ISO 27001 Surveillance Audits: What They Are and How to Prepare

ISO 27001 is an international standard for information security management systems (ISMS). Once an organisation achieves ISO 27001 certification, it must undergo regular surveillance audits to maintain its certified status. This blog post will explain what surveillance audits are, why they occur, and how to prepare for them effectively.

What are ISO 27001 Surveillance Audits?

Surveillance audits are periodic checks, usually annually, conducted by a certification body to ensure that an organisation continues to comply with ISO 27001 standards after initial certification. These audits are less comprehensive than the initial certification audit but still thorough enough to verify ongoing compliance and effectiveness of the ISMS.

Why Do Surveillance Audits Occur?

Surveillance audits serve several important purposes:

1. Maintain Certification: They are a requirement for maintaining ISO 27001 certification.
2. Continuous Improvement: They encourage organisations to continually improve their ISMS.
3. Risk Management: They help identify and address new or evolving security risks.
4. Stakeholder Confidence: Regular audits assure stakeholders of the organisation’s ongoing commitment to information security.

When Do Surveillance Audits Occur?

Typically, surveillance audits occur annually, with the first one taking place within 12 months of initial certification. The second surveillance audit usually happens 24 months after certification. After three years, a full recertification audit is required.

How to Prepare for a Surveillance Audit

Preparing for a surveillance audit involves several key steps:

1. Review Previous Audit Findings: Address any non-conformities or areas for improvement identified in previous audits.

2. Conduct Internal Audits: Regularly perform internal audits to identify and correct issues before the external audit.

3. Update Documentation: Ensure all ISMS documentation is up-to-date, including policies, procedures, and risk assessments.

4. Monitor Key Metrics: Track and analyse key performance indicators (KPIs) related to your ISMS objectives.

5. Train Staff: Provide ongoing security awareness training to all employees.

6. Review Incident Reports: Analyse any security incidents that occurred since the last audit and document your response.

7. Prepare Evidence: Gather evidence of ISMS implementation and effectiveness, such as meeting minutes, training records, and security reports.

8. Engage Management: Ensure top management is involved and prepared to demonstrate their commitment to the ISMS.

9. Review Changes: Document any significant changes to the organisation, its context, or the ISMS since the last audit.

10. Perform Risk Assessments: Conduct a fresh risk assessment to identify any new or changed risks.

11. Areas of Weakness: If you are aware of areas of weakness, then create a plan to address them so that you can demonstrate you are taking action to remedy the weakness.

Conclusion

Surveillance audits are a crucial part of maintaining ISO 27001 certification. By understanding what they are, why they occur, and how to prepare for them, organisations can ensure they maintain a robust and effective information security management system. Regular preparation and continuous improvement not only help in passing these audits but also in enhancing overall security posture.

Remember, the goal isn’t just to pass the audit, but to use it as an opportunity to strengthen your ISMS and better protect your organisation’s information assets.

If you need help preparing for an audit then drop us an email to ask@audit-and-risk.co.uk or book a chat here