This document provides an overview of transitioning an information security management system (ISMS) from ISO/IEC 27001:2005 to ISO/IEC 27001:2013. It begins with introductions from SAI Global and CQR, both of which provide ISO 27001 consulting and certification services. The document then outlines the key changes between the 2005 and 2013 versions, including changes to mandatory clauses, risk management requirements, controls in Annex A, and transition activities. It emphasizes reviewing the ISMS scope, risk assessments, documentation, metrics, and certification timelines as part of the transition process. The presentation aims to help organizations understand the differences between the standards and plan their transition.

1. Transitioning to ISO 27001:2013

2. 2
Welcome and Introductions SAI Global
 Provides information services and solutions globally
to:
– Manage risk
– Achieve compliance
– Drive business improvement
 Leading provider of ISO 27001 assurance services in
the region
 Provides training in understanding, implementing and
auditing Information Security Management Systems

3. 3
Introductions CQR
 Largest Australian-owned independent information
security consultancy
 Experts in the design, implementation and operations
of ISMS’ based on ISO 27001
 Our specialists have assisted in excess of 20
organisations globally through the certification
process
 CQR has been certified to ISO 27001 for almost 9
years

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Learning Outcomes
 At the end of the session, you will have:
– An understanding of the differences between
the 2005 and 2013 version of ISO/IEC 27001
– Information to allow you to start to plan the
necessary transition activities

5. 5
Agenda
 Brief history of ISO 27001 and 27002
 Drivers for updating the standard
 Changes to the mandatory clauses
– 2005 – Clauses 4 to 8
– 2013 - Clauses 4 to 10
 Key changes to Annex A
 Transition Activities
 Certification considerations
 Q&A

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The evolution of ISO 27001 revisited

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ISO 27001 Revisited
 Developed from BS 7799 Part 2
 First released in 2005 as the core standard in
the 27000 family for information security
 Supporting standard ISO 27002 renamed from
ISO 17799 in 2007
 Both standards updated and published in 2013
 ISO 27001 is the “auditable” and “certifiable”
standard

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Drivers for the update

9. 9
Why the update?
 Experience over the last 2 decades with a large
number of organisations globally
 The changing landscape (outsourcing, cloud
etc.)
 To align the standard with key principles within
the ISO 31000 risk management standard

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Why the update?
 Driven by the need to align the structure of ALL
ISO management systems standards
– Shared language for all non-specific
components of the management systems
– Conformance with Annex SL requirements

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Conceptual Differences

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Concepts and Context differences
 No formal PDCA model any more as long as
continual improvement occurs
 Shift to move support of the ISMS to the
executive management level (“top
management”)
 Management of risks has higher focus than
control effectiveness
 Now have the concept of “risk owner”

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Changes to the mandatory clauses

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Mandatory Clauses – 2005 version
 Clauses 0-3 provide background and definitions
 Clauses 4-8 provide the mandatory
requirements for the ISMS
 Clause 4 – Information security management
system
 Clause 5 – Management responsibility
 Clause 6 – Internal ISMS audits
 Clause 7 – Management review of the ISMS
 Clause 8 – ISMS Improvement

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Mandatory Clauses – 2013 version
 Clauses 0-3 provide background
 Clauses 4-10 provide the mandatory
requirements for the ISMS
 Clause 4 – Context of the organisation
 Clause 5 – Leadership
 Clause 6 – Planning
 Clause 7 – Support
 Clause 8 – Operation
 Clause 9 – Performance evaluation
 Clause 10 - Improvement

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Key differences
 Need to document motivation and context for
operating an ISMS
 Requirement to consider interfaces and
dependencies with other parties
 Need to include external risk sources and
outsourced functions
 Must be included in scope
 The ISMS Policy has been removed and now only
refers to an Information Security Policy

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Key Differences
 Alignment of risk approach to ISO 31000 rather than
the current version of ISO 27005
 Don’t need to identify assets, threats and
vulnerabilities before risk identification
 Risk sections now discuss “consequences” not
“impact”
 Formally requires risk owners to approve the risk
treatment plans

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Key Differences
 Preventive action as a concept disappears
– Replaced by “risks and opportunities”
 Determination of controls is now part of the risk
assessment, not a separate selection process from
Annex A
 However, still need to validate selected controls
against Annex A to verify no necessary controls have
been omitted
 A Statement of Applicability is still required

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Key Differences – Mandatory Procedures
 2005 had 5 mandatory procedures
 2013 has removed the explicit requirement
 Still required to control documented information
– Including supporting records
 Internal Audit activity is still required but no longer
requires a formal procedure
 Non-conformity and corrective action must still occur
 Explicit preventive action requirement is removed

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Key Differences – Mandatory Requirements
 Management Review changes
– Must occur at planned intervals (used to be at
least annually)
– No longer defines specific precise inputs and
outputs but provides a list of topics that need to
be considered
 Internal Audit
– Statement that auditors shall not audit their won
work has been removed
– However, must be objective and impartial

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Annexure A Changes

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Annex A
 2005 had 133 controls in 11 sections
 2013 has 114 controls in 14 sections
 Some controls have been removed completely
– E.g. A.12.5.4 Information leakage
–
A.11.5.6 Limitation of connection time
 Others are combined – E.g. malicious and mobile
code is now Malware (new A.12.2.1)
 Some new controls added
 My view – the new Annex A is a simplified set of
controls that are more easily understood

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Annex A
 Have split Communications and Operations
Management (A.10) into two
– A.12 Operations security
– A.13 Communications security
 Also now have a separate section (A.10) for
Cryptography
 Business Continuity section has undergone
significant change, focusing on embedding
information security into the organisation’s BCMS
– This section also addresses redundant facilities

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Other Changes

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Annexures B and C (2005)
 Annex B contained the cross reference to the OECD
principles
 Also referred to the PDCA model which has been
dropped
 There is no equivalent annexure in the 2013 version
 Annex C provided a cross-reference between 27001
and other standards
 Given the revision of the other standards this section
has also been removed with no replacement

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Transition Activities

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Transition Activities
 Assumption – you have an ISMS in place based on
the ISO/IEC 27001:2005 standard
– Equivalent to AS/NZS ISO/IEC 27001:2006
 Assumption – Goal is to keep changes to a
minimum

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Transition Activities
 Where to start?
– Is a gap analysis worthwhile?
– Yes, level will depend on how close you are to
your system
 You need to have some sort of transition plan and
a gap analysis may help identify tasks
 Once you have identified key activities, add them
to your current system as improvement
opportunities

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Transition Activities
 Document all “interested parties”
– Internal and external
 Re-visit your Scope statement
– Make sure you capture the interfaces with third
parties and the security requirements around
these interfaces

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Transition Activities
 For Management, specifically allocate responsibility
for
– Ensuring the ISMS conforms with the standard
– Reporting on the performance of the ISMS to
top management
 Capture business objectives and understand how
your ISMS can assist in delivering against these
(align business and security objectives)

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Transition Activities
 Review your ISMS policy (in 2013, called the
Information Security Policy) and simplify if there is
value in doing so.
– You can leave it unchanged if it’s working!
– Can add the roles and responsibilities previously
discussed in this document if you wish

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Transition Activities
 Review your risk management procedure
– Can simplify by removing the asset-threatvulnerability approach
– Ensure that you have a process to identify and
record “risk owners”
 Revisit your risk assessments and get approval of
treatments from the risk owners
– Still need a record of acceptance of residual risk

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Transition Activities
 Revisit your Statement of Applicability (SoA)
– Map risks against new Annex A controls
– Just because a control has disappeared from
Annex A does not mean you should remove it
– If it still manages a risk, it should still appear in
your SoA
 Check references in the rest of your system to
controls within the SoA (risk register etc.)

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Transition Activities
 Review the required documentation
– Do you want to keep your versions of the old
mandatory procedures
– What documents can be retired?
– What new documents are needed?
– New documents may be required based on any
new controls selected in your Statement of
Applicability

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Transition Activities
 Potential new documents
– Information security objectives (Not Annex A
related)
– A.14.2.1 Secure Development Policy
– A.14.2.5 Secure Systems Engineering principles
– A.15.1.1 InfoSec Policy for Supplier Relationships
– A.16.1.7 a procedure for evidence management

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Transition Activities
 Revisit your metrics and measures
– New version has more focus on metrics and
measures
– Need to identify what your metrics will be and
how you will measure the performance of the
ISMS
 Only measure that which provides value
(information on the performance of the ISMS)

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Transition Activities
 Need to ensure that you define
– How things will be measured
– Who monitors/measures
– When will it be done
– Who is going to look at the results
– When will this happen

38. 38
Additional Workshops
 Melbourne – 9th December
 Sydney – 10th December
 Further information
www.saiglobal.com or
http://training.saiglobal.com/tis/promotion.aspx?id=a0
c20000005bAeQ

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Certification Considerations

40. 40
Certification
 For new certifications, can choose to certify to the
2005 version until Sept 2014
 For organisations currently certified to the 2005
version, you have until Sept 2015 to transition your
system
 Don’t leave it until the last minute, start making the
necessary changes as soon as you can

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Any questions?

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Thanks for your attention
Enjoy you day!
david.simpson@cqr.com