The Complete Guide to ISO 27001 Compliance

As one of the most popular security standards in the world, ISO 27001 provides your organization a framework for building an information security management system (ISMS). This system is designed to help you identify security risks, implement controls to mitigate risk, and monitor the effectiveness of the controls. 

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Security attacks may vary in technique and motivation, but they all typically compromise one of three security pillars:

• Confidentiality: The attacker has gained unauthorized access to information.
• Integrity: The attacker has modified or damaged the information/resources in your system.
• Availability: The attacker has hampered or removed access to information/resources for legitimate users.

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An organization that’s compliant with ISO 27001 is following a series of best practices and implementing controls that are specific to their systems, and protecting their three security pillars against compromise. In this article, we’re going to look at the 14-step process of getting your organization ready for an ISO 27001 certification.

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What to do first

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Before you start preparing your company for ISO 27001 compliance, there are a few things you need to do first. Not only do you need to be very clear about why you’re trying to achieve this how you’re planning to do it. This will give your team and higher ups some clarity and confidence about how it will benefit the organization. 

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Understand the ISO 27001 Standard

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Unless you like reading information security handbooks for fun, you probably don’t know that in total, ISO 27001 contains 114 security controls categorized into 14 groups. It’s impossible to just get into without a plan. You need to first understand what the framework expects of your organization, then think about implementation.

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Obtain Senior Management Support

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One of the hardest things in a corporate environment is to convince upper management to provide resources for an initiative they don’t care about. And to achieve ISO 27001 compliance, you’re going to need as much support and resources as you can get. 

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Communicate the benefits of getting certified: improved risk management, the ability to take on bigger and more lucrative contracts, and a more streamlined approach to security. If your higher ups can see the benefits to the business, they’ll be much more willing to give you the green light to proceed.

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The 14 Security Control Domains of ISO 27001

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ISO 27001 lists 114 security controls grouped into 14 domains that will inform how you respond to security risks and threats in your system. Organizations don’t need to implement every control. Instead, they select relevant controls based on their risk assessment and security needs.

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Here is every control domain and its objective:

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1. Information Security Policies: Establish consistent rules and policies for managing information security.
2. Organization of Information Security: Define roles and responsibilities for information security management.
3. Human Resource Security: Ensure that employees and contractors understand their security responsibilities. 
4. Asset Management: Identify and manage information assets (critical data, systems, processes, etc.)
5. Access Control: Limit access to information and systems through policies, authentication, etc.
6. Cryptography: Use cryptographic techniques like encryption and hashing to protect information.
7. Physical and Environmental Security: Protect physical facilities and prevent unauthorized access.
8. Operations Security: Ensure secure operations of information processing facilities through malware controls, event logging, and documentation.
9. Communications Security: Protect information in networks and its supporting infrastructure.
10. System Acquisition, Development, and Maintenance: Ensure security is part of system lifecycle processes.
11. Supplier Relationships: Protect the organization’s information when dealing with suppliers.
12. Information Security Incident Management: Ensure a consistent and effective approach to managing incidents.
13. Information Security Aspects of Business Continuity Management: Ensure information security continuity in the event of a disruption.
14. Compliance: Comply with relevant laws and regulations.

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Step 1: Define the Scope of the ISMS

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To begin, it’s important to determine how broad your information security management system will be. What are the components it will be covering? How deep will it go? Here are some of things your scope should include:

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• Assets: The information, systems, and processes to be covered.
• Locations: Physical locations, such as data centers or offices, where security measures need to be enforced.
• Departments/Services: The organizational units or services that the ISMS will apply to.

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The scoping document needs to specify the type of sensitive data, products and services, people, and technology involved with ISMS.

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Step 2: Conduct a Risk Assessment

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ISO 27001 emphasizes a risk-based approach, ie., your security strategy is informed by the type of risks your organization is likely to encounter. Therefore, the next step is to conduct a risk assessment, which includes:

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• Identifying Information Assets: Define critical data, systems, and processes that need protection.
• Identifying Risks: Determine potential security threats (e.g., hacking, data breaches, insider threats) and vulnerabilities in your systems and processes.
• Assessing Risk Impact: Quantify the potential impact of each risk on your organization.
• Prioritizing Risks: Based on the likelihood and impact, prioritize risks that require immediate attention.

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Step 3: Perform a Risk Treatment Plan

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Once risks are assessed, create a Risk Treatment Plan that includes:

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• Selecting Controls: Choose relevant controls from the 14 security control groups to mitigate identified risks.
• Assigning Responsibilities: Assign owners for each risk and control.
• Developing Policies and Procedures: Document specific policies and procedures to address risks, such as incident response policies, access control policies, and encryption standards.

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Step 4: Develop an ISMS Framework

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Your ISMS will include a collection of policies, processes, and systems designed to manage information security risks. Key components of the ISMS include:

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• Security Policy: A high-level document outlining your organization’s security objectives.
• Asset Management: Procedures for managing, classifying, and protecting information assets.
• Access Control: Controls to ensure that only authorized users can access information.
• Incident Management: Procedures for detecting, reporting, and responding to security incidents.
• Business Continuity: Measures to ensure business continuity in the event of a disaster or breach.

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Step 5: Implement Security Controls

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After defining your ISMS framework and policies, it’s time to implement the necessary controls. These may include:

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• Technical Controls: Firewalls, encryption, two-factor authentication (2FA), intrusion detection systems (IDS).
• Administrative Controls: Security awareness training, incident response procedures, access management.
• Physical Controls: Data center security, surveillance, and secure entry systems.

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Regularly review and test these controls to ensure they are working effectively.

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Step 6: Provide Training and Awareness

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An effective ISMS relies on the engagement of all employees. Conduct security awareness training to ensure everyone understands:

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• Your organization’s security policies.
• Their role in identifying and reporting security incidents.
• Security best practices and secure development techniques.

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Step 7: Monitor and Review the ISMS

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Continuous monitoring and review are crucial for maintaining an effective ISMS. Establish procedures for:

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• Internal Audits: Regularly assess the effectiveness of your ISMS through internal audits. These audits help identify areas for improvement.
• Risk Monitoring: Keep an ongoing assessment of risks and threats. Update risk assessments as new threats or vulnerabilities are identified.
• Performance Metrics: Track key performance indicators (KPIs), such as the number of incidents, response times, and audit results.

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Step 8: Conduct an Internal Audit

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Before the official certification audit, conduct an internal audit to ensure compliance with ISO 27001. An internal audit involves:

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• Reviewing the ISMS documentation and ensuring it aligns with ISO 27001 requirements.
• Testing the effectiveness of implemented controls.
• Identifying any non-conformities or areas for improvement.

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Use the internal audit to prepare your organization for the official certification audit and address any gaps.

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Step 9. Management Review

Senior management should review the results of the internal audit and the overall performance of the ISMS. A management review typically covers:

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• The results of the risk assessment and treatment plan.
• Any non-conformities identified during the audit.
• Opportunities for improving the ISMS.
• Required resources for continued improvement.

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Step 10: Choose a Certification Body

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ISO 27001 certification is granted by accredited certification bodies. Choose a certification body that:

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• Is accredited by an internationally recognized accreditation body.
• Has experience in your industry.
• Provides ongoing support for annual surveillance audits (to maintain your certification).

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Step 11: Conduct the Certification Audit

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The certification audit is typically divided into two stages:

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• Stage 1 – Documentation Review: The auditor reviews your ISMS documentation to ensure it aligns with ISO 27001. This includes your policies, risk assessments, and Statement of Applicability.
• Stage 2 – On-Site Audit: The auditor visits your organization to verify that the ISMS is properly implemented and the controls are operating effectively.

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At the end of the audit, the auditor will provide a report that details any non-conformities or areas requiring attention. If no major issues are found, you will be recommended for certification.

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Step 12: Receive ISO 27001 Certification

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After successfully completing the audit, you will receive your ISO 27001 certification. This demonstrates that your organization has met the ISO 27001 standard and has implemented a robust ISMS.

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The certification is valid for three years, with annual surveillance audits required to ensure continued compliance.

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Step 13: Maintain Compliance and Continuous Improvement

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ISO 27001 compliance is an ongoing process. To maintain certification, you must:

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• Conduct regular internal audits.
• Address any non-conformities found during surveillance audits.
• Continuously improve your ISMS to address new threats and vulnerabilities.
• Conduct regular risk assessments and update your risk treatment plan accordingly.

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Step 14: Communicate Certification to Stakeholders

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Once certified, communicate your ISO 27001 compliance to clients, partners, and stakeholders. Many customers even require vendors to be certified, and which means compliance can open doors for your organization to win bigger contracts with better customers. And once you get certified, it’s not as hard to stay certified going forward.

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Is Your Team Ready To Take On ISO 27001?

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