ISO 27001:2013

INFORMATION SECURITY IMPLEMENTATION GUIDE

43,000 *
90
 > ISO 27001:2013
IMPLEMENTATION GUIDE

2 *UK and ISO

Ireland
27001:2013
only IMPLEMENTATION GUIDE
Contents
Introduction to the standard P04
Benefits of implementation P05
Key principles and terminology P06
PDCA cycle P07
Risk based thinking / audits P08
Process based thinking / audit P09
Annex SL P10
CLAUSE 1: Scope P11
CLAUSE 2: Normative references P12
CLAUSE 3: Terms and definitions P13
CLAUSE 4: Context of the organization P14
CLAUSE 5: Leadership P16
CLAUSE 6: Planning P18
CLAUSE 7: Support P20
CLAUSE 8: Operation P22
CLAUSE 9: Performance evaluation P24
CLAUSE 10: Improvement P26
Get the most from your management P28
Stor-a-file and ISO 27001:2013 case study P29
Next steps once implemented P30
Useful links P32

ISO 27001:2013 IMPLEMENTATION GUIDE 3

 INTRODUCTION
TO THE STANDARD
Most businesses hold or have access to valuable or sensitive information. Failure to provide
appropriate protection to such information can have serious operational, financial and legal
consequences. In some instances, these can lead to a total business failure.
The challenge that most businesses struggle with is how to provide appropriate protection. In particular, how
do they ensure that they have identified all the risks they are exposed to and how can they manage them in a
way that is proportionate, sustainable and cost effective?

ISO 27001 is the internationally-recognised standard for Information Security Management Systems (ISMS). It
provides a robust framework to protect information that can be adapted to all types and sizes of organization.
Organizations that have significant exposure to information-security related risks are increasingly choosing to
implement an ISMS that complies with ISO 27001.

The 27000 Family

Three of the standards are particularly helpful to
The 27000 series of standards started life in 1995 as BS all types of organizations when implementing an
7799 and was written by the UK’s Department of Trade and ISMS. These are:
Industry (DTI). The standards correctly go by the title “ISO/
IEC” because they are developed and maintained jointly by • ISO 27000 Information Technology – Overview
two international standards bodies: ISO (the International and vocabulary
Organization for Standardization) and the IEC (the International
Electrotechnical Commission). However, for simplicity, in • ISO 27002 Information technology – Security
everyday usage the “IEC” part is often dropped. techniques – Code of practice for information
security controls. This is the most commonly
referenced, relating to the design and
There are currently 45 published standards in the ISO 27000
implementation of the 114 controls specified in
series. Of these, ISO 27001 is the only standard intended for
Annex A of ISO 27001.
certification. The other standards all provide guidance on best
practice implementation. Some provide guidance on how to
• ISO 27005 Information Technology – Security
develop ISMS for particular industries; others give guidance on
techniques – Information security management.
how to implement key information security risk management
processes and controls.

Regular reviews and updates

ISO standards are subject to review every five years
to assess whether an update is required.

The most recent update to the ISO 27001 standard in 2013

brought about a significant change through the adoption
of the “Annex SL” structure. While there were some very
minor changes made to the wording in 2017 to clarify the
requirement to maintain an information asset inventory, ISO
27001:2013 remains the current standard that organizations
can achieve certification to.

4 ISO 27001:2015
27001:2013 IMPLEMENTATION GUIDE
BENEFITS OF
IMPLEMENTATION
Information security is becoming increasingly important to organizations, and the adoption
of ISO 27001 therefore more and more common. Most organizations now recognise that it is
not a question of if they will be affected by a security breach; it is a question of when.
Implementing an ISMS and achieving certification to ISO 27001 is a significant undertaking for most organizations.
However, if done effectively, there are significant benefits for those organizations that are reliant on the protection of
valuable or sensitive information. These benefits typically fall into three areas:

COMMERCIAL PEACE OF MIND

Having independent third-party endorsement Many organizations have information that

of an ISMS can provide an organization with a is mission-critical to their operations, vital
competitive advantage, or enable it to ‘catch up’ to sustaining their competitive advantage
with its competitors. Customers that are exposed or an inherent part of their financial value.
to significant information security risks are Having a robust and effective ISMS in place
increasingly making certification to ISO 27001 enables business owners and managers with
a requirement in tender submissions. Where responsibility for managing risks to sleep easier
the customer is also certified to ISO 27001 at night knowing that they are not exposed to a
they will, in the medium term, choose to work risk of heavy fines, major business disruption or
only with suppliers whose information security a significant hit to their reputation.
controls they have confidence in and that have
the capability to comply with their contractual In today’s knowledge-based economy, almost
requirements. all organizations are reliant on the security of key
information. Implementation of a formal ISMS is
a proven method of providing such security.
For organizations that want to work with this
type of customer, having an ISO 27001 certified ISO 27001 is an internationally recognised
ISMS is a key requirement for sustaining and framework for a best practice ISMS and
increasing their commercial revenues. compliance with it can be independently verified
to both enhance an organization’s image and
give confidence to its customers.
OPERATIONAL

The holistic approach of ISO 27001 supports

the development of an internal culture that is
alert to information security risks and has a
consistent approach to dealing with them. This
consistency of approach leads to controls that
are more robust in dealing with threats. The
cost of implementing and maintaining them is
also minimised, and in the event of them failing
the consequences will be minimised and more
effectively mitigated.

ISO 27001:2013 IMPLEMENTATION GUIDE 5

 KEY PRINCIPLES
AND TERMINOLOGY
The core purpose of an ISMS is to provide protection for sensitive or valuable information.
Sensitive information typically includes information about employees, customers and suppliers.
Valuable information may include intellectual property, financial data, legal records, commercial
data and operational data.

THE TYPES OF
RISKS THAT
SENSITIVE
The types of risks
that
ANDsensitive
VALUABLE and
valuable information
INFORMATION
are subject to
AREgenerally
SUBJECT beTO
can Confidentiality Integrity Availability
CAN GENERALLY
grouped into three
categories:
BE GROUPED where one or where the content of the where access to the
more persons gain information is changed information is lost
INTO THREE
unauthorised access so that it is no longer or hampered.
CATEGORIES: to information. accurate or complete.

These information security risk types are commonly referred to Vulnerabilities such as open office windows, source code
as “CIA”. errors, or the location of buildings next to rivers, increase
the likelihood that the presence of a threat will result in an
Risks in information security typically arise due to the unwanted and costly incident.
presence of threats and vulnerabilities to assets that
process, store, hold, protect or control access to information In information security, risk is managed through the design,
which gives rise to incidents. implementation and maintenance of controls such as locked
windows, software testing or the siting of vulnerable equipment
Assets in this context are typically people, equipment, systems above ground floor levels.
or infrastructure.
An ISMS that complies with ISO 27001 has an interrelated
Information is the data set(s) that an organization wants to set of best practice processes that facilitate and support the
protect such as employee records, customer records, financial appropriate design, implementation and maintenance of
records, design data, test data etc. controls. The processes that form part of an ISMS are usually
a combination of existing core business processes (e.g.
Incidents are unwanted events that result in a loss of
recruitment, induction, training, purchasing, product design,
confidentiality (e.g. a data breach), integrity (e.g. corruption
equipment maintenance, service delivery) and those specific
of data) or availability (e.g. system failure).
to maintaining and improving information security (e.g. change
Threats are what cause incidents to occur and may be management, information back-up, access control, incident
malicious (e.g. a burglar), accidental (e.g. a key stroke error) or management, information classification).
an act of God (e.g. a flood).

6 ISO 27001:2013 IMPLEMENTATION GUIDE

PDCA CYCLE
ISO 27001 is based on the Plan-Do-Check-Act (PDCA) cycle, also known as the Deming
wheel or Shewhart cycle. The PDCA cycle can be applied not only to the management
system as a whole, but also to each individual element to provide an ongoing focus on
continuous improvement.

In brief:

Plan: Do: Check: Act:

Establish objectives, Implement what Monitor and measure Take action to improve
resources required, was planned. processes to establish performance, as
customer and performance against necessary.
stakeholder policies, objectives,
requirements, requirements and
organizational policies planned activities and
and identify risks and report the results.
opportunities.

PDCA model ISO 27001

INFORMATION SECURITY MANAGEMENT SYSTEM (4)

ESTABLISH
INTERESTED ISMS INTERESTED
PARTIES PARTIES

Plan Do

MAINTAIN IMPLEMENT
AND IMPROVE AND OPERATE
THE ISMS THE ISMS

INFORMATION
SECURITY Act Check MANAGED
REQUIREMENTS INFORMATION
AND MONITOR SECURITY
EXPECTATIONS AND REVIEW
THE ISMS

Plan-Do-Check-Act is an example of a closed-loop system. This ensures the learning from the ‘do’ and ‘check’ stages are
used to inform the ‘act’ and subsequent ‘plan’ stages. In theory this is cyclical, however it’s more of an upward spiral as the
learning moves you on each time you go through the process.

ISO 27001:2013 IMPLEMENTATION GUIDE 7

 RISK BASED
THINKING/AUDITS
Audits are a systematic, evidence-based, process approach to evaluation of your
Information Security Management System. They are undertaken internally and externally
to verify the effectiveness of the ISMS. Audits are a brilliant example of how risk-based
thinking is adopted within Information Security Management.

1st Party Audits 2nd Party – External Audits

– Internal Audits Second party audits are usually carried out by customers or
by others on their behalf, or you may carry them out on your
Internal audits are a great opportunity for learning within external providers. 2nd party audits can also be carried out by
your organization. They provide time to focus on a particular regulators or any other external party that has a formal interest
process or department in order to truly assess its performance. in an organization.
The purpose of an internal audit is to ensure adherence to
policies, procedures and processes as determined by you, the You may have little control over the timing and frequency of
organization, and to confirm compliance with the requirements these audits, however establishing your own ISMS will ensure
of ISO 27001. you are well prepared for their arrival.

Audit Planning 3rd Party – Certification Audits

Devising an audit schedule can sound like a complicated Third party audits are carried out by external bodies, usually
exercise. Depending on the scale and complexity of your UKAS accredited certification bodies such as NQA.
operations, you may schedule internal audits anywhere from
every month to once a year. There’s more detail on this in The certification body will assess conformance to the ISO
section 9 – performance evaluation. 27001:2013 standard. This involves a representative of the
certification body visiting the organization and assessing the
Risk-based Thinking relevant system and its processes. Maintaining certification
also involves periodic reassessments.
The best way to consider frequency of audits is to look at the
Certification demonstrates to customers that you have a
risks involved in the process or business area to be audited.
commitment to quality.
Any process which is high risk, either because it has a high
potential to go wrong or because the consequences would be
severe if it did go wrong, should be audited more frequently
than a low risk process.
CERTIFICATION ASSURES:
How you assess risk is entirely up to you. ISO 27001 doesn’t • regular assessment to continually monitor
dictate any particular method of risk assessment or risk and improve processes.
management. • credibility that the system can achieve
its intended outcomes.
• reduced risk and uncertainty and increase
market opportunities.
• consistency in the outputs designed to meet
stakeholder expectations.

8 ISO 27001:2013 IMPLEMENTATION GUIDE

PROCESS BASED
THINKING/AUDIT
A process is the transformation of inputs to outputs, which takes place as a series of
steps or activities which result in the planned objective(s). Often the output of one process
becomes an input to another subsequent process. Very few processes operate in isolation
from any other.

“Process: set of interrelated or interacting ISO 27001:2013 Fundamentals

activities that use inputs to deliver an
intended result.”
and Vocabulary
ISO 27001:2013 Fundamentals and Vocabulary Understanding how processes interrelate and produce
results can help you to identify opportunities for improvement
and thus optimise overall performance. This also applies
Even an audit has a process approach. It begins with
where processes, or parts of processes, are outsourced.
identifying the scope and criteria, establishes a clear course
Understanding exactly how this affects or could affect the
of action to achieve the outcome and has a defined output
outcome and communicating this clearly to the business
(the audit report). Using the process approach to auditing also
partner (providing the outsourced product or service) ensures
ensures the correct time and skills are allocated to the audit.
clarity and accountability in the process.
This makes it an effective evaluation of the performance of the
ISMS. The final process step is to review the outcome of the audit
and ensure the information obtained is put to good use. A
“Consistent and predictable results are achieved more
formal Management Review is the opportunity to reflect on
effectively and efficiently when activities are understood and
the performance of the ISMS and to make decisions on how
managed as interrelated processes that function as a
and where to improve. The Management Review process is
coherent system.”
covered in more depth in Section 9 – performance evaluation.

£
£

ISO 27001:2013 IMPLEMENTATION GUIDE 9

 ANNEX SL
One of the major changes introduced into the 2013 revision of ISO 27001 was the adoption
of Annex SL for the clause structure of the revised standard. Annex SL (previously known
as ISO Guide 83) was used within ISO by standards writers to provide a common core
structure for management system standards.

ISO 27001 (Information Security Management System

Standard) adopted this structure during its 2013 revision. ISO
14001 (Environmental Management System Standard) also High Level Structure
adopted this structure during its 2015 revision. The newly
published ISO 45001 (Health and Safety Management System
Standard) also follows this same common structure. Annex SL consists of 10 core clauses:
Prior to the adoption of Annex SL there were many differences 1. Scope
between the clause structures, requirements and terms and
definitions used across the various management system 2. Normative references
standards. This made it difficult for organizations to integrate
the implementation and management of multiple standards; 3. Terms and definitions
Environment, Quality, Health and Safety and Information
Security being among the most common. 4. Context of the organization
5. Leadership
6. Planning
7. Support
8. Operation
9. Performance evaluation
10. Improvement

Of these clauses, the common terms and core

definitions cannot be changed. Requirements may
not be removed or altered, however discipline-specific
requirements and recommendations may be added.

All management systems require a consideration of

the context of the organization (more on this in section
4); a set of objectives relevant to the discipline, in this
case quality, and aligned with the strategic direction
of the organization; a documented policy to support
the management system and its aims; internal audits
and management review. Where multiple management
systems are in place, many of these elements can be
combined to address more than one standard.

10 ISO 27001:2013 IMPLEMENTATION GUIDE

THE 10 CLAUSES OF ISO 27001:2013
ISO 27001 is made of up 10 sections
known as Clauses.
INTERESTED PARTIES
As with most other ISO management
system standards, the requirements of
USE VALUE
ISO 27001 that need to be satisfied are
specified in Clauses 4.0 – 10.0. Unlike REGULATE

most other ISO management system

standards, an organization must comply
with all of the requirements in Clauses 4.0
– 10.0; they cannot declare one or more

VULNERABILITIES
clauses as being not applicable to them. THREATS INFORMATION RISKS
CONFIDENTIALITY
In ISO 27001, in addition to Clauses 4.0-
INTEGRITY
10.0 there is a further set of requirements
detailed in a section called Annex A, AVAILABILITY
which is referenced in Clause 6.0. Annex
A contains 114 best practice information CONTROL
ACCESS
security controls. Each of these 114
controls needs to be considered. To be
ASSETS
compliant with ISO 27001 the organization
must implement these controls, or an CONTROLS
acceptable justification must be given for
not implementing a particular control. The
following parts of this guide provide an
overview explanation of the purpose of
CONTINUAL
each clause, highlight the type of evidence MONITOR
IMPROVEMENT
an auditor would expect to see to confirm
that you comply, and give tips on effective
ways to comply with the requirements.

CLAUSE 1:
SCOPE
The Scope section of ISO 27001 sets out
• the purpose of the standard;

• the types of organizations it is designed to apply to; and

• the sections of the standard (called Clauses) that contain

requirements that an organization needs to comply with in
order for the organization to be certified as “conforming” to
it (i.e. being compliant).

ISO 27001 is designed to be applicable to any type of

organization. Regardless of size, complexity, industry sector,
purpose or maturity, your organization can implement and
maintain an ISMS that complies with ISO 27001.

ISO 27001:2013 IMPLEMENTATION GUIDE 11

 CLAUSE 2:
NORMATIVE
REFERENCES
In ISO standards, the Normative References section lists any other standards that contain
additional information that is relevant to determining whether or not an organization
complies with the standard in question. In ISO 27001 only one document is listed – ISO
27000 Information Technology - Overview and vocabulary.

Some of the terms used or requirements detailed in ISO 27001

are explained further in ISO 27000. Reference to ISO 27000 is
very useful in helping you to understand a requirement better
or identify the best way to comply with it.

TIP – External auditors will expect you to have taken the

information contained in ISO 27000 into account in the
development and implementation of your ISMS.

12 ISO 27001:2013 IMPLEMENTATION GUIDE

CLAUSE 3:
TERMS AND
DEFINITIONS
There are no terms and definitions given in ISO 27001. Instead, reference is made to the
most current version of ISO 27000 Information Security Management Systems – Overview
and vocabulary. The current version of this document contains 81 definitions of terms that
are used in ISO 27001.

In addition to the terms explained in the “Key ‘Risk Treatment’

Principles and Terminology” section above, the – processes or actions that reduce identified risks to a tolerable
most important terms used in ISO 27001 are: or acceptable level.

‘Access Controls’ ‘Top Management’

– processes that ensure that only the people that need to have – the group of individuals who are the most senior decision
access to a certain asset have that access and the “need” makers in an organization. They are likely to be accountable
is determined with reference to both business and security for setting its strategic direction and for determining and
requirements. achieving stakeholder objectives.

‘Effectiveness’
– the extent to which planned activities (e.g. processes,
procedures) are executed as planned or specified and When you write your Information
achieve the planned results or outputs. Security Management System
documentation, you don’t have to
‘Risk’ use these exact terms. However, it
– a combination of the likelihood of an information security
event occurring and the resulting consequences. does help to clarify the meaning and
intention if you can define the terms
‘Risk Assessment’ you have used. Providing a glossary
– the process of identifying risks, analysing the level of risk within your system documentation may
posed by each risk and evaluating whether additional
action is needed to reduce each risk to a more tolerable or
be useful.
acceptable level.

ISO 27001:2013 IMPLEMENTATION GUIDE 13

 CLAUSE 4:
CONTEXT OF THE
ORGANIZATION
The purpose of your ISMS is to protect your organization’s Information Assets, so that the
organization can achieve its goals.

• Consistency: do you have uniform processes in place

How you go about this and the specific areas of priority across the organization, or a multitude of different operating
will be driven by the context your organization operates in, practices with little consistency?
both: • Systems: does your organization have many legacy systems
• internal – the things over which the organization has running on software versions that are no longer supported
some control; and by the manufacturer, or do you maintain the most up to date
• external – the things over which the organization has no and best available technology?
direct control. • System complexity: do you operate one main system that
does all the heavy lifting, or multiple departmental systems
A careful analysis of the environment your organization with limited information transfer between them?
operates in is fundamental to identifying the inherent • Physical space: do you have a dedicated secure office
risks posed to the security of your Information Assets. facility, or do you operate in a space shared with other
The analysis is the foundation that will enable you to organizations?
assess what processes you need to consider adding or
strengthening to build an effective ISMS.
External Context
Internal Context The following are examples of the areas that can be
considered when assessing the external issues that may have
The following are examples of the areas that can be
a bearing on the ISMS risks:
considered when assessing the internal issues that may have a
bearing on the ISMS risks: • Competition: do you operate in a rapidly changing and
innovative market, requiring many system upgrades to
• Maturity: are you an agile start-up with a blank canvas to
stay competitive, or in a mature, stable market with little
work on, or a 30+ year old institution with well-established
innovation year-to-year?
processes and security controls?
• Landlord: do you need approval to upgrade physical
• Organization culture: is your organization relaxed
security?
about how, when and where people work, or extremely
• Regulators / enforcement bodies: is there a requirement
regimented? Might the culture resist the implementation of
in your sector to make regular statutory changes, or is there
Information Security controls?
little oversight from regulators in your market sector?
• Management: are there clear communication channels
• Economic/political: do currency fluctuations impact your
and processes from the organization’s key decision makers
organization; will Brexit in the UK have an impact?
through to the rest of the organization?
• Environmental considerations: is your site on a flood plain
• Resource size: are you working with an Information Security
with the server(s) located in a basement? Are there factors
Team, or is one person doing it all?
making your site(s) a possible target for a break-in or a
• Resource maturity: are the available resources (employees/
terrorist attack (e.g. in a prominent city centre location; next
contractors) knowledgeable, fully trained, dependable and
to a possible target)?
consistent, or are personnel inexperienced and constantly
• Prevalence of information security attacks: does your
changing?
organization operate in a sector which regularly attracts
• Information asset formats: are your information assets
interest from hackers (criminals, hacktivists)?
mainly stored in hard-copy (paper) format, or are they stored
• Shareholders: are they very concerned about the
electronically on a server on-site, or in remote cloud-based
vulnerability of the organization to data breaches? How
systems?
concerned are they about the cost of the organization’s
• Information asset sensitivity/value: does your organization
efforts to improve its information security?
have to manage highly valuable or particularly sensitive
information assets?

14 ISO 27001:2013 IMPLEMENTATION GUIDE

Interested Parties If you want to prioritise resources by building an ISMS that
doesn’t cover all of your organization, selecting a scope that
An interested party is anyone who is, can be, or perceives is limited to managing key stakeholder interests is a pragmatic
themselves to be affected by an action or omission of your approach. This can be done by including only specific sites,
organization. Your interested parties will become clear through assets, processes and business units or departments. Some
the process of carrying out a thorough analysis of internal examples of scope statements:
and external issues. They will probably include shareholders,
• “All operations carried out by the IT Department”
landlords, regulators, customers, employees and competitors
• “Support and management of email”
and may extend to the general public and the environment,
• “All equipment, systems, data and infrastructure in the
depending on the nature of your business. You don’t have
organization’s Data Centre based at the Basingstoke site”
to try to understand or satisfy their every whim, but you do
have to determine which of their needs and expectations are TIP – Document or maintain a file of all of the information
relevant to your ISMS. collated in your analysis of your organization’s context and
interested parties such as:
Scope of the • Discussions with a senior representative of the organization,
Management System e.g. an MD, CEO or CTO.
• Minutes of meetings or business plans.
To comply with ISO 27001, you must document the scope of • A specific document that identifies internal/external issues
your ISMS. Documented scopes typically describe: and interested parties and their needs and expectations e.g.
a SWOT analysis, PESTLE study, or high-level business risk
• the boundaries of the physical site or sites included (or not assessment.
included);
• the boundaries of the physical and logical networks included
(or not included);
• the internal and external employee groups included (or not
included);
• the internal and external processes, activities or services
included (or not included); and
• key interfaces at the boundaries of the scope.

ISO 27001:2013 IMPLEMENTATION GUIDE 15

 CLAUSE 5:
LEADERSHIP
The Importance of Leadership
Leadership in this context means active • that there is clarity on responsibilities ISO 27001 places great importance
involvement in setting the direction of and accountabilities; on active engagement by Top
the ISMS, promoting its implementation • that risk-based thinking is at the heart Management in the ISMS, based on
and ensuring appropriate resources are of all decision making; and the assumption that the engagement of
made available. This includes: • that there is clear communication Top Management is crucial in ensuring
of this information to all individuals the effective implementation and
• ensuring that the ISMS objectives
within your ISMS scope. maintenance of an effective ISMS by
are clear and aligned with overall
the wider employee group.
strategy;

Information Security Policy Roles and Responsibilities

A vital responsibility of the leadership is to establish and For Information Security activities to form part of the day-to-
document an Information Security Policy that is aligned with day activities for most people within the organization, the
the key aims of the organization. At the top level it must either responsibilities and accountabilities they have must be defined
include objectives, or a framework (guidelines) for setting and clearly communicated. Although there is no requirement
them. To demonstrate that it is aligned with your organization’s in the standard for a nominated Information Security
context and the requirements of key stakeholders, it is representative, it may be helpful for some organizations to
recommended that it makes reference to, or contains a appoint one to lead an information security team to coordinate
summary of, the principal issues and requirements it is training, monitoring controls and reporting on the performance
designed to manage. It must also include a commitment to: of the ISMS to the Top Management. This individual may
already hold responsibility for data protection or IT services.
• satisfying applicable requirements relating to Information However, to carry out their role effectively they will ideally be a
Security, such as legal requirements, customer expectations member of the Top Management team and either have a strong
and contractual commitments; and technical knowledge of information security management or
• the continual improvement of your ISMS. access to individuals who do.
The Information Security Policy may refer to, or include
sub-policies that cover, the key controls of the organization’s Evidencing Leadership to
ISMS. Examples include: the selection of suppliers critical
to Information Security, the recruitment and training of
an Auditor
employees, clear desk and clear screen, cryptographic The Top Management will be the group of individuals who
controls, access controls etc. To demonstrate the importance set the strategic direction and approve resource allocation
of the Information Security Policy, it is advisable that it for the organization or business area with your ISMS scope.
is authorised by the most senior member of your Top Depending on how your organization is structured, these
Management or each member of the Top Management team. individuals may or not be the day-to-day management team.
An auditor will typically test leadership by interviewing one or
TIP - To ensure your Information Security Policy is well
more members of your Top Management and assessing their
communicated and available to interested parties, it is a good
level of involvement and participation in the:
idea to:
• evaluation of risks and opportunities;
• include it in induction packs and presentations for new
• establishment and communication of policies;
employees and contractors;
• setting and communication of objectives;
• post the key statement on internal noticeboards, intranets
• review and communication of system performance; and
and your organization’s website; and
• allocation of appropriate resources, accountabilities and
• make compliance with it and/or support for it a contractual
responsibilities.
requirement for employees, contractors and information
security-critical suppliers. TIP – Before your external audit, identify who from your Top
Management will meet with the external auditor and prepare
them for the interview with a dry run-through of the likely
questions they will be asked.

16 ISO 27001:2013 IMPLEMENTATION GUIDE

ISO 27001:2013 IMPLEMENTATION GUIDE 17
 CLAUSE 6:
PLANNING
ISO 27001 is at heart a risk management tool that steers an organization to identify the drivers of its information
security risks from the full range of sources. As such, the underlying purpose of an ISMS is to:

• identify the strategically important, blatantly obvious, and hidden but dangerous risks;
• ensure that an organization’s day-to-day activities and operating processes are designed, directed
and resourced to inherently manage those risks; and
• automatically respond and adapt to changes to cope with new risks and continually reduce the
organization’s risk exposure.
Having a detailed action plan that is aligned, updated and supported by regular reviews and monitoring is crucial,
and provides the best evidence to the auditor of clearly defined system planning.

Risk Assessment ISO 27005 – Information security risk

Risk assessment is at the core of any effective ISMS.
management offers guidance on developing
Even the most well-resourced organization cannot a risk assessment technique for your
completely eliminate the possibility of an information organization. Whichever technique you select
security incident occurring. For all organizations, risk or develop, it should include the following
assessment is essential to: key elements:

• increase the likelihood of identifying all potential risks

through the involvement of key individuals using 1 Provide a prompt for systematic identification of
systematic assessment techniques; risks (e.g. reviewing assets, groups of assets,
• allocate resources to tackle the highest priority areas; processes, types of information) one at a time,
and checking each for the presence of common
• make strategic decisions on how to manage significant threats and vulnerabilities, and recording the
information security risks that will more likely realize their controls you currently have in place to
objectives. manage them.

Most risk assessment frameworks consist of a 2 Provide a framework for assessing the likelihood
table containing the results of elements 1-4 with a of each risk occurring on a consistent basis
supplementary table or matrix covering point 5. (e.g. once a month, once a year).

An external auditor will expect to see a record of your risk 3 Provide a framework for assessing the
assessment, an assigned owner for each risk identified consequences of each risk occurring on
and the criteria you have used. a consistent basis (e.g. £1,000 loss,
£100,000 loss).
TIP – Annex A (8.1.1) contains a requirement to maintain
a list of information assets, assets associated with 4 Provide a framework for scoring or categorizing
information (e.g. buildings, filing cabinets, laptops) and each risk identified on a consistent basis (e.g.
information processing facilities. If you complete your risk 1-10, high/medium/low), taking into account your
assessment by systematically assessing the risks posed assessment of the likelihood and consequences.
to every item on this list, then you will have satisfied two
requirements within the same exercise. Furthermore, for 5 Set out documented criteria which specifies,
each item on the list, if you assign an owner you will also for each risk score or category, what type of
have satisfied another requirement in Annex A (8.1.2). action needs to be taken and the level or priority
As the asset owner is also likely to be the risk owner, this assigned to it.
helps prevent duplication and potential confusion.

18 ISO 27001:2013 IMPLEMENTATION GUIDE

Risk Treatment
For each risk identified in your risk assessment, you must apply
Information Security
consistent criteria to determine whether you should: Objectives and Planning
• accept the risk; or to Achieve Them
• treat the risk (called “Risk Treatment”)
At relevant levels within your organization you need
The Risk Treatment options available are normally one of the to have a documented set of information security-
following: related objectives. These can be at a top level and
• Avoidance – stop undertaking the activity or processing the apply organization-wide (e.g. “achieve ISO 27001
information that is exposed to the risk. certification”) or departmental (e.g. “complete
• Removal – eliminate the source of the risk. Information Security Briefings for all new starters
• Change the likelihood – implement a control that makes it less within 1 week of their start date”).
likely that an information security incident will occur.
• Change the consequences – implement a control that will Each objective you set must:
lessen the impact if an incident occurs.
• Transfer the risk – outsource the activity or process to a third • be measurable;
party that has greater capability to manage the risk. • be aligned with your Information Security Policy;
• Accept the risk – if there is no practical risk treatment available • take account of the organization’s information
to the organization, or the cost of the risk treatment is judged security requirements; and
to be greater than the cost of the impact, you may make an • take account of the output from the risk
informed decision to accept the risk. This would need to be assessment and risk treatment process.
approved by Top Management.
Typical objectives that are relevant to
An external auditor will expect to see a Risk Treatment Plan information security include:
(e.g. an action list) that details the risk treatment actions you
• Not exceeding a defined frequency of certain types
have implemented or plan to implement. The plan must be
of information security incidents.
sufficiently detailed to enable the implementation status of each
• Achieving a measurable level of compliance with
action to be verified. There will also need to be evidence that this
information security controls.
plan has been approved by the assigned risk owners and Top
• Providing a defined availability of information
Management.
services.
• Not exceeding a measurable number of data
errors.
Annex A and the Statement of • Making improvements to available resources
Applicability through recruitment, training or acquisition.
• Implementation of new controls.
All Risk Treatment options (with the exception of acceptance) • Achieving compliance with information security-
involve the implementation of one or more controls. Annex A to related standards.
ISO 27001 contains a list of 114 best practice information security
Each objective must be communicated to relevant
controls. You will need to consider whether to implement each
persons. The objectives must be updated when
of these controls when formulating your Risk Treatment Plan.
necessary to keep them relevant and to assess
The description of most of the 114 controls is fairly vague, so it is
performance against them.
strongly recommended that you review ISO 27002 which contains
more information on best practice ways of implementing them.
For each of the objectives you need to
As evidence of you having completed this assessment, an plan how you are going to achieve them.
external auditor will expect you to produce a document called This includes determining:
a Statement of Applicability. Within this, for each of the 114
controls you must record: • what needs to be achieved;
• what resources are assigned;
• whether it is applicable to your activities, processes and • who has ownership or primary responsibility for
information security risks; delivering against the objective;
• whether you have implemented it or not; and • whether there is a target date for completion or just
• if you have deemed it not applicable, your justification for an ongoing requirement; and
doing so. • the method of assessing performance against the
objective (i.e. what is your measure).
For most organizations, the majority of the 114 controls will be
applicable, and they are likely to have already implemented a TIP - Effective ways to communicate Information
number of them to some degree. Security Objectives include covering them in
induction training, setting them as employee
TIP - Your Statement of Applicability does not need to an overly objectives or including them in employee appraisals,
complex document. A simple table with column headings Control, establishing them in SLAs with suppliers, or
Applicable?, Implemented?, and Justification will suffice. It is also evaluating performance against them in supplier
advisable to record some information on how the control has been performance reviews.
applied (e.g. reference a procedure or policy) to help you more
readily answer any questioning from your external auditor.

ISO 27001:2013 IMPLEMENTATION GUIDE 19

 CLAUSE 7:
SUPPORT
Clause 7 concerns itself with resources. This applies to people, infrastructure and
environment as much as physical resources, materials, tools etc. There is also a renewed
focus on knowledge as a significant resource within your organization. When planning your
quality objectives, a major consideration will be the current capacity and capability of your
resources as well as those you may need to source from external suppliers / partners.

Awareness
To implement and maintain an In addition to ensuring specific competence of key personnel
effective ISMS you need to have in relation to information security, the wider group of
employees, suppliers and contractors will need to be aware of
supporting resources in place. These the basic elements of your ISMS. This is central to establishing
resources will need to be sufficiently: a supportive culture within the organization.

• capable – if they are equipment or All staff, suppliers and contractors should be aware of the
infrastructure; and following:
• competent – if they are people. • That you have an ISMS and why you have one.
• at Management Review meetings. • That you have an Information Security Policy and which
particular elements of it are relevant to them.
• How they can contribute to your organization protecting its
valuable information and what they need to do to help the
organization achieve its information security objectives.
Competence • Which policies, procedures and controls are relevant to them
and what the consequences are of not complying with them.
The implementation of effective information security controls
relies heavily on the knowledge and skills of your employees, TIP – The communication of this information can normally
suppliers and contractors. To be certain of an appropriate be done through existing processes and documents such
knowledge and skills base you need to: as inductions, employment contracts, toolbox talks, supplier
agreements, employee briefings or updates.
• define what knowledge and skills are required;
• determine who needs to have the knowledge and skills; and
• set out how you can assess or verify that the right people Communication
have the right knowledge and skills.
To enable the processes in your ISMS to work effectively you
Your auditor will expect you to have documents detailing will need to ensure you have communication activities that are
your knowledge and skills requirements. Where you believe well planned and managed. ISO 27001 details these concisely
the requirements are satisfied this will need to be supported by requiring you to determine:
with records such as training certificates, course attendance
records or internal competency assessments. • what needs to be communicated;
• when it needs to be communicated;
TIP – Most organizations that already use tools such as • to whom it needs be communicated;
training/skills matrices, appraisals or supplier assessments can • who is responsible for communication; and
satisfy the requirement for competence records by expanding • what is the processes for communication.
the areas covered to include information security.
TIP – If your communication requirements are well defined in
your processes, policies and procedures then you do not need
to do any more to satisfy this requirement. If they aren’t then
you should consider documenting your key communication
activities in the form of a table or procedure that includes the
headings detailed above. Remember, the content of these
documents also needs to be communicated!

20 ISO 27001:2013 IMPLEMENTATION GUIDE

Documented Information
To be of use, the documented information you use to The source of your documented information may be either
implement and maintain your ISMS needs to: internal or external, so your control processes need to manage
documented information from both sources.
• be accurate;
• be understandable to the individuals who use it regularly or TIP – Organizations that have good document control typically
occasionally; and have one or more of the following in place:
• support you to comply with legal requirements, manage
information security risks and achieve your objectives. • A single person or small team responsible for ensuring
that new/modified documents are reviewed before they are
So that your documented information always satisfies these issued, are stored in the right location, are withdrawn from
requirements you will need to have processes in place to circulation when superseded and that a register of changes
ensure that: is maintained.
• An electronic document management system that contains
• documented information is reviewed where required by automatic workflows and controls.
appropriate individuals before it is released into general • Robust electronic data back-up and hard-copy file archiving/
circulation; storage processes.
• access to documented information is controlled so that • Strong employee awareness of document control, record
it cannot be changed accidentally, corrupted, deleted or keeping and information access/retention requirements.
accessed by individuals to whom it is not appropriate;
• information is deleted securely or returned to its owner when
there this a requirement to do this; and
• you can track changes to information to guarantee that the
process is in control.

ISO 27001:2013 IMPLEMENTATION GUIDE 21

 CLAUSE 8:
OPERATION
So, after all the planning and risk assessment, we’re ready to move on to the “do” stage.
Clause 8 is all about having appropriate control over the creation and delivery your
product or service.

Managing your information security risks and achieving your

objectives requires the formalisation of your activities into a set
Information Security Risk
of clear and coherent processes. Assessment
Many of these processes are likely to exist already (e.g. The risk assessment methods and techniques described in
induction, training) and will simply need modifying to include Clause 6 must be applied to all processes, assets, information
elements relevant to information security. Other processes may and activities within the organization’s ISMS scope.
happen in an ad-hoc fashion (e.g. supplier approvals), while
some may not currently exist at all (e.g. internal audit). Since risks are not static, the results of these assessments
must be reviewed at appropriate frequencies. This is usually at
To implement effective processes the following least annually, or more frequently if the assessment identifies
practices are crucial: the presence of one or more significant risks. Risks should also
be reviewed whenever:

1 Processes are created by adapting or formalising an • any Risk Treatment actions are completed (see below);
organization’s “business as usual” activities. • there are changes to the organization’s assets, information or
processes;
2 Systematic identification of the information security risks • new risks are identified; or
relevant to each process. • experience or new information indicates that the likelihood
and consequence of any identified risk has changed.
3 Clear definition and communication of the set of activities
required to manage the associated information security TIP – To ensure your risk assessment process covers the types
risks when an event occurs (e.g. a new employee joining of events that would require a review, you should also take into
the company). consideration the Annex A controls for Technical Vulnerability
Management (A.12.6), Security in Development and Support
4 Clear assignment of the responsibilities for carrying out Processes (A.14.2) and Supplier Service Delivery Management
related activities. (A.15.2).

5 Adequate allocation of resources to ensure that related

activities can take place as and when required.
Information Security Risk
Treatment
6 Routine assessment of the consistency with which each
process is followed and its effectiveness in managing The risk treatment plan you develop cannot simply remain as
relevant information security risks. a statement of intent; it must be implemented. Where changes
are needed to take into account new information about risks
TIP – For each process, designate an individual as and changes to your risk assessment criteria, the plan needs
accountable for ensuring that steps 2-6 happen. This individual to be updated and re-authorised.
is often referred to as the Process Owner.
The impact of the plan must also be assessed and the results
of this assessment recorded. This may be done as part of your
Management Review or Internal Audit Processes or by using
technical assessments such as network penetration tests,
supplier audits or unannounced third part audits.

22 ISO 27001:2013 IMPLEMENTATION GUIDE

ISO 27001:2013 IMPLEMENTATION GUIDE 23
 CLAUSE 9:
PERFORMANCE
EVALUATION
Internal Audits
There are three main ways in which the The purpose of internal audits is to test your ISMS processes
performance of an ISMS is evaluated. for weaknesses and identify opportunities for improvement.
These are: They are also an opportunity to provide a reality check to Top
Management on how strongly the ISMS is performing. When
• monitoring the effectiveness of the
done well, internal audits can ensure that there are no surprises
ISMS controls;
at your external audits.
• through internal audits; and
• at Management Review meetings. The internal audits you perform should check:

• how consistently processes, procedures and controls are

followed and applied;
Monitoring, Measurement, • how successful your processes, procedures and controls are
at generating the intended results; and
Analysis and Evaluation • whether your ISMS remains compliant with ISO 27001 and the
requirements of interested parties.
Your organization will need to decide what needs to be
monitored to be assured that your ISMS process and To ensure that audits are undertaken to a high standard
information security controls are operating as intended. It is and in a way that is seen to add value, they need to be
impractical for an organization to monitor everything all the undertaken by individuals who:
time; if you attempt to do so, it is likely that the volume of
data would be so great that it would be virtually impossible to • are respected;
use it effectively. Therefore, in practice, you will need to take • competent
an informed decision about what to monitor. The following • understand the requirements of ISO 27001; and
considerations will be important: • can quickly interpret your documentation and are well-
practiced in sound auditing techniques and behaviours.
• Which processes and activities are subject to the most
frequent and significant threats? Most importantly of all, they need to be allocated sufficient
• Which processes and activities have the most significantly time to do the audit and be assured of cooperation from
inherent vulnerabilities? relevant employees. You must maintain a plan for carrying
• What is practical to monitor and generate meaningful and out your internal audits. An external auditor will expect this
timely information from? plan to ensure that all of your ISMS processes are audited
• With each monitoring process you put in place, for it to be over a three-year cycle and that processes which:
effective you must clearly define:
• have shown evidence of poor performance (i.e. through
• how the monitoring is undertaken (e.g. is this defined in a
previous audits, or monitoring results or information security
procedure);
incidents); and/or
• when it is undertaken;
• manage the most significant information security risks
• who is responsible for undertaking it;
• are audited at a higher frequency.
• how are the results reported, when, to whom and what do they
do with them; and The external auditor will also expect that any actions identified
• if the monitoring results identify unacceptable performance, from audits are recorded, reviewed by appropriate employees
what is the escalation process or procedure to deal with this and actions implemented in a timely manner to rectify any
situation. significant issues. They should make an allowance in the
close-out time for any improvement opportunities identified that
To demonstrate to an auditor that you have appropriate
require significant investment in resources.
monitoring processing in place, you will need to retain records
of monitoring results, analysis, evaluation reviews and any
escalation activities.

24 ISO 27001:2013 IMPLEMENTATION GUIDE

Management Review
Management Review is an essential element of an ISMS. It is the You will need to retain documented information on your
formal point at which Top Management reviews the effectiveness Management Reviews. These would normally be minutes of
of the ISMS and ensures its alignment to the organization’s meetings or perhaps call recordings if you carry out conference
strategic direction. Management Reviews must take place at calls. These do not need to be extensive notes, but they must
planned intervals and the overall review programme (i.e. one contain a record of any decisions made and actions agreed,
meeting or several meetings) must at a minimum cover a list of ideally with responsibilities and timescales.
core areas specified within clause 9.3 of the standard.
TIP – If you decide to adapt your existing schedule of
It is not essential for one single Management Review meeting to management meetings and these meetings cover a number of
take place covering the full agenda. If you currently hold a range areas, you may want to consider summarising the areas that
of meetings that cover the inputs between them, there is no these meetings cover in the form of a table or procedure so that
specific need to duplicate them. it is clear to you and an auditor which meetings cover each of
the required review areas.

ISO 27001:2013 IMPLEMENTATION GUIDE 25

 CLAUSE 10:
IMPROVEMENT
The key aim of implementing an ISMS should be to reduce the likelihood of information
security events occurring and their impact. No ISMS is likely to be perfect. However,
a successful ISMS will improve over time and increase the organization’s resilience to
information security attacks.

Nonconformity and
Corrective Action Root cause analysis
One of the main drivers of improvement is to learn from security To identify effective corrective action, it is strongly
incidents, issues identified in audits, performance issues advisable to complete a root cause analysis of the issue
identified from monitoring, complaints from interested parties and that occurred. If you don’t get to the bottom of why or
ideas generated at management reviews. how it happened, then it is likely that whatever fix you
implement will not be fully effective. A simple approach
For each learning opportunity identified you must maintain a such as “5 Whys” is a good root cause analysis tool:
record of: start with the issue, then ask “Why” enough times
to reach the root cause. Usually 5 times of asking is
• what occurred; enough, but for more complex problems you may need
• if the event had undesirable consequences, what action was to dig deeper.
taken to contain and mitigate those;
• the root cause of the event (if determined); For example:
• the action taken to eliminate the root cause (if needed); and
• an assessment of the effectiveness of any action taken. Problem statement:
The organization was infected by the Wannacry
virus

Why?
Someone clicked on a link in an email and it
downloaded the virus and infected their PC

Why?
They had not received any training in clicking on
links in emails they are not expecting to receive

Why?
The training manager is on maternity leave and the
organization has not implemented cover for them

Why?
The maternity leave process is not covered in the
Change Management Procedure and so a risk
assessment was not completed to identify any
information security risks.
TIP – You may not have sufficient resources to
undertake root cause analysis for every event. To
prioritise your efforts, you should consider first
completing a simple risk assessment of an event and
then undertake root cause analysis only for those that
are medium or high risk.

26 ISO 27001:2013 IMPLEMENTATION GUIDE

ISO 27001:2013 IMPLEMENTATION GUIDE 27
 GET THE MOST
FROM YOUR
MANAGEMENT
SYSTEMS
Top Tips for the successful implementation of an ISMS

1. Start with “Why?”. Make sure the 6. Keep your processes and supporting
reasons for implementing an ISMS are documentation simple. It can develop
clear and aligned with your strategic to become more extensive over time if
direction, otherwise you risk not needed.
getting the critical buy-in from Top
Management. 7. Design and implement rules you
can follow in practice. Don’t make
2. Next consider “What for?”. the mistake of documenting an over-
Implementing and maintaining an ISMS elaborate rule that no-one can follow. It
requires significant commitment, so is better to accept a risk and to continue
make sure your scope is broad enough to look for ways to manage it.
to cover the critical information that
needs protecting, but is not so broad 8. Remember your suppliers. Some
that you do not have sufficient resources suppliers will help you enhance your
to implement and maintain it. ISMS, some will increase your risk. You
need to ensure any high-risk suppliers
3. Get all of your key stakeholders have controls in place that are at least
involved at the appropriate times. Top as good as yours. If they don’t then look
Management for context, requirements, for alternatives.
policy and objectives setting; managers
and employees with valuable knowledge 9. Train, train and train again. Information
for risk assessments, process design Security is likely to be a new concept
and procedure writing. for many or most of your employees.
People may need to change habits
4. Communicate extensively throughout ingrained over many years. A single
the process to all of your stakeholders. awareness briefing is unlikely to be
Let them know what you are doing, why sufficient.
you’re are doing it, how you plan to do
it and what their involvement will be. 10. Remember to allocate sufficient
Provide regular progress updates. resources to routinely test your controls.
The threats your organization faces will
5. Get external help where you need it. constantly change and you need to test
Do not fail for lack of in-house technical whether you are able to respond
skills or knowledge. Management of to those threats.
information security risks often requires
specialist knowledge. However, be sure
to check the credentials of a third party
before engaging them.

28 ISO 27001:2013 IMPLEMENTATION GUIDE

STOR-A-FILE AND
ISO 27001:2013
CASE STUDY
With more than 40 years’ of experience, Stor-a-File has established a reputation for secure
and confidential document storage, scanning, shredding and microfiche conversion at
locations throughout the UK, including London, Merseyside, and across the Midlands. Its
dedication to safety and security prompted the family-owned company to take the steps
to gain certification to particular ISO standards: ISO 27001 (information security) and ISO
14001 (environmental), to complement its ISO 9001 certification for quality management.

Looking back on the recent experience with our

certification body, Gavin Prior, the operations director of
Stor-a-File, remarked:

“Consolidating our key management systems with NQA

has allowed our SME business to reinforce our foundations,
ensuring we strive to improve our multisite operational
effectiveness and build a reputation that services our clients’
requirements, whilst maintaining a flexible and adaptive
approach.”

Nick Wright, managing director at NQA, commented:

“We’re proud of the longstanding relationship we’ve built with

Stor-a-File. It’s a testament to what we bring to the table as a
Stor-a-File set on a path to certification by ensuring they partner, and we’re excited about what we could do for Stor-a-
increased their knowledge into ISO 14001, a standard that File recently, from cutting down on the inefficiencies of multiple
targets environmental management, and ISO 27001, a audits to improving team communication and learning. We’re
standard that focuses on cybersecurity strategies, customer looking forward to seeing what standards they focus on next
confidence, asset protection and more. NQA offered resources and how they no doubt continuously improve the systems they
in the form of blogs, webinars and videos for the team to have in place.”
review before the company underwent two successful audits
by experienced assessors.

As a part of its commitment to drive internal growth, Stor-

a-File also started refresher team meetings, plus hung staff Gaining the various ISO certifications,
communications for ISO certification in communal areas. whilst being a challenge, has been
very rewarding. It allows you to look
ACHIEVING CERTIFICATION at how your business operates and
how the standards work within it.
WITH NQA This has meant being able to adopt
an impartial approach to the work
Following its successful audits for ISO 27001 and ISO 14001,
Stor-a-File attained its goal not only to receive certification required and address it accordingly.
for those standards but also to consolidate them with a It has been an energised team effort,
single provider. It was a smooth, streamlined experience that which we will be building upon to
prompted Stor-a-File to schedule a transition audit for June ensure that we enhance all areas.
2018 for its ISO 9001 certification.

ISO 27001:2013 IMPLEMENTATION GUIDE 29

 NEXT STEPS ONCE
IMPLEMENTED
AWARENESS TRAINING INTERNAL AUDIT
• Your organization should raise awareness about • A robust internal audit system for the organization is
various standards covered under IMS. essential. Internal Auditor Training is recommended
and NQA can provide Internal Auditor Training for the
1 • You should hold separate training meetings for top
management, middle management and junior level
management, which will help to create a motivating
6 standard(s) that you are implementing.
• It is important to implement corrective actions for
environment, ready for implementation. improvements, in each of the audited documents, in
order to bridge gaps and ensure effectiveness of IMS.

POLICY AND OBJECTIVES ORGANISE A MANAGEMENT ‘SYSTEM’

REVIEW MEETING
• Your organization should develop an Integrated
Quality Policy/Environment Policy/Health & Safety • Top level management must review various official
Policy/Information Security Policy and relevant business aspects of the organization, which are

2 objectives to help meet the requirements.

• By working with top level management your company
7 relevant to the standards being implemented.
• Review the policy, objectives, results of internal
should hold workshops with all levels of management audit, results of process performance, results of
staff to outline the integrated objectives. complaints/feedback/legal compliance, results of risk
assessment/incidents and develop an action plan
following the meeting - which must be minuted.

INTERNAL GAP ANALYSIS THOROUGH GAP ANALYSIS OF

IMPLEMENTED SYSTEMS
• Your organization should identify and compare the
level of compliance of existing systems against • A formal pre-certification gap analysis should be
requirements of the standards under your new IMS. conducted to assess effectiveness and compliance of
3 • Relevant staff should all understand the operations of
the organization and develop a process map for the
8 system implementation in the organization.
• This final gap analysis will prepare your organization
activities within the business. for the final certification audit.

DOCUMENTATION / PROCESS DESIGN CORRECTIVE ACTIONS

• The organization should create documentation • The organization should be ready for final
of the processes as per requirements of relevant certification audit, providing that the gap analysis
standard(s). audit conducted in the last step and all the non-
4 • You should write and implement a manual, functional
procedures booklet, work instructions, system
9 conformities (NC) have been assigned corrective
actions.
procedures and provide associated terms. • Check that all the significant NCs are closed and the
organization is ready for the final certification audit.

DOCUMENTATION / PROCESS FINAL CERTIFICATION AUDIT

IMPLEMENTATION
• Once completed, your organization is hopefully
• Processes / Documents developed in step 4, should recommended for registration to the required
be implemented across the organization covering all standard.
5 the departments and activities. 10 • CONGRATULATIONS!
• The organization should hold a workshop on the
implementation as per applicable for the ISO
standard requirements.

30 ISO 27001:2013 IMPLEMENTATION GUIDE

NOTES

ISO 27001:2013 IMPLEMENTATION GUIDE 31

 USEFUL LINKS
Information Security Management Training
https://www.nqa.com/training/information-security

Information Commissioners Office

https://ico.org.uk/

ISO - International Organization for Standardization

https://www.iso.org/home.html

Authored on behalf of NQA by: Julian Russell

www.nqa.com