What are the critical businesses and organizational areas? Which organizational areas provide the business and with what focus? What third party relationships and agreements exist? Are there any services that have been outsourced? What information is critical to the organization? What would be the likely consequences if certain information were to be disclosed to unauthorized parties e.
What laws relating to risk treatment or information security apply to the organization? Is the organization part of a public global organization that is required to have external financial reporting? What are the storage requirements including the retention periods for data storage? Are there any contractual requirements relating to privacy or quality e. The threat environment: 1.
What kind of protection is needed, and against what threats? What are the distinct categories of information that require protection? What are the distinct types of information activities that need to be protected? Competitive Drivers: 1. What are the minimum market requirements for information security? What additional information security controls should provide a competitive advantage for the organization?
Business continuity requirements 1. What are the critical business processes? How long can the organization tolerate interruptions to each critical business process? The preliminary ISMS scope can be determined by responding to the information above. This is also needed in order to create a business case and overall ISMS project plan for management approval.
The resulting information from the above supports this determination. Some topics which should be considered when making the initial decisions regarding scope include: a What are the mandates for information security management established by organizational management and the obligations imposed externally on the organization?
Is it fully operational, well maintained, and functioning as intended? Input Output from Activity 5. The preliminary scope of the ISMS should now be defined to provide management with guidance for implementation decisions, and to support further activities.
The preliminary ISMS scope is needed in order to create the business case and the proposed project plan for management approval. The output from this stage will be a document defining the preliminary scope of the ISMS, which includes: a a summary of the mandates for information security management established by organizational management, and the obligations imposed externally on the organization; b a description of how the area s in scope interact with other management systems; c a list of the business objectives of information security management as derived in clause 5.
The common elements and the operational differences between the processes of any existing management system s and the proposed ISMS should be identified. Input a output from Activity 5. Guidance In order to execute the ISMS project, the role of an organization for the project should be determined.
The role generally is different at each organization, because of the number of people dealing with information security. The organizational structure and resources for information security vary with the size, type and structure of the organization. For example, in a smaller organization, several roles may be carried out by the same person. However, management should explicitly identify the role typically Chief Information Security Officer, Information Security Manager or similar with overall responsibility for managing information security, and the staff should be assigned roles and responsibilities based on the skill required to perform the job.
This is critical to ensure that the tasks are carried out efficiently and effectively. The most important considerations in the definition of roles in information security management are: a overall responsibility for the tasks remains at the management level, b one person usually the Chief Information Security Officer is appointed to promote and co-ordinate the information security process, c each employee is equally responsible for his or her original task and for maintaining information security in the workplace and in the organization.
The roles for managing information security should work together; this may be facilitated by an Information Security Forum, or similar body. Collaboration with appropriate business specialists should be undertaken and documented at all stages of the development, implementation, operation and maintenance of the ISMS. Representatives from departments within the identified scope such as risk management are potential ISMS implementation team members.
This team should be maintained at the smallest practical size for speed and effective use of resources. Such areas are not only those directly included in the ISMS scope, but also the indirect divisions, such as legal, risk management and administrative departments. Output The deliverable is a document or table describing the roles and responsibilities with the names and organization needed to successfully implement an ISMS.
ISMS scope and 2. Guidance The information for the business case and initial ISMS project plan should include estimated timeline, resources, and milestones needed for the main activities noted in Clauses 6 to 9 of this International Standard. The business case and initial ISMS project plan serve as the base of the project, but also ensures management commitment and approval of resources needed for the ISMS implementation.
The manner in which the implemented ISMS will support the business objectives contributes to the effectiveness of the organizational processes and increases the efficiency of the business. The business case and ISMS project proposal should be updated as necessary as input is provided. Once sufficient support is gained, the business case and the ISMS project proposal should be presented to management for approval.
Management should approve the business case and initial project plan in order to achieve full organization commitment and begin execution of the ISMS project. The expected benefits from management commitment for implementing an ISMS are: a knowledge and implementation of relevant laws, regulations, contractual obligations and standards relating to information security, resulting in avoidance of liabilities and penalties of non-compliance, b efficient use of multiple processes for information security, c stability and increased confidence to grow through better management of information security risks, d identification and protection of business-critical information.
To build an effective management system for the organization, the detailed scope of the ISMS should be determined by considering critical information assets of the organization. It is important to have a common terminology and systematic approach for identifying information assets and assessing viable security mechanisms. This enables ease of communication and fosters consistent understanding through all phases of the implementation.
It is also important to ensure that critical organization areas are included in the scope. It is possible to define the scope of an ISMS to encompass the entire organization, or a part thereof, such as a division or clearly bounded subsidiary element. For example, in the case of "services" provided to customers, the scope of the ISMS can be a service, or a cross-functional management system an entire division or part of a division. Organizational scope and boundaries, ICT scope and boundaries 6.
However it is useful to reference already obtained scope and boundaries when defining other scope and boundaries. Input a b output from Activity 5. Guidance The amount of effort required to implement an ISMS is dependent on the magnitude of the scope to which it is to be applied. This can also impact all activities relating to maintenance of information security of in-scope items such as process, physical locations, IT systems and people , including implementing and maintaining controls,managing operations, and carrying out tasks such as identifying information assets and assessing risk.
If management decides to exclude certain parts of the organization from the scope of the ISMS, their reasons for doing so should be documented. When the scope of the ISMS is defined, it is important that its boundaries are clear enough to be explained to those who were not involved in its definition. Some controls relating to information security may already be in existence as a result of the deployment of other management systems.
One method of defining organizational boundaries is to identify those areas of responsibility which are nonoverlapping to ease assignment of accountability within an organization. Responsibilities directly related to information assets or business processes included in the ISMS scope should be selected as a part of organization which is under control of the ISMS. While defining organizational boundaries the following factors should be considered: a ISMS management forum should consist of managers directly involved in the scope of the ISMS.
Based on the approach, the organizational boundaries analyzed should identify all personnel affected by the ISMS, and this should be included in the scope. If some processes within the scope are outsourced to the third parties those dependencies should be clearly documented. Such dependencies will be subjected to further analysis in the ISMS implementation project.
Other information No other specific information. Once there is a management decision to include the information system business processes into the ISMS scope, all related ICT elements should be considered as well. This includes all parts of the organization which store, process or transport critical information, assets, or which are critical to the parts of the organization in-scope.
Information systems may span organizational or national borders. Should this be the case, the following should be considered: a socio-cultural environment b legal, regulatory and contractual requirements applicable to the organizations c accountability for key responsibilities d technical constraints e. Taking the above into consideration, ICT boundaries should include a description of the following when applicable a the communications infrastructure, where responsibility for managing it is held by the organization including various different technologies e.
See 6. Out-of-scope systems should be briefly summarised Other information No other specific information 6. For example, a physical location such as a datacenter or office may be selected, and critical processes listed; each of which involve areas outside that datacenter bringing those outside areas into scope.
One such critical process could, for example, be mobile access to a central information system. Output The deliverable of this activity is a document describing the scope and boundaries of the ISMS, containing the following information: a the key characteristics of the organization its function, structure, services, assets, and the scope and boundaries of the responsibility for each asset b the in-scope organizational processes c the configuration of in-scope equipment and networks d a preliminary list of in-scope information assets e a list of in-scope ICT assets e.
Input a output from Activity 6. This document should be re-confirmed in a later phase of the project as it is dependent on the outcome of the risk assessment. The activities described in this phase can be undertaken mainly in parallel with those described in Clause 6 for reasons of efficiency and practicality.
For each organizational process and specialist task, a decision needs to be made in terms of how critical the information is, i.
A variety of internal conditions may affect information security, and these should be determined. At this early stage it is not important to describe the information technology in detail. There should be a basic summary of the information analyzed for an organization process and the associated ICT applications and systems. The processes, functions, locations, information systems and communications networks need to be identified and documented, if they have not already been included as part of the ISMS scope.
The following should be addressed to get the detailed information security requirements for the ISMS: a preliminary identification of important information assets and their current information security protection. The fundamental purpose of the information security assessment is to provide information supporting the description required for the management system in the form of policy and guidelines. It is of course necessary to make sure that the identified deficiencies are dealt with in parallel via a prioritized action plan.
All parties involved should be familiar with the results of the organization analysis, standards documents, and have access to suitable management personnel. Information security assessments analyse current situation for the organization by using the following information and determine current status of information security and document vulnerabilities: a studying background facts based upon critical processes b information assets classification c organizational information security requirement.
The results of the information security assessment together with the objectives of the organization are often an important part of the incentive for future work on information security.
The information security assessment should be performed by an internal or external resource with an independent status in relation to the organization. Participation in the information security assessment should include individuals who possess a strong knowledge of the current environment, conditions, and what is relevant in terms of information security. These individuals should be selected to represent a broad spectrum across the organization and include: a line managers e.
For example, business process users and operational, administrative functions and legal functions. The following actions are important for successful information security assessment: a Identify and list the relevant standards of the organization e.
For example which processes are critical, how well do they currently work? The results are used later in the risk assessment. Output The deliverable of this activity is: a a document summarizing the assessed security status of the organization, and evaluated vulnerabilities.
Other information The information security assessment conducted at this stage will only deliver preliminary information about the organization's status of information security and vulnerabilities, because the full set of information security policies and standards is developed at a later stage see Clause 9 , and a risk assessment has not yet been conducted.
The identification, evaluation and planned treatment of the risks and the selection of control objectives and controls are important steps for an ISMS implementation and should be handled in this phase. It is assumed that management has committed to the implementation of the ISMS, and that the ISMS scope and ISMS policy have been defined, and that information assets are known as well as the information security assessment results.
Input a b c outputs from Activity in clause 7 Conducting information security requirements analysis - The information concerning: 1. ISMS scope 2. These individuals should be selected to represent a broad spectrum across the organization. An organization may employ a risk assessment methodology that is project-specific, company-specific or a sector specific standard. NOTE An incident scenario is the description of a threat exploiting a certain vulnerability or set of vulnerabilities in an information security incident.
Input a output from Activity 8. If there are no appropriate control objectives or controls in Annex A, the additional control objectives and controls should be specified and used. It is important to demonstrate how the selected controls will mitigate risks as required by the risk treatment plan.
Sector-specific controls may be identified to support the specific needs of the business as well as the ISMS.
In the case of risk reduction, managing the relationship between each risk and selected control objectives and controls is beneficial to designing the ISMS implementation. It could be added to the list that describes the relationship between the risks and the selected options for risk treatment. To facilitate audits, the organization should compile a list of controls which have been selected as relevant and applicable to the organization's ISMS.
This has the added advantage of improving business relationships, such as electronic outsourcing, by providing a summary of controls in place. It is important to be aware of that the summary of controls is very likely to contain sensitive information. Therefore, appropriate care should be taken when making the summary of controls available to both internal and external recipients. It may actually be appropriate to take the information generated as part of the creation of the ISMS into account during the definition of assets.
Output The deliverables of this activity are: a a list with selected controls and control objectives b the Risk Treatment Plan, with: 28 1. A description of the relation between risks and selected risk treatment option 2. Input a Output from Activities in 5. The preparations for the Statement of Applicability SoA should be included as a part of the information security management efforts.
Approval should be obtained from high-level management for the decision to accept residual risks, and authorisation obtained for the actual operation of the ISMS. These decisions should be based upon an assessment of the risks and opportunities likely to occur as a result of the implementation of the ISMS, as compared with those resulting from not implementing it.
Output The deliverables of this activity are: a written notice of management approval for implementing the ISMS b management acceptance of residual risks. The final ISMS project plan will be unique in its detail for the specific organization, depending on results from previous activities as well as the results of the specific activities in the design phase described in this clause.
The specific final ISMS project implementation plan is the output of this clause. The information assets as well as the results of the information security assessment are assumed to be available. In addition, the risk treatment plan describing the risks, risk treatment options, with the identified selected control objectives and controls should also be available. It should be noted that, in certain cases, the ISMS design may have a direct or indirect impact on the design of business processes.
Likewise it should be noted that there is usually a need to integrate ISMS components with pre-existing management and infrastructure arrangements.
This is to fulfil the requirements set by the organization and the technical implementation of controls to reduce risks. The focus is on certain activities that should be conducted in the implementation to achieve an operational ISMS which are: 1. ISMS improvement including corrective and preventive actions The development of the ISMS Project and the design of its related planned implementation of controls should involve and make use of the skills and experience of staff from those parts of the organization that are either within the ISMS scope or have ISMS related management responsibilities.
The ISMS specific aspects requires dialogue with management. To design the selected controls for the risk treatment, it is crucial to design the ICT and physical security environment and the organizational security environment. ICT security deals not only with information systems and networks but also with operational requirements.
Physical security deals with all aspects of access control, non-repudiation, physical protection of information assets and what is stored or kept in, as well as being itself a means of protection for security controls itself.
The controls selected in activities described in clause 8. This specific part of the ISMS project plan should address how to handle each risk in order to achieve the control objectives. This specific part of the ISMS project plan is essential if the selected controls are to be properly and effectively implemented. The information security management team is responsible for drawing up this specific part of the implementation plan, which then constitutes the final ISMS project plan.
Likewise, the integration of the ISMS into broader pre-existing management structures e. The organizational structure designed for the ISMS should reflect activities for implementation and operation of ISMS as well, addressing, for example, the methods of monitoring and recording as a part of the ISMS operations.
Output The deliverable of this activity is a document summarizing: a organization structure, and its roles and responsibilities Other information Annex B - Information about roles and responsibilities Annex C -Information about planning auditing 9. ISMS documents should provide the evidence that controls are selected based on the results of risk assessment and risk treatment, and that such processes are implemented along with the ISMS policy and objectives.
Documentation is essential for the reproducibility of results and procedures. As for selected controls, the establishment and documentation of the procedures should have a reference to the person responsible for the actual piece of documentation.
It is necessary for the ISMS documents to be managed and made available to personnel as required. This includes the following: a establish the administrative procedure of the ISMS document management b a formal approval of documents for adequacy prior to issue c ensuring that changes and the current revision status of documents are identified d protection and control the documents as an information asset of the organization It is important that relevant versions of applicable documents are available at points of use, ensuring that documents remain legible, readily identifiable, transferred, stored and ultimately, disposed of in accordance with the procedures applicable to their classification.
In addition, ensuring that documents of external origin are identified, that the distribution of documents is controlled, preventing the unintended use of obsolete documents, and applying suitable tracking to them if they are retained for any purpose.
It is also required to keep records of implementation status for the entire PDCA phase, as well as records of information security incidents and events, records of education, training, skills, experience and qualifications, internal ISMS audits, corrective and preventive actions, and organizational records.
The following tasks should be performed to control records: a document the controls required to identify, store, protect, search, and discard data, and document its storage duration b define what should be recorded, and to what extent, in the operational management processes c when any period of retention is specified by relevant laws or legislation, the period of retention should be set pursuant to such legal requirement. Output The deliverables of this activity are: a a document summarizing the requirements for ISMS records and documentation control b repositories and templates for the required records of the ISMS Other information No other specific information 9.
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