ISO 27001 Clause 9.2.1 General

by Maya G

ISO 27001 is a globally recognized standard for information security management systems (ISMS). Clause 9.2.1 of ISO 27001 specifically pertains to the "Internal audit."

In general, this clause requires organizations to establish and maintain an internal audit program to assess the effectiveness of their information security controls, processes, and procedures. The internal audit program should be designed to provide objective evidence regarding the organization's compliance with its own information security policies, legal and regulatory requirements, and the ISO 27001 standard itself.

ISO 27001

Here are some key points and requirements of ISO 27001 clause 9.2.1:

  • Establishing an Internal Audit Program: The organization must establish an internal audit program as part of its overall ISMS. The program should define the scope, objectives, frequency, and methods for conducting internal audits.
  • Conducting Internal Audits: The internal audits should be carried out to determine whether the ISMS conforms to planned arrangements (including policies, procedures, and controls) and is effectively implemented and maintained. The audits should be independent and impartial.
  • Auditor Competence: The organization should ensure that internal auditors possess the necessary knowledge, skills, and competencies to conduct effective audits. This may include providing appropriate training or engaging qualified personnel.
  • Audit Criteria and Scope: The internal audits should be based on identified audit criteria, which typically include the organization's information security policy, risk assessment results, legal and regulatory requirements, and the ISO 27001 standard. The audits should cover all relevant areas of the ISMS.
  • Audit Planning: The organization should plan and schedule internal audits based on the results of risk assessments, the importance of the area being audited, and the status and importance of the processes and controls to be audited.
  • Audit Reporting: The internal audit findings and results should be documented in an audit report. The report should include the audit objectives, scope, criteria, methodology, findings, conclusions, and recommendations for improvement.
  • Corrective Actions: If any nonconformities or opportunities for improvement are identified during the internal audit, the organization should take appropriate corrective actions to address the issues and prevent their recurrence.
  • Retaining Audit Records: The organization should retain records of internal audits, including the audit reports, for a defined period. These records serve as evidence of conformity and demonstrate the implementation and effectiveness of the ISMS.

Compliance with ISO 27001 clause 9.2.1 ensures that an organization conducts regular and systematic internal audits to assess the effectiveness of its information security management system and identify areas for improvement.

ISO 27001