What is the Process of ISO 27001 Certification?

Confidentiality, Integrity, and Availability are the three pillars of information security. ISO/IEC 27001 certification ensures that organizations comply with the same. The certification process helps organizations secure their information. It starts with defining the scope and objectives of ISMS. It further involves risk assessment, creating policies, and implementing security controls to address the risks identified. Next, the organization conducts internal and external audits to assess and verify compliance with ISO 27001 requirements. If everything is in place, the organization receives the ISO 27001 certification. It is important to avoid the common mistakes during ISO 27001 audit at all costs.

ISO 27001 Certification: Phase 1

This phase is the planning and preparation stage that prepares an organization for its final audit with the certifying body.

• Get in touch with a certified implementor who will help your organization align with the requirements of ISO 27001 standard.

Why: ISO 27001 guidelines are bifurcated into clauses and controls. The clauses as stated in the official document are compulsory across all organizations. The need to abide by the requisite ISO 27001 controls varies from organization to organization.

The lead implementor performs a Gap Assessment to analyze an organization’s information security practices put in place. This is because based on the assessment, the organization is guided throughout the implementation and documentation process.

The organization must update and implement policies, procedures, and practices related to its ISMS in accordance with the received recommendations, and prepare the necessary documentation for ISO 27001 certification.

An organization must have a Statement of Applicability and a Risk Treatment Plan as part of the required documentation for the audit process. The Statement of Applicability outlines the security controls in place, assisting the audit team in identifying them within the organization’s ISMS. The Risk Treatment Plan contains the risks based on priority along with ways to address them.

Lastly, a risk assessment is done to identify the risks associated with the organization’s information security. Also, this will help list out the risks present in its ISMS.

‍Once potential risks are identified, the implementor guides the organization to take appropriate actions and choose controls outlined in the ISO/IEC 27001:2022 official document to mitigate or eliminate them. Furthermore, this process will help create a list of controls required to achieve compliance with the standard.

The ISO 27001 security controls implemented following the risk assessment must be thoroughly documented to assist the audit team in their evaluation and reporting. This documentation serves as evidence when requested by the lead auditor during the audit process.

• Look for the right lead auditor to verify the checklist as per ISO 27001 compliance standard. 

Why: The lead auditor prepares a report after conducting a thorough analysis of the organization’s ISMS. Moreover, this helps ensure that each step is executed correctly.

Once the audit report is received from the lead auditor, the organization must forward it to the implementor for re-evaluation to determine if corrective actions are required. The implementor then reviews the report and recommends any necessary steps to address the findings.

Finally, a follow-up audit is conducted based on which the organization receives the final audit report. This qualifies the organization for the final audit by the certifying body.

Internal audit needs to be performed regularly to ensure that the organization’s risks related to information security are minimal and ISMS is implemented properly as per the ISO 27001 standard.

Phase 2 – Audit by Certification Body

• Organizations must ensure that the certifying body follows the standards provided by ISO’s Committee on Conformity Assessment (CASCO). This is because ISO provides ISO 27001 certifications only through independent certifying bodies.

• Once an organization has identified the certifying body, it begins with a preliminary screening followed by a Stage 1 audit, also known as Documentation Audit. At this point, organizations can present their internal audit report along with the documents prepared during the internal audit.

• Once the organization has cleared the Stage 1 audit, the external audit team starts with the Compliance Audit (Stage 2 Audit). A compliance audit is done to check that the ISMS security controls adopted by the organization are apt and working as per the standard.

• If the external auditor finds any gap during the audit, they will recommend corrective action that must be incorporated by the organization within a given time frame. On the other hand, if all ends well, the organization is provided with the ISO/IEC 27001 certification.

External audits are performed at specific intervals. It is primarily performed at the time of obtaining ISO/IEC 27001 certification or at the time of certification renewal.

ISO 27001 Certification: Surveillance Audit

After an organization has achieved the ISO/IEC 27001:2022 certification, it remains valid for three years. However, they need to conduct a surveillance audit every year to ensure that the organization’s ISMS aligns with the standards. 

The surveillance audit process is similar to the certification audit process which involves both internal and external audits. The only difference is that the surveillance audit is a brief audit to ensure that the organization’s ISMS complies with the key ISO 27001 requirements. 

If an organization fails to clear any of the surveillance audits they need to start over again by going through all the procedures involved in a complete ISO/IEC 27001 certification process. Furthermore, after the completion of the third year, a full audit is performed again to obtain the certification followed by surveillance audits in the subsequent two years.

Who Needs ISO 27001 Certification?

As the official document states, meeting the ISO 27001 standard is important for “establishing, implementing, maintaining and continually improving an information security management system.”

• Finance: To protect sensitive financial data from breaches and fraud.
• Healthcare: To ensure patient information is secure and complies with privacy laws.
• Technology: To safeguard intellectual property and customer data against cyber threats.
• Government: To meet regulatory requirements and also protect national security-related information.
• E-commerce: To secure customer transactions as well as protect personal data.
• Education: To protect student and staff data and ensure privacy compliance.
• Legal: To secure client confidential information and comply with data protection laws.
• Manufacturing: To protect proprietary information, designs, and industrial data.
• Telecommunications: To secure user data and maintain service integrity against cyber threats.
• Energy: To protect critical infrastructure and also ensure the confidentiality of operational data.

Why is ISO 27001 Certification Important for Organizations?

Following are a few reasons why obtaining an ISO/IEC 27001 certification is important for organizations across all industries and sizes:

• It helps organizations expand their reach and move ahead fast in the competition ladder. It helps gain new clients and earn the trust of potential clients.
• Organizations across industries need to comply with certain standards. Even though the standards differ for each industry, ISO/IEC 27001:2022 certification helps them meet the standard, legal, and business requirements.
• Organizations that have achieved the certification can relieve themselves of legal penalties and financial losses that are related to information security data breaches.
• Moreover, as the standard is globally accepted, having the certification will help organizations who wish to expand their business overseas. 
• Following the ISO 27001 standards will help organizations have a straightforward and clear structure when managing risks related to information security. It will also help reduce costs and increase productivity through better decision-making.

Kratikal is a CERT-In Empanelled Auditor providing internal audit services. Among the standard compliances are ISO 27001, ISO 27701, ISO 27018, ISO 27017, SOC 2, GDPR, HIPPA, and PCI DSS. Also, internal audits are provided for regulatory compliances like IS Audit (RBI), IRDAI, SEBI, SAR, DPDP, CIRCA, ITGC, and DLA Audit. Apart from these, Kratikal is also known for its VAPT services, CCMP, SDLC Gap Analysis, design and implementation of ISMS and many more. Through its Kratikal for Startups initiative, Kratikal helps startups comply with the standard and regulatory guidelines as per their business niche at cost-effective rates.

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