ISO 27001 Compliance Checklist: Your Complete Implementation Guide

Key Takeaways

Point	Summary
6 main phases	Pre-Implementation → Context/Scope → Risk Assessment → Controls → Operation → Certification
Pre-work required	Executive sponsorship, project team, budget, compliance platform selection
Key documentation	Context analysis, stakeholder register, scope, risk assessment, Statement of Applicability
Audit preparation	Internal audit + management review must be completed before certification
Timeline	3-4 months with expert guidance (vs 9-12 months DIY)

Quick Answer: ISO 27001 implementation has 6 phases: project setup, context/scope definition, risk assessment, control implementation, operation, and certification. Key milestones include completing risk assessment, internal audit, and management review before the external certification audit.

Pre-Implementation Checklist

Executive Sponsorship

• Identify executive sponsor
• Secure management commitment
• Allocate initial budget
• Define certification timeline
• Communicate initiative to organization

Project Setup

• Assign ISMS project manager
• Form implementation team
• Define project scope and milestones
• Create project plan
• Identify key stakeholders

Resource Assessment

• Identify required resources
• Assess internal capabilities
• Determine need for external support
• Plan for training needs
• Select compliance platform/tools

Phase 1: Context and Scope (Weeks 1-3)

Clause 4.1: Organizational Context

• Document external issues
  • Legal/regulatory requirements
  • Market conditions
  • Technology trends
  • Competitive landscape
• Document internal issues
  • Organizational culture
  • Current capabilities
  • Existing policies
  • Information systems

Clause 4.2: Interested Parties

• Identify all stakeholders
  • Customers
  • Employees
  • Regulators
  • Partners/suppliers
  • Shareholders
• Document requirements for each stakeholder
• Create stakeholder register

Clause 4.3: ISMS Scope

• Define ISMS boundaries
• Identify included locations
• Identify included business units
• Identify included systems
• Document scope statement
• Document exclusions with justification

Clause 4.4: ISMS Establishment

• Understand all ISO 27001 requirements
• Plan for addressing all requirements
• Document ISMS framework

Phase 2: Leadership and Planning (Weeks 3-6)

Clause 5.1: Leadership Commitment

• Obtain formal management commitment
• Allocate resources
• Communicate importance of ISMS
• Define reporting structure

Clause 5.2: Information Security Policy

• Draft information security policy
• Include security objectives
• Include commitment to compliance
• Include commitment to improvement
• Obtain executive approval
• Communicate to all employees
• Make policy accessible

Clause 5.3: Roles and Responsibilities

• Define ISMS roles
  • ISMS Manager/Owner
  • Risk owners
  • Control owners
  • Internal auditor
• Document responsibilities
• Communicate roles
• Ensure adequate authority

Clause 6.1: Risk Assessment

• Define risk assessment methodology
  • Risk criteria
  • Risk acceptance criteria
  • Assessment approach
• Identify information assets
• Identify threats to assets
• Identify vulnerabilities
• Assess likelihood and impact
• Calculate risk levels
• Document risk register

Clause 6.1: Risk Treatment

• Determine risk treatment options
• Select appropriate controls
• Document risk treatment plan
• Create Statement of Applicability (SoA)
  • All 93 Annex A controls addressed
  • Justification for inclusions
  • Justification for exclusions
  • Implementation status

Clause 6.2: Security Objectives

• Define measurable objectives
• Document how objectives will be achieved
• Assign responsibilities
• Set timelines
• Define success metrics

Phase 3: Support and Resources (Weeks 6-9)

Clause 7.1: Resources

• Identify required resources
• Allocate budget
• Assign personnel
• Acquire necessary tools
• Plan for ongoing needs

Clause 7.2: Competence

• Identify competence requirements
• Assess current competence
• Identify training needs
• Provide required training
• Retain competence evidence
  • Training records
  • Certifications
  • Experience documentation

Clause 7.3: Awareness

• Develop awareness program
• Communicate security policy
• Explain individual contributions to ISMS
• Communicate non-compliance implications
• Track awareness completion

Clause 7.4: Communication

• Define communication requirements
  • What to communicate
  • When to communicate
  • With whom
  • Communication methods
  • Who communicates
• Implement communication channels
• Document communications

Clause 7.5: Documented Information

• Create required documentation
  • Policies
  • Procedures
  • Records
• Implement document control
  • Version control
  • Approval process
  • Access control
  • Retention rules
• Establish evidence collection process

Phase 4: Control Implementation (Weeks 9-16)

Organizational Controls (Theme 5)

Policies and Governance

• Information security policy (5.1)
• Roles and responsibilities documented (5.2)
• Segregation of duties implemented (5.3)
• Contact with authorities established (5.5)
• Threat intelligence process (5.7)
• Project management includes security (5.8)

Asset Management

• Asset inventory created (5.9)
• Acceptable use policy (5.10)
• Asset return process (5.11)
• Data classification scheme (5.12)
• Information labeling procedure (5.13)
• Information transfer policy (5.14)

Access Control

• Access control policy (5.15)
• Identity management process (5.16)
• Authentication management (5.17)
• Access rights management (5.18)

Vendor Management

• Supplier security policy (5.19)
• Supplier agreements include security (5.20)
• Supply chain security addressed (5.21)
• Supplier monitoring process (5.22)
• Cloud security requirements (5.23)

Incident Management

• Incident response plan (5.24)
• Event assessment process (5.25)
• Incident response procedures (5.26)
• Lessons learned process (5.27)
• Evidence collection procedure (5.28)

Business Continuity

• Security during disruption (5.29)
• ICT continuity plan (5.30)

Compliance

• Legal requirements identified (5.31)
• IP protection measures (5.32)
• Records protection (5.33)
• Privacy requirements addressed (5.34)
• Operating procedures documented (5.37)

People Controls (Theme 6)

• Background screening process (6.1)
• Employment contracts include security (6.2)
• Security awareness training (6.3)
• Disciplinary process (6.4)
• Termination responsibilities (6.5)
• NDAs in place (6.6)
• Remote working security (6.7)
• Event reporting mechanism (6.8)

Physical Controls (Theme 7)

• Physical perimeters defined (7.1)
• Physical entry controls (7.2)
• Secure offices and rooms (7.3)
• Physical monitoring (7.4)
• Environmental protection (7.5)
• Secure area procedures (7.6)
• Clear desk/screen policy (7.7)
• Equipment protection (7.8)
• Off-premises asset security (7.9)
• Storage media controls (7.10)
• Supporting utilities protection (7.11)
• Cabling security (7.12)
• Equipment maintenance (7.13)
• Secure disposal (7.14)

Technological Controls (Theme 8)

Endpoint and Access

• Endpoint device security (8.1)
• Privileged access management (8.2)
• Information access restrictions (8.3)
• Source code protection (8.4)
• Secure authentication implemented (8.5)
• Capacity management (8.6)
• Malware protection (8.7)
• Vulnerability management (8.8)

Configuration and Data

• Configuration management (8.9)
• Information deletion process (8.10)
• Data masking where needed (8.11)
• Data leakage prevention (8.12)
• Backup procedures (8.13)
• Redundancy implemented (8.14)

Monitoring

• Logging implemented (8.15)
• Monitoring activities (8.16)
• Clock synchronization (8.17)

Network Security

• Privileged utilities controlled (8.18)
• Software installation controlled (8.19)
• Network security controls (8.20)
• Network services security (8.21)
• Network segregation (8.22)

Application Security

• Web filtering (8.23)
• Cryptography implemented (8.24)
• Secure SDLC (8.25)
• Application security requirements (8.26)
• Secure architecture (8.27)
• Secure coding practices (8.28)

Development and Testing

• Security testing (8.29)
• Outsourced development security (8.30)
• Environment separation (8.31)
• Change management process (8.32)
• Test data protection (8.33)
• Audit test protection (8.34)

Phase 5: Operation and Evidence (Weeks 16-20)

Clause 8: Operation

• Operate controls as documented
• Execute risk assessments per schedule
• Implement risk treatment actions
• Collect evidence continuously
• Monitor control effectiveness
• Manage changes appropriately

Evidence Collection

• Access control evidence
  • User provisioning records
  • Access review documentation
  • MFA configuration
• Training evidence
  • Completion records
  • Acknowledgments
• Change management evidence
  • Change requests
  • Approvals
  • Deployment records
• Incident management evidence
  • Incident logs
  • Response records
• Vulnerability management evidence
  • Scan reports
  • Remediation records
• Backup evidence
  • Backup logs
  • Restore test results

Phase 6: Check and Review (Weeks 20-22)

Clause 9.1: Monitoring and Measurement

• Define metrics and KPIs
• Implement monitoring processes
• Collect performance data
• Analyze results
• Report on effectiveness

Clause 9.2: Internal Audit

• Create internal audit program
• Define audit schedule
• Select/train internal auditor(s)
• Conduct internal audit
  • All clauses covered
  • Representative Annex A controls
• Document findings
• Report to management
• Track corrective actions

Clause 9.3: Management Review

• Schedule management review
• Prepare review inputs
  • Status of previous actions
  • Changes affecting ISMS
  • Performance feedback
  • Stakeholder feedback
  • Risk assessment results
  • Improvement opportunities
• Conduct management review
• Document outputs
  • Improvement decisions
  • ISMS changes
  • Resource needs
• Retain records

Phase 7: Certification Audit (Weeks 22-26)

Pre-Audit Preparation

• Review all documentation
• Verify evidence completeness
• Address any gaps
• Brief key personnel
• Schedule Stage 1 audit

Stage 1 Audit (Documentation Review)

• Auditor reviews ISMS documentation
• Scope validation
• Readiness assessment
• Address Stage 1 findings
• Schedule Stage 2

Stage 2 Audit (Implementation Verification)

• Auditor verifies control implementation
• Evidence review
• Staff interviews
• Control testing
• Address any nonconformities
• Receive audit report

Post-Audit

• Resolve any nonconformities
• Submit corrective action evidence
• Receive certification decision
• Celebrate certification!
• Plan for surveillance audits

Ongoing Maintenance Checklist

Monthly Tasks

• Review security metrics
• Check evidence freshness
• Address any control issues
• Update risk register as needed

Quarterly Tasks

• Conduct access reviews
• Review vendor status
• Update documentation as needed
• Report to management

Annual Tasks

• Conduct internal audit
• Hold management review
• Perform risk assessment refresh
• Review and update policies
• Prepare for surveillance audit

Quick Reference: Minimum Required Documentation

Document	Clause
ISMS scope	4.3
Information security policy	5.2
Risk assessment methodology	6.1.2
Statement of Applicability	6.1.3
Risk treatment plan	6.1.3
Information security objectives	6.2
Competence evidence	7.2
ISMS operational documents	8.1
Risk assessment results	8.2
Risk treatment results	8.3
Monitoring results	9.1
Internal audit results	9.2
Management review results	9.3
Nonconformity and corrective action records	10.1

The Bastion Advantage

Checklist Made Actionable

Bastion transforms this checklist into a guided journey:

Challenge	Bastion Solution
Overwhelming list	Prioritized roadmap
Manual tracking	Automated progress tracking
Documentation creation	Pre-built templates
Evidence collection	Automated from integrations
Gap identification	Continuous monitoring

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