Compliance & Audit Services

ISO 27001 Lead Implementer – Auditor

  • May 8, 2025
  • 0

Sherlocked Security – ISO 27001 Lead Implementer / Auditor

Establishing and Assessing Information Security Management Systems (ISMS) for ISO 27001 Certification

1. Statement of Work (SOW)

Service Name: ISO 27001 Lead Implementer / Auditor
Client Type: Organizations seeking ISO 27001 certification for information security management
Service Model: ISMS Design & Implementation + Gap Analysis + Internal Audit + Certification Preparation
Compliance Coverage: ISO/IEC 27001:2013 – Information Security Management System (ISMS)

Assessment Types:

  • ISMS Framework Design
  • Information Security Risk Assessment
  • Internal Audit for ISO 27001 Compliance
  • Policy and Procedure Development
  • Gap Analysis & Remediation Plan
  • Certification Audit Support

2. Our Approach

[Initial Gap Analysis] → [ISMS Design & Documentation] → [Risk Assessment & Treatment] → [Control Implementation] → [Internal Audit] → [Certification Audit Preparation] → [Post-Certification Support]

3. Methodology

[Gap Analysis] → [Information Security Risk Assessment] → [Develop Policies, Procedures, and Controls] → [Implement Security Controls] → [Conduct Internal Audits] → [Prepare for External Certification Audit] → [Ongoing Monitoring and Improvement]

4. Deliverables to the Client

  1. ISO 27001 Gap Analysis Report
  2. ISMS Framework and Documentation (Policies, Procedures, Risk Assessment)
  3. Information Security Risk Assessment Report
  4. List of Implemented Security Controls and Procedures
  5. Internal Audit Report for ISO 27001 Compliance
  6. Pre-Audit Readiness and Certification Preparation Report
  7. Post-Certification Support and Continuous Improvement Plan

5. What We Need from You (Client Requirements)

  • Access to current information security policies, procedures, and controls
  • Overview of the organization’s IT infrastructure, processes, and workflows
  • List of critical assets, data, and systems to be included in the ISMS
  • Access to relevant staff for risk assessment and control implementation
  • Documented history of previous security audits, if available
  • Scope and objectives of ISO 27001 certification

6. Tools & Technology Stack

  • Risk Assessment Tools: ISO 27005, RiskWatch, FAIR
  • Documentation & Policy Management: OneTrust, Confluence, SharePoint
  • Security Control Frameworks: NIST CSF, CIS Controls
  • Internal Audit Management: TeamMate+, AuditBoard, GoAudits
  • Vulnerability Management: Tenable.io, Qualys, Nexpose
  • SIEM (Security Information and Event Management): Splunk, LogRhythm
  • Encryption & Data Protection: Vormetric, Symantec DLP

7. Engagement Lifecycle

1. Kickoff & Documentation Review → 2. Gap Analysis → 3. ISMS Design & Implementation → 4. Risk Assessment & Security Controls Implementation → 5. Internal Audit → 6. Certification Audit Preparation → 7. Post-Certification Support

8. Why Sherlocked Security?

Feature Sherlocked Advantage
Extensive ISO 27001 Experience Over 10 years of helping organizations achieve ISO 27001 certification.
Custom ISMS Design Tailored information security management system frameworks to fit client needs.
Comprehensive Risk Assessment Robust risk identification and treatment plans in alignment with ISO 27001 standards.
Internal Audit Expertise Expertise in preparing organizations for the internal and external ISO 27001 audit processes.
Post-Certification Support Ongoing support to ensure continued compliance and improvements after certification.

9. Real-World Case Studies

Organization Achieved ISO 27001 Certification

Issue: A large multinational corporation sought ISO 27001 certification for its global information security practices.
Impact: Lack of formalized security controls, inconsistent policies, and no formal risk management process.
Solution: Implemented a structured ISMS framework, conducted a comprehensive risk assessment, and aligned security controls with ISO 27001.
Outcome: Achieved ISO 27001 certification within 6 months, with continuous post-certification support for improvements.

Manufacturing Company Failed Initial ISO 27001 Certification Audit

Issue: A manufacturing company failed the ISO 27001 certification audit due to insufficient documentation and controls around information security risk treatment.
Impact: Delayed certification and increased audit costs.
Solution: Conducted an in-depth gap analysis, refined risk treatment plans, and implemented missing security controls.
Outcome: Successfully passed the certification audit after 3 months of remediation work.

10. SOP – Standard Operating Procedure

  1. Initial Kickoff & Scope Definition

    • Define the scope of the ISMS, including the critical assets, systems, and departments to be covered.
    • Identify business objectives and information security goals.
    • Set up governance and leadership roles for the ISMS.

  2. Gap Analysis & Assessment

    • Review existing security practices, policies, and controls.
    • Conduct a gap analysis against the ISO 27001 standard to identify areas of non-compliance.
    • Develop a remediation plan to address gaps.

  3. Design & Implement ISMS

    • Develop and document ISMS policies, procedures, and controls.
    • Align the ISMS with ISO 27001:2013 requirements.
    • Assign roles and responsibilities for security measures.

  4. Risk Assessment & Treatment

    • Identify and assess information security risks using ISO 27005 or other recognized frameworks.
    • Define risk treatment plans and prioritize mitigation actions based on risk levels.

  5. Implement Security Controls

    • Apply security controls from Annex A of ISO 27001 and other relevant frameworks (NIST, CIS).
    • Implement access controls, encryption, and network security measures.
    • Ensure physical security measures are in place to protect data.

  6. Internal Audit

    • Conduct internal audits to ensure that the ISMS is operating as intended and compliant with ISO 27001.
    • Prepare audit reports and corrective action plans for any non-conformities.
    • Provide feedback to improve the ISMS.

  7. Certification Preparation

    • Prepare the organization for the external ISO 27001 certification audit.
    • Ensure all documentation, policies, and processes are in order for the certifying body’s audit.
    • Conduct pre-certification audits to ensure readiness.

  8. Post-Certification Support

    • Provide ongoing support after ISO 27001 certification, including continuous monitoring and improvement.
    • Conduct periodic audits to ensure continued compliance and risk mitigation.
    • Update policies and controls as necessary in response to evolving threats.

11. ISO 27001 Lead Implementer / Auditor Checklist

1. ISMS Design & Documentation

  • Define the scope and objectives of the ISMS.
  • Develop information security policies and risk management frameworks.
  • Document roles and responsibilities for information security governance.
  • Align ISMS processes with ISO 27001 and other relevant standards.

2. Risk Assessment & Treatment

  • Identify and classify all information assets within the scope of the ISMS.
  • Assess risks to the confidentiality, integrity, and availability of information.
  • Develop a risk treatment plan that defines risk mitigation, acceptance, or transfer actions.
  • Prioritize risks based on their potential impact and likelihood.

3. Control Implementation

  • Implement controls from ISO 27001 Annex A (physical security, access control, incident management, etc.).
  • Implement encryption and access controls to safeguard sensitive data.
  • Apply security measures for network and system protection.
  • Ensure proper configuration management for security systems.

4. Documentation and Policies

  • Ensure all ISMS policies are clearly documented and accessible.
  • Maintain records of risk assessments, treatment plans, and security incidents.
  • Regularly update documentation to reflect changes in business processes or risk landscape.

5. Internal Audits

  • Conduct internal audits on a regular basis to ensure ISMS effectiveness.
  • Identify areas of non-compliance and implement corrective actions.
  • Maintain records of internal audits and corrective actions taken.

6. Certification Audit Preparation

  • Prepare the organization for the certification audit by ensuring all ISO 27001 requirements are met.
  • Conduct mock certification audits to assess readiness.
  • Prepare necessary documentation and evidence for the audit process.

7. Continuous Monitoring & Improvement

  • Implement continuous monitoring of security controls to detect any weaknesses or vulnerabilities.
  • Use incident response protocols to quickly address any security breaches.
  • Regularly review and update the ISMS to adapt to new risks, technologies, and regulations.
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