ISO 27001 Clause 4.4 Information Security Management System – Ultimate Certification Guide

ISO 27001 Information Security Management System 

The focus for this ISO 27001 Clause is the actual management system itself. As one of the ISO 27001 controls this is about putting in place a management system that meet the needs of the standard and is continually improved.

You will learn what ISO clause 4.4 is, how to simply and easily implement it for ISO 27001 certification and I will show you some common gotchas so you can avoid them.

What is ISO 27001 Clause 4.4 Information Security Management System?

ISO 27001 Clause 4.4 requires an organisation to have an information security management system that is established, implemented and continually improved.

An information security management system is made up of the ISO 27001 documents, ISO 27001 policies and processes that deliver your information security controls and keeps you safe.

Part of ISO 27001 Clause 4 Context of Organisation this is the fourth requirement. It builds upon

• ISO 27001 Understanding the Organisation and its Context where we define internal and external issues that could impact the information security management system.
• ISO 27001 Understanding the Needs and Expectations of Interested Parties where we captured and addressed the needs of stakeholders in our information security management system.
• ISO 27001 Determining the Scope of the Information Security Management System where we defined what aspects of our organisation were to be covered.

So we know what could impact it, what people want from it, what it will be applied to and now we look at the actual information security management system itself.

ISO 27001 Clause 4.4 Purpose

The purpose of clause 4.4 is to make sure you have an actual information security management system and that you are managing in place that is established, implemented and continually improved.

ISO 27001 Clause 4.4Definition

The ISO 27001 standard defines ISO 27001 clause 4.4 Information Security Management System as:

The organization shall establish, implement, maintain and continually improve an information security management system, including the processes needed and their interactions, in accordance with the requirements of this document.

ISO 27001:2022 Clause 4.4 Information Security Management System

ISO 27001 Clause 4.4 Requirement

The requirement of ISO 27001 Clause 4.4 is to have in place and information security management system.

The standard wants you to establish, implement and continually improve your information security management system and to have in place the required processes.

Follow the ISO 27001 standard and implement the clauses as well as the applicable annex a controls and you will meet the requirement.

ISO 27001 Templates

ISO 27001 clause 4.4 is actually a series of ISO 27001 templates that we have collated into the ISO 27001 Toolkit. Designed specifically for those wanting to do it themselves and save both time and money in the process.

ISO 27001 templates have the advantage of being a massive boost that can save time and money so before we get into the implementation guide we consider these pre written templates that will sky rocket your implementation. Not interested in ISO 27001 templates, then you can skip to the next section.

ISO 27001 Clause 4.4 FAQ

What is an ISMS?

An information security management system (ISMS) is a set of policies and procedures for systematically managing an your approach to information security. It is a management system. It also contains the controls that your organisation has implemented to mitigate information security risks.

What is the purpose of an ISMS?

The purpose of an Information Security Management System (ISMS) is to minimise risk to the confidentiality, integrity and availability of data.

Ultimately is wants to prevent a data breach and ensure your business can operate uninterrupted.

• Confidentiality: making sure data can only be accessed by authorised people. 
• Integrity: keeping data accurate and complete. 
• Availability: making sure data can be accessed when it’s required. 

Who is responsible for the ISMS?

The responsibility for the operation of the information security management system is usually the information security professional. It takes someone with knowledge and experience to run. It isn’t hard or complicated and can be learnt. You can even do it yourself with the ISO 27001 toolkit. Although operationally it is usual to have an information security professional run it.

What is an ISMS based on?

The Information Security Management System (ISMS) is based on risk and business need. As such, the level of controls that are chosen and implemented are directly related to that business risk. In addition, the ISMS is influenced by the organisation’s needs, objectives, security requirements, size, and processes.

To be effective an ISMS will include a process of continual improvement, a process of incident management and a process of on going internal audit.

What are the ISO 27001:2022 Changes to Clause 4.4?

They now refer through the standard to this ‘document’ rather than this ‘international standard’. So replace the words ‘international standard’ with the word ‘document.

They have added into the sentence the term – ‘including the processes needed and their interactions’ to be absolutely crystal clear that processes are included, rather than implying it.

In essence, nothing has changed. It is clarification of wording.

What are the benefits of an Information Security Management System (ISMS)?

Other than your ISO 27001 certification requiring it, the following are the top 5 benefits of an Information Security Management System (ISMS):

1. You cannot get ISO 27001 certification without it.
2. Improved security: You will have an effective information security management system that addresses common information security risks
3. Reduced risk: You will reduce the information security risks by identifying those risks and addressing them
4. Improved compliance: Standards and regulations require an effective information security management system to be in place
5. Reputation Protection: In the event of a breach having an effective information security management system in place will reduce the potential for fines and reduce the PR impact of an event

Why do you need an Information Security Management System (ISMS)?

As mentioned in the top 5 benefits of an ISMS, you cannot get ISO 27001 certification without it. You need it. The ISMS will bring with it consistency and maturity of processes where you will document what you do and evidence that you do it. This will give you maturity in process where outcomes are determined by process and not by who did it on the day. With documented processes you future proof your organisation and remove the reliance on individuals that could hurt your business if they left. It removes the single point of knowledge failure.

What does an Information Security Management System (ISMS) include?

The Information Security Management System (ISMS) includes

• ISO 27001 Mandatory Documents
• ISO 27001 Policies
• ISO 27001 Controls
• ISO 27001 Processes and Procedures

What is the goal of an Information Security Management System (ISMS)?

The goal of an Information Security Management System (ISMS) isn’t necessarily to maximise information security, but rather to reach an organisation’s desired level of information security based in need and risk. Depending on the specific needs these levels of control may vary from one organisation to the next.

What controls should an Information Security Management System (ISMS) include?

ISO/IEC 27001 is the international standard for information security but the standard doesn’t mandate specific controls. Instead it provides a list of controls, referred to as ISO 27001 Annex A, for the organisation to consider for appropriateness. You will create your statement of applicability showing which controls you have implemented based on business risk and business need.

For your management system you will includes documentation, internal audits, continual improvement, and corrective and preventive action. To become ISO 27001 certified, an organization needs an ISMS that identifies the organisation’s assets and provides the following assessment:

• the risks the information assets face
• the steps taken to protect the information assets
• a plan of action in case a security breach happens
• identification of individuals responsible for each step of the information security process

Information Security Management System (ISMS) Best Practice

Understand business needs

Before you build and implement an ISMS, it’s important for organisations to understand who they are, what they have and what their needs are. Backed into the standard document the who and what of your organisation before you look start your ISMS.

Write and implement policies

Policies are statements of what you do, not how you do it. The first step is to agree as a business what it is you actually do do or want to do. You can follow the How To Build and Implement Policies Guide.

Train People

Conduct security awareness training. All employees should receive regular security awareness training. This is the first line of defence and we want to train people on information security and data protection.

Secure Devices

Devices need to be known and in an asset register. Those devices then need protecting with antivirus, encryption and regular patch management.

Backup. A lot.

Back up data. Backups play a key role in preventing data loss and should be a part of a company’s security policy before setting up an ISMS. Like insurance, the value will not be obvious until the time you come to need it.

Continually Improve

An ISMS is not a one and done. It is an ongoing process of continual improvement and enhancement. Always getting better.

Audit Yourself

When you have defined what you do and how you do it, it is best practice to check it. This is the process of internal audit. Looking and checking to see that things are working as intended and fixing things that are not.

Top 3 ISMS Mistakes People Make for ISO 27001 Clause 4.4

These are the top 3 mistakes that organisations makes that will costs you thousands.

Buying a portal or web based tool

A portal may well be a great investment in time to help the information security manager to do their job but there is a lot of cost involved in going this route and the work that is required, still needs doing. This is a cost on top of the cost of ISO 27001 implementation. Extra cost. When the time is right, consider it but it is our experience for the novice or beginner these tools will only complicate matters and increase your costs exponentially. Our solution is 30x cheaper than portal solutions. That is £10,000s of cheaper.

Doing it yourself with no help at all

It is not complicated but there is a lot to cover. Even if you just watch our ISO 27001 YouTube how to’s or follow this free how to implement ISO 27001 guide you will be better placed for the journey ahead. Assuming you can do it with zero knowledge will lead to expensive mistakes and expensive rework.

Giving it to IT to sort out

ISO 27001 is a management system that covers the entire business. Whilst there are elements of IT, this is NOT an IT standard or IT solution. It requires business leadership and business buy-in. Give it to IT, and you are doomed to fail.

What you need when Building your Information Security Management System (ISMS)

When building your Information Security Management System (ISMS) you are going to need:

1. An Information Security Management System

Finally! Implement ISO 27001 yourself without spending £10,000’s thousands on consulting fees in less than 30 days. Need ISO 27001? Get the ISO 27001 Toolkit and implement ISO 27001 yourself.

2. Free Training on How to Implement the ISMS

Training comes built into the ISMS and is also free to follow here: How to Build and Implement an ISMS

3. A Free Strategy Call to Answer Questions

Booking a free 30 minute strategy call where an expert can show you exactly what needs to be done to do it 10x Faster and 30x cheaper than the alternatives and to answer all your pressing questions.

How to write an Information Security Management System (ISMS)

Being so broad brush what it is actually saying is – implement The ISO 27001 standard. In reality that is the information security management system. So if you go through all of the requirements of ISO 27001 and satisfy them, you will have an information security management system and you will satisfy this clause.

Sounds easy. And it is. It just takes a time. A lot of time. Especially if you have never done it before. Luckily, we have.

ISMS Relevant Standards

There are many standards that are relevant to the ISMS.

The ISO/IEC 27000 family of standards

The ISO/IEC 27000 family are the most well known of the standards governing information security management and the ISMS and are based on global best practice opinion. Widely adopted in business and a minimum standard for information security. They lay out the requirements for best practice – “establishing, implementing, deploying, monitoring, reviewing, maintaining, updating, and improving information security management systems.”

The ITIL framework

ITIL acts as a collection of concepts, policies, and best practices for the effective management of information technology infrastructure, service, and security.

The COBIT framework

COBIT, developed by ISACA, is a framework for helping information security personnel develop and implement strategies for information management and governance while minimising negative impacts and controlling information security and risk management.

How do I comply with ISO 27001 Clause 4.4?

To comply with ISO 27001 Clause 4.4 you are going to implement the ‘how’ to the ‘what’ the clause is expecting. You are going to establish, implement and continually improve your information security management system and to do that you would be best placed to get a copy of the ISO 27001 toolkit.

How do I pass an audit of ISO 27001 Clause 4.4?

To pass an audit of ISO 27001 Clause 4.4 you are going to make sure that you have followed the steps above in how to comply. 

You are then going to conduct an internal audit, following the How to Conduct an ISO 27001 Internal Audit Guide.

What will the audit check?

The audit is going to check a number of areas for compliance with Clause 4.4. Lets go through them

1. That you have a documented information security management system

The simplest way to do this is to download the ISO 27001 Toolkit.

2. That you can evidence the effective operation of the information security management system

Once you have your information security management system in place the audit is going to look for evidence of the effective operation. This means having records of activity. Examples are having meeting minutes for the management review team, the risk register, risk reviews, continual improvement, incident management. What you say you do, you should be able to evidence.

3. That you are continually improving

Not everything will be perfect and not everything will work 100% of the time. When things go wrong you will have incident management that may lead to continual improvement. When you conduct internal audits you may find things not working as expected that may lead to continual improvements. External audits may find things that require continual improvement. Risk management may also lead to continual improvement. Be prepared to evidence your continual improvement and the associated records.