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ISO 27001 Certification

Phase 6: Surveillance Audits

Certification Roadmap - Phase 6
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Phase 6

Surveillance Audits

Overview

Surveillance Audits are a crucial part of maintaining ISO 27001 certification, ensuring that your Information Security Management System (ISMS) continues to meet ISO 27001 standards after initial certification. Conducted periodically, typically on an annual basis, these audits help verify that your organization remains in compliance with the standard and that the ISMS remains effective and up to date. Surveillance Audits focus on ongoing adherence to ISO 27001 requirements and the continual improvement of your ISMS.

Processes to Undertake

Preparation for Surveillance Audit

Objective
Prepare for the periodic audit to ensure a smooth and effective evaluation.

Activities

  • Review Previous Audit Reports: Examine the findings and recommendations from previous surveillance audits to ensure that corrective actions have been implemented.
  • Update Documentation: Ensure that all ISMS documentation is current and accurately reflects any changes made since the last audit.
  • Internal Review: Conduct an internal review to assess the current state of your ISMS and identify any potential areas of concern or improvement.

Conducting the Surveillance Audit

Objective
Verify ongoing compliance with ISO 27001 and assess the effectiveness of the ISMS.

Activities

On-Site Audit: The certification body performs an on-site audit to evaluate:

  • Documentation and Records: Review updated policies, procedures, and records to ensure they align with ISO 27001 requirements.
  • Interviews: Speak with employees to verify that ISMS policies and procedures are being followed in practice.
  • Observations: Observe operational processes to assess the practical implementation of information security controls.
  • Evaluation of Changes Assess how well recent changes or improvements to the ISMS have been implemented and their impact on compliance and effectiveness.

Identification of non-conformities

Objective
Identify any non-conformities or areas where the ISMS may not fully comply with ISO 27001 standards.

Activities

  • Record Findings: Document any deviations from ISO 27001 requirements, including any issues related to control implementation or procedural adherence.
  • Assess Impact: Evaluate the significance of identified non-conformities and their potential impact on the overall effectiveness of the ISMS.

Reporting and Follow-Up

Objective
Provide a detailed report on audit findings and address any identified issues.

Activities

  • Prepare Surveillance Audit Report: Document the findings of the surveillance audit, including any non-conformities, observations, and recommendations for improvement.
  • Develop Corrective Action Plan: If necessary, create a plan to address identified non-conformities, including specific actions, responsibilities, and timelines for implementation.
  • Communicate Results: Share the audit report and corrective action plan with relevant stakeholders to ensure they understand and can address the identified issues.

Continuous Improvement

Objective
Ensure that the ISMS continues to evolve and improve over time.

Activities

  • Monitor Implementation: Track the progress of corrective actions and improvements based on the audit findings.
  • Review and Adjust: Continuously review and adjust the ISMS to address emerging risks and maintain compliance with ISO 27001.

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Phase 6: Surveillance Audits

[ Deliverables ]

Surveillance Audit Report

A detailed report outlining the findings from the audit, including any non-conformities, observations, and recommendations for further improvement.

Corrective Action Plan

A structured plan to address any non-conformities identified during the surveillance audit, including actions to be taken, responsibilities, and deadlines.

Continual Improvement Documentation

Records of the improvements and adjustments made to the ISMS as a result of the surveillance audit findings.

[Outcome]

Audit Preparedness & Expert Guidance

The Surveillance Audit phase ensures that your ISMS remains compliant with ISO 27001 standards and continues to effectively manage information security risks. By conducting periodic audits, you verify ongoing adherence to the standard, identify areas for improvement, and ensure that any issues are promptly addressed. This ongoing process helps maintain the integrity of your ISMS and supports your organization’s commitment to information security excellence.

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