Top management role to implement ISO 27001

Top Management Role in Implementing
ISO/IEC 27001
Mohamad Khachab, MBA, PECB Certified Trainer,
ISO 27001 LI, ISO 27005 RM
January 27, 2016
1

Mohamad Khachab
Lecturer, Management
Consultant
Mr. Mohamad Khachab has 30 years of professional experience in management consultancy,
project management, teaching/training, IT Procurement, preparing proposals, information risk
management, research, developing bidding documents, and business development activities.
703-962-0793
khachabmy@ics4business.com www.ics4business.com
linkedin.com/in/mohamadkhachab

Top Management Role in Implementing
ISO/IEC 27001
Agenda
• Introduction
• ISO 27001 Standard
• Structure & Controls
• Costs
• PDCA Mode
• Data Qualities
• Management Planning
• Decision Making factors
• Implementation Project Phases
3PECB Webinar, Khachab, Management Role in Implementing ISO 27001, Jan. 27, 2016

Introduction
• All about “Tone at the Top”
• Strategic & healthy atmosphere
• TQM is a long term strategy
• Enterprise-wide awareness
• Senior management involvement
• Education/training (facts only, statistical
methods, no myth)
• Decision making techniques
PECB Webinar, Khachab, Management Role in Implementing ISO 27001, Jan. 27, 2016 4

ISO 27001
• ISO 27001 requires a company to
establish, implement, and maintain a
continuous improvement approach
to manage its ISMS.

ISO 27001 Standard
1. Scope of the standard
2. How the document is referenced
3. Reuse of the terms and definitions in ISO/IEC 27000
4. Organizational context and stakeholders
5. Information security leadership and high-level support for policy
6. Planning an information security management system; risk assessment;
risk treatment
7. Supporting an information security management system
8. Making an information security management system operational
9. Reviewing the system's performance
10. Corrective action
Annex A: List of controls and their objectives.
PECB Webinar, Khachab, Management
Role in Implementing ISO 27001, Jan. 27,
2016
6

ISO 27001 Standard
ISO 27001:2013 details 114 controls or security measures organized into 14 groups:
• Information security policies (2 controls)
• Organization of information security (7 controls)
• Human resource security - 6 controls that are applied before, during, or after
employment
• Asset management (10 controls)
• Access control (14 controls)
• Cryptography (2 controls)
• Physical and environmental security (15 controls)
• Operations security (14 controls)
• Communications security (7 controls)
• System acquisition, development and maintenance (13 controls)
• Supplier relationships (5 controls)
• Information security incident management (7 controls)
• Information security aspects of business continuity management (4 controls)
• Compliance; with internal requirements, such as policies, and with external
requirements, such as laws (8 controls)

Costs
Are driven by risk perception and how much risk
the organization is prepared to accept. Four
costs to consider by management:
1- Internal resources
2- External resources
3- Certification
4- Implementation

PDCA Model

Process Objectives
Easy understanding and implementation
Desired results:
- Time and cost savings in mind.
- Management Review of processes.

Data Qualities
• Confidentiality – Ensure information is accessible
only to those authorized to have access
• Integrity – Safeguard the accuracy and completeness
of information and processing methods.
• Availability – Ensure that authorized users have
access to information and assets when required.

What is your organization Like?
• I want you to think in terms of:
– Culture
– Management practice
– Formal processes
– Maturity of TQM processes
– Strategies and business planning
– Internal Audit function
– IT Department and customer satisfaction
• Senior managers decisions making rational?

Do you have a TQM Strategy?
TQM strategies vary from one organization to
another, but there must be a set of primary
elements present:
• Top management has identified TQM as one
of the organizations’ long term and
competitive strategies and is committed to it.
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PECB Webinar, Khachab, Management Role in Implementing ISO 27001, Jan. 27, 2016

Management Planning
Vital to the success of implementation are two
critical functions:
1.Effective input and early involvement of The
Internal Audit Dept contribute to:
effective development of implementation
strategy, and management review
(contribution) during certification stages.
14
PECB Webinar, Khachab, Management Role in Implementing ISO 27001, Jan. 27, 2016

Management Planning (Cont.)
2. IT Department will have to dedicate resources
and time to the ISO 27001 implementation
project.
Many Constraints and questions:
- Are there other IT compliance initiatives?
- Procedures & policies (in-works)?
- How mature are the existing IT processes and
controls?
- Are they aligned with the ISO 27001
Requirements?

Enterprise Wide Project
Other business departments play an
important role in the ISMS
implementation.

Decision Making Factors
A number of factors influence when and how to
implement a standard:
– Business Objectives and priorities
– Existing IT maturity levels
– User acceptability and awareness
– Internal audit capability
– Contractual obligations
– Customer requirements
– Ability to adapt to change
– Adherence to internal processes
– Existing compliance efforts and legal requirements
– Existing training programs

Implementation Roadmap
• Initial Approach
• Management Support
• Scoping
• Planning
• Communications
• Risk Assessment
• Controls Selection
• Documentation
• Testing
• Successful Certification
2016
18

Advise
- Address risks and opportunities rather than
preventive action.
- Stress on maintaining documented
information rather than the information
record.
- Set objectives.
- Monitor performance and develop metrics.
2016
19

ISO 27001 Suggested Steps
• Define an ISMS Policy.
• Define the scope of the ISMS.
• Perform a security risk assessment.
• Manage the identified risk.
• Select controls to be implemented and
applied.
• Prepare an SOA.

Identify Business Objectives
• You should know your interested parties
(stakeholders).
• Identify and prioritize objectives to gain
management support.
• Objectives are identified from business
documents as: Mission, Strategic Plan and IT
Business Plan.

Identify Business Objectives
• Increase marketing reach.
• Assurance to business partners and customers.
• Increased revenue and profitability
• Assets identification
• Effective risk assessment
• Preserve organization’s reputation
• Compliance with government and industry
regulators

Obtain Management Support
Includes initiatives as:
• Information security policy exist.
• Information security objectives and plans.
• Roles & Responsibilities Information security matrix exist.
• Communicating the importance of adherence to information
security policies to the whole organization.
• Sufficient resources identified (manage, develop, maintain,
and implement the ISMS).
• Determination of the acceptable risk level.
• Periodic management reviews of the ISMS.
• Assurance of proper training to affected personnel by the
ISMS.
• Appointment of competent personnel accordingly in their
assigned roles & duties.

Implementation Scope
Standard requires listing scope exclusions and reasons.
When setting scope, consider:
- The selected scope helps achieve the identified business
objectives.
- Organization’s overall scale of operations to determine
the process’ complexity level.
- # of employees, business processes, # locations, products,
and services offered.
- What areas, locations, assets or technologies will be
controlled by the ISMS.
- Does the ISMS apply to suppliers?
- Are there dependencies on other organizations?
- Any regulatory or legislative standard applicable ?

Define a Risk Assessment Method
Risk assessment method must be defined and
documented. Things to consider:
• Which method used to assess the risk?
• Which risks are intolerable? and must be
mitigated.
• Manage the residual risk!

Prepare Inventory of Information Assets
Management has to prioritize assets (to be protected) according
to risk classification plus record owners, location, criticality
and replacement value of assets.
Three impact levels: high, medium, and low.
Identify risks and classify them according to severity and
vulnerability.
Based on risk values, determine whether risk is tolerable? Do we
need to implement a control to eliminate or reduce the risk.

Create a Risk Treatment Plan
• Organizations must either accept, avoid, transfer or
reduce the risk to an acceptable level.
• Identification of operational controls and additional
proposed controls.
• It is very important to obtain management approval of
the proposed residual risks.
• Develop a schedule of proposed control
implementation.

Allocate Resources & Train your Staff
The ISMS process highlights one of the most
important commitments for management:
Resources to manage, develop, maintain, and
implement the ISMS.
- Auditors ask to see documentation of training.

Monitor the Implementation of ISMS
• Internal audit review consists of testing of
controls and identifying corrective/preventive
actions.
• ISMS needs to be reviewed by management at
periodic planned intervals.
• Project Management Review: Follows
changes/improvement to policies, procedures,
controls and staffing decisions.
• Document and maintain all results.

Prepare for the Certification Audit
To be certified:
• Organization must conduct a full cycle of
internal audits,
• Management reviews and activities in the
PDCA process,
• Retains evidence of reviews and audits, and
• Management should review risk assessments,
risk treatment plans, SOA, and policies &
procedures annually.

Conduct Periodic Assessment Audits
• ISO 27001 follows the PDCA cycle and assists
management in knowing enterprise progression
along the cycle.
• Follow-up reviews or periodic audits confirm that the
organization remains in compliance with standard.
• Certification maintenance requires periodic
reassessment audits to confirm that the ISMS
continues to operate as specified.

Top Management Role in Implementing ISO/IEC 27001
References
• http://www.isaca.org/Journal/archives/2011/Volume-4/Documents/jpdf11v4-
Planning-for-and.pdf
• wwwo.aston-global.com/ISO900_14_setps_to_Implementation.pdf
• The Certified Manager of Quality/Organizational Excellence Handbook, Pages 293-
294
32
2016

??
QUESTIONS
THANK YOU
703-962-0793
khachabmy@ics4business.com www.ics4business.com
linkedin.com/in/mohamadkhachab

Top management role to implement ISO 27001

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