Getting started on your ISO 27001 journey may initially appear daunting; however, by breaking it down into 10 concise and straightforward steps, the process becomes more manageable and efficient. Adhering to these strategic steps will pave the way for a successful and well-structured initiation of your ISO 27001 implementation.

Step 1 – Understanding the ISO 27001 Standard

ISO 27001 is an internationally recognised standard for managing information security. It provides a  framework of policies, procedures, and controls that organisations can use to protect their sensitive information from unauthorised access, theft, and other threats. The standard helps to identify and manage risks to the information assets and to establish and maintain an effective Information Security  Management System (ISMS). 

If your organisation is in need of ISO 27001 compliance and implementation, obtain support from the top management. Leadership commitment is vital to allocate resources and establish the process for successful implementation.

Before getting to work, make sure you are well aware of the mandatory requirements mentioned in the clauses of the ISO 27001:2022 document. There are 7 clauses, from Clause 4 to Clause 10, that need to be addressed.

To know more about the requirements, check out our Blog (“link”)

Here is a brief description of the requirements:

• The ISO 27001: 2022 Annex A consists of 93 security controls categorized into 4 sections. 

  1. Organisational Controls [section 5] 
  2. People Controls [section 6]
  3. Physical Controls [section 7]
  4. Technological Controls [section 8]

   

  Step 2 – Scope of the Audit

  After getting the top management on board and understanding the requirements, it’s time to decide the scope of the audit. Identify assets, information systems, processes, and locations that will be covered under the Information Security Audit process.

Step 3 – Roles and Responsibilities

Appoint a dedicated team to take care of the Implementation and maintenance of the Information Security Management System(ISMS).

• Information Security Manager – The person who is responsible for the implementation and management of the ISMS.
• Gap Owner – The person who is responsible for a specific gap/control that has to be implemented in the organisation
• Risk Owner – The person who owns or is responsible for a specific information security risk within the organisation that has to be mitigated.
• Information Asset Owners – The person is responsible for specific information assets based on the data classification and authorisation rules.
• Security team members – The supporting team members who help the Information security Manager in various ISMS implementation and maintenance tasks. 
• Employees and Users – All employees and users of the organisation are responsible for complying with the information security policies, procedures, and controls.

Or you can cut down the hassle of assembling a team by adopting technology solutions to streamline your audit process. There are a ton of Compliance solutions in the market that can cater to your specific needs and requirements. The usage of technology can reduce the budget and manual work tremendously.

Step 4 – Check for Existing Controls

Make use of existing resources and look for previously implemented security controls. Take advantage of the security measures and practices already in place within your organisation, and assess their alignment with the ISO 27001 standard. By identifying these existing security controls, you can build upon a strong foundation and bridge any gaps, ensuring a smoother and more efficient journey toward ISO 27001 compliance. This approach will save time and resources.

Step 5 – Gap Assessment

Perform the gap assessment to check if all the required controls are implemented and identify vulnerabilities and gaps within your organisation. This can be done either manually or through the aid of technology solutions. After identifying the gaps and controls, start collecting evidence to prove that the controls are efficiently implemented in the organisation and try to remediate all the gaps by coming up with an action plan to bridge the gaps and implement the controls. Perform risk assessment if you do not have an existing risk register to manage all the risks within the organisation.

Presented below is an illustrative demonstration of a straightforward gap assessment template available for your utilisation.

Due to the laborious and time-consuming nature of manual processes, numerous organisations choose to go with the better alternative of Compliance software.

Step 6 – Mandatory Documents Required for ISO 27001 Certification

The documentation requirements for certification can differ based on your organisation and the scope of the audit. Below are some fundamental documents that are essential and mandatory for the certification process.

1. Information Security Policy
2. Risk Assessment Report
3. Gap Summarised Sheet
4. Statement of Applicability (list of all the controls from Annex-A of ISO 27001 that are applicable to the organisation)
5. Risk Treatment Plan
6. Information Security Procedures and Guidelines
7. Training and awareness materials
8. Internal Audit Report
9. Management review reports
10. Corrective action reports (to prove the action taken to fix the Non-Conformities and improve the ISMS)
11. Document Control Procedures (A procedure to maintain all the ISMS related documents)
12. Incident Response Plan
13. Business Continuity Plan

Step 7 – Implementation Of Controls

Once you have conducted a comprehensive gap assessment, it is essential to take decisive action and implement the required security controls to bridge the identified gaps effectively. By proactively addressing these gaps, your organization can strengthen its security measures and safeguard sensitive information from potential threats and vulnerabilities. These well-implemented controls play an important role in preventing potential security incidents, minimizing the likelihood of data breaches, unauthorized access, or other detrimental consequences.

Step 8 – Training and Awareness

Train employees on information security best practices and their roles in maintaining the security of information assets. Foster a culture of security awareness throughout the organisation.

Step 9 – Internal Audit

The internal audit process is done by a team within the organisation to check if the rules and plans are followed to keep the company and its information assets secure. This also helps in identifying if the organisation is prepared for problems that could happen. After an internal audit there are two main possible outcomes, 

• Non-Conformities
• Opportunities for Improvement

The Non-conformities(NC) point out areas where the organisation is not meeting required standards or regulations and needs corrective actions, while Opportunities for Improvement (OFI) provide valuable suggestions to enhance the organisation’s overall performance and effectiveness, even if it is already compliant with the standards. 

Step 10 – External Audit

An expert from outside the organisation is required to come and perform the external audit to check how things are going. The external auditor examines the company’s practices, procedures, and records to ensure they follow industry standards, regulations, and laws. The external auditor looks for compliance with rules and identifies areas that need improvement. After the audit, the external auditor provides a report with findings and recommendations. 

If your organisation successfully meets all the requirements, then you can get certified. This certification is a formal recognition that the organisation adheres to the applicable standards and has demonstrated effective management and control of its processes. To maintain the certification, the organisation needs to undergo regular surveillance audits to ensure ongoing compliance.