Making the Most of Your ISO 27001 Certification Audit Report
- Home
- Blog
Categories
Latest Post
ISO 14001 Lead Auditor Course
ISO 14001 Foundations Course
ISO 14001 Internal Auditor Course
ISO 14001 Lead Implementer Course
For those already running a management system like an ISMS based on ISO 27001, the certification audit process is familiar. The auditor arrives, performs the audit, evaluates processes and records, states the result, and issues the audit report. But why did I say “this phase of the audit”? Isn’t it over yet?
Depending on the report’s content, there might be a lot of work to do. To help you get the most value from the report, let’s break down its main parts and explain their significance.
Main Parts of an Audit Report
An audit report typically includes:
Data Identification: Report ID, date, audit period, audit team, etc.
Scope: Organizational unit, process, or product that was audited.
Evaluation Criteria: Reference used to perform the audit.
Evidence Trails: Brief description of what was audited (process names, locations, evidence, etc.).
Results: Conclusions of the audit team, which include:
Recommendation status
Nonconformities
Opportunities for improvement
Recommendation Status
The certification audit report states if the organization’s ISMS complies with ISO 27001 requirements and grants certification. The possible statuses are “recommended,” “recommended upon action plan development,” and “not recommended.”
Recommended: No nonconformities were identified.
Recommended upon Action Plan Development: Minor nonconformities were identified.
Not Recommended: Major nonconformities were identified.
Nonconformities
Nonconformities occur when the organization does not fulfill the standard’s requirements, its own documentation, or third-party requirements. Examples include:
Lack of a specific required record.
Undocumented usual practices (e.g., prototype development).
Improperly performed standard-required processes (e.g., management review).
Nonconformities are classified as major or minor, which defines the required actions:
Minor Nonconformities: Deviations that don’t compromise ISMS management. They require an action plan to be defined and sent to the auditor. Upon approval, the auditor proceeds with certification recommendation. Deadlines for sending plans are usually from 5 to 10 days. The results will be evaluated in the next audit.
Major Nonconformities: Problems compromising ISMS operations as a whole. They must be corrected before the certification audit can proceed, often requiring a new auditor visit.
Opportunities for Improvement
These are situations where the organization can increase the suitability, adequacy, or effectiveness of its ISMS. Examples include:
Adopting new or updated technologies (e.g., cryptographic solutions).
Changing business processes (e.g., adding check points in critical activities).
Audits are based on samples representing only a fraction of the organization’s reality. There’s no standard requirement to treat opportunities for improvement, but they should be reviewed to determine their value to the organization.
Using the Audit Report in Management Review
Audit results are required inputs for a management review (Clause 9.3 c) 3)). Present to management the identified nonconformities, defined action plans, and evaluations of opportunities for improvement.
Those who accompanied the audit process can provide additional insights on aspects not identified by the auditor. Understanding the auditor’s method can help identify potential vulnerabilities or additional opportunities for improvement.
Explore All Available Audit Information
Besides its value to the certification process, the audit report is one of the most valuable sources of information to improve any management system. External auditors, internal auditors, or consultants can provide a fresh perspective on the organization’s practices.
By leveraging the information in the audit report, you can enhance your management system’s effectiveness and ensure ongoing compliance with ISO 27001 standards.
