ISO 27001 Checklist: A Complete Guide

We live in a world where data breaches can break a business overnight. What we need is the ultimate blueprint for security success to survive and thrive in today's digital jungle. That's where the ISO 27001 standard comes in. This renowned standard outlines the steps required to establish, maintain, and improve an effective Information Security Management System (ISMS).

If you have a vision for iron-clad security for your organisation's precious data, this blog will guide you through the essential ISO 27001 Checklist. From planning and Risk Assessment to audits and getting certified, you'll receive the right guidance here. Read on to conquer ISO 27001 and handle compliance with confidence!

Table of Contents

1) How to become ISO 27001 certified

2) What is Essential 8 in ISO 27001?

3) What are the 10 Clauses of ISO 27001?

4) Conclusion

How to become ISO 27001 certified

Implementing an ISMS that is compliant with ISO 27001 Checklist can be challenging; however, the process is certainly worth the benefit. Let's explore the step-by-step guide to help an organisation gain insights into ISO 27001 implementation:

1) Appoint an ISO 27001 Team

a) Start by forming a dedicated team to lead and manage the ISO 27001 Certification process.

b) This team will define the certification scope, develop policies, involve key stakeholders, and coordinate with the Auditor.

c) Depending on your organisation's size and data complexity, the team could be a single person or a larger group.

d) It’s often helpful to appoint one Project Manager to lead the process and assemble the right team.

e) Look for a Project Manager who understands IT systems and infrastructure.

f) Make sure they are familiar with your organisation’s business operations and workflows.

g) Prioritise candidates with Project Management experience.

h) The ability to clearly communicate ISO 27001 concepts and requirements is essential.

2) Build Your Information Security Management System (ISMS)

a) Your company might already have an informal system for managing information, but this won’t be enough for an ISO 27001 audit.

b) An ISMS is a structured framework to help manage information and reduce risks through clear policies and procedures.

c) The three key elements of an ISMS are people, processes, and technology.

d) ISO 27001 provides a global standard with detailed guidance on building a strong ISMS and achieving compliance.

e) To define your ISMS scope, begin by identifying what information needs protection and where it’s stored.

f) Review all access points to this information, including physical and digital entry points.

g) Determine which areas of your business don’t need to be included in the ISMS scope.

h) Write a scope statement outlining what’s in and out of scope in terms of products, services, people, locations, systems, and networks.

i) Remember, your ISMS should evolve as your business grows or changes.

j) Revisit and adjust your ISMS whenever new departments, technologies, or processes are introduced.

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3) Create and Publish ISMS Policies, Documents, and Records

Two major components of the ISO 27001 process are documentation and internal sharing of those documents. These will help keep you accountable and build a foundation for establishing, implementing, maintaining, and improving the ISMS. Here’s a list of ISMS documents you’ll need to assemble:

a) Clause 4.3: Scope of the ISMS

b) Clause 5.2: Information Security policy

c) Clause 5.5.1: Any documented information the organisation sees as necessary to support ISMS

d) Clause 6.1.2: Information Security Risk Assessment process/methodology

e) Clause 6.1.3: Information Security risk treatment plan and Statement of Applicability (SoA)

f) Clause 6.2: Information Security objectives

g) Clause 7.1.2 and 13.2.4: Defined security roles and responsibilities

h) Clause 7.2: Evidence of competence

i) Clause 8.1: Asset inventory, acceptable use of assets, and operational planning

j) Clause 8.2 and 8.3: Results of the Information Security Risk Assessment and Information Security risk treatment

k) Clause 9.1: Access control policy, evidence of ISMS monitoring and tracking metrics

l) Clause 9.2: A documented internal audit process and completed internal audit reports

m) Clause 9.3: Results of management reviews

n) Clause 10.1: Evidence of any non-conformities and corrective actions taken

o) Clause 12.4: User activity, exceptions, and security incident logs

4) Conduct a Risk Assessment

a) Conduct internal Risk Assessment to detect potential threats to data security and evaluate their severity.

b) Just like you mapped your sensitive data earlier, now list out the risks your organisation may face.

c) Determine the likelihood of each risk occurring.

d) Assess the possible impact of each risk, including effects on business continuity and finances.

e) Use a risk matrix to identify and prioritise your most significant risks visually.

  i) Assign likelihood scores on a scale from 1 (unlikely) to 5 (very likely).

  ii) Rate impact scores from 1 (insignificant) to 5 (catastrophic).

  iii) Combine these scores to calculate the overall risk level of each threat.

f) Prioritise risks based on total scores to focus on the most urgent ones.

g) Create a risk treatment plan for each high-priority risk.

h) Assign specific employees to manage the risks and track progress to completion.

5) Complete a Statement of Applicability (SoA) Document

a) Review ISO 27002 documentation to fully understand the 114 controls listed in Annex A.

b) Think of Annexe A as a library of potential security controls to choose from, tailored to your specific needs.

c) Select the controls that best match the risks identified in your organisation.

d) Create a Statement of Applicability (SoA) after choosing the appropriate controls.

e) The SoA lists which ISO 27001 controls and policies your organisation will apply.

f) It also explains the actions that must be taken to manage and mitigate those risks.

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6) Implement ISMS Policies and Controls

a) After identifying risks and establishing Risk Management processes, implement the Information Security policy.

b) This policy outlines your organisation’s overall approach to Information Security.

c) ISO 27001 centres around the ISMS, which helps protect data from threats and vulnerabilities.

d) Many organisations use the Plan-Do-Check-Act (PDCA) method to structure their ISMS implementation.

  i) Plan: Review current cybersecurity processes and identify gaps based on ISO 27001 requirements.

  ii) Do: Implement the new ISMS controls and policies.

  iii) Check: Regularly review and monitor the ISMS for improvements.

  IV) Act: Continue to improve and maintain the ISMS over time.

e) Review ISO 27001 clauses 4–10 and Annexe A controls to ensure all requirements are met.

f) Continue to monitor the effectiveness of your ISMS implementation.

g) Start informing employees about any new ISMS-related procedures that affect their daily work.

h) Share relevant policies with employees and track that they’ve been reviewed.

7) Train Team Members on ISO 27001

a) Conduct training sessions to help your employees understand ISO 27001 and the company’s ISMS.

b) Explain key terms and stress the importance of ISO 27001 Certification.

c) Set clear expectations for staff about their role in maintaining the ISMS.

d) Inform employees about the risks of falling out of compliance with data security requirements.

e) Utilise this training to foster awareness and cultivate a robust security culture within your team.

8) Gather Documentation and Evidence

a) Documentation is a key component of the ISO 27001 process and will be referenced frequently.

b) Preparing thorough documentation before the audits is highly beneficial.

c) Make sure that all required ISO 27001 documents and records are readily available for reference during audits.

9) Undergo Internal Audit

a) When your ISMS is ready, schedule an internal audit to assess your readiness for certification.

b) Appoint an independent and objective Auditor to carry out the internal audit.

c) After the audit, document the findings and fix any issues found.

d) Complete this step before moving on to the Stage 1 audit.

10) Undergo a Stage 1 Audit

a) Select an accredited ISO 27001 Auditor to conduct the Stage 1 audit.

b) The Auditor will review all documentation required for ISO 27001 Certification.

c) After the review, they will point out any gaps or areas where your ISMS doesn’t meet the standard.

11) Get a Stage 2 Audit

a) At this point, the Auditor will test your ISMS to check how well it is working in practice.

b) They will also compare your ISMS against the relevant Annex A controls.

c) This audit ensures that the processes identified during stage one audit are being followed across the organisation.

12) Implement Stage 2 Audit Advice

a) Carefully consider and act on all recommendations from the Auditor.

b) After resolving major nonconformities, the Auditor will share a draft ISO 27001 Certificate for review.

c) The organisation can make minor adjustments if needed before sending it back.

d) Once reviewed, the Auditor will issue the final certificate.

e) At this point, your ISO 27001 Certification becomes official.

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13) Commit to Subsequent Audits and Assessments

To remain compliant with ISO 27001, your organisation must conduct regular audits and checks. The ISO 27001 Certificate is valid for three years; however, you must complete a surveillance audit annually during this period to ensure your ISMS continues to meet the standards.

Here are some additional steps to oversee compliance:

a) Conduct management reviews at least once a year or on a quarterly review cycle.

b) Be prepared for first-year and second-year surveillance audits.

c) Perform annual Risk Assessments.

d) Also, prepare for the third-year renewal audit.

14) Perform Ongoing Improvements

a) After achieving ISO 27001 Certification, your ISMS will need updates.

b) Changes, such as switching software providers or working with new suppliers, may require revisions to the ISMS.

c) The ISO 27001 team should regularly update and document all changes made to the ISMS.

d) Any identified and resolved threats to the ISMS must be documented.

e) Documenting these changes supports a smoother recertification process.

f) Proper documentation also helps identify nonconformities that could affect data security.

What is Essential 8 in ISO 27001?

The Essential 8 is a cybersecurity framework made for Australian organisations. Developed by the Australian Cyber Security Centre (ACSC), it helps protect against targeted cyberattacks. It includes eight key strategies that can significantly reduce the risk of cyber threats.

What are the 10 Clauses of ISO 27001?

The 10 Clauses of ISO/IEC 27001:2022 are:

1) Scope

2) Normative References

3) Terms and Definitions

4) Context of the Organisation

5) Leadership

6) Planning

7) Support

8) Operation

9) Performance Evaluation

10) Improvement

Conclusion

Gaining the ISO 27001 Certification is a complicated and time-consuming process. However, if done right, gaining compliance to the global Information Security standard ensures that your organisation’s data resources are properly protected. To comply with the standard, make sure to follow all the steps listed in the ISO 27001 Checklist. It’s the ideal way to build a strong, reliable, and audit-ready Information Security Management System.

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