This guide walks through the full ISO 27001 journey using Vanta, from initial setup through certification and renewal. It is designed to give you clear, practical guidance on what to do, who to involve, and where to work in the Vanta platform at each stage of the audit process. This resource complements Vanta’s existing ISO resources by highlighting what matters most at each point in time for customers preparing for an ISO 27001 audit.
This guide is especially helpful for startup teams that are new to compliance and need straightforward, hands on direction through both the internal and external audit stages.
Phase 1: Audit Preparation (Internal Audit Preparation)
Average timeline: 1 to 4 weeks
Goal: Define your Information Security Management System scope, prepare documentation, and reach at least 80 to 90 percent control completion in Vanta.
This phase is where most of the work happens. Spending time here builds a strong foundation and makes the audit process significantly smoother.
Initial Setup and Readiness Assessment (Weeks 1 to 2)
Define your scope
Decide which business areas, systems, and assets are included in your Information Security Management System.
Action: Navigate to the ISO 27001 framework in Vanta, then review the Scope section to define the services, systems, and assets included in your Information Security Management System.
Select an internal auditor
Your internal auditor must be independent from the ISO implementation work and competent in information security and auditing.
Internal Auditor Requirements (Select Dropdown to View)
Internal Auditor Requirements (Select Dropdown to View)
Competence
The auditor must demonstrate relevant knowledge through experience, training, or technical background, such as:
Experience: Years of experience in security, privacy, compliance, or related fields
Training: Completion of ISO 27001 internal auditor training
Technical knowledge: Understanding of information security and ISMS concepts
Sector-specific knowledge: Familiarity with the organization's industry
Examples of acceptable backgrounds
Security/compliance professionals
Heads of legal with privacy/security certification experience
Engineering professionals with security experience
Independence
The auditor must:
Not have implemented the controls being audited
Not operate or review the controls under audit (proper segregation of duties)
Be independent from the ISMS and ISO 27001 process
Not be part of the core security/compliance team working on ISO implementation
Internal vs. External Auditors
Internal Employees
✅ | Can perform detailed audits with organizational context |
✅ | Easier for larger companies with dedicated internal audit teams |
❌ | May struggle to demonstrate independence (especially at smaller companies) |
❌ | May lack formal audit methodology knowledge |
External/Third-Party Auditors
✅ | Can easily demonstrate independence |
✅ | Often have formal ISO audit training and experience |
❌ | May need more context about the organization |
✅ | Recommended when internal resources lack competence or independence |
Evaluation Criteria
The auditor selection must be:
Reviewed and approved by senior management
Based on objectivity and impartiality in the auditing process
Evaluated based on education and experience to validate competence
What the External Auditor Will Check
When the external ISO auditor arrives, they will:
Review who conducted the internal audit
Verify the auditor's qualifications and independence
Assess whether it was an appropriate person or "just someone random from marketing who figured it out as they went"]
ISMS Documentation and Governance (Weeks 2 to 4)
Policies
Review, customize, and approve the 12+ policy templates provided in Vanta.
Read them, approve them, and have employees accept them.
Ensure you are amending policies to fit the structure and operations of your organization. (If your company leadership team looks different, or you need support on this, contact [email protected] to reach our GRC team for more guidance).
We also have a personnel onboarding template which you can use alongside sending out your policies for personnel to review and approve. This is a great way to engage your employees on the “bigger picture” - what these policies mean for the business.
(NB: This is particularly helpful if an auditor wants to speak with your employees about your policies and their contents!)
Risk Assessment
Identify potential risks such as device loss or data breaches and rank them by likelihood and impact.
Action: Complete your risk register from the Risk Management page.
Statement of Applicability (SoA)
Generate the required report listing which Annex A controls apply to your organization and why.
Action: Generate the Statement of Applicability from the Standards page.
Finalize all Information Security Management System policies and ensure all implemented controls are documented.
Phase 2: Evidence Collection & Documentation
Average timeline: 4 to 8 weeks
Goal: Collect and organize evidence that demonstrates your Information Security Management System is operating effectively.
Evidence Preparation and Upload (Weeks 4 to 6)
Some controls require manual evidence such as organization charts, job descriptions, or policy documents.
Each Vanta test includes guidance on acceptable evidence. Ensure evidence exists for all in scope systems and applicable controls.
You are ready to proceed when:
All tests show passing status
Required documents are uploaded
Policies are approved
Applicable Annex A controls are implemented
Overall control completion is at least 80 to 90 percent
Auditor Coordination and Management Review (Weeks 6 to 8)
Provide auditors with read only access to review evidence. Auditors may prepare an audit plan based on risks and prior findings.
Management review
Hold a leadership meeting to review the security program. This is required at least once per year.
Action: Use the Management Review template provided in Vanta.
Phase 3: Final Readiness & Audit Preparation
Average timeline: Weeks 8-12 weeks
Goal: Complete final verification and prepare your team for the internal audit.
Pre Audit Review and Validation (Weeks 8 to 10)
Conduct audit readiness check (pre-internal audit assessment)
Verify all Annex A applicable controls are in place
Review audit criteria (ISMS policies, regulatory requirements, ISO 27001 standard)
Confirm segregation of duties (auditor hasn't implemented or operated controls under audit)
Final Preparation (Weeks 10 to 12)
Prepare team members for audit interviews
Ensure evidence is organized and protected
Perform a final check that controls are passing and documents are current
Prepare for auditor observations and interviews
Total Timeline: ~1-3 Months (12 weeks maximum)
Phase 4: Internal Audit (The Dry Run)
Timeline: 1–3 Days
Goal: Identify and address gaps before the external audit.
An internal audit is a practice run and can be performed by a qualified neutral employee or external consultant.
The auditor reviews your Vanta account and documentation to identify non conformities. From there, address any findings that the auditor discovered and document corrective actions you've taken to resolve them.
Learn more about ISO27001 checklist requirements [here]
Phase 5: External Audit Stage 1 (Documentation Review)
Average timeline: 2 to 3 days
Goal: Confirm your Information Security Management System is designed correctly.
This is the first interaction with your external auditor. They are mostly looking at your documentation and policies, not necessarily testing every control yet. This is usually in an interview style format.
Lock Your Scope: Do not change your scope or add/remove systems once this starts.
Review the Agenda: Your auditor will send an agenda. Ensure the right people (HR, Engineering Lead, CTO) are available for interviews.
Outcome: They will tell you if you are ready for Stage 2.
Phase 6: External Audit Stage 2 (The Evidence Check)
Average timeline: 3–5 days (depending on company size)
Goal: Verify that controls are operating as documented.
Auditors test controls, review evidence, and interview employees. Avoid major changes in Vanta during this stage to prevent confusion.
Auditors may ask employees questions such as how to report a security incident or where to find policies.
Ensuring a Smooth Audit Experience
To help your audit go as quickly as possible, it is best to avoid making major changes to your Vanta instance once the Stage 2 review kicks off. Changes made during the audit can sometimes confuse the evidence timeline.
Tests & Scope: Please leave tests enabled and keep your user/system scope as is.
SLAs: Keep your remediation timelines (SLAs) consistent.
Documentation: Ensure uploaded documents and policies remain in place for the auditor to review.
The Interviews: Auditors will ask employees simple questions like "How do you report a security incident?" or "Where are the security policies?".
Phase 7: Certification
Timeline: Immediately after audit
Goal: Receive your ISO 27001 Certificate.
If the auditor found minor issues (non-conformities), you have ~30 days to fix them. (Remember, you can contact [email protected] for guidance and support here if needed!)
Once issues are resolved, the auditor issues your final report and certificate. You are now ISO 27001 certified!
Remember, you must do a "Surveillance Audit" every year to keep the certificate. Upload your report and ISO badge onto your Trust Center and share with customers!
Post Certification and Renewal Planning
Your ISO 27001 certification is valid for three years. To maintain certification, you must complete annual surveillance audits and prepare for recertification before the certificate expires.
Important Dates for Renewal Prep
Nine Months Before Certification Expires (End of Year 3)
Begin recertification planning with your auditor.
Contact your auditor to:
Schedule the recertification audit for Year 4
Review any scope changes or organizational updates
Confirm audit dates and pricing
Starting early helps avoid scheduling delays and allows time to adjust scope if needed.
Six Months Before Certification Expires
Review your Information Security Management System with Vanta.
Contact Vanta Customer Success at [email protected] to:
Review ISMS updates and improvements
Confirm controls remain compliant
Identify and address potential gaps
Discuss best practices for recertification preparation
This review helps ensure your program remains aligned with ISO 27001 requirements before the audit window approaches.
Three to Four Months Before the Audit
Complete final readiness activities.
Conduct an internal audit
Address any findings or corrective actions
Confirm all tests are passing in Vanta
Ensure documents and policies are current and approved
At this stage, your focus should be on validation and cleanup, not major changes.