Introduction
I am going to show you what ISO 27001 Annex A 5.2 Roles and Responsibilities is, what’s new, give you ISO 27001 templates, an ISO 27001 toolkit, show you examples, do a walkthrough and show you how to implement it.
I am Stuart Barker the ISO 27001 Ninja and using over 30 years experience on hundreds of ISO 27001 audits and ISO 27001 certifications I show you exactly what changed in the ISO 27001 update and exactly what you need to do for ISO 27001 certification.
Table of contents
- Introduction
- ISO 27001 Roles and Responsibilities
- What is ISO 27001 Annex A 5.2?
- Purpose
- Definition
- Implementation Guide
- ISO 27001 Roles and Responsibilities Template
- Watch the Tutorial
- How to comply
- What the auditor will check
- Top 3 Mistakes People Make
- Implementation Checklist
- Audit Checklist
- ISO 27001 Roles and Responsibilities FAQ
- Controls and Attribute Values
- Further Reading
ISO 27001 Roles and Responsibilities
It is important to have competent people in place implementing and operating the information security management system.
ISO 27001 Information security roles and responsibilities is about ensuring the you have the required roles for information security and that those roles and responsibilities are documented.
What is ISO 27001 Annex A 5.2?
ISO 27001 Annex A 5.2 Information Security Roles and Responsibilities is an ISO 27001 Annex A control that requires an organisation to define information security roles and responsibilities and allocate those to people.
Purpose
The purpose of ISO 27001 Annex A 5.2 is to ensure that a defined, approved and understood structure is in place for the implementation and operation of the information security management system.
Definition
ISO 27001 defines ISO 27001 Annex A 5.2 Roles and Responsibilities as:
Information security roles and responsibilities should be defined and allocated according to the organisation needs.
ISO27001:2022 Annex A 5.2 Information Security Roles and Responsibilities
Implementation Guide
General Guidance
You are going to have to
- work out what roles you need
- decide on what responsibilities those roles have
- pick people in your organisation and assign those roles and responsibilities to them
- document it
- publish it
- have them acknowledged by staff
- review them at regular intervals
How to document roles and responsibilities
If you are resolutely dead set on going through the pain of this yourself you are going to need copies of the relevant standards for information security, about 1 week of your life dedicated to this and a lot, and I mean a lot, of patience.
You then need to work through policies, research organisational best practice, and work out exactly what roles you need. Then work out what responsibilities they should have. We fast tracked it in our template and can tell you it is a massive ball ache.
When you finally do implement it, depending on the size of your organisation, it is not uncommon for one person to hold more than one role.
You may be thinking, if it is one person doing all the work why do I need to document so many roles?
The short answer is because the ISO 27001 standard requires it and if you are going for ISO 27001 certification then you need it.
The longer answer is that as you grow, more people will take on these roles and spread the work load.
ISO 27001 Roles and Responsibilities Template
The absolute best way to do this is to use the ISO 27001 Assigned Roles and Responsibilities template that has the roles and responsibilities already written out and all you have to do is put the names of the people in it.
Watch the Tutorial
In the video ISO 27001 Roles and Responsibilities Explained – ISO27001:2022 Annex A 5.2 show you how to implement it and how to pass the audit.
How to comply
To comply with ISO 27001 Annex A 5.2 you are going to implement the ‘how’ to the ‘what’ the control is expecting. In short measure you are going to
- Write an ISO 27001 roles and responsibilities document
- Set out what roles you have and the responsibilities those roles undertake
- Create an organisation of the roles to show how they work together
- Assign people to those roles and document when they were assigned
- Review and approve the roles and responsibilities document
- Publish the roles and responsibilities document to a place everyone that needs to see them can see them
- Plan to review your roles and responsibilities at least annually or if significant change occurs
- Keep records of your review and the changes
What the auditor will check
The audit is going to check a number of areas for compliance with ISO 27001 Annex A 5.2 ISO 27001 Roles and Responsibilities. Lets go through them
1. That you have documented your roles and responsibilities
What this means is that you will have a document that sets out what the roles and responsibilities are that are involved in the ISO 27001 implementation and operation of your information security management system. What needs doing and what will be done.
2. That you have have allocated your roles and responsibilities
For the roles and responsible that you have defined and documented you are going to allocate people to them to do the work. Has each defined role been allocated to someone and can you say who if asked?
3. That allocated people are competent
We allocate people but not just any old people. The people that do the role have to be competent to perform the role. This usually means the checking of qualifications, training and / or experience.
Top 3 Mistakes People Make
In my experience, the top 3 mistakes people make for ISO 27001 Roles and Responsibilities are
1. You have not documented the actual roles you require
You need to keep records and minutes of everything. You need a paper trail to show it was done. Make sure you have updated communication plans, minutes of meetings, records of acknowledgement, records of approval. If it isn’t written down it didn’t happen.
2. You allocated a role to someone that no longer works here
Prior to the audit check that roles are assigned to people that actually work here. You will be surprised how often this trips people up. Check!
3. Your document and version control is wrong
Keeping your document version control up to date, making sure that version numbers match where used, having a review evidenced in the last 12 months, having documents that have no ‘comments’ in are all good practices.
Implementation Checklist
Roles and Responsibilities ISO 27001 Annex A 5.2 Implementation Checklist:
1. Define Key Roles and Responsibilities
Challenge: Identifying and defining all necessary roles and responsibilities related to information security.
Solution: Conduct a thorough risk assessment to understand the specific security needs of the organisation. Involve key stakeholders and subject matter experts in the process.
2. Document Roles and Responsibilities
Challenge: Ensuring that all roles and responsibilities are clearly documented and easily accessible to all employees.
Solution: Create a centralised repository for all information security-related documentation, such as a shared drive or an internal wiki.
3. Assign Roles and Responsibilities
Challenge: Matching the right individuals to the appropriate roles and responsibilities based on their skills, experience, and job functions.
Solution: Consider factors such as job descriptions, skill assessments, and employee preferences when assigning roles and responsibilities.
4. Communicate and Train
Challenge: Ensuring that all employees understand their roles and responsibilities related to information security.
Solution: Conduct regular training sessions and awareness campaigns to educate employees on their specific responsibilities.
5. Obtain Acknowledgement
Challenge: Ensuring that all employees acknowledge their understanding and acceptance of their assigned roles and responsibilities.
Solution: Implement a system for tracking and recording employee acknowledgements, such as signed forms or online training modules.
6. Monitor and Review
Challenge: Regularly monitoring and reviewing the effectiveness of role and responsibility assignments.
Solution: Conduct periodic reviews to assess whether the current assignments are still appropriate and effective. Consider feedback from employees and managers.
7. Address Changes
Challenge: Ensuring that roles and responsibilities are updated to reflect changes in the organisation, technology, and threat landscape.
Solution: Regularly review and update role and responsibility assignments as needed. Communicate any changes to all affected employees.
8. Ensure Adequate Resources
Challenge: Providing employees with the necessary resources and support to fulfil their information security responsibilities.
Solution: Provide employees with the necessary training, tools, and resources to effectively perform their security-related duties.
9. Promote Accountability
Challenge: Ensuring that individuals are held accountable for fulfilling their information security responsibilities.
Solution: Establish clear consequences for non-compliance with information security policies and procedures. Conduct regular audits and reviews to identify and address any issues.
10. Continual Improvement
Challenge: Continuously improving the process for defining, assigning, and managing information security roles and responsibilities.
Solution: Regularly gather feedback from employees and stakeholders to identify areas for improvement. Conduct periodic reviews of the process and make necessary adjustments.
Audit Checklist
Roles and Responsibilities ISO 27001 Annex A 5.2 Audit Checklist:
1. Review Role and Responsibility Documentation
- Examine the documented information security roles and responsibilities matrix.
- Verify that it includes all key roles and responsibilities within the organisation.
- Check for clarity, completeness, and consistency in the documentation.
2. Assess Role and Responsibility Assignments
- Determine if roles and responsibilities are appropriately assigned to individuals based on their skills, experience, and job functions.
- Evaluate whether the workload is appropriately distributed across individuals.
- Check for any potential conflicts of interest or overlaps in responsibilities.
3. Verify Employee Understanding
- Interview employees to assess their understanding of their own roles and responsibilities related to information security.
- Observe employee behaviour to determine if they are fulfilling their assigned responsibilities.
- Review training records to ensure that employees have received adequate training on their security-related duties.
4. Examine Role and Responsibility Communication
- Verify that roles and responsibilities are effectively communicated to all employees through appropriate channels (e.g., employee handbooks, intranet, training sessions).
- Check for evidence of employee acknowledgement of their understanding and acceptance of their roles and responsibilities.
5. Assess Role and Responsibility Reviews
- Determine if there is a process in place for regularly reviewing and updating roles and responsibilities.
- Evaluate the effectiveness of the review process in ensuring that roles and responsibilities remain relevant and appropriate.
- Check for documentation of role and responsibility reviews and any resulting changes.
6. Evaluate Resource Allocation
- Assess whether employees have the necessary resources (e.g., training, tools, support) to effectively fulfil their information security responsibilities.
- Identify any resource gaps and recommend appropriate corrective actions.
7. Examine Accountability Mechanisms
- Determine if there are clear mechanisms in place for holding individuals accountable for fulfilling their information security responsibilities.
- Evaluate the effectiveness of disciplinary actions taken for non-compliance with information security policies and procedures.
8. Interview Key Personnel
- Conduct interviews with key personnel, such as senior management, information security officers, and employees.
- Gather their perspectives on the effectiveness of the organisation’s approach to defining, assigning, and managing information security roles and responsibilities.
9. Check for Compliance with Legal and Regulatory Requirements
- Verify that the organisation’s approach to roles and responsibilities complies with all applicable laws and regulations.
10. Evaluate Overall Effectiveness
- Assess the overall effectiveness of the organisation’s approach to defining, assigning, and managing information security roles and responsibilities.
- Identify areas for improvement and make recommendations for enhancing the effectiveness of the system.
ISO 27001 Roles and Responsibilities FAQ
Yes. It is fine for 1 person to perform more than one role.
Possibly. It would be good practice to involve them for sure.
The roles required for ISO 27001 Annex A 5.2 include as a minimum:
CEO
Leadership Team
Information Security Leadership
Information Security Manager
Management Review Team
Third Party Supplier Manager
Business Continuity Manager
Information Owners
ISO 27001 Annex A 5.2 Sample PDF can be download at High Table: The ISO 27001 Company.
Yes. Whilst the ISO 27001 Annex A clauses are for consideration to be included in your ISO 27001 Statement of Applicability there is no reason we can think of that would allow you to exclude ISO 27001 Annex A 5.2. People and what they do are a fundamental part of any governance, risk and compliance framework. They are a fundamental part of any information security management system. They are explicitly required for ISO 27001.
Yes. You can write the roles and responsibilities for ISO 27001 Annex A 5.2 yourself. You will need a copy of the standard and approximately 1 week of time to do it. It would be advantageous to have a background in information security management systems.
ISO 27001 templates for ISO 27001 Annex A 5.2 are located in the ISO 27001 Toolkit
ISO 27001 Annex A 5.2 Roles and Responsibilities is not particularly hard. It can take a lot of time if you are doing it yourself but it is not technically very hard. We would recommend templates to fast track your implementation.
ISO 27001 Annex A 5.2 Roles and Responsibilities will take approximately 1 week to complete if you are starting from nothing and doing it yourself. Or you could download the ISO 27001 Annex A 5.2 template
The cost of ISO 27001 Annex A 5.2 will depend how you go about it. If you do it yourself it will be free but will take you about 1 week so the cost is lost opportunity cost as you tie up resource doing something that can easily be downloaded. If you download an ISO Policy Template then you are looking at a maybe £15/ £20.
Other than your ISO 27001 certification requiring it, the following are benefits of implementing ISO 27001 Annex A 5.2 Roles and Responsibilities:
Improved security: People will be allocated to required roles reducing the likelihood and impact of an attack
Reduced risk: Having people allocated and performing the required roles of the information security management system will reduce risk
Improved compliance: Standards and regulations require roles and responsibilities to be in place
Reputation Protection: In the event of a breach having roles and responsibilities defined and people allocated will reduce the potential for fines and reduce the PR impact of an event
ISO 27001 Annex A 5.2 Information Security Roles and Responsibilities is important because an information security management system needs people to manage it.
It sets out what they are managing and by documenting it you make sure you are not missing something.
We build an effective management system by setting out what needs to be done and who is doing it and we make sure people are competent to do what is being asked.
The senior leadership team is responsible for the roles and responsibilities. They are best placed to allocate the required resources and sign off any investments required in terms of training, finance, new head count or extra duties for existing staff.
To ensure that all individuals within the organisation understand their specific duties and obligations related to information security. This helps to improve accountability, promote a culture of security, and ensure that information security controls are effectively implemented and maintained.
Key Roles:
Information Security Officer (ISO): Overall responsibility for the information security management system (ISMS).
Senior Management: Provides leadership, support, and resources for the ISMS.
Data Owners: Responsible for the confidentiality, integrity, and availability of specific data sets.
Data Processors: Responsible for processing data on behalf of data controllers.
System Administrators: Responsible for the day-to-day management and maintenance of IT systems.
End-Users: Responsible for complying with information security policies and procedures in their daily work.
Roles and Responsibilities Matrix: A table that outlines the specific duties and responsibilities of each role.
Job Descriptions: Include information security responsibilities within job descriptions.
Policies and Procedures: Clearly define roles and responsibilities within relevant policies and procedures.
Provide clear and concise communication (e.g., training sessions, workshops, intranet postings).
Obtain written acknowledgement from employees that they understand their responsibilities.
Conduct regular reviews and updates to ensure that employees are aware of any changes.
Disciplinary action may be taken, depending on the severity of the failure. This could include warnings, suspensions, or even termination of employment.
Provide access to necessary tools and technologies (e.g., security software, encryption tools).
Provide adequate training and support.
Allocate sufficient budget for information security activities.
Regularly: At least annually, or more frequently if there are significant changes to the organisation, technology, or threat landscape.
Trigger Events: After major incidents, organisational changes, or new regulatory requirements.
Clearly define expectations and consequences.
Conduct regular audits and assessments to monitor compliance.
Lead by example and demonstrate a commitment to information security from senior management.
Improved accountability and compliance
Enhanced incident response capabilities
Increased employee awareness and security-conscious behaviour
More efficient and effective information security management
Legal & Regulatory Compliance:
Stay informed of relevant laws and regulations (e.g., GDPR, CCPA).
Ensure that the organisation’s approach to roles and responsibilities aligns with these requirements.
Seek legal advice to ensure compliance.
ISO 27001 Annex A 5.2 is the information security control requirement of the ISO 27001 standard for ISO 27001 certification. ISO 27002 Control 5.2 is the implementation guidance for the control.
Controls and Attribute Values
Control type | Information security properties | Cybersecurity concepts | Operational capabilities | Security domains |
---|---|---|---|---|
Preventive | Confidentiality | Identify | Governance | Governance and Ecosystem |
Integrity | Resilience | |||
Availability | Protection |
Further Reading
ISO 27001 Organisational Roles, Responsibilities and Authorities: Clause 5.3
ISO 27001 Competence: Clause 7.2
ISO 27001 Competency Matrix Beginner’s Guide
ISO 27001 Roles and Responsibilities Explained
ISO 27001 Management Responsibilities: Annex A 5.4
ISO 27001 Responsibilities After Termination Or Change Of Employment: Annex A 6.5