How to Prepare for a Cyber Essentials Audit
Achieving Cyber Essentials certification is one of the most effective ways for a business to strengthen its cybersecurity posture and demonstrate its commitment to data protection. But before you can display the badge, you’ll need to make sure your systems, policies, and people are ready for assessment. Whether you’re going for Cyber Essentials or the more advanced Cyber Essentials Plus, preparation is the key to a smooth audit process.
In this guide, we’ll walk you through what to expect, how to get ready, and how to avoid the common pitfalls that can slow things down.
Why Cyber Essentials Matters
Cyber Essentials is a UK government-backed scheme designed by the National Cyber Security Centre (NCSC). It helps organisations protect against the most common types of cyberattacks, like phishing, malware, and unauthorised access, by focusing on five key controls:
Firewalls and internet gateways
Secure configuration
User access control
Malware protection
Patch management
Certification proves that your business meets a recognised security baseline. It’s often a requirement for government contracts, cyber insurance policies, and supplier frameworks, and it reassures customers that you take data protection seriously.
Step 1: Understand Which Level You Need
There are two levels of certification:
Cyber Essentials is a self-assessment where you answer a series of questions about your IT setup, supported by evidence.
Cyber Essentials Plus includes an independent technical audit of your systems by an accredited assessor.
If you already have a solid security setup and want to demonstrate stronger assurance to clients or regulators, Cyber Essentials Plus is the smarter choice, and can be achieved soon after completing the standard Cyber Essentials certification.
Step 2: Review Your IT Infrastructure
Before starting your assessment, take stock of your IT environment.
List all devices, systems, and software that connect to your network, including laptops, desktops, servers, mobile devices, and cloud services such as Microsoft 365 or Google Workspace.
Make sure you understand:
What operating systems and versions are in use
How updates and patches are applied
Who has administrator rights
How data is backed up and stored
Outdated or unsupported systems are one of the most common reasons businesses fail a Cyber Essentials assessment. If you’re running old versions of Windows or unpatched applications, it’s best to address those before you apply.
Step 3: Check Your Security Controls
Each of the five Cyber Essentials controls has clear requirements, so use them as a checklist.
Your firewalls should block unauthorised traffic and be configured with strong passwords.
User access should be limited, every staff member needs their own login, with admin rights given only where essential.
Antivirus or endpoint protection must be installed, updated, and active on all devices.
And don’t forget patch management, all devices and applications should install security updates automatically.
Many businesses use this stage to perform a “mini audit” internally, identifying where they fall short and creating an action plan before submitting their application.
Step 4: Train Your Team
Even with the right technology in place, human error remains one of the biggest cybersecurity risks. Make sure staff understand their role in maintaining compliance, from creating strong passwords and locking screens, to spotting phishing emails and reporting incidents quickly.
A brief, focused training session before the assessment helps ensure that everyone knows what’s expected and reduces the risk of mistakes that could undermine your submission.
Step 5: Gather Documentation and Evidence
You’ll need to show proof of compliance, especially for Cyber Essentials Plus. That might include screenshots, configuration reports, antivirus logs, or network diagrams.
If you have an IT provider or managed service partner, they should be able to supply these details and confirm your setup aligns with Cyber Essentials requirements.
Having clear documentation also helps you respond quickly to auditor questions and speeds up the review process.
Step 6: Conduct a Pre-Assessment Review
Before submitting your self-assessment or scheduling your audit, it’s worth carrying out an independent review. An experienced partner like Sunrise Technologies can run a readiness check, helping identify any areas that could cause you to fail, and fixing them in advance.
This step saves time, avoids repeat submissions, and ensures your systems are fully compliant before an assessor looks at them.
Step 7: Schedule Your Audit
Once you’re confident in your setup, schedule your audit through an IASME-accredited certification body (Sunrise Technologies can assist with this).
For Cyber Essentials Plus, the assessor will test a representative sample of devices to verify the controls are in place and working as expected. If any issues are found, you’ll have the opportunity to remediate and resubmit evidence within a short timeframe, usually around 30 days.
After Certification: Keep It Up to Date
Cyber Essentials is valid for 12 months, after which you’ll need to renew. Treat certification as an ongoing process, not a one-time exercise. Keep your systems patched, review user accounts regularly, and maintain staff awareness training throughout the year.
Maintaining compliance not only protects your data but also positions your business as a trusted, security-conscious supplier, something clients increasingly look for.
How Sunrise Technologies Can Help
At Sunrise Technologies, we help businesses prepare for and achieve both Cyber Essentials and Cyber Essentials Plus certification.
Our team can:
Review your systems and identify gaps
Implement the required security controls
Provide training and guidance for your staff
Liaise with assessors to streamline the audit process
We don’t just help you pass, we make sure you’re genuinely protected long-term.
If you’re ready to start your journey toward certification, our experts can guide you from first assessment to full compliance.
Preparing for a Cyber Essentials audit doesn’t have to be stressful. With the right preparation, clear documentation, and a proactive IT partner by your side, certification becomes an achievable and valuable milestone in strengthening your cybersecurity.
To discuss your readiness or book a pre-assessment review, contact Sunrise Technologies today.