The Ultimate Guide to ISO 27001 Clause 5.3: Organisational Roles, Responsibilities and Authorities

ISO 27001 Roles and Responsibilities

ISO 27001 Roles and Responsibilities is the requirement to identify and manage the roles and responsibilities that you need to run your information security management system.

In ISO 27001 this is known as ISO27001:2022 Clause 5.3: Organisational Roles, Responsibilities and Authorities. It is one of the mandatory ISO 27001 clauses.

To implement an information security management system (ISMS) you are going to have roles that need to be in place and you are going to need to assign people to those roles.

What is ISO 27001 Clause 5.3?

ISO 27001 Clause 5.3 Roles and Responsibilities is an ISO 27001 control that requires you to define roles and responsibilities relevant to your information security management system (ISMS) and allocate them to people.

Purpose and Definition

The purpose of ISO 27001 clause 5.3 is to make sure you have defined, assigned and communicated the roles and responsibilities that you need to run your information security management system to people. This will ensure that the management system is effective.

The ISO 27001 standard defines ISO 27001 clause 5.3 as:

Top management shall ensure that the responsibilities and authorities for roles relevant to information security are assigned and communicated within the organisation.
Top management shall assign the responsibility and authority for:
a) ensuring that the information security management system conforms to the requirements of this document
b) reporting on the performance of the information security management system to top management.

ISO 27001:2022 Clause 5.3 Organisational roles, responsibilities and authorities

ISO 27001 Clause 5.3 Requirement

The requirement for ISO 27001 Clause 5.3 is to make sure that roles, responsibilities and appropriate authority is assigned to people and that this is communicated. We document this in the ISO 27001 Roles and Responsibilities document.

We need to make sure that responsibility is assigned to someone for ensuring the standard is met and for reporting on the effectiveness and performance of the information security management system to the business leaders, which they refer to as ‘top management’.

Typical ISO 27001 Roles and Their Responsibilities

To establish a robust and effective Information Security Management System (ISMS), it’s essential to define clear roles and responsibilities. This is a foundational element of a successful ISO 27001 implementation. The following section outlines the typical roles found within an ISMS and details the specific responsibilities each one holds, ensuring accountability and promoting a culture of information security across the organization. This framework will help your organisation allocate tasks, manage resources, and align security efforts with strategic business objectives.

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

Information Security Management Leadership

• A central point of ownership to oversee the information security management system effectiveness.

The Information Security Manager

• Day to day operation of the information security management system
• Develop and continually improve the information security management system documentation
• Conduct a structured audit programme of all areas of the Information Security management system based on risk at least annually
• Provide training and awareness to all staff on information security
• Report to the management review team as part of the structured agenda, as a minimum covering audit results, incidents, new risk, update on assigned risks and continual improvements.
• Manage the continual improvement process
• Manage the periodic update and review of documentation
• Attend and co-ordinate internal information security management audit
• Manage the completion received third party questionnaires in relation to information security from suppliers and clients
• Maintain or have access to a list of all security related incidents
• Provide guidance and support on matters relating to information security

The Management Review Team

The management review team shall review the organisation’s information security management system at planned intervals to ensure its continuing suitability, adequacy and effectiveness.


• Signs off policies and documents related to the information security management system
• Oversees the risk management process and risk register
• Signs off and agrees / escalates risk mitigation for information security risks
• Ensures resources are available to implement identified, agreed risk mitigation
• Implements policies, processes and continual improvements of the information security management system
• Reports on projects or internal and external factors that may influence the information security management system
• Communicates information security to the organisation

The Third Party Manager

• Ensures effective third-party management of all suppliers and third parties in line with the third-party management policies and processes
• Owns the third-party supplier register
• Reports progress on third party management as a minimum to the management review team

ISO 27001 Clause 5.3 Explained: A Complete Guide

For a complete visual guide to this process, check out our video tutorial:  How to Implement ISO 27001 Clause 5.3 Organisational Roles, Responsibilities and Authorities

How to implement ISO 27001 Clause 5.3: Step-By-Step

How can an ISO 27001 Toolkit help with ISO 27001 Clause 5.3?

For ISO 27001 Clause 5.3 Roles and Responsibilities the entire ISO 27001 toolkit is relevant but in particular the following templates directly support this ISO 27001 clause:

ISO 27001 Roles and Responsibilities Template

Document the Information Security Roles Assigned and Responsibilities and set out the roles and responsibilities with allocated resource.

ISO 27001 Management Review Template

Implement a Management Review Team with representatives from across the business and ensure meetings follow the structured Management Review Team Agenda.

ISO 27001 Competence Template

Document a Competency Matrix to capture the core competencies and training requirements of staff in relation to information security.

How to audit ISO 27001 clause 5.3

This audit checklist is a guide on how to conduct an internal audit of ISO 27001clause 5.3 Roles and Responsibilities based on what the ISO 27001 certification auditor will audit. It gives practical audit tips including what to audit and how.

1. Review Role Definitions

Examine documented role descriptions, job descriptions, or RACI matrices to verify that key information security roles are defined. Check for clarity and completeness in defining responsibilities and authorities.

Audit Technique: Document review.

2. Verify Role Assignment

Confirm that individuals have been assigned to the defined information security roles. Check for evidence of appointment letters, contracts, or other formal assignments.

Audit Technique: Document review, interviews with HR.

3. Assess Clarity of Responsibilities

Evaluate whether the responsibilities for each role are clearly defined and unambiguous. Look for potential overlaps or gaps in responsibilities.

Audit Technique: Document review, interviews with individuals in key roles.

4. Check Alignment of Authority and Responsibility

Determine if individuals have been granted the necessary authority to perform their assigned responsibilities. Ensure that the level of authority matches the level of responsibility.

Audit Technique: Interviews with individuals in key roles, review of organisational charts or reporting structures.

5. Evaluate Communication of Roles and Responsibilities

Verify that roles and responsibilities have been communicated effectively to all relevant personnel. Look for evidence of training, briefings, or other communication methods.

Audit Technique: Interviews with employees at different levels, review of training records.

6. Assess Understanding of Roles

Conduct interviews with individuals in key roles to assess their understanding of their own responsibilities and the responsibilities of others.

Audit Technique: Interviews with individuals in key roles.

7. Examine Integration with ISMS Processes

Verify that defined roles are integrated into the ISMS processes, such as risk assessment, incident management, and internal audit. Check for documented involvement of specific roles in these processes.

Audit Technique: Review of process documentation, interviews with process owners.

8. Review Regularity of Role Reviews

Check if the organization has a process for regularly reviewing the defined roles and responsibilities to ensure their continued relevance and effectiveness.

Audit Technique: Review of documented review process, interviews with management.

9. Assess Handling of Performance Gaps

Verify that the organization has a process in place to address performance gaps related to information security responsibilities. Look for evidence of performance reviews, feedback mechanisms, and corrective actions.

Audit Technique: Interviews with HR and management, review of performance records.

10. Check Organisational Structure

Review the organisational structure to ensure that information security roles have appropriate reporting lines and that there is clear accountability for information security.

Audit Technique: Review of organisational charts, interviews with top management.

How to pass the ISO 27001 Clause 5.3 audit

To pass an audit of ISO 27001 Clause 5.3 Roles and Responsibilities you are going to

• Decide what roles you need
• Allocate roles to people
• Ensure people are competent to perform the role
• Implement a Management Review Team
• Document it

What an auditor looks for

The audit is going to check a number of areas for compliance with ISO 27001 Clause 5.3 Organisational Roles, Responsibilities and Authorities. Lets go through them:

1. That you have documented roles and responsibilities

This is the easiest one for them to check. They want to see that roles and responsibilities have been defined and allocated. The easiest way is to use the ISO 27001 Roles and Responsibilities Template

The main roles they want to see documented are the information security manager and the management review team.

2. That people allocated are still in the organisation

This is an easy one for them as most people do not keep their documentation up to date and as a result there will be people documented as being allocated to roles that no longer work in the organisation.

3. That people are competent to perform the role

It isn’t enough to document and allocate roles. The roles that are allocated need to be allocated to people that are competent to perform the role. This not a tick box and documentation exercise, it is about getting the management system operating effectively with people that are experienced and know what they are doing.

ISO 27001 Clause 5.3: Organisational Roles, Responsibilities and Authorities FAQ

Related ISO 27001 Controls

ISO 27001 Annex A 5.2: Roles and Responsibilities

ISO 27001 Annex A 5.4: Management Responsibilities

ISO 27001 Amex A 5.5: Contact With Authorities

ISO 27001 Clause 7.2: Competence

ISO 27001 Clause 9.3: Management Review

Further Reading

ISO 27001 Competency Matrix Beginner’s Guide

How to conduct an ISO 27001 Management Review Meeting

ISO 27001 Roles and Responsibilities Explained