ISO 27001 Overview: Your Guide to Compliance

Having now grown into one of the world’s leading international security standards, ISO 27001 lays out the required criteria for taking a holistic approach to information security through the implementation and ongoing maintenance of an information security management system (ISMS).

Published in tandem by the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC), ISO 27001 has skyrocketed in popularity among organizations seeking to defend against evolving cyber threats.

When you choose to implement an ISMS and adhere to the ISO 27001 standard, you get certified by a third-party Certification Body that will validate your efforts and help declare you as being in compliance. As one of those Certification Bodies that performs hundreds of certifications every year, we want to provide an overview of this standard for any organization seeking certification.

In this comprehensive ISO 27001 overview, we’ll explain more about what this standard is, including the framework itself and the requirements, who can benefit and how, and basics regarding the ISO 27001 certification process so that should you choose to move forward with it, you’ll already have a foundational understanding. 

What is ISO 27001?

First published in 2005, the standard was revised in 2013, and again in 2022, ISO 27001 helps organizations more comprehensively manage information security risk.

In partnership with the guidelines set in the related ISO 27002, ISO 27001’s framework provides guidelines for the establishment, implementation, and ongoing maintenance of an ISMS, which together consists of policies, systems, and processes to manage your organization’s information security risks, which can be mitigated using a set of security controls found in Annex A of ISO 27001. 

Who Needs ISO 27001 Certification?

Because ISO 27001’s systematic approach to assessing and mitigating data security risks at every point across the organization is extremely effective, it could be useful for any organization, no matter the sector or industry.

Though it may hold extra appeal for those who do business internationally, ISO 27001 certification could benefit any organization that wants to improve their security posture and is willing to commit to the implementation of an information security management system.

The Benefits of ISO 27001

When you do endeavor to take such a comprehensive approach to your information security, while will take some effort to achieve compliance with everything and become certified, there are several reasons why any organization would invest in this compliance initiative, aside from the enhanced mitigation of security threats:

• Provide Assurances to Customers: ISO 27001 is a well-respected information security standard globally, and achieving certification will go a long way in reassuring your customers that their data is safe.
• Avoid Financial Costs of Breaches: The fallout of leaks and breaches is growing all the time and no industry has proven out of scope for attackers, but ISO 27001 certification will help you avoid falling victim.
• Protect and Enhance Your Brand Reputation: In an age of ever-evolving cyber threats, an ISO 27001 certification can prove to the market that you not only prioritize information security but also make efforts to continuously improve yours.
• Gain a Competitive Edge: When you achieve ISO 27001 certification, prospective customers will know upfront that you have taken extensive steps to secure the information in your charge, and that they can trust you to do the same with theirs.
• Improve Structure and Productivity: Taking ISO 27001’s holistic approach will affect a lot of your operations, but bringing everything up to this standard—including through the copious required documentation—should streamline your processes and allow for further efficiencies.
• Reduce Human Cybersecurity Errors: ISO 27001 doesn’t just help you defend against threats from external sources like cybercriminals—it also addresses those from internal actors who may not understand their cybersecurity responsibilities or best practices and therefore may make costly mistakes.

The ISO 27001 Framework

But to reap those benefits means implementing the framework itself, it will take effort—more than what you’re likely used to if you’ve pursued a type of compliance initiative before.

ISO 27001 addresses three particular aspects of information security in the standard’s systematic approach to managing information security risks:

• Confidentiality – Ensures only necessary individuals have access to relevant information.
• Integrity – Ensures data is sufficiently stored and not erased or altered.
• Availability – Ensures organizations and clients can access information when necessary so that “business purposes and customer expectations are satisfied.”

ISO 27001 Requirements

To facilitate the protection of data confidentiality, integrity, and availability (CIA), ISO 27001 contains clauses that outline specific requirements you must meet when establishing, implementing, maintaining, and improving ISMS.

You also have to comply with these requirements to achieve ISO 27001 certification, and they’re grouped into the following clauses.

Context of the Organization (Clause 4)

What It Requires: Determination of the scope of your ISMS which includes an analysis of areas that include, but are not limited to, the following:

• Internal and external issues (e.g., important issues that can affect, either positively or negatively, the ISMS, as well as those that are relevant to its purpose that can affect the ability to achieve the intended outcomes of the ISMS)
• Identification of interested parties and their requirements, and understanding of your legal, regulatory, and contractual obligations related to information security 

Why is This Important? As you tailor your ISMS to your specific needs and circumstances by establishing this context, you’ll be able to hone in on relevant security risks.

Leadership (Clause 5)

What It Requires: Top management to demonstrate commitment to the ISMS through the creation of an information security policy, assignment of roles and responsibilities, and allocation of adequate resources to information security initiatives.

Why is This Important? Strong leadership and their buy-in ensures that your organization fosters a culture of security awareness among employees.

Planning (Clause 6)

What It Requires: Identification of your information security risks, the performance of a risk assessment, selection of appropriate controls to mitigate the identified risks, and the establishment of your information security objectives, as well as your plans to achieve those objectives.

Why is This Important? Thorough planning like this will enable you to proactively address potential threats and vulnerabilities that threaten the confidentiality, integrity, and availability of your data assets.

Particularly critical is the risk assessment—as the core component to your ISMS, it will inform your controls selection (Annex A) and result in the formulation of your statement of applicability (which will detail the controls you select to address risks identified by the risk assessment process). Not only that, but the risk assessment can also impact your information security objectives, allocation of resources, monitoring, and measurement activities (e.g., KPIs, etc.), among other key ISMS activities.

Support (Clause 7)

What It Requires: Sufficient employee awareness and competence, as well as other resources that support effective implementation and maintenance of your ISMS.

Why is This Important? The kind of support stipulated in this clause will ensure that your ISMS is bolstered in its efforts to effectively manage information security risks by skilled personnel and a security-aware culture.

Operation (Clause 8)

What It Requires: Implement and manage information security processes, controls, and risk treatment plans to ensure the effective functioning of the ISMS.

Why is This Important? Meeting these requirements ensures that procedures are put into practice to effectively mitigate risks.

Performance Evaluation (Clause 9)

What It Requires: Monitoring, measurement, analysis, and evaluation of the performance of your ISMS to ensure its effectiveness and ongoing alignment with your organizational objectives.

Why is This Important? One of the staples of ISO 27001 is the idea that your ISMS continually improves and adapts to both emerging threats and your business objectives—regular evaluation of your ISMS performance helps you identify what changes must be made.

Improvement (Clause 10)

What It Requires: Continual enhancement of your ISMS through the identification and mitigation of nonconformities, implementation of corrective actions, and learning from past experiences.

Why is This Important? If Clause 9 requires you to identify the areas for improvement, Clause 10 requires that you take the necessary action to ensure your ISMS remains effective and adapts to the evolving information security landscape.

ISO 27001 Annex A Controls

In support of these clauses, ISO 27001:2022 also features what’s called the Annex A controls that are grouped into four (4) control categories or themes as follows:

• Clause 5: Organizational
• Clause 6: People
• Clause 7: Physical
• Clause 8: Technological

While you aren’t expected to adopt every one of the 93 controls outlined in Annex A, you instead must document and implement which ones are relevant based on information security risks you identify as part of your compliance work as noted within your statement of applicability. 

The ISO 27001 Certification Process

Once you’ve done all the necessary preparation to become ISO 27001 compliant, you’ll want to become ISO 27001 certified, which means undergoing the certification assessment.

But your ISO 27001 process actually begins way before you engage a Certification Body to come in and validate your work—altogether, it should break down like this (after you determine your scope as mentioned above):

• Gap Analysis – The first step on the road to getting ISO 27001 certified should be conducting a gap analysis to reveal any shortcomings in your organization’s existing ISMS elements so that you can determine the necessary actions to achieve full compliance with ISO 27001 requirements—you can either perform this internally or have a third party come in.
• Risk Assessment – After that, perform a comprehensive risk assessment to identify possible threats and vulnerabilities, as well as their potential impact on your organization’s information assets.
• Control Implementation – Based on the findings from the gap analysis and risk assessment, you’ll then implement the necessary controls—from Annex A mentioned above—and processes to mitigate your identified risks and comply with ISO 27001 requirements. Document this in your risk treatment process and in your statement of applicability.
• Internal Audit – Before you engage a third party to do the same thing, you should conduct an internal audit that evaluates the effectiveness of the implemented controls and processes and ensures your work meets the requirements of ISO 27001.
• Management Review – Top management/leadership must review the results of the internal audit—that’s required in the standard—and determine if any additional actions are needed to improve your ISMS.
• Initial Certification Audit – And finally, you’ll engage an independent certification body to verify that your ISMS is in compliance with ISO 27001—a two-stage process that will require your active participation.

Once you do reach the assessment phase, it’s particularly important to take care when selecting a Certification Body to perform that process—you need a partner that not only is independent and can provide an unbiased evaluation, but also suits your specific organizational needs beyond just fitting within your budget.

How to Maintain Your ISO 27001 Certification

Of course, once you complete that initial ISO 27001 certification audit, your compliance process isn’t over. As we’ve established, the standard requires the continuous improvement of your ISMS and to demonstrate your ongoing commitment to that improvement and security overall, you’ll also need to undergo the following evaluations to maintain your ISO 27001 certification:

• Surveillance Audits – Your certification body will perform annual “snapshot” assessments of your compliance with clauses 4-10 and a sample of your chosen Annex A control activities—though not a full assessment, it should still clarify whether your ISMS remains effective in managing information security risks.

• Recertification – Your initial ISO 27001 certification will be valid for three years, after which you must undergo a recertification audit to renew, and this will be a full reassessment of your compliance with clauses 4-10 and all your Annex A controls to verify that your ISMS continues to meet all the requirements of ISO 27001.

Tips for Maintaining ISO 27001 Certification

To proceed through these steps more easily and also affirm the required continuous improvement, you should regularly review and update your ISMS to address new risks, changes in the business environment, and evolving regulatory requirements through actions by:

• Periodically revising established policies, procedures, and controls to align with ISO 27001 requirements.
• Conducting internal audits and management reviews to identify areas for improvement and monitor the effectiveness of your ISMS
• Addressing non-conformities with corrective actions promptly
• Ensuring employees receive appropriate training and awareness programs to understand their roles and responsibilities related to information security

ISO 27001 Frequently Asked Questions (FAQ)

How Long is the ISO 27001 Certification Process?

Though, on average, it takes 6 to 18 months to achieve ISO 27001 certification, your specific timeline will depend on factors such as:

• The size and complexity of your organization,
• Your existing security practices, and
• The resources you have available to dedicate to the project.

How Much Does It Cost to Become ISO 27001 Certified?

Much like your timeline, your expenses for obtaining ISO 27001 will vary depending on factors such as the size and complexity of your organization. You’ll also likely incur costs beyond that of the certification assessment for items like necessary consulting fees during the preparation process and training expenses for your staff.

For specific numbers that can help establish a baseline, check out our video on our ISO 27001 certification fees.

What are Some Common Challenges Organizations Might Face During the ISO 27001 Process?

In our experience, the most common hurdles organizations hit when pursuing ISO 27001 certification include:

• Limited resources available to dedicate
• Lack of security awareness among employees or understanding of the standard
• Management resistance to the standard’s comprehensive nature
• Inadequate risk assessments

Are There Any Prerequisites for ISO 27001?

While there are no specific prerequisites to pursuing the standard, you should have a basic understanding of information security principles and be committed to implementing and maintaining an effective ISMS before you get started.

Does ISO 27001 Map to Other Compliance Standards?

Yes, ISO 27001’s comprehensive framework lends itself to helping with your compliance with various other information security regulations, such as:

• SOC 2
• GDPR
• HIPAA
• PCI DSS

Take the Next Steps Toward an ISO 27001 Certification

Though Schellman does not offer ISO 27001 consultancy services at this time, if you’re interested in learning more about our Certification Body accreditations and how we can streamline your journey to ISO 27001 compliance, contact us today.