How to Prepare for a Cyber Essentials Plus Audit

Cyber Essentials is a UK government-supported certification scheme that helps organizations protect themselves against cyber threats by providing a framework of basic security controls for safeguarding systems. Cyber Essentials Plus builds on this foundation by requiring a more in-depth, hands-on assessment by an independent auditor. This audit not only verifies that essential cybersecurity controls are in place but also ensures they are functioning effectively in practice.

Preparing for a Cyber Essentials Plus audit is critical for organizations looking to demonstrate their commitment to cybersecurity. In this blog, we’ll cover key components of the Cyber Essentials Plus Certification and provide steps to prepare for this audit, helping organizations meet the stringent requirements and achieve certification.

What is the Cyber Essentials Plus Certification?

Cyber Essentials is a UK government-backed scheme that helps organizations protect themselves against common online threats and cyber-attacks. The Cyber Essentials scheme offers two types of certification: Cyber Essentials and Cyber Essentials Plus. The main difference is that the Plus certification requires on-site technical verification rather than a self-assessment during the certification process.

Cyber Essentials is endorsed by the UK government and NCSC (National Cyber Security Centre) and managed by the IASME Consortium. The consortium licenses certification bodies to carry out assessments and issue certifications.

Cyber Essentials Plus certification provides a comprehensive and externally validated assessment of your organization's cybersecurity practices, offering higher protection against common cyber attacks and greater confidence to your stakeholders.

Cyber Essentials Plus Certification includes:

• Independent verification: Cyber Essentials Plus requires an independent audit by a qualified assessor, whereas the basic certification uses a Cyber Essentials self-assessment questionnaire.‍
• Technical testing: Cyber Essentials Plus audits involve thorough technical testing of your organization's IT infrastructure, ensuring that information security measures are in place and functioning correctly.‍
• Higher assurance: Since Cyber Essentials Plus audits are conducted independently, this certification level provides a higher level of assurance. This assurance may be necessary for organizations handling sensitive data or needing to demonstrate robust cybersecurity practices.‍
• Expanded scope: Cyber Essentials Plus audit covers a sample of your organization's IT systems, including end-user devices, servers, and network devices, providing a comprehensive assessment of your cybersecurity defenses.

Key Components of Cyber Essentials Plus

Cyber Essentials and Cyber Essentials Plus are centered around five key critical cybersecurity controls. These components protect an organization against the most common cyber threats.

Cyber Essentials technical controls include:

• Firewalls and internet gateways: Use properly configured firewalls to secure network boundaries and block unauthorized access.
• Secure configuration: Securely configure systems by removing unnecessary services, changing default settings, and applying security best practices.
• User access control: Limit user account access based on roles, enforce strong password policies, and implement multi-factor authentication (including via cloud services).
• Malware protection: Install and maintain anti-malware/antivirus software, ensure regular scanning, and use filtering tools to block malicious content and ransomware.
• Patch management: To protect against known vulnerabilities, regularly apply security patches and updates to all operating systems and software.

Choosing a Cyber Essentials Certification

When deciding between Cyber Essentials and Cyber Essentials Plus, organizations should take into account their risk profile, industry requirements, and current cybersecurity status.

Suppose an organization deals with sensitive data or operates in a high-risk industry. In that case, Cyber Essentials Plus provides stronger assurance through independent audits and rigorous testing by accredited organizations, making it suitable for meeting regulatory or client demands. Smaller organizations with lower risk and fewer resources may be fine with being basic Cyber Essentials certified, which offers foundational protection at a lower cost.

Furthermore, organizations aiming for growth or needing to improve their reputation should consider achieving Cyber Essentials Plus to demonstrate a solid commitment to cybersecurity.

5 steps to prepare for a Cyber Essentials Plus Audit

Preparing for a Cyber Essentials Plus audit requires careful planning and thorough execution of cybersecurity best practices. Unlike the basic Cyber Essentials certification, Cyber Essentials Plus involves an in-person technical assessment conducted by an independent auditor. This assessment means that organizations must be well-prepared to demonstrate that their cybersecurity controls are not only in place but also functioning effectively.

By following the five steps outlined below, your organization can confidently prepare for the Cyber Essentials Plus audit and demonstrate a robust cybersecurity posture that meets the rigorous standards of this certification.

1. Understand audit requirements

The first step in preparing for a Cyber Essentials Plus audit is to understand the Cyber Essentials requirements thoroughly. Familiarize yourself with the five key security controls:

1. Firewalls
2. Secure configuration
3. User access control
4. Malware protection
5. Patch management

It’s essential to grasp what the auditors will be looking for during the technical testing. Review the latest Cyber Essentials Plus guidelines and standards to ensure you’re up to date with any changes. Engage with your chosen certifying body early to clarify any uncertainties and understand their specific process, including what will be tested and how.

Read more: What are the Cyber Essentials?

2. Conduct a gap analysis

Once you understand the audit requirements, conduct a comprehensive gap analysis to identify areas where your current cybersecurity measures may fall short. Start by performing an internal audit of your IT systems, comparing your existing controls against the Cyber Essentials Plus criteria. This analysis should highlight any vulnerabilities, such as outdated software, weak firewall configurations, or inadequate access controls. Prioritize these gaps based on the level of risk they pose to your organization. This step will provide a clear roadmap of what needs to be addressed before the audit.

3. Develop and implement a remediation plan

With the gaps identified, the next step is to develop and implement a remediation plan to address them. This plan should outline specific actions to bring your systems up to the required standards. For example, if your gap analysis revealed unpatched software, your remediation plan should include a detailed patch management process to ensure all systems are up to date. Assign responsibilities to team members, set deadlines, and monitor progress closely. Ensure that all changes are tested thoroughly to confirm they effectively mitigate the identified risks.

4. Conduct technical testing

Before the official audit, it’s crucial to conduct your technical testing to ensure your systems are ready. Perform internal and external vulnerability scans to identify any remaining weaknesses in your network and systems. Conduct penetration testing to simulate cyber attacks and evaluate the effectiveness of your security controls. Additionally, run phishing simulations to test the awareness ’ awareness and responsiveness. This proactive testing will help you catch and address any issues before the auditor arrives, increasing your chances of passing the audit successfully.

5. Document policies and procedures

Finally, ensure that all cybersecurity policies and procedures are well-documented and aligned with Cyber Essentials Plus requirements. Update any outdated policies, especially those related to incident response, access control, and data protection. Make sure that documentation clearly outlines the security controls in place and the rationale behind them. This documentation will be critical during the audit, as auditors and consultants will review it to verify that your cybersecurity practices are implemented and supported by formal processes. Keep records of all technical tests, remediation actions, and employee training as evidence of your commitment to maintaining a secure environment.

Read more: Benefits of Cyber Essentials Certification

Prepare for Cyber Essentials Plus Certification with UpGuard

If your organization is preparing for the Cyber Essentials Plus Certification process, cybersecurity software can help automate time-consuming processes and provide full visibility into the effectiveness of your security controls. UpGuard’s comprehensive cybersecurity management tools make monitoring your cybersecurity posture and vendors simple—all in one centralized dashboard.

UpGuard Breach Risk illuminates your organization’s external attack surface, allowing you to discover and remediate risks ten times faster with continuous monitoring capabilities. Additional features include:

• Real-time scanning: Don’t accept an incomplete or lagging picture of your attack surface. Protect your domains, IP, and external assets with real-time scans.
• Instant alerts: Be alerted the moment a vulnerability is detected. Receive notifications where your team works, whether Jira, Service Now, or another platform like Slack.
• Detect stolen credentials: Know when your data or credentials are circulating online or at risk of unauthorized access. UpGuard combines proprietary sources and dark web scanning to spot leaked data faster.

UpGuard Vendor Risk provides complete visibility of your third-party risk, helping you identify vendor risks sooner and complete risk assessments twice as fast. Additional Vendor Risk features include:

• Constant vendor monitoring: Get alerted whenever the security posture of a third or fourth party in your supply chain changes. Continuous monitoring ensures you’re always the first to know.
• 360° risk assessments: See your vendor risks from all angles. Automated scanning, evidence analysis, and insights from industry questionnaires (NIST, GDPR, ISO 27001) give you the complete picture of your service providers.
• ‍End-to-end workflows: Forget spreadsheets and stale data. Transform your processes with a single platform for identifying and managing risk mitigation.