ISO certifications, as well as the implementation of an Information Security Management System (ISMS) based on IT baseline protection standards, are seen by many companies as proof of their quality and professional approach to conducting business. While this is an important foundation for any company, things don’t always go according to plan. Here are the most common pitfalls in ISO/ISMS implementation and certification, along with possible solutions.
1. Lack of commitment from management
One of the key factors preventing successful ISO/ISMS implementations in companies is a lack of commitment from management. They must understand the importance of ISO/ISMS implementation and actively champion its rollout and maintenance. Without management’s commitment, it’s often difficult to get all employees on board and ensure that ISO standards, or even IT baseline protection standards, are integrated into daily business operations.
As a result, companies should provide top-down clarity about the importance of such initiatives — even if implementation can be costly and inconvenient. “Cleaning up” isn’t always pleasant, but the result is all the more worthwhile. If management supports and promotes ISO/ISMS implementation, this can lead to successful completion and an improved company image.
2. Approaching implementation as a one-off activity
One of the most common reasons why ISO/ISMS implementations fail in companies is that they are not actually integrated into daily business operations. Many view ISO/ISMS implementation as a one-off activity, undertaken simply to obtain the certification. However, they neglect to integrate the established processes into their daily business practices. Without genuine integration into daily operations, the certification becomes useless, and the benefits it offers remain unrealized. In the worst-case scenario, organizations even end up losing money, while also missing out on the implementation’s potential value.
When integrating a management system, it’s important not to get bogged down in details. The practical application of the system in real-world work situations is crucial for its success. Instead of writing complicated prose, a graphic might suffice. As the saying goes, “A picture is worth a thousand words.” If processes are easy and intuitive to understand and clearly implemented, they will be followed. Automating processes can also be helpful. An external perspective from an experienced consultant can also be beneficial.
3. Not fully involving all employees
Another common problem with ISO/ISMS implementations is the lack of participation from all employees. If only a small part of the company is responsible for implementing the ISO/ISMS, desynchronization can occur between departments that are not part of the process. This leads to certain departments not participating in the intended procedures and ultimately to the failure of the ISO/ISMS implementation.
The solution? Find out in the next section.
4. Lack of employee engagement
Another factor that hinders the functionality of ISO/ISMS implementations is the lack of employee engagement with the implementation and the resulting management system. Employees need to understand why the implementation is important, how it will be integrated into their daily workflows, and how it will make their work easier. If this isn’t the case, it will be difficult to implement the system and maintain any resulting certification.
One solution is training and professional development programs. These help ensure that employees are involved in the certification process early on. This guarantees that all employees understand the importance of certification and how it can be integrated into their daily work routines.
Furthermore, training and involving employees ensures that the management system is implemented effectively. Employees thus actively contribute to its improvement.
5. Neglecting skills development
Training for employees in the context of ISO/ISMS implementation is important in many respects. A lack of competence among those responsible often contributes to the failure of certification projects, at the latest during the audit. Therefore, training and raising awareness among all employees about the importance of ISO/ISMS implementation and their role in its realization are essential.
A well-trained team finds effective and efficient solutions for developing and implementing a management system. This helps avoid excessive bureaucracy. Therefore, building competence from the outset is a crucial factor for the success of ISO/ISMS implementations.
6. Implementation without a plan
Another obstacle to implementing ISO/ISMS standards is the lack of a clear plan of action. Many organizations begin the process without a precise understanding of what is needed for successful implementation or certification. This leads to a waste of time and resources. Without a detailed plan, companies focus on areas that are irrelevant or do not meet the requirements of the ISO/IT baseline protection standards. Furthermore, if the implementation of a management system takes too long, regular business development can overtake the process itself, resulting in duplicated work to keep up with changes.
One possible solution is to create a clear plan that outlines the steps for implementing the standards. This plan should consider the specific requirements of the chosen standards, the time and resources needed for implementation/certification, as well as the responsibilities and tasks of the employees and departments involved. By clearly defining a deadline for the initial setup of the management system, companies can ensure they focus on the most critical areas, enabling them to use time and resources more effectively. A preliminary gap analysis is a proven method for gaining clarity and establishing the foundation for concrete planning.
7. Not being fully honest during the assessment phase
If companies lie to themselves, ISO/ISMS implementations won’t work either. Often, vulnerability and risk analyses aren’t viewed objectively, or relevant topics are simply overlooked. It’s like the motto: “What the auditor doesn’t know won’t hurt him.”
This leads to companies inadequately addressing their risks or failing to recognize them at all, thus impairing the effectiveness of their management system. The outcry is often considerable when a risk materializes after a previously positive assessment and immense costs are incurred to rectify it.
A dishonest approach leads to a superficial and incomplete implementation of the chosen standards, ultimately rendering their introduction and, if applicable, their certification pointless.
One solution is for companies to be brutally honest with themselves and, if necessary, seek external help to help themselves. An impartial and experienced consultant can help to accurately assess risks. Furthermore, they can highlight potential scenarios that might otherwise go unnoticed due to organizational blindness. This allows the company to conduct an honest risk analysis and identify weaknesses within the organization, ensuring the effective implementation of the chosen standards.
8. Lack of follow up
Another common problem with ISO/ISMS implementations is the lack of a continuous monitoring and improvement process. Many companies view ISO/ISMS implementation as a one-off process. However, if no ongoing efforts are made to maintain and improve the implementation of the chosen standards, the company risks quickly falling behind the latest trends and requirements. In the worst-case scenario, the company may even lose its certification, which is then correspondingly difficult to regain.
To avoid these problems, companies must view ISO/ISMS implementation as a continuous process that is constantly monitored and improved. All employees should be involved in the process to ensure smooth implementation and genuine integration into daily business operations. Furthermore, it is essential that regular reviews and audits are conducted. This ensures that organizations always comply with the latest standards.
9. Use of cheap solutions
Implementing and certifying an ISO/ISMS is not for companies looking for cheap solutions. Many companies try to save costs by opting for less expensive solutions or attempting to implement the standards on their own without adequate resources.
This regularly leads to companies overlooking important areas or implementing inadequate solutions that don’t fully meet the standards or simply create extra work without realizing the potential benefits of a management system. It’s crucial to understand that implementing ISO/IT Baseline Protection standards is a significant, long-term process. This requires a substantial investment to ensure all requirements are met and the management system is implemented efficiently. What’s the point of saving money at the beginning only to incur higher costs in the long run to correct flaws in the foundation?
This dilemma can be resolved through a clear and comprehensive inventory combined with a target comparison. Based on a clear understanding of what needs to be done, an appropriate budget can be allocated for implementing the chosen standards, and high-quality solutions that meet the requirements can be selected.
This also brings long-term benefits to management systems, such as improved efficiency, quality, and customer satisfaction, which can ultimately lead to higher sales and profits. Therefore, the additional effort invested during system implementation pays off in the long run.