ISO/IEC 27001:2013 Certification: Step-by-Step Guide

Any organisation wishing to become ISO certified needs to implement and maintain an ISO Management System. Here are the recommended steps:

Step 1 – Gap Assessment

A Gap Assessment is crucial for organisations to:

  • Understand their current conformance to the chosen ISO Standard.
  • Identify existing documentation and records aligned with the standard and map these to the ISO Standard's requirements.
  • Estimate the work required to conform to the ISO standard and to comply with legal requirements.

The outputs of a Gap Assessment include:

  • A Gap Assessment report indicating current conformance to the standard and the performance of its Management System.
  • An obligation-free proposal to assist the organisation in closing the identified gaps, including a project plan for implementation and preparation for certification.

Step 2 - Closing Gaps

During this stage, gaps are closed from a documentation and governance perspective according to the standard. Key activities include:

  • Awareness Training for all staff on the importance of ISO, the benefits of ISO certification, and the specific requirements per role.
  • Gathering information to understand roles, responsibilities, processes, and procedures.
  • Standardising templates for all documentation and aligning them with the corporate identity.
  • Documenting the Management system to align with the standard’s requirements.
  • Focusing on risk management and specific plans aligned to the standard, with forms created to collect data and generate statistics.

Step 3 – Implementation of the ISO Management System

During this stage:

  • ISO management system documentation is implemented, and records for at least 3 – 6 months are generated.
  • On-the-job training and workshops are conducted to educate staff on how to use the management system.
  • Internal audit training and maintenance training are conducted to ensure skills transfer.
  • Internal audits (dress rehearsals) are conducted with workshops on non-conformances, corrective actions, the updating of risk assessments and the management system if required.
  • A management review is conducted where an action plan is created to manage and document all items, either capital or operational expenditure.

Step 4 – Certification

When choosing a certification body, consider:

  • Their accreditation. Look for logos such as South African National Accreditation System (SANAS), United Kingdom Assurance Services (UKAS), International Accreditation Forum (IAF), Deutsche Akkreditierungsstelle (DAkkS) etc.
  • Their credibility. Certification bodies should be audited by an accreditation body to the ISO 17021 standard to ensure their validity.

Some notable certification bodies include:

  • British Standards Institute (BSI)
  • South African Bureau of Standards (SABS)
  • TUV Nord
  • Standard Global Service (SGS)
  • TUV Rhineland
  • Bureau Veritas
  • TUV Sud

Finally, understand the difference between Single Site and Multi-Site Certification:

  • Single Site Certification – One site/location and its departments (HR, Finance etc.) and Processes (Recruitment, Induction, Creditors and Debtors) are audited.
  • Multi-Site Certification – Organisations with various sites or offices across the country or world require multi-site certification. The sites are sampled over a 3-year period. The Initial Stage 2 audit will be conducted for all sites.

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