What is an audit?
An audit is a formal, structured review of your business that evaluates whether you meet specific requirements, such as those outlined by a policy, regulation, or security standard.
In the context of compliance and cybersecurity, an audit is used to assess:
The effectiveness of your security controls
Whether your business is following stated policies and procedures
Whether you are meeting the requirements of a chosen standard (e.g. ISO 27001, SOC 2 etc.)
Audits are typically conducted by an external, independent third-party to validate compliance with a standard, however audits can also be conducted internally by employees to identify gaps, vulnerabilities, or areas for improvement before an external audit takes place.
An audit typically includes the following steps:
Scope Definition: The scope of the audit will be identified, highlighting what areas of the business will be reviewed. This may include specific systems, departments, or the entire organisation.
Evidence Review: The auditor reviews policies, documentation, logs, and other records to assess compliance.
Interviews & Observations: Staff may be asked to explain processes, provide evidence, or demonstrate how tasks are performed.
Control Testing: The auditor checks whether required technical and organisational controls are in place and working as intended.
Findings & Report: At the end, the auditor provides a report highlighting:
Compliant areas
Gaps or issues (nonconformities)
Recommendations for improvement
If the audit is part of a certification process (e.g. ISO 27001 or Cyber Essentials Plus), passing the audit is required before you can be considered compliant with the standard.
In the context of compliance and cybersecurity, an audit is used to assess:
The effectiveness of your security controls
Whether your business is following stated policies and procedures
Whether you are meeting the requirements of a chosen standard (e.g. ISO 27001, SOC 2 etc.)
Audits are typically conducted by an external, independent third-party to validate compliance with a standard, however audits can also be conducted internally by employees to identify gaps, vulnerabilities, or areas for improvement before an external audit takes place.
What happens during an audit?
An audit typically includes the following steps:
Scope Definition: The scope of the audit will be identified, highlighting what areas of the business will be reviewed. This may include specific systems, departments, or the entire organisation.
Evidence Review: The auditor reviews policies, documentation, logs, and other records to assess compliance.
Interviews & Observations: Staff may be asked to explain processes, provide evidence, or demonstrate how tasks are performed.
Control Testing: The auditor checks whether required technical and organisational controls are in place and working as intended.
Findings & Report: At the end, the auditor provides a report highlighting:
Compliant areas
Gaps or issues (nonconformities)
Recommendations for improvement
If the audit is part of a certification process (e.g. ISO 27001 or Cyber Essentials Plus), passing the audit is required before you can be considered compliant with the standard.
Updated on: 24/04/2025
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