How to Qualify as an ISO 27001 Lead Auditor for Information Security Management System

ISO 27001, first issued by the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC), serves as the foundation for the ISO 27000 series a collection of documents describing standards for information security management. ISO 27001, also known as ISO/IEC 27001, is the central set of certification requirements for developing, implementing, running, monitoring, and improving an information security management system (ISMS). An ISMS is a defined collection of security measures designed to safeguard assets against attacks and vulnerabilities. While not all firms pursue certification, many use ISO 27001 as a guiding framework for creating and implementing best practices in information security.

To become an ISO 27001 lead auditor, start with certification training. There are two forms of auditor training: internal auditor training (two days) and lead auditor training (five days). ISO 19011:2018 ideas, vocabulary, and recommendations are used in both types of auditor training. These topics include audit planning, audit team selection, audit initiation, and opening meetings. Both ISO 27001 auditor training include ISO 27001 subject depth, as well as how to conduct the whole audit process, from establishing an audit program to reporting on audit results. As a result, ISO 27001 auditor training attendees learn how to implement ISO 27001 auditing procedures and the controls listed in Annex A.

Unlike auditor training, future auditor candidates in ISO 27001 Lead Auditor training learn communication tactics throughout the audit, audit team roles, on-site operations, and identifying findings. The program concludes with the planning and execution of closure meetings, followed by reporting audit methodologies. There are additional related exercises, such as role-plays, during ISO 27001 Lead Auditor training. In addition, to properly complete the course, an individual must pass the exam.

Therefore, even after passing the exam to complete the auditor training and receiving the certificate, the individual cannot go out and conduct audits. ISO 27001 auditor certification is a good place to start if an individual wants to work as an auditor for certifying bodies that perform certification audits. If a person does not want to work for a certifying organization, obtaining an ISO 27001 auditor certification can be highly valuable for consultants and/or internal auditors: the individual can demonstrate competence to future customers or employers. Here are some methods to becoming an ISO 27001 Lead Auditor.

• Obtain a Lead Auditor certificate – Candidates must take the ISO 27001 Lead Auditor Course and pass the exam to earn the certificate. The course lasts five days, and an individual must pass the written exam on the fifth day. As a result, participants must put out substantial effort not just in studying for the exam but also in attending the entire five-day course. If a person skips even one day, they will be unable to take the exam.
• Gain prior experience – Individuals must have at least four years of expertise in information technology, with at least two of those years spent working in information security.
• Find a certification body – A person must locate a certification body in need of an ISO 27001 certification auditor, which may be tough given that most certification bodies already have auditors.
• Go through training – When an individual finds an interested certification body, that doesn’t mean a person can start auditing right away – ISO 27006 requires that to go through a trainee program (or something similar) during which person will attend real certification audits (performed by more experienced colleagues) and learn how to perform such audits. This trainee phase usually lasts 20 audit days, following which individuals will be able to undertake ISMS audits as part of the audit team.
• Gain audit experience – To become an ISO 27001 Lead Auditor, that is, to lead a team of auditors completing an ISO 27001 audit, a person must have completed at least three full ISMS audits.

How to do an effective and successful ISO 27001 Internal Audit in the organization?

ISO 27001 is a wide-ranging international standard for information security management systems. Every organization wants to achieve the ISO 27001 Certification, to gain benefits of information security management system implementation. To understand and evaluate the developed management system for information security is effective or not? So, a regular Internal Audit plays a very important role here to ensure conformity to the standard. Compliance with ISO 27001 requires constant monitoring and systematic evaluations of developed ISMS. A perfect internal audit must be operative planning, clear and brief documentation, and complete knowledge of the standard can improve the probabilities of audit success. The ISO 27001 internal auditor training can help to understand the ISO 27001 internal audit process and helps to get confidence. The whole ISO 27001 internal audit parted into five major parts; each part is described in the detail are as follows:

1. Understand the scope and the risk assessment: Firstly, determine the scope of the internal audit. This means the focus on identifying which areas are on the higher priority that needs to be audited more often and lower priority that needs to be less frequent. This is termed a risk assessment. It is required to conduct a risk-based assessment to determine the areas of higher risk for the audit. It is also important that the organization’s audit scope is configured with the ISMS policy. Once the internal auditor identified areas in processes that fall within the scope of the internal audit, the internal auditor needs to prioritize the resources and prepare for the audit.
   
2. Documentation Review: After completing determining the scope of the audit and accompanying the necessary risk assessment, then should start reviewing the documents of the organization relating to the administrative and business operations that are in place. The ISO/IEC 27001 Documents reviewed at this stage of the audit would be relating to the scope of the management system, policies, procedures, and processes, documents required by the standard, and other necessary documents deemed necessary by the organizations for successfully maintaining the management system. Also, the documentation review helps authenticate whether the established documents are in placement with the requirements of the standard.
   
3. On-site Audit: Once the audit scope is well-defined and the documents are systematically reviewed the next phase would include performing an on-site audit to gather the evidence and identify gaps in the management systems and processes. The evidence-gathering process includes interviewing employees, managers, and other investors who are connected with the ISMS. The onsite audit determines if an organization has met the minimum requirements of the standard and is ready for the ISO 27001 certification audit. An onsite audit includes witnessing the established practices in the organization, interviewing staff, and verifying processes and their effectiveness. Also, all records are reviewed, evidence is collected, and a full audit report is created describing the gaps identified, areas of nonconformity, and possible improvements in the management system.
   
4. Evidence Analysis: Once the onsite audit is complete, the decided evidence collected is studied and sorted to classify the risks identified during the audit process.  The audit analysis helps detect gaps against the base principles and requirements of ISO 27001 Standard. The auditor compiles these results, discloses the gaps in enforcement, and may further identify areas of ISMS that necessitate additional testing.
   
5. Audit Reporting: After completing all the steps, then it’s turn for the audit reporting, which is the final stage of the assessment process. Here the auditor presents the results of their audit. The internal audit report should be a detailed document comprising the scope, objective, high-level analysis, and key discovery. The report will also include approvals and corrective actions needed. The audit report should be presented and discussed with management for further plans.