ISO/IEC FDIS 27013 - Information security, cybersecurity and privacy protection -- Guidance on the integrated implementation of ISO/IEC 27001 and ISO/IEC 20000-1

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ISO/IEC FDIS 27013

FINAL
INTERNATIONAL ISO/IEC
DRAFT
STANDARD FDIS
27013
ISO/IEC JTC 1/SC 27
Information security, cybersecurity
Secretariat: DIN
and privacy protection — Guidance
Voting begins on:
20210826 on the integrated implementation of
ISO/IEC 27001 and ISO/IEC 20000-1
Voting terminates on:
20211021
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO
ISO/IEC FDIS 27013:2021(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC FDIS 27013:2021(E)
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© ISO/IEC 2021

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ii © ISO/IEC 2021 – All rights reserved
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ISO/IEC FDIS 27013:2021(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Overview of ISO/IEC 27001 and ISO/IEC 20000-1 ............................................................................................................ 1

4.1 Understanding ISO/IEC 27001 and ISO/IEC 200001 .......................................................................................... 1

4.2 ISO/IEC 27001 concepts ................................................................................................................................................................. 2

4.3 ISO/IEC 200001 concepts ........................................................................................................................................................... 2

4.4 Similarities and differences ......................................................................................................................................................... 2

5 Approaches for integrated implementation ............................................................................................................................ 3

5.1 General ........................................................................................................................................................................................................... 3

5.2 Considerations of scope .................................................................................................................................................................. 3

5.3 Preimplementation scenarios .................................................................................................................................................. 4

5.3.1 General...................................................................................................................................................................................... 4

5.3.2 Neither standard is currently used as the basis for a management system ................. 4

5.3.3 The management system fulfils the requirements of one of the standards ................. 5

5.3.4 Separate management systems exist which fulfil the requirements of each

standard .................................................................................................................................................................................. 6

6 Integrated implementation considerations ............................................................................................................................. 6

6.1 General ........................................................................................................................................................................................................... 6

6.2 Potential challenges ............................................................................................................................................................................ 7

6.2.1 Requirements and controls .................................................................................................................................... 7

6.2.2 Assets and configuration items ........................................................................................................................... 7

6.2.3 Service design and transition ............................................................................................................................... 8

6.2.4 Risk assessment and management .................................................................................................................. 9

6.2.5 Risk and other parties ..............................................................................................................................................10

6.2.6 Incident management ........................................................................................................................................... ....10

6.2.7 Problem management ..............................................................................................................................................11

6.2.8 Gathering of evidence ...............................................................................................................................................12

6.2.9 Major incident management ...............................................................................................................................12

6.2.10 Classification and escalation of incidents................................................................................................12

6.2.11 Change management .................................................................................................................................................13

6.3 Potential gains ......................................................................................................................................................................................13

6.3.1 Service level management and reporting ................................................................................................13

6.3.2 Management commitment and continual improvement ...........................................................13

6.3.3 Capacity management ..............................................................................................................................................14

6.3.4 Management of third parties and related risk ....................................................................................14

6.3.5 Continuity and availability management .................................................................................................15

6.3.6 Release and deployment management ......................................................................................................15

Annex A (informative) Correspondence between ISO/IEC 27001:2013, Clauses 1 to 10, and

ISO/IEC 20000-1:2018, Clauses 1 to 10 .....................................................................................................................................17

Annex B (informative) Correspondence between the controls in ISO/IEC 27001:2013,

Annex A, and the requirements in ISO/IEC 20000-1:2018 ....................................................................................19

Annex C (informative) Comparison of terms and definitions between ISO/IEC 27000:2018

and ISO/IEC 20000-1:2018 .....................................................................................................................................................................22

Bibliography .............................................................................................................................................................................................................................57

© ISO/IEC 2021 – All rights reserved iii
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ISO/IEC FDIS 27013:2021(E)
Foreword

ISO (the International Organization for Standardization) and IEC (the International Electrotechnical

Commission) form the specialized system for worldwide standardization. National bodies that are

members of ISO or IEC participate in the development of International Standards through technical

committees established by the respective organization to deal with particular fields of technical

activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international

organizations, governmental and nongovernmental, in liaison with ISO and IEC, also take part in the

work.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for

the different types of document should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives or www .iec .ch/ members

_experts/ refdocs).

Attention is drawn to the possibility that some of the elements of this document may be the subject

of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent

rights. Details of any patent rights identified during the development of the document will be in the

Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents) or the IEC

list of patent declarations received (see patents.iec.ch).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO’s adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso .org/

iso/ foreword .html. In the IEC, see www .iec .ch/ understanding standards.

This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,

Subcommittee SC 27, Information security, cybersecurity and privacy protection.

This third edition cancels and replaces the second edition (ISO/IEC 27013:2015), which has been

technically revised. The main change compared with the previous edition is the alignment with

ISO/IEC 200001:2018.

A list of all parts in the ISO/IEC 27000 series can be found on the ISO and IEC websites.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www .iso .org/ members .html and www .iec .ch/ national

committees.
iv © ISO/IEC 2021 – All rights reserved
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ISO/IEC FDIS 27013:2021(E)
Introduction

The relationship between information security management and service management is so close that

many organizations already recognize the benefits of adopting the two International Standards for

these domains: ISO/IEC 27001 for information security management and ISO/IEC 20000-1 for service

management. It is common for an organization to improve the way it operates to achieve conformity

with the requirements specified in one International Standard and then make further improvements to

achieve conformity with the requirements of another.

There are a number of advantages for an organization in ensuring its management system takes

into account both the service life cycle and the protection of the organization’s information. These

benefits can be experienced whether one International Standard is implemented before the other, or

ISO/IEC 27001 and ISO/IEC 20000-1 are implemented simultaneously. Management and organizational

processes, in particular, can derive benefit from the mutually reinforcing concepts and similarities

between these International Standards and their common objectives.

Key benefits of an integrated implementation of information security management and service

management include the following:

a) credibility, to internal and external customers and other interested parties of the organization, of

effective and secure services;

b) lower cost of implementing, maintaining and auditing an integrated management system, where

effective and efficient management of both services and information security are part of an

organization’s strategy;

c) reduction in implementation time due to the integrated development of processes supporting both

service management and information security management;

d) better communication, increased reliability and improved operational efficiency through

elimination of unnecessary duplication;

e) a greater understanding by service management and information security personnel of each other’s

viewpoints;

f) an organization certified for ISO/IEC 27001 can more easily fulfil the requirements for information

security specified in ISO/IEC 20000-1:2018, 8.7.3, as ISO/IEC 27001 and ISO/IEC 20000-1 are

complementary in requirements.
This document is based on ISO/IEC 27001:2013 and ISO/IEC 200001:2018.

This document is intended for use by persons who intend to integrate ISO/IEC 27001 and

ISO/IEC 200001, and who are familiar with both, either or neither of those International Standards.

This document does not reproduce content of ISO/IEC 27001 or ISO/IEC 20000-1. Equally, it does not

describe all parts of each International Standard comprehensively. Only those parts where subject

matter overlaps or differs are described in detail. It is assumed that users of this document have access

to ISO/IEC 200001 and ISO/IEC 27001.

NOTE Specific legislations can exist, which can impact the planning of an organization’s management

system.
© ISO/IEC 2021 – All rights reserved v
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FINAL DRAFT INTERNATIONAL STANDARD ISO/IEC FDIS 27013:2021(E)
Information security, cybersecurity and privacy
protection — Guidance on the integrated implementation
of ISO/IEC 27001 and ISO/IEC 20000-1
1 Scope

This document gives guidance on the integrated implementation of ISO/IEC 27001 and ISO/IEC 200001

for organizations intending to:

a) implement ISO/IEC 27001 when ISO/IEC 20000-1 is already implemented, or vice versa;

b) implement both ISO/IEC 27001 and ISO/IEC 200001 together; or

c) integrate existing management systems based on ISO/IEC 27001 and ISO/IEC 20000-1.

This document focuses exclusively on the integrated implementation of an information security

management system (ISMS) as specified in ISO/IEC 27001 and a service management system (SMS) as

specified in ISO/IEC 20000-1.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO/IEC 200001:2018, Information technology — Service management — Part 1: Service management

system requirements

ISO/IEC 27000:2018, Information technology — Security techniques — Information security management

systems — Overview and vocabulary
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO/IEC 27000:2018 and

ISO/IEC 20000-1:2018 apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
4 Overview of ISO/IEC 27001 and ISO/IEC 20000-1
4.1 Understanding ISO/IEC 27001 and ISO/IEC 20000-1

An organization should have a good understanding of the characteristics, similarities and differences of

ISO/IEC 27001 and ISO/IEC 20000-1 before planning an integrated management system for information

security management and service management. This maximizes the time and resources available

for implementation. Subclauses 4.2 to 4.4 provide an introduction to the main concepts underlying

ISO/IEC 27001 and ISO/IEC 200001 but should not be used as a substitute for a detailed review.

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ISO/IEC FDIS 27013:2021(E)
4.2 ISO/IEC 27001 concepts

ISO/IEC 27001 provides a model for establishing, implementing, maintaining and continually improving

an information security management system (ISMS) to protect information. Information can take any

form, be stored in any way and be used for any purpose by, or within, the organization.

To achieve conformity with the requirements specified in ISO/IEC 27001, an organization should

implement an ISMS based on a risk assessment process. As part of a risk treatment process, the

organization should select, implement, monitor and review a variety of measures to manage identified

risks. These measures are known as information security controls. The organization should determine

acceptable levels of risk, taking into account the requirements of interested parties relevant to

information security. Examples of requirements are business requirements, legal and regulatory

requirements or contractual obligations.

ISO/IEC 27001 can be used by any type and size of organization. Excluding any of the requirements

specified in ISO/IEC 27001:2013, Clauses 4 to 10 is not acceptable when an organization claims

conformity to ISO/IEC 27001.
4.3 ISO/IEC 20000-1 concepts

ISO/IEC 20000-1 specifies requirements for establishing, implementing, maintaining and continually

improving a service management system (SMS). An SMS supports the management of the service life

cycle, including the planning, design, transition, delivery and improvement of services, which meet

agreed requirements and deliver value for customers, users and the organization delivering the

services.

Some of the requirements specified in ISO/IEC 20000-1 are grouped into clauses indicating processes,

such as incident management, change management and supplier management. Some requirements

for information security management are specified in ISO/IEC 20000-1:2018, 8.7.3. All requirements

specified in ISO/IEC 20000-1 are generic and are intended to be applicable to all organizations,

regardless of the organization’s type or size, or the nature of the services delivered. ISO/IEC 20000-1 is

intended for management of services using technology and digital information. Exclusion of any of the

requirements in ISO/IEC 20000-1:2018, Clauses 4 to 10, is not acceptable when the organization claims

conformity to ISO/IEC 20000-1, irrespective of the nature of the organization.
4.4 Similarities and differences

Service management and information security management are sometimes treated as if they are

neither connected nor interdependent. The context for such separation is that service management can

easily be related to efficiency, service quality, customer satisfaction and profitability, while information

security management is often not understood to be fundamental to effective service delivery. As a

result, service management is frequently implemented first. There are some shared concepts between

these two disciplines, as well as concepts that are unique to each.

Information security management and service management clearly address very similar requirements

and activities, even though the SMS and the ISMS each highlight different details. When working with

ISO/IEC 27001 and ISO/IEC 200001, it should be understood that their characteristics differ in more

than one aspect. It is possible that the scopes of an ISMS and an SMS can differ (see 5.2). They also have

different intended outcomes. ISO/IEC 200001 is designed to ensure that the organization provides

effective services, while ISO/IEC 27001 is designed to enable the organization to manage information

security risk and recover from or prevent information security incidents.

See Annex A for details of the correspondence between ISO/IEC 27001 and ISO/IEC 200001 for

Clauses 1 to 10. See Annex B for a comparison of topics between the controls in ISO/IEC 27001:2013,

Annex A and the requirements in ISO/IEC 20000-1:2018. See Annex C for a comparison of terms and

definitions between ISO/IEC 27000 and ISO/IEC 20000-1.
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ISO/IEC FDIS 27013:2021(E)
5 Approaches for integrated implementation
5.1 General

An organization planning to implement both ISO/IEC 27001 and ISO/IEC 200001 can be in one of three

states as follows:

— unofficial management arrangements exist which cover both information security management

and service management but have not been formalized, documented or deliberately integrated into

the organization’s other activities;
— there is a management system based on ISO/IEC 27001 or ISO/IEC 20000-1;

— there are separate management systems based on ISO/IEC 27001 and ISO/IEC 20000-1, but these

are not integrated.

An organization planning to implement an integrated management system for information security and

service management should consider at least the following:
a) other management system(s) already in use (e.g. a quality management system);

b) the scope(s) of the proposed ISMS and SMS, as well as any difference in scope between them, if

applicable;

c) all services, processes and their interdependencies in the context of the integrated management

system;
d) elements of each standard which can be merged and how they can be merged;
e) elements that are to remain separate;

f) the impact of the integrated management system on customers, suppliers and other interested

parties;
g) the impact on technology in use;
h) the impact on, or risk to, services and service management;

i) the impact on, or risk to, information security and information security management;

j) education and training in the integrated management system;
k) accountabilities and responsibilities for all requirements;
l) phases and sequence of implementation activities.
5.2 Considerations of scope

One area where an ISMS and an SMS can differ is on the subject of scope, namely, what assets, services,

processes and parts of the organization the management system should include.

ISO/IEC 20000-1 is concerned with the planning, design, transition, delivery and improvement of

services to deliver value to customers, users and the organization. The scope of ISO/IEC 200001

includes those activities that deliver services. The scope of an SMS can include all or some of the

services delivered by the organization. The organization in the scope of the SMS can be a whole or part

of a larger entity. The SMS scope can also be defined exclusively by a clear physical boundary, such as a

single site delivering services. The organization in the scope of the SMS can also be known as a service

provider.

ISO/IEC 27001 is concerned with how to manage information security risk. The scope of the ISMS covers

those activities related to managing the confidentiality, integrity and availability of the organization’s

For ISO/IEC 27001, the definition of the organization is that which is covered by the ISMS. As with

an SMS, an ISMS can be applied to part or all of an entity and can include services delivered by the

organization. The ISMS scope can also be defined exclusively by a clear physical boundary, such as a

security perimeter around a specific site or part of a site.

In some cases, the full requirements specified in ISO/IEC 20000-1 and ISO/IEC 27001 cannot be

implemented for all, or even part, of the organization’s activities. This can be the case if, for example,

an organization cannot conform to the requirements specified in ISO/IEC 20000-1 because other

parties provide or operate all the services, service components or processes in the scope of the SMS.

ISO/IEC 200001:2018, 8.2.3, states that not all services, service components and processes can be

provided by other parties – the organization itself should provide at least some of these.

An organization can implement an SMS and an ISMS with some overlap between the different scopes.

Where activities lie within the scope of both ISO/IEC 200001 and ISO/IEC 27001, the integrated

management system should take both ISO/IEC 20000-1 and ISO/IEC 27001 into consideration (see

Annex A). Differences in scope can result in some services included in the SMS being excluded from

the scope of the ISMS. Equally, the SMS can exclude processes and functions of the ISMS. For example,

some organizations choose to implement an ISMS only in their operation and communication functions,

while application management services are included in their SMS but not in the ISMS. Alternatively, the

ISMS can cover all the services, while the SMS can cover only the services for a particular customer or

some services for all customers. The organization should align the scopes of the management systems

as much as possible to ensure successful integration and to maximize the benefits of the integrated

management system.

NOTE Guidance on scope definition for ISO/IEC 20000-1 is available in ISO/IEC 20000-3. Guidance on the

scope definition for ISO/IEC 27001 is available in ISO/IEC 27003.
5.3 Pre-implementation scenarios
5.3.1 General

An organization planning an integrated management system can be in one of three states, as described

in 5.3.2 to 5.3.4. In all cases, the organization has some form of management processes or it would

not exist. Subclauses 5.3.2, 5.3.3 and 5.3.4 provide suggestions for implementation in each of the three

states described in 5.1.
5.3.2 Neither standard is currently used as the basis for a management system

It is easy to assume that, where neither an ISMS or an SMS is implemented, there are no policies,

processes and procedures and that, therefore, the situation is simple to deal with. However, this is a

misconception.

All organizations have some form of management system, which may simply be its processes, plans

and policies. This should be adapted to achieve conformity with the requirements specified in either

ISO/IEC 27001 and ISO/IEC 200001, or both.

The decision regarding the order in which the requirements for the ISMS and the SMS will be

implemented should be based on business needs and priorities. Decisions can be influenced by the

primary driver, for example competitive positioning or the need to demonstrate conformity to a

customer or other interested party.

Another important decision is whether to implement both an SMS and an ISMS concurrently or

sequentially. If the implementation is sequential, either the SMS or the ISMS is implemented and then

that management system is extended to include the additional requirements of the other. Both an

SMS and an ISMS can be implemented concurrently, if implementation activities and efforts can be

coordinated and duplication minimized. However, depending on the nature of the organization, it can

be prudent to start with the requirements specified in one standard and then expand the management

system to include the requirements of the other.
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ISO/IEC FDIS 27013:2021(E)
These considerations are illustrated in the following scenarios.

— Scenario 1: An organization that provides services should start with the implementation of

ISO/IEC 20000-1 and then, working from lessons learned during that implementation, expand the

management system to include the requirements specified in ISO/IEC 27001.

— Scenario 2: An organization that is using other parties for delivery of some services or parts of a

service should initially focus on ISO/IEC 20000-1. ISO/IEC 20000-1 includes more requirements for

managing other parties, including external and internal suppliers as well as customers acting as a

supplier. The organization should then proceed to ISO/IEC 27001.
— Scenario 3: A sm
...

ISO/IEC FDIS 27013

Information security, cybersecurity and privacy protection -- Guidance on the integrated implementation of ISO/IEC 27001 and ISO/IEC 20000-1

Information security, cybersecurity and privacy protection -- Guidance on the integrated implementation of ISO/IEC 27001 and ISO/IEC 20000-1

Sécurité de l'information, cybersécurité et protection de la vie privée -- Recommandations pour la mise en œuvre intégrée de l'ISO/IEC 27001 et de l'ISO/IEC 20000-1

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Information security, cybersecurity and privacy protection -- Guidance on the integrated implementation of ISO/IEC 27001 and ISO/IEC 20000-1

Sécurité de l'information, cybersécurité et protection de la vie privée -- Recommandations pour la mise en œuvre intégrée de l'ISO/IEC 27001 et de l'ISO/IEC 20000-1

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