ISMS Audit Expert Skill

ISMS Audit Expert

Internal and external ISMS audit management for ISO 27001 compliance verification, security control assessment, and certification support.

Audit Program Management
Audit Execution
Control Assessment
Finding Management
Certification Support
Tools
References

Audit Program Management

Risk-Based Audit Schedule

| Risk Level | Audit Frequency | Examples | |------------|-----------------|----------| | Critical | Quarterly | Privileged access, vulnerability management, logging | | High | Semi-annual | Access control, incident response, encryption | | Medium | Annual | Policies, awareness training, physical security | | Low | Annual | Documentation, asset inventory |

Annual Audit Planning Workflow

Review previous audit findings and risk assessment results
Identify high-risk controls and recent security incidents
Determine audit scope based on ISMS boundaries
Assign auditors ensuring independence from audited areas
Create audit schedule with resource allocation
Obtain management approval for audit plan
Validation: Audit plan covers all Annex A controls within certification cycle

Auditor Competency Requirements

ISO 27001 Lead Auditor certification (preferred)
No operational responsibility for audited processes
Understanding of technical security controls
Knowledge of applicable regulations (GDPR, HIPAA)

Audit Execution

Pre-Audit Preparation

Review ISMS documentation (policies, SoA, risk assessment)
Analyze previous audit reports and open findings
Prepare audit plan with interview schedule
Notify auditees of audit scope and timing
Prepare checklists for controls in scope
Validation: All documentation received and reviewed before opening meeting

Audit Conduct Steps

Opening Meeting
- Confirm audit scope and objectives
- Introduce audit team and methodology
- Agree on communication channels and logistics
Evidence Collection
- Interview control owners and operators
- Review documentation and records
- Observe processes in operation
- Inspect technical configurations
Control Verification
- Test control design (does it address the risk?)
- Test control operation (is it working as intended?)
- Sample transactions and records
- Document all evidence collected
Closing Meeting
- Present preliminary findings
- Clarify any factual inaccuracies
- Agree on finding classification
- Confirm corrective action timelines
Validation: All controls in scope assessed with documented evidence

Evidence Collection Methods

| Method | Use Case | Example | |--------|----------|---------| | Inquiry | Process understanding | Interview Security Manager about incident response | | Observation | Operational verification | Watch visitor sign-in process | | Inspection | Documentation review | Check access approval records | | Re-performance | Control testing | Attempt login with weak password |

Control Assessment

ISO 27002 Control Categories

Organizational Controls (A.5):

Information security policies
Roles and responsibilities
Segregation of duties
Contact with authorities
Threat intelligence
Information security in projects

People Controls (A.6):

Screening and background checks
Employment terms and conditions
Security awareness and training
Disciplinary process
Remote working security

Physical Controls (A.7):

Physical security perimeters
Physical entry controls
Securing offices and facilities
Physical security monitoring
Equipment protection

Technological Controls (A.8):

User endpoint devices
Privileged access rights
Access restriction
Secure authentication
Malware protection
Vulnerability management
Backup and recovery
Logging and monitoring
Network security
Cryptography

Control Testing Approach

Identify control objective from ISO 27002
Determine testing method (inquiry, observation, inspection, re-performance)
Define sample size based on population and risk
Execute test and document results
Evaluate control effectiveness
Validation: Evidence supports conclusion about control status

Finding Management

Finding Classification

| Severity | Definition | Response Time | |----------|------------|---------------| | Major Nonconformity | Control failure creating significant risk | 30 days | | Minor Nonconformity | Isolated deviation with limited impact | 90 days | | Observation | Improvement opportunity | Next audit cycle |

Finding Documentation Template

Finding ID: ISMS-[YEAR]-[NUMBER]
Control Reference: A.X.X - [Control Name]
Severity: [Major/Minor/Observation]

Evidence:
- [Specific evidence observed]
- [Records reviewed]
- [Interview statements]

Risk Impact:
- [Potential consequences if not addressed]

Root Cause:
- [Why the nonconformity occurred]

Recommendation:
- [Specific corrective action steps]

Corrective Action Workflow

Auditee acknowledges finding and severity
Root cause analysis completed within 10 days
Corrective action plan submitted with target dates
Actions implemented by responsible parties
Auditor verifies effectiveness of corrections
Finding closed with evidence of resolution
Validation: Root cause addressed, recurrence prevented

Certification Support

Stage 1 Audit Preparation

Ensure documentation is complete:

[ ] ISMS scope statement
[ ] Information security policy (management signed)
[ ] Statement of Applicability
[ ] Risk assessment methodology and results
[ ] Risk treatment plan
[ ] Internal audit results (past 12 months)
[ ] Management review minutes

Stage 2 Audit Preparation

Verify operational readiness:

[ ] All Stage 1 findings addressed
[ ] ISMS operational for minimum 3 months
[ ] Evidence of control implementation
[ ] Security awareness training records
[ ] Incident response evidence (if applicable)
[ ] Access review documentation

Surveillance Audit Cycle

| Period | Focus | |--------|-------| | Year 1, Q2 | High-risk controls, Stage 2 findings follow-up | | Year 1, Q4 | Continual improvement, control sample | | Year 2, Q2 | Full surveillance | | Year 2, Q4 | Re-certification preparation |

Validation: No major nonconformities at surveillance audits.

Tools

scripts/

| Script | Purpose | Usage | |--------|---------|-------| | isms_audit_scheduler.py | Generate risk-based audit plans | python scripts/isms_audit_scheduler.py --year 2025 --format markdown |

Audit Planning Example

# Generate annual audit plan
python scripts/isms_audit_scheduler.py --year 2025 --output audit_plan.json

# With custom control risk ratings
python scripts/isms_audit_scheduler.py --controls controls.csv --format markdown

References

| File | Content | |------|---------| | iso27001-audit-methodology.md | Audit program structure, pre-audit phase, certification support | | security-control-testing.md | Technical verification procedures for ISO 27002 controls | | cloud-security-audit.md | Cloud provider assessment, configuration security, IAM review |

Audit Performance Metrics

| KPI | Target | Measurement | |-----|--------|-------------| | Audit plan completion | 100% | Audits completed vs. planned | | Finding closure rate | >90% within SLA | Closed on time vs. total | | Major nonconformities | 0 at certification | Count per certification cycle | | Audit effectiveness | Incidents prevented | Security improvements implemented |

Compliance Framework Integration

| Framework | ISMS Audit Relevance | |-----------|---------------------| | GDPR | A.5.34 Privacy, A.8.10 Information deletion | | HIPAA | Access controls, audit logging, encryption | | PCI DSS | Network security, access control, monitoring | | SOC 2 | Trust Services Criteria mapped to ISO 27002 |

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