ISO 27001:2022 Annex A 5.3 Checklist Guide •

ISO 27001:2022 Annex A 5.3 Checklist Guide

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By Max Edwards | Updated 15 August 2024

Utilising a checklist for A.5.3 Segregation of Duties ensures comprehensive oversight and systematic implementation, reducing risks and enhancing security. Achieving compliance through this structured approach fosters a robust ISMS, aligning with ISO 27001:2022 standards.

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ISO 27001 A.5.3 Segregation of Duties Checklist

The Segregation of Duties (SoD) control within ISO 27001:2022 is a fundamental security principle designed to prevent errors, fraud, and unauthorised activities by ensuring that critical tasks are distributed among multiple individuals. Implementing SoD establishes a system of checks and balances, enhancing security and operational integrity. This control is crucial for maintaining a secure and compliant Information Security Management System (ISMS).

The primary goal of the SoD control is to minimise the risk of intentional and unintentional errors, fraud, and misuse of information by ensuring that no single individual has control over all aspects of any critical function. This is achieved by distributing responsibilities and establishing a robust oversight mechanism.


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Why Should You Comply With Annex A.5.3? Key Aspects and Common Challenges

Role Definition

Description: Clearly define roles and responsibilities within the organisation to prevent conflict of interest.

Challenges:

  • Role Ambiguity: Avoiding overlaps and gaps in role definitions.
  • Resistance to Change: Overcoming resistance from employees regarding changes to their roles.

Solutions:

  • Develop comprehensive role descriptions and regularly review and update them.
  • Engage stakeholders early to gain buy-in and reduce resistance.
  • Use change management practices to facilitate smooth transitions in role assignments.

Associated Clauses: Context of the organisation, Leadership and commitment, Organisational roles, responsibilities, and authorities.

Access Control

Description: Implement access controls to ensure individuals perform actions within their designated roles, using least privilege principles.

Challenges:

  • Technical Limitations: Integrating new access control measures with existing systems.
  • Access Creep: Users accumulating permissions they no longer need.

Solutions:

  • Conduct regular access reviews to ensure permissions are appropriate.
  • Implement automated tools to manage and monitor access rights.
  • Integrate access controls with existing systems using standardised protocols and APIs.

Associated Clauses: Information security objectives, Planning of changes, Access control.

Monitoring and Auditing

Description: Regularly monitor activities and review logs to detect unauthorised actions. Conduct periodic audits to ensure compliance with segregation policies.

Challenges:

  • Resource Intensive: Requiring significant resources and expertise for continuous monitoring and auditing.
  • Data Overload: Managing large volumes of audit logs.

Solutions:

  • Use automated monitoring and logging tools to streamline data collection and analysis.
  • Allocate dedicated resources and training for monitoring and audit functions.
  • Prioritise high-risk areas for more frequent audits.

Associated Clauses: Monitoring, measurement, analysis and evaluation, Internal audit, Performance evaluation.

Policy Enforcement

Description: Develop and enforce policies that support SoD. Ensure employees are aware of these policies and understand their importance.

Challenges:

  • Policy Dissemination: Ensuring all employees are aware of and understand the policies.
  • Consistency: Maintaining consistent enforcement across departments.

Solutions:

  • Use centralised platforms to disseminate and track policy acknowledgements.
  • Conduct regular training sessions to reinforce policy awareness.
  • Implement consistent enforcement mechanisms and regularly review policy adherence.

Associated Clauses: Communication, Documented information, Awareness.

Training and Awareness

Description: Provide training on the importance of SoD and how it helps prevent fraud and errors. Regularly update training materials to reflect policy changes.

Challenges:

  • Engagement: Keeping employees engaged and motivated to complete training programmes.
  • Relevance: Ensuring training materials are relevant and up-to-date.

Solutions:

  • Develop interactive and role-specific training modules.
  • Use gamification techniques to enhance engagement.
  • Regularly update training content to reflect current policies and real-world scenarios.

Associated Clauses: Competence, Awareness, Training.


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ISMS.online Features for Demonstrating Compliance with A.5.3

  • Role-Based Access Control (RBAC): Define and manage user roles to ensure access is granted based on the principle of least privilege. Track and document access rights assignments to demonstrate compliance.
  • Policy Management: Utilise policy templates and version control to create, update, and communicate SoD policies. Ensure all employees have acknowledged understanding of these policies through tracking and reporting features.
  • Audit Management: Plan, execute, and document internal audits to review compliance with SoD. Use corrective action tracking to address any identified issues promptly.
  • Incident Management: Track and manage incidents related to SoD violations. Implement workflow automation for incident response and ensure timely resolution.
  • Training Management: Develop and deliver targeted training modules on SoD. Track completion and effectiveness of training programmes to ensure all employees are well-informed.
  • Compliance Tracking: Monitor compliance with SoD through automated compliance tracking and reporting tools. Use performance metrics and dashboards to provide real-time visibility into compliance status.

Benefits

  • Risk Reduction: Minimises the risk of fraud, errors, and unauthorised actions by distributing tasks among multiple individuals.
  • Enhanced Security: Improves overall security posture by ensuring critical processes are not controlled by a single person.
  • Compliance: Helps organisations comply with regulatory requirements and standards that mandate SoD.

Implementation Tips

  • Identify Critical Functions: Determine which functions are critical to the organisation and require segregation.
  • Assign Responsibilities Appropriately: Ensure roles are assigned in a way that separates critical tasks.
  • Review and Adjust: Continuously review and adjust roles and access rights as needed to respond to changes in the organisation or environment.

Detailed Annex A.5.3 Compliance Checklist

Role Definition

Define all roles and responsibilities clearly.

Ensure no single individual has control over all critical functions.

Regularly review and update role definitions to reflect organisational changes.

Communicate roles effectively using ISMS.online Policy Management.

Access Control

Implement role-based access controls (RBAC).

Grant access based on the principle of least privilege.

Regularly review and adjust access rights.

Document and track access rights assignments.

Monitoring and Auditing

Establish a monitoring schedule for activities and log reviews.

Plan and conduct regular internal audits.

Analyse audit logs for unauthorised or inappropriate actions.

Document audit findings and corrective actions.

Policy Enforcement

Develop policies supporting SoD.

Ensure policies are accessible and communicated to all employees.

Track policy acknowledgements and understanding.

Regularly review and update policies as needed.

Training and Awareness

Develop targeted training modules on SoD.

Ensure all employees complete the training programmes.

Track training completion and effectiveness.

Update training materials to reflect policy or procedural changes.


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Protect Your Organisation

Segregation of Duties is an essential control in an organisation’s information security management system (ISMS) as it ensures a balanced distribution of responsibilities, reducing the potential for abuse or error, and enhancing overall security. Leveraging ISMS.online features such as role-based access control, policy management, audit management, incident management, training management, and compliance tracking, organisations can effectively demonstrate compliance with A.5.3 and maintain a robust security framework.

Addressing common challenges head-on with these tools ensures successful implementation and sustained compliance. By following the detailed compliance checklist, organisations can systematically approach SoD implementation and maintain ongoing compliance with ISO 27001:2022 standards.

Every Annex A Control Checklist Table

ISO 27001 Annex A.5 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.5.1Policies for Information Security Checklist
Annex A.5.2Information Security Roles and Responsibilities Checklist
Annex A.5.3Segregation of Duties Checklist
Annex A.5.4Management Responsibilities Checklist
Annex A.5.5Contact With Authorities Checklist
Annex A.5.6Contact With Special Interest Groups Checklist
Annex A.5.7Threat Intelligence Checklist
Annex A.5.8Information Security in Project Management Checklist
Annex A.5.9Inventory of Information and Other Associated Assets Checklist
Annex A.5.10Acceptable Use of Information and Other Associated Assets Checklist
Annex A.5.11Return of Assets Checklist
Annex A.5.12Classification of Information Checklist
Annex A.5.13Labelling of Information Checklist
Annex A.5.14Information Transfer Checklist
Annex A.5.15Access Control Checklist
Annex A.5.16Identity Management Checklist
Annex A.5.17Authentication Information Checklist
Annex A.5.18Access Rights Checklist
Annex A.5.19Information Security in Supplier Relationships Checklist
Annex A.5.20Addressing Information Security Within Supplier Agreements Checklist
Annex A.5.21Managing Information Security in the ICT Supply Chain Checklist
Annex A.5.22Monitoring, Review and Change Management of Supplier Services Checklist
Annex A.5.23Information Security for Use of Cloud Services Checklist
Annex A.5.24Information Security Incident Management Planning and Preparation Checklist
Annex A.5.25Assessment and Decision on Information Security Events Checklist
Annex A.5.26Response to Information Security Incidents Checklist
Annex A.5.27Learning From Information Security Incidents Checklist
Annex A.5.28Collection of Evidence Checklist
Annex A.5.29Information Security During Disruption Checklist
Annex A.5.30ICT Readiness for Business Continuity Checklist
Annex A.5.31Legal, Statutory, Regulatory and Contractual Requirements Checklist
Annex A.5.32Intellectual Property Rights Checklist
Annex A.5.33Protection of Records Checklist
Annex A.5.34Privacy and Protection of PII Checklist
Annex A.5.35Independent Review of Information Security Checklist
Annex A.5.36Compliance With Policies, Rules, and Standards for Information Security Checklist
Annex A.5.37Documented Operating Procedures Checklist


ISO 27001 Annex A.6 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.6.1Screening Checklist
Annex A.6.2Terms and Conditions of Employment Checklist
Annex A.6.3Information Security Awareness, Education and Training Checklist
Annex A.6.4Disciplinary Process Checklist
Annex A.6.5Responsibilities After Termination or Change of Employment Checklist
Annex A.6.6Confidentiality or Non-Disclosure Agreements Checklist
Annex A.6.7Remote Working Checklist
Annex A.6.8Information Security Event Reporting Checklist


ISO 27001 Annex A.7 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.7.1Physical Security Perimeters Checklist
Annex A.7.2Physical Entry Checklist
Annex A.7.3Securing Offices, Rooms, and Facilities Checklist
Annex A.7.4Physical Security Monitoring Checklist
Annex A.7.5Protecting Against Physical and Environmental Threats Checklist
Annex A.7.6Working in Secure Areas Checklist
Annex A.7.7Clear Desk and Clear Screen Checklist
Annex A.7.8Equipment Siting and Protection Checklist
Annex A.7.9Security of Assets Off-Premises Checklist
Annex A.7.10Storage Media Checklist
Annex A.7.11Supporting Utilities Checklist
Annex A.7.12Cabling Security Checklist
Annex A.7.13Equipment Maintenance Checklist
Annex A.7.14Secure Disposal or Re-Use of Equipment Checklist


ISO 27001 Annex A.8 Control Checklist Table

ISO 27001 Control NumberISO 27001 Control Checklist
Annex A.8.1User Endpoint Devices Checklist
Annex A.8.2Privileged Access Rights Checklist
Annex A.8.3Information Access Restriction Checklist
Annex A.8.4Access to Source Code Checklist
Annex A.8.5Secure Authentication Checklist
Annex A.8.6Capacity Management Checklist
Annex A.8.7Protection Against Malware Checklist
Annex A.8.8Management of Technical Vulnerabilities Checklist
Annex A.8.9Configuration Management Checklist
Annex A.8.10Information Deletion Checklist
Annex A.8.11Data Masking Checklist
Annex A.8.12Data Leakage Prevention Checklist
Annex A.8.13Information Backup Checklist
Annex A.8.14Redundancy of Information Processing Facilities Checklist
Annex A.8.15Logging Checklist
Annex A.8.16Monitoring Activities Checklist
Annex A.8.17Clock Synchronisation Checklist
Annex A.8.18Use of Privileged Utility Programs Checklist
Annex A.8.19Installation of Software on Operational Systems Checklist
Annex A.8.20Networks Security Checklist
Annex A.8.21Security of Network Services Checklist
Annex A.8.22Segregation of Networks Checklist
Annex A.8.23Web Filtering Checklist
Annex A.8.24Use of Cryptography Checklist
Annex A.8.25Secure Development Life Cycle Checklist
Annex A.8.26Application Security Requirements Checklist
Annex A.8.27Secure System Architecture and Engineering Principles Checklist
Annex A.8.28Secure Coding Checklist
Annex A.8.29Security Testing in Development and Acceptance Checklist
Annex A.8.30Outsourced Development Checklist
Annex A.8.31Separation of Development, Test and Production Environments Checklist
Annex A.8.32Change Management Checklist
Annex A.8.33Test Information Checklist
Annex A.8.34Protection of Information Systems During Audit Testing Checklist


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