ISO 27001 Clause 4.4 Information Security Management System

ISO 27001 ISMS

The information security management system (ISMS) is how you manage information security and is made up of documents and processes. We are going to look at what a management system is and how to build it.

In this ultimate guide to ISO 27001 Clause 4.4 The Information Security Management System (ISMS) you will learn:

• What an information security management system it
• How to create an ISO 27001 ISMS
• An Implementation Checklist
• An Audit Checklist

What is an ISMS?

An information security management system (ISMS) is a combination of policies, processes, systems and people that ensure the confidentiality, integrity and availability of data.

ISO 27001 is a risk-based system. It’s a system based on understanding what the risks are to you and your organisation and then implementing controls to mitigate those risks.

The management system element itself is about how you organise yourself, how you manage and how you deliver the information security management.

What does an 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 ISO 27001 Clause 4.4?

ISO 27001 Clause 4.4 is the Information Security Management System. It requires an organisation to have an information security management system that is established, implemented and continually improved.

An ISO 27001 ISMS 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 issues 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 the ISO 27001 ISMS is to make sure you have an actual information security management system in place and that it is established, implemented and continually improved.

ISO 27001 Clause 4.4 Definition

The ISO 27001 standard defines the ISO 27001 Information Security Management System as:

The organisation 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

Implementation Options

Write it yourself

To write a management system yourself you would require some knowledge and some experience. The approach you would take would be

• purchase a copy of the standard
• review all of the ISO 27001 clauses that make up the standard
• work out what the documentation is that you require
• create that documentation

Buy a Toolkit

If you purchase an ISO 27001 Toolkit you will get all of the mandatory documents, training, support and knowledge as well as a proven management system based on best practice to fast track your implementation.

Engage a consultant

Consultants are a great option to create a bespoke management system when cost is not an issue.

How to implement ISO 27001 Clause 4.4

General Guidance

Being so broad brush what this clause 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.

Understand business needs

Understanding business needs, you want to make sure your information security management system meets the needs of the business.

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. Write into the standard document the who and what of your organisation before you look start your ISMS.

ISO 27001 Clause 4.4 Implementation Checklist

The ISO 27001 Clause 4.4 implementation checklist is designed to help an ISO 27001 Lead Implementer to implement ISO 27001 Clause 4.4 The Information Security Management System (ISMS).

1. Gain Management Buy In

The whole process is doomed to fail without management buy in and support. Using stakeholder management technqiues and other influencing techniques appropriate to the culture of your organisation get buy in and adequate resources to support the management system.

2. Establish the ISMS Scope

Define clear boundaries for the ISMS, specifying what assets, processes, and locations are included.

It can be difficult to set clear boundaries, especially in complex organisations. We explored this in detail in our practical guide, how to establish ISO 27001 scope.

3. Define the ISMS Objectives

Set measurable, achievable, relevant, and time-bound (SMART) objectives for information security. Setting Information Security objectives was covered in detail in our previous post, how to set ISO 27001 objectives.

4. Build the ISMS Framework

The ISMS framework is the structure, roles, responsibilities, policies and processes of the information security management system. We have delved into the specific steps in our comprehensive guide How To Implement ISO 27001: A Step By Step Guide.

5. Document the Information Security Management System

The information security management system is primarily a set of documentation that covers information security policies and processes. We explored documentation for the ISMS in the ISO 27001 Toolkit: Business Edition.

6. Implement Information Security Controls

Based on scope and risk you will choose the ISO 27001 Annex A controls that are appropriate to you, follow the implementation guidance and implement them. The comprehensive ISO27001 Annex A Controls Reference Guide provides practical, step-by-step implementation guidance.

7. Train People

Training is the bedrock of any ISMS and a culture of information security awareness. Once the framework is in place and management system is documented it is important to communicate it and train people in how to use it. There are practical training tips in our previous blog ISO 27001 Annex A 6.3 Information Security Awareness, Education And Training.

8. Monitor and Review the ISMS

To ensure the continued effectiveness of the ISMS and to ensure that it continues to meet it’s stated objectives you should regularly monitor and review it’s performance. With a combination or automated monitoring and internal audits, oversight will be provided to the management review team and fed into both the risk assessment process and the continual improvement process.

9. Manage Information Security Incidents

As incidents will occur you will establish a process for incident management, which we have covered in our previous guide ISO 27001 Annex A 5.24 Information Security Incident Management Planning and Preparation

10. Continually improve the ISMS

Continual improvement is a key concept in ISO 27001, as it acknowledges that things are not perfect and can always be better. Whether that is in response to changes in the business or to incidents the practical guide, ISO 27001 Clause 10.1 Continual Improvement, covers how.

ISO 27001 Clause 4.4 Audit Checklist

The ISO 27001 Clause 4.4 audit checklist is designed to help an ISO 27001 Lead Auditor conduct internal audits and external audits of ISO 27001 Clause 4.4 The Information Security Management System (ISMS)

1. Check that the ISMS is established

The first step is to make sure the management system is in place. You are checking that there is a documented ISMS scope and objectives, policies, and procedures are all in place. In addition that the the boundaries of the ISMS and its interaction with other business processes are documented.

It can be challenging ensuring the scope is appropriate and doesn’t exclude necessary areas, that objectives are measurable and aligned with business goals, and that policies and procedures are comprehensive and up-to-date. In addition, sometimes, documentation exists but isn’t implemented.

• Review documented scope, objectives, policies, and procedures.
• Interview personnel to confirm understanding and application.
• Examine records of management review and internal audits.

2. Verify the ISMS is operating as intented

Once you have confirmed that the ISMS is established you will then check that is operating as intended by verifying that controls are implemented and working.

There is no doubt that determining the effectiveness of controls in practice, especially where they are complex or rely on human behaviour is challenging and that maintaining consistent implementation across the organisation can also be difficult.

• Observe processes, conduct walkthroughs, and examine records of control implementation (e.g., access logs, change management records).
• Perform penetration testing or vulnerability scanning where appropriate.

3. Assess if the ISMS is continually improving

Confirm that the ISMS is regularly monitored, reviewed, and improved. This includes addressing internal audit findings, management review outputs, and feedback from interested parties.

Ensuring continual improvement is more than just maintaining the status quo. Identifying and implementing effective improvements can be difficult, especially when resources are limited.

• Review records of management review, internal audits, corrective actions, and preventive actions.
• Interview personnel about their involvement in the improvement process.

4. Review the ISMS monitoring and measurement

Verify that the organisation has established processes for monitoring and measuring the effectiveness of the ISMS and its controls.

Defining appropriate metrics and ensuring they are consistently measured and reported can present a challenge as can using the data effectively to drive improvement.

• Examine records of monitoring and measurement activities (e.g., performance reports, incident logs).
• Interview personnel about how they use the data.

5. Assess internal audits

Check that internal audits of the ISMS are conducted regularly to assess its conformity to ISO 27001 and its effectiveness.

Ensuring internal audits are conducted objectively and by competent auditors represents a challenge. Following up on audit findings and implementing corrective actions can also be difficult.

• Review internal audit plans, reports, and follow-up actions.
• Interview internal auditors and auditees.

6. Ensure management reviews have happened

Verify that top management reviews the ISMS at planned intervals to ensure its continuing suitability, adequacy, and effectiveness.

Ensuring management review is more than a formality and that it addresses the key issues affecting the ISMS can be difficult for organisations.

• Review minutes of management review meetings.
• Interview top management about their involvement in the ISMS.

7. Get evidence of continual improvement

Confirm that the organisation is continually improving the effectiveness of the ISMS, demonstrating that improvements are actually leading to better outcomes.

• Examine records of improvement initiatives and their impact on the ISMS.
• Interview personnel about their involvement in the improvement process.

8. Verify that corrective action takes place

Verify that the organisation has a process for taking corrective action to address nonconformities.

Identifying the root cause of nonconformities and implementing effective corrective actions can be overlooked.

• Review records of corrective actions, including root cause analysis and effectiveness checks.

9. Review the existence of interested parties

Check that the organisation considers the needs and expectations of interested parties relevant to information security.

• Review records of interested party analysis and how their requirements are incorporated into the ISMS.
• Interview personnel about their interactions with interested parties.

10. Ensure there is documented information

Confirm that the ISMS has appropriate documented information to support its operation.

Maintaining documented information that is up-to-date and accessible is the biggest challenge.

• Review a sample of documented information (e.g., policies, procedures, records) to ensure it is controlled and up-to-date.

Watch the Tutorial

Watch the ISO 27001 tutorial How to implement ISO 27001 Clause 4.4 The Information Security Management System

ISO 27001 ISMS Templates

ISO 27001 clause 4.4 ISMS 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.

I created the Ultimate ISO 27001 Toolkit to fully meet clause 4.4 and it has been used thousands of times, globally, to get clients ISO 27001 certified.

How to pass an audit of ISO 27001 Clause 4.4

To pass an audit of ISO 27001 Clause 4.4 ISMS 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.

What the auditor check

The auditor is going to check a number of areas for compliance with Clause 4.4 ISMS. 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.

Common Mistakes for ISO 27001 Clause 4.4

These are the top 3 mistakes that organisations makes for ISO 27001 Clause 4.4 ISMS that will costs you thousands:

1. 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.

2. 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.

3. 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.

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.

ISO 27001 Clause 4.4 FAQ