What is ISO 27001 Annex A 5.4 in ISO 27001?
Annex A 5.4 requires management to mandate security adherence across all personnel. This is a documented process integrated into your existing business tools. You must avoid external software silos. Management must require staff to apply information security in accordance with the established ISMS.
Auditor’s Eye: The Shortcut Trap
Relying on automated SaaS compliance platforms often leads to surface-level compliance. These platforms suggest management oversight through generic dashboards. Auditors prefer seeing evidence within the organisation’s native document repositories. We look for directives in SharePoint minutes or Jira task approvals. If management only looks at a black-box tool: they lack ownership. True leadership is documented within your daily business systems.
| Feature | ISO 27001:2013 (A.7.2.1) | ISO 27001:2022 (5.4) |
|---|---|---|
| Control Name | Management Responsibilities | Management Responsibilities |
| Primary Focus | Support and motivate staff. | Require personnel to apply security. |
| Evidence Source | Static policy documents. | Integrated workflow and meeting records. |
How to Implement Annex A 5.4 (Step-by-Step)
Management must require all personnel to follow security policies. Integrate these requirements into daily workflows using SharePoint and Jira. This ensures accountability stays within the business centre. It avoids the risks of external platform silos. Lead with a clear directive from the top. Follow these steps for an integrated approach.
Step 1: Document Management Directives
Management must issue formal directives regarding security adherence. Record these within your organisational meeting minutes in SharePoint. Use version control to track leadership decisions over time. This proves active management involvement to any auditor.
Step 2: Update Job Descriptions
Integrate security responsibilities into all job descriptions. Store these documents in a controlled SharePoint library. Personnel must acknowledge their specific security duties. This links management expectations directly to individual roles.
Step 3: Enforce through Jira Workflows
Use Jira to enforce management oversight. Configure workflows to require management sign-off for sensitive tasks. This creates a digital audit trail of leadership intervention. It shows that security is part of daily business operations.
Step 4: Conduct Governance Reviews
Perform regular reviews of security behaviour. Use Confluence to track trends and management actions. Link these reviews to your annual management review process. This demonstrates a continuous cycle of leadership oversight.
Annex A 5.4 Audit Evidence Checklist
Focus on manual records and meeting minutes. Use internal document versions to prove human oversight and intent. Provide these items:
- Minutes of security steering committee meetings in SharePoint.
- Signed job descriptions containing security obligations.
- Records of management reviews of staff security performance.
- Jira audit logs showing leadership approvals for system changes.
- Internal wiki logs showing management communication of security goals.
Relational Mapping
Annex A 5.4 supports Clause 5.1 Leadership and Commitment. It provides the operational oversight for Annex A 5.1 Policies. It directly impacts Annex A 6.3 Confidentiality or non-disclosure agreements. Furthermore, it feeds into Clause 9.3 Management Review. Management responsibility is the foundation for all human-centric security controls.
Auditor Interview: Verifying Management Ownership
Question: How does management require staff to follow security policies?
Answer: Management issues directives via SharePoint minutes and signs job descriptions.
Question: Where is the record of management approval for high-risk actions?
Answer: We use Jira workflows to capture management sign-offs electronically.
Question: How often does management review staff security adherence?
Answer: Quarterly reviews are documented within our Confluence governance pages.
Common Non-Conformities
| Failure Mode | Cause | Auditor Finding |
|---|---|---|
| Automated Complacency | Relying on SaaS dashboard “green ticks.” | Major NC: No evidence of leadership directives. |
| Lack of Evidence | Directives are given verbally only. | Minor NC: Failure to maintain documented information. |
| Delegated Accountability | Management ignores security until an audit. | Major NC: Breach of leadership commitment rules. |
Frequently Asked Questions
What is the bottom line for Annex A 5.4?
The bottom line is that management must lead. They must require staff to follow policies. Use your internal business tools to document this. This proves the organisation owns the security culture. It is not a software task.
How can SharePoint support management responsibilities?
SharePoint hosts meeting minutes and job descriptions. It provides version history and approval workflows. This creates a permanent record of management actions. Auditors trust native business records more than SaaS reports. It shows genuine leadership engagement.
Why is board involvement necessary for this control?
The board sets the organisational culture. Their directives carry the most weight. Documented board minutes prove that security has high-level support. This alignment is vital for ISMS success. It ensures security is seen as a business priority.