ISO 27001 Annex A 5.4 Management Responsibilities

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ISO 27001 Management Responsibilities

In this ultimate guide to ISO 27001 Annex A 5.4 Management Responsibilities you will learn

  • What is ISO 27001 Annex A 5.4
  • How to implement ISO 27001 Annex A 5.4

I am Stuart Barker, the ISO 27001 Ninja and author of the Ultimate ISO 27001 Toolkit.

With over 30 years industry experience I will show you what’s new, give you ISO 27001 templates, show you examples, do a walkthrough and show you how to implement it for ISO 27001 certification.

Watch the ISO 27001 Annex A 5.4 Tutorial

Watch – How to implement ISO 27001 Annex A 5.4 Management Responsibilities

What is ISO 27001 Annex A 5.4 Management Responsibilities?

ISO 27001 Annex A 5.4 Management Responsibilities is an ISO 27001 control that requires management to ensure that people apply information security in line with documented policies and procedures.

ISO 27001 Annex A 5.4 Purpose

The purpose of Annex A 5.4 is to ensure management understand their role in information security and undertake actions aiming to ensure all personnel are aware of and fulfil their information security responsibilities.

ISO 27001 Annex A 5.4 Definition

The ISO 27001 standard defines Annex A 5.4 as:

Management should require all personnel to apply information security in accordance with the established information security policy, topic-specific policies and procedures of the organization.

ISO 27001 Annex A 5.4 Management Responsibilities

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ISO 27001 Annex A 5.4 Implementation Guide

You are going to have to ensure that:

  • roles and responsibilities are documented and people are briefed on them before they get access to information
  • guidelines for information security expectations are in place and they are shared with people
  • information security policies are in place and people are aware that they are mandated
  • implement information security training and awareness relevant to people’s roles
  • have terms and conditions of employment, contracts or agreements that include information security and relate to the policies
  • information security skills and qualifications where relevant are ongoing
  • you have a whistleblowing process
  • adequate resources are made available for information security related controls and processes.

Implement ISO 27001 Policies

To act in accordance with ISO 27001 information security policies and procedures you first need to implement them. Follow the guidance in The Ultimate Guide to ISO 27001 Annex A 5.1 Policies for Information Security

Document Roles and Responsibilities

It is straight forward to document the roles and responsibilities. Start with defining what the roles are. You state the name of the role and then list what the role is responsible for in terms of information security.

Example Information Security Roles

Typical roles that are required include, but is certainly not limited to:

  • CEO
  • Leadership
  • Information Security Management Leadership
  • Information Security Manager
  • Management Review Team
  • Third Party Supplier Manager
  • Business Continuity Manager
  • Information Owners
  • Information Security Incident Management

Example Information Security Responsibilities

An example of information security responsibilities assigned to a role would be the role of the CEO. Let’s take a look:

CEO

  • Sets the company direction for information security
  • Promotes a culture of information security aligned to the business objectives
  • Signs off and agrees on resources, objectives, risks and risk treatment

Ensure People are Competent

Once people are assigned then we are going to record and manage their competence to perform the role. Usually this is a measure of experience and training. You are going to create and maintain an ISO 27001 Competency Matrix.

Engage with HR

You have a reliance on HR. There are many HR process that will come into play throughout the implementation, including on boarding new employees, off boarding when people leave, disciplinary processes and more. Specific to this particular clause you are going to have terms and conditions of employment, contracts or agreements that include information security and relate to the policies. You are going to work to ensure that information security is part of all HR process as appropriate.

Communicate and Train

A large part of this control is communication and training. Actually telling people what is expected of them. Having a communication plan in place that covers what you will communicate, when, to whom and how is a great way to set a structure for the year. Telling people where policies are, how to report incidents, who they can speak to about information security are some of the basics. Alongside this you will have training on a range of topics and requirements – you can learn more in The Ultimate Guide to ISO 27001 Annex A 6.3 Information Security Awareness, Education and Training

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ISO 27001 Templates

To help you comply the following individual templates are going to fast track your implementation. They are the ISO 27001 Policy Pack that includes all of the required information security policies already written, populated and ready to go. The Documented Roles and Responsibilities Template has the roles already defined with the responsibilities already written. For competency the great ISO 27001 Competency Matrix will get you up to speed fast.

ISO 27001 Policy Toolkit
ISO 27001 Competency Matrix Template
ISO 27001 Annex A 5.2 Information Security Roles and Responsibilities Template

How to comply

To comply with ISO 27001 Annex A 5.4 you are going to implement the ‘how’ to the ‘what’ the control is expecting. In short measure you are going to:

How to pass an audit

To pass an audit of ISO 27001 Annex A 5.4 Management Responsibilities you are going to make sure that you have followed the steps above in how to comply.

You are going to do that by first conducting an internal audit, following the How to Conduct an ISO 27001 Internal Audit Guide.

What the auditor will check

The audit is going to check a number of areas. Lets go through the main ones

1. That you have contracts in place

What this means is that you need to show that you have in date contracts in place with all staff, contractors and third parties. Those contracts will explicitly state the informations security requirements.

2. That you have security training and awareness

You need to implement information security and awareness training relevant to people’s roles. The audit will check that the training has taken place. The audit is also going to check that people have read and accepted the policies that are also relevant to their role. This is one occasion where an information security training tool can greatly help you.

3. That you have a whistle blowing process

Often overlooked, the requirement for people to be able to report information security related issues whilst being protected. Where this is applicable the process should be documented.

Top 3 Mistakes People Make

The top 3 Mistakes People Make For ISO 27001 Annex A 5.4 are

1. You have no contracts in place

You need to have contracts in place and they need to include relevant information security requirements. This can often be overlooked or the contracts that you have can be out of date. It is a good idea to check before the audit.

2. One or more members of your team haven’t done what they should have done

Prior to the audit check that all members of the team have done what they should have. Do they know where the policies are? Have they acknowledged them? Did someone join last month and forget to do it? 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.

ISO 27001 Annex A 5.4 FAQ

What policies do I need for ISO 27001 Annex A 5.4?

The list of policies you need can be found in the ISO 27001 Policies Ultimate Guide

How do I decide which policies I need for ISO 27001 Annex A 5.4?

You decide what policies you need by first completing your Statement of Applicability and then identify in conjunction with the ISO 27001 standard the required policies for your implementation.

Are there free templates for ISO 27001 Annex A 5.4?

There are templates for ISO 27001 Annex A 5.4 located in the ISO 27001 Policy Templates Toolkit.

ISO 27001 Annex A 5.4 sample PDF?

ISO 27001 Annex A 5.4 Sample PDF in the ISO 27001 Policy Templates Toolkit.

Do I have to satisfy ISO 27001 Annex A 5.4 Management Responsibilities for ISO 27001 Certification?

Yes. Whilst the ISO 27001 Annex A clauses are for consideration to be included in your Statement of Applicability there is no reason we can think of that would allow you to exclude ISO 27001 Annex A 5.4. Management Responsbilities 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.

Where can I get templates for ISO 27001 Annex A 5.4 Management Responsibilities?

ISO 27001 templates for ISO 27001 Annex A 5.4 are in the ISO 27001 Policy Templates Toolkit.

How hard is ISO 27001 Annex A 5.4 Management Responsibilities?

ISO 27001 Annex A 5.4 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.

How long will ISO 27001 Annex A 5.4 Management Responsibilities take me?

ISO 27001 Annex A 5.4 will take approximately 1 week to complete if you are starting from nothing and doing it yourself. With an ISO 27001 Policy Template bundle it should take you less than 1 day.

How much will ISO 27001 Annex A 5.4 cost me?

The cost of ISO 27001 Annex A 5.4 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 27001 Toolkit then you are looking at a couple of hundred pounds / dollars.

How do I document roles and responsibilities?

You document roles and responsibilities in the ISO 27001 roles and responsibilities template that has pre written the required roles for ISO 27001.

How do I track information security skills for the team?

Information security skills are recorded in the ISO 27001 Competency Matrix.

How do I write a competency matrix?

A guide to the competency matrix with step by step how to create it guide in the ISO 27001 Competency Matrix Beginner’s Guide

How do I do information security and awareness training?

The best way to implement information security training and awareness is by using a tool. In addition you will maintain an information security communication plan.

Is there an online ISO 27001?

Yes, there is an online ISO 27001 at ISO 27001 Online.

Why are ISO 27001 Management Responsibilities important?

ISO 27001 Annex A 5.4 Management Responsibilities is important because the standard requires that information security is driven from the top down and that everyone knows what is expected of them.
The purpose of this control is to ensure that management understand their role in information security and that they ensure that all personnel are aware of their information security responsibilities. It is their job to ensure that personnel fulfil those responsibilities.

ISO 27001 Controls and Attribute Values

Control typeInformation
security properties
Cybersecurity
concepts
Operational
capabilities
Security domains
PreventiveConfidentialityIdentifyGovernanceGovernance and Ecosystem
Integrity
Availability
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ISO 27001:2022 requirements

Organisational Controls - A5

ISO 27001 Annex A 5.1 Policies for information security

ISO 27001 Annex A 5.2 Information Security Roles and Responsibilities

ISO 27001 Annex A 5.3 Segregation of duties

ISO 27001 Annex A 5.4 Management responsibilities

ISO 27001 Annex A 5.5 Contact with authorities

ISO 27001 Annex A 5.6 Contact with special interest groups

ISO 27001 Annex A 5.7 Threat intelligence – new

ISO 27001 Annex A 5.8 Information security in project management

ISO 27001 Annex A 5.9 Inventory of information and other associated assets – change

ISO 27001 Annex A 5.10 Acceptable use of information and other associated assets – change

ISO 27001 Annex A 5.11 Return of assets

ISO 27001 Annex A 5.11 Return of assets

ISO 27001 Annex A 5.13 Labelling of information

ISO 27001 Annex A 5.14 Information transfer

ISO 27001 Annex A 5.15 Access control

ISO 27001 Annex A 5.16 Identity management

ISO 27001 Annex A 5.17 Authentication information – new

ISO 27001 Annex A 5.18 Access rights – change

ISO 27001 Annex A 5.19 Information security in supplier relationships

ISO 27001 Annex A 5.20 Addressing information security within supplier agreements

ISO 27001 Annex A 5.21 Managing information security in the ICT supply chain – new

ISO 27001 Annex A 5.22 Monitoring, review and change management of supplier services – change

ISO 27001 Annex A 5.23 Information security for use of cloud services – new

ISO 27001 Annex A 5.24 Information security incident management planning and preparation – change

ISO 27001 Annex A 5.25 Assessment and decision on information security events 

ISO 27001 Annex A 5.26 Response to information security incidents

ISO 27001 Annex A 5.27 Learning from information security incidents

ISO 27001 Annex A 5.28 Collection of evidence

ISO 27001 Annex A 5.29 Information security during disruption – change

ISO 27001 Annex A 5.31 Identification of legal, statutory, regulatory and contractual requirements

ISO 27001 Annex A 5.32 Intellectual property rights

ISO 27001 Annex A 5.33 Protection of records

ISO 27001 Annex A 5.34 Privacy and protection of PII

ISO 27001 Annex A 5.35 Independent review of information security

ISO 27001 Annex A 5.36 Compliance with policies and standards for information security

ISO 27001 Annex A 5.37 Documented operating procedures 

Technology Controls - A8

ISO 27001 Annex A 8.1 User Endpoint Devices

ISO 27001 Annex A 8.2 Privileged Access Rights

ISO 27001 Annex A 8.3 Information Access Restriction

ISO 27001 Annex A 8.4 Access To Source Code

ISO 27001 Annex A 8.5 Secure Authentication

ISO 27001 Annex A 8.6 Capacity Management

ISO 27001 Annex A 8.7 Protection Against Malware

ISO 27001 Annex A 8.8 Management of Technical Vulnerabilities

ISO 27001 Annex A 8.9 Configuration Management 

ISO 27001 Annex A 8.10 Information Deletion

ISO 27001 Annex A 8.11 Data Masking

ISO 27001 Annex A 8.12 Data Leakage Prevention

ISO 27001 Annex A 8.13 Information Backup

ISO 27001 Annex A 8.14 Redundancy of Information Processing Facilities

ISO 27001 Annex A 8.15 Logging

ISO 27001 Annex A 8.16 Monitoring Activities

ISO 27001 Annex A 8.17 Clock Synchronisation

ISO 27001 Annex A 8.18 Use of Privileged Utility Programs

ISO 27001 Annex A 8.19 Installation of Software on Operational Systems

ISO 27001 Annex A 8.20 Network Security

ISO 27001 Annex A 8.21 Security of Network Services

ISO 27001 Annex A 8.22 Segregation of Networks

ISO 27001 Annex A 8.23 Web Filtering

ISO 27001 Annex A 8.24 Use of CryptographyISO27001 Annex A 8.25 Secure Development Life Cycle

ISO 27001 Annex A 8.26 Application Security Requirements

ISO 27001 Annex A 8.27 Secure Systems Architecture and Engineering Principles

ISO 27001 Annex A 8.28 Secure Coding

ISO 27001 Annex A 8.29 Security Testing in Development and Acceptance

ISO 27001 Annex A 8.30 Outsourced Development

ISO 27001 Annex A 8.31 Separation of Development, Test and Production Environments

ISO 27001 Annex A 8.32 Change Management

ISO 27001 Annex A 8.33 Test Information

ISO 27001 Annex A 8.34 Protection of information systems during audit testing