ISO 27001:2022 Clause 4.3 Determining the scope of the information security management system

The organization shall determine the boundaries and applicability of the information security
management system to establish its scope.
When determining this scope, the organization shall consider:
a] the external and internal issues referred to in 4.1;
h] the requirements referred to in 4.2;
c) interfaces and dependencies between activities performed by the organization, and those that are performed by other organizations.
The scope shall be available as documented information.

The organization shall determine the boundaries and applicability of the information security
management system to establish its scope.

Determining the boundaries and applicability of the Information Security Management System (ISMS) is a crucial step in establishing its scope. The scope defines the extent and limits of the ISMS and outlines what information, assets, and processes are covered by the system. Here are key steps to determine the boundaries and applicability of the ISMS:

1. Define Organizational Boundaries: Clearly identify and define the organizational units, departments, and locations that will be included in the scope of the ISMS. Consider the entire organization, including remote offices, subsidiaries, and third-party relationships.
2. Identify Assets: Identify and catalog the information assets within the organizational boundaries. This includes data, systems, networks, applications, and any other assets that are critical to the organization’s information security.
3. Consider Outsourced Processes: If the organization relies on third-party services or outsourced processes that involve information processing, include these in the scope. This could encompass cloud services, IT outsourcing, or other external providers.
4. Define Information Security Objectives: Establish clear information security objectives and goals for the organization. These objectives will help determine what aspects of the organization’s operations need to be included in the scope of the ISMS.
5. Consider Legal and Regulatory Requirements: Identify and understand the legal and regulatory requirements applicable to the organization. The scope of the ISMS should encompass areas that are subject to these requirements, ensuring compliance.
6. Involve Relevant Stakeholders: Engage with key stakeholders, including management, employees, and external partners, to gather input on what areas should be covered by the ISMS. Consider their perspectives and concerns when defining the scope.
7. Review Business Processes: Examine the organization’s business processes and workflows to determine where information is created, processed, transmitted, and stored. Include these processes in the scope of the ISMS.
8. Assess Risk: Conduct a risk assessment to identify and analyze potential risks to the organization’s information assets. This assessment will help determine which areas are critical and should be within the scope of the ISMS.
9. Consider Future Growth and Changes: Anticipate future changes, expansions, or contractions in the organization. Ensure that the scope of the ISMS is flexible enough to accommodate these changes and can adapt to evolving business needs.
10. Document the Scope: Clearly document the scope of the ISMS, detailing the organizational boundaries, assets included, and the rationale for these decisions. This documentation is essential for communication and for maintaining clarity over time.
11. Communicate the Scope: Clearly communicate the established scope to all relevant stakeholders, including employees, management, and external partners. Ensure that everyone is aware of what is covered by the ISMS and what is not.
12. Regularly Review and Update: Establish a process for regularly reviewing and updating the scope of the ISMS. This ensures that changes in the organization’s environment are reflected in the scope, and the ISMS remains effective.

By following these steps, an organization can establish a well-defined and appropriately scoped ISMS that aligns with its business objectives, legal obligations, and information security goals. The clarity provided by a well-defined scope contributes to the effectiveness of the ISMS in protecting critical information assets.

How to set the scope of the ISMS

Setting the scope of the Information Security Management System (ISMS) is a critical step in ensuring that the organization’s information security efforts are focused and effective. The in-scope activity will be much more logical to consider once you have completed the work for 4.1 and 4.2. You’ll probably consider the organisation, subsidiaries, divisions, departments, products, services, physical locations, mobile workers, geographies, systems and processes for your scope as the information assurance and risk assessment work will be following those parts of your organisation that need to be protected. Remember to also think about what the powerful stakeholder interested parties will expect too. If you did look at leaving any part of the organisation out of scope, what would the impact be for those powerful interested parties? Would you also have to run multiple systems and end up confusing staff about what was in and out of scope in the way they worked? What parts of the business need to create, access or process the information assets you see as valuable? These would almost certainly need to be in scope if the pressures were driven externally by customers for satisfying their information assurance needs. For example, you might focus on your product development and delivery but would still have to look at the people, processes etc around it too. Also think about what you can and can’t control or influence. It could be minutes of effort to get this work done or might take considerably longer in a larger enterprise where it can be politically and practically challenging to determine a controllable scope. ISO certification bodies like UKAS are pushing more towards ‘whole organisation’ scope too and powerful customers will generally expect that as well. Here’s a step-by-step guide on how to set the scope of the ISMS:

1. Define Organizational Boundaries: Clearly identify the organizational units, departments, and locations that will be included in the ISMS. This could include all business units, subsidiaries, remote offices, and any other entities that handle or have access to sensitive information.
2. Identify Information Assets: Catalog and identify the information assets within the defined organizational boundaries. This includes data, systems, networks, applications, and any other assets that are critical to the organization’s operations.
3. Consider External Relationships: Take into account external relationships and third-party connections that involve the processing or sharing of information. Include these relationships in the scope if they have a direct impact on the organization’s information security.
4. Understand Legal and Regulatory Requirements: Identify and understand the legal and regulatory requirements applicable to the organization. Ensure that the scope of the ISMS encompasses areas subject to these requirements to achieve compliance.
5. Define Information Security Objectives: Establish clear information security objectives for the organization. These objectives should align with the organization’s overall goals and help guide the determination of the scope.
6. Conduct a Risk Assessment: Perform a thorough risk assessment to identify and analyze potential risks to the organization’s information assets. Assess the criticality of different assets and processes to help prioritize them in the ISMS scope.
7. Involve Key Stakeholders: Engage with relevant stakeholders, including senior management, department heads, IT staff, legal, and compliance teams. Gather input on what aspects of the organization’s operations should be included in the ISMS scope.
8. Review Business Processes: Examine the organization’s business processes to understand how information is created, processed, transmitted, and stored. Include these processes in the scope to ensure comprehensive coverage.
9. Consider Scope Limitations: Clearly define any limitations or exclusions to the scope of the ISMS. This might include specifying certain business units or processes that are intentionally excluded due to unique circumstances or specific business reasons.
10. Document the Scope Statement: Develop a comprehensive scope statement that clearly outlines the organizational boundaries, information assets included, and any limitations. The scope statement should be documented and easily accessible for reference.
11. Communicate the Scope: Clearly communicate the established scope to all relevant stakeholders. This includes employees, management, external partners, and any other parties affected by the ISMS. Ensure everyone understands what is covered and what is not.
12. Regularly Review and Update: Establish a process for regularly reviewing and updating the ISMS scope. Changes in the organization’s structure, business processes, or external relationships may necessitate adjustments to the scope to maintain relevance.
13. Align with Business Objectives: Ensure that the scope aligns with the overall business objectives of the organization. The ISMS should support the organization’s mission and goals while effectively managing information security risks.
14. Seek Management Approval: Obtain formal approval from senior management for the defined scope. This ensures that the leadership is aware of and supports the boundaries and objectives of the ISMS.

By following these steps, an organization can establish a well-defined and appropriate scope for its ISMS. A clearly defined scope is essential for focusing efforts, allocating resources effectively, and ensuring that the ISMS addresses the most critical aspects of information security within the organization. Let’s walk through an example of setting up the scope for an Information Security Management System (ISMS). In this scenario, let’s consider a fictional company, XYZ Corporation, that provides online retail services. The goal is to establish a well-defined scope for their ISMS:

1. Define Organizational Boundaries: XYZ Corporation operates globally and has multiple departments, including IT, sales, customer service, and logistics. The ISMS will cover all departments and locations where sensitive information is processed.
2. Identify Information Assets:
   • Customer databases
   • Financial systems
   • E-commerce platforms
   • Employee records
   • Intellectual property databases
3. Consider External Relationships: XYZ Corporation relies on a third-party cloud service for hosting its e-commerce platform. The ISMS will cover the interactions and information flows with this external service provider
4. Understand Legal and Regulatory Requirements: XYZ Corporation is subject to data protection laws in the countries where it operates. The ISMS will cover compliance with these laws, including GDPR for European customers and local data protection regulations.
5. Define Information Security Objectives:
   • Protect customer data from unauthorized access.
   • Ensure the availability and integrity of the e-commerce platform.
   • Comply with relevant data protection regulations.
   • Safeguard intellectual property and trade secrets.
6. Conduct a Risk Assessment: Identify and assess risks associated with data breaches, system downtime, and regulatory non-compliance. Prioritize risks to determine the focus areas of the ISMS.
7. Involve Key Stakeholders: Engage with IT, legal, compliance, and department heads to gather input on critical areas for information security. Consider feedback from senior management and employees.
8. Review Business Processes: Examine how information is handled throughout the organization, from customer order processing to shipping. Include all processes that involve the creation, processing, and storage of sensitive information.
9. Document Limitations: Specify that personal devices used by employees for work purposes are out of scope for the ISMS. This limitation is due to challenges in controlling the security of personal devices.
10. Include Legal or Regulatory References:Reference relevant data protection laws in the scope documentation to emphasize the commitment to compliance.
11. Communicate with Stakeholders:Clearly communicate the ISMS scope to all employees, especially those involved in handling sensitive information. Ensure that external partners are aware of the scope’s limitations.
12. Document in the Scope Statement:Include a dedicated section in the ISMS documentation that clearly outlines the scope. Document what is included, what is excluded, and the rationale behind these decisions.
13. Update and Review:Establish a regular review process to ensure that the ISMS scope remains aligned with the organization’s evolving business environment and any changes in legal or regulatory requirements.
14. Obtain Management Approval: Seek formal approval from senior management for the established ISMS scope. This ensures that leadership endorses the boundaries and objectives of the ISMS.
15. Educate ISMS Users: Provide training to employees regarding the ISMS scope, especially those who handle sensitive information. Ensure that they understand their roles in maintaining the security of the included areas.

ISMS Scope Statement for XXX Solutions:

1. Organizational Boundaries: The ISMS covers all departments and business units within XXX Solutions, including software development, IT infrastructure, human resources, and administration.

2. Information Assets Included:

• The following information assets are included in the scope:
  • Client data, including project details and sensitive information shared by clients.
  • Employee records, including personal information and HR-related data.
  • Intellectual property, source code, and proprietary software developed by XXX Solutions.
  • Financial data related to invoicing and transactions.

3. External Relationships: The ISMS includes interactions with external service providers and cloud platforms that are involved in software development, hosting, and other relevant processes.

4. Legal and Regulatory Requirements: The scope encompasses compliance with data protection laws, intellectual property regulations, and any other legal requirements applicable to the software development industry in the regions where XXX Solutions operates.

5. Information Security Objectives:

• The ISMS aims to achieve the following key objectives:
  • Protect client confidentiality and ensure the secure handling of client data.
  • Safeguard intellectual property and prevent unauthorized access to source code.
  • Ensure the availability and integrity of IT systems to prevent service disruptions.
  • Comply with data protection laws and regulations.

6. Risk Assessment: The ISMS focuses on addressing risks associated with data breaches, unauthorized access, system vulnerabilities, and compliance failures. Risks are assessed regularly to inform security measures.

7. Stakeholder Involvement: Key stakeholders, including senior management, IT professionals, legal and compliance teams, and client representatives, are consulted to ensure that their concerns and requirements are considered in defining the scope.

8. Business Processes: All business processes involving the creation, processing, and storage of sensitive information are included. This covers software development, project management, client communications, and administrative processes.

9. Documented Limitations: Personal devices used by employees for work purposes are considered out of scope due to challenges in controlling the security of personal devices. This limitation is documented to provide transparency.

10. Legal and Regulatory References: References to data protection laws and industry-specific regulations are included in the scope documentation to emphasize the commitment to compliance.

11. Communication with Stakeholders: The defined scope is communicated to all employees through training sessions and documentation. Clients are informed about the security measures in place to protect their information.

12. Scope Documentation: The ISMS documentation includes a dedicated section detailing the scope, explicitly listing what is covered and providing a rationale for any exclusions.

13. Regular Review and Update: A periodic review process is established to ensure the ongoing relevance of the scope. Changes in business operations, legal requirements, or technology are considered during these reviews.

14. Management Approval: Formal approval is sought from senior management to endorse and support the defined ISMS scope.

15. Employee Education: Employees are educated about their roles and responsibilities within the ISMS scope. Training programs emphasize the importance of information security in their daily activities.

This example demonstrates a systematic approach to setting up the scope for an ISMS. By following these steps, XYZ Corporation can establish a clear and well-defined scope that aligns with its business objectives and effectively manages information security risks.

How to document ‘out-of-scope’

Documenting the ‘out-of-scope’ elements is a crucial aspect of clearly defining the boundaries of your Information Security Management System (ISMS). This documentation helps communicate what is intentionally excluded from the scope and ensures transparency about the areas or processes that are not covered by the ISMS. Establish clear criteria for determining what falls outside the scope of the ISMS. This could include specific business units, processes, information assets, or locations. Create a list of the specific items or areas that are considered ‘out-of-scope.’ Be explicit about what is excluded and provide a brief explanation for each item. Clearly articulate the rationale for excluding each item from the ISMS scope. This could be due to low risk, business-specific reasons, or the nature of certain processes that are managed separately. Specify any limitations associated with the out-of-scope items. This could include constraints on resources, technology, or other factors that influence the decision to exclude certain elements.If applicable, reference any legal or regulatory requirements that explicitly exclude certain elements from the scope. Ensure that the organization remains compliant with relevant laws and regulations. Clearly communicate the decision to exclude specific elements from the ISMS to relevant stakeholders, including management, employees, and external partners. Transparency is crucial for understanding and acceptance. Include the details of ‘out-of-scope’ items in the official scope statement of the ISMS documentation. This could be a separate section clearly indicating what is not covered. Regularly review and update the documentation on ‘out-of-scope’ items. Changes in business processes, organizational structure, or regulatory landscape may require adjustments to the scope. Ensure that the decision to exclude certain elements aligns with the results of risk assessments. If an item is excluded due to low risk, ensure that the risk assessment supports this decision. Anticipate potential changes in the organization’s environment that may impact the ‘out-of-scope’ items. Ensure that the scope remains relevant and can adapt to evolving business needs. Seek formal approval from senior management for the documented ‘out-of-scope’ items. This helps ensure that key decision-makers are aware of and endorse the limitations. Provide training and education to individuals involved in the implementation and operation of the ISMS. Ensure they understand the implications of ‘out-of-scope’ elements on their responsibilities. You should also carefully note the ‘out of scope’ areas for the ISMS too, wrapped up alongside the key interfaces and dependencies between activities performed by the organisation and those that are performed by other organisations. At a simplistic level, let’s imagine you are a software developer and rely on outsourcing of the datacentre for hosting of the service to customers. You’d probably clarify that the scope for your 4.3 is that within your organisation for the people and the software itself, but would put the boundaries and activities of the data centre out of your controlled scope – after all you would expect them to also maintain their own trusted ISMS. It is the same for physical property – if there is a reliance on a landlord for certain work (e.g. loading, barriers and reception control) that might form a boundary where the physical location security itself is out of scope for your control and you’d work your ISMS activity within that property.

When determining this scope, the organization shall consider the external and internal issues related to Information security management system

when determining the scope of an Information Security Management System (ISMS), it’s essential for the organization to consider both external and internal issues. This process is part of the broader context analysis that helps shape the boundaries of the ISMS and ensures that it aligns with the organization’s goals and context. Here’s a breakdown of how external and internal issues are considered:

External Issues:

1. Legal and Regulatory Environment: Identify and understand the legal and regulatory requirements relevant to information security. This includes data protection laws, industry-specific regulations, and any other legal obligations related to the handling of sensitive information.
2. Industry Standards and Best Practices: Consider industry-specific standards and best practices related to information security. This could include ISO/IEC 27001, NIST Cybersecurity Framework, or other relevant standards that provide guidance on effective security measures.
3. Market and Customer Expectations: Analyze market trends and customer expectations regarding information security. Consider the specific security requirements outlined by clients, partners, and stakeholders to meet market demands and enhance trust.
4. Technological Landscape: Stay informed about advancements and changes in technology that may impact information security. This includes emerging threats, new vulnerabilities, and technologies that could enhance or pose risks to the organization’s security posture.
5. Competitive Landscape: Understand how competitors approach information security. This analysis can provide insights into industry benchmarks and help the organization set its information security practices in line with or ahead of industry standards.
6. Global and Geopolitical Factors: Consider global and geopolitical factors that may influence information security. This could include geopolitical tensions, international cyber threats, and other factors that may have implications for the organization’s security.

Internal Issues:

1. Organizational Objectives and Strategy: Align the scope of the ISMS with the overall objectives and strategic goals of the organization. Ensure that information security measures support and contribute to the achievement of broader organizational aims.
2. Business Processes: Understand how information is used, processed, and shared across different business processes within the organization. Identify critical processes and ensure they are included in the scope of the ISMS.
3. Information Assets: Catalog and assess the organization’s information assets. This includes data, systems, applications, intellectual property, and any other assets that are crucial to the organization’s operations.
4. Organizational Structure: Consider the organizational structure, including departments, business units, and geographical locations. Determine which parts of the organization will fall within the scope of the ISMS.
5. Risk Appetite and Tolerance: Define the organization’s risk appetite and tolerance for information security. This helps in prioritizing security measures and determining the level of risk the organization is willing to accept.
6. Existing Controls and Security Measures: Evaluate the effectiveness of existing controls and security measures. Identify areas where improvements or additional measures are needed to strengthen the organization’s security posture.
7. Employee Awareness and Competence: Assess the level of awareness and competence of employees regarding information security. This may influence the scope by highlighting areas that require additional training or awareness programs.
8. Third-Party Relationships: Consider the organization’s relationships with third parties, such as suppliers and partners. Assess the impact of these relationships on information security and include relevant aspects in the ISMS scope.

Integration of External and Internal Issues:

• Stakeholder Input: Gather input from key stakeholders, including management, employees, and external partners. Stakeholder perspectives help ensure that the ISMS scope is comprehensive and addresses the concerns of all relevant parties.
• Context Analysis: Conduct a thorough analysis of the external and internal issues to create a context for information security. This analysis provides the foundation for determining the scope and setting objectives within the ISMS.
• Documentation: Document the findings from the analysis of external and internal issues. This documentation will serve as a reference point for decision-making, scope definition, and ongoing management of the ISMS.

By considering both external and internal issues, organizations can establish an ISMS scope that is well-aligned with their context, strategic goals, and the expectations of stakeholders. This holistic approach helps organizations build a robust and contextually relevant information security framework.

When determining this scope, the organization shall consider the requirements of interested parties relevant to Information security management system.

Considering the requirements of interested parties is a crucial aspect when determining the scope of an Information Security Management System (ISMS). Interested parties are individuals or organizations that can affect, be affected by, or perceive themselves to be affected by a decision or activity related to the ISMS. These parties may have specific requirements and expectations concerning information security. Here’s a breakdown of how to consider the requirements of interested parties in determining the ISMS scope:

Identify Interested Parties:

1. Internal Parties:
   • Employees: Consider the expectations and requirements of employees regarding the protection of their personal information and the security of the systems they use.
   • Management: Understand the strategic objectives and expectations of the management regarding information security.
   • IT Department: Identify the technical requirements and expectations of the IT department in terms of network security, system integrity, and data protection.
2. External Parties:
   • Customers: Identify the expectations of customers regarding the confidentiality, integrity, and availability of their data.
   • Regulatory Authorities: Consider the legal and regulatory requirements imposed by governmental or industry regulatory bodies.
   • Business Partners: Understand the contractual obligations and security expectations of business partners, suppliers, and other external stakeholders.
   • Industry Associations: If applicable, consider any standards or guidelines set by industry associations relevant to information security.

Assess Requirements of Interested Parties:

1. Legal and Regulatory Requirements: Identify and understand the legal and regulatory requirements imposed by relevant authorities. This may include data protection laws, industry-specific regulations, and other compliance obligations.
2. Contractual Obligations: Review contracts, agreements, and service level agreements (SLAs) with customers and business partners. Identify any specific information security requirements outlined in these agreements.
3. Customer Expectations: Engage with customers through surveys, feedback sessions, or direct communication to understand their expectations regarding the security of their data and services.
4. Internal Stakeholder Expectations: Interview or survey internal stakeholders, including employees and management, to gather their expectations and requirements for information security within the organization.
5. Regulatory Bodies: Stay informed about any changes in laws and regulations related to information security. Regularly monitor updates from regulatory bodies that may impact the organization.

Integration into ISMS Scope:

1. Prioritize Requirements: Prioritize the identified requirements based on their significance and impact on the organization. Focus on requirements that align with the organization’s strategic objectives and overall risk management approach.
2. Risk Assessment: Incorporate the requirements into the risk assessment process. Assess the risks associated with non-compliance with the identified requirements to prioritize actions and controls within the ISMS.
3. Document Requirements: Clearly document the requirements of interested parties in the documentation of the ISMS. This documentation serves as a reference point for decision-making and continuous improvement.
4. Communication: Communicate the ISMS scope and the organization’s commitment to meeting the requirements of interested parties to internal and external stakeholders. Transparency builds trust and confidence.
5. Stakeholder Engagement: Engage with interested parties throughout the process. Regularly review and update the ISMS scope to ensure that it continues to meet the expectations of stakeholders.

By systematically identifying, assessing, and integrating the requirements of interested parties into the ISMS scope, organizations can establish a comprehensive and effective information security framework. This approach helps in building trust, ensuring compliance, and aligning the ISMS with the expectations of relevant stakeholders.

When determining this scope, the organization shall consider the interfaces and dependencies between activities performed by the organization, and those that are performed by other organizations

Considering interfaces and dependencies with other organizations is a critical aspect when determining the scope of an Information Security Management System (ISMS). This involves understanding how activities performed by the organization interact with those carried out by external entities, such as suppliers, partners, or service providers. Addressing these interfaces and dependencies ensures a comprehensive and effective approach to information security. Here are steps to consider:

Identify External Interfaces and Dependencies:

1. Suppliers and Service Providers: Identify external entities, including suppliers and service providers, that interact with your organization’s information assets or processes. This may involve IT service providers, cloud services, and other third-party vendors.
2. Business Partners and Customers: Consider how your organization interacts with business partners and customers. This could include data exchanges, collaborative projects, or any shared information systems.
3. Governmental or Regulatory Bodies: Recognize any interactions and dependencies related to regulatory compliance. Understand reporting requirements, audit processes, and any external assessments that may impact information security.
4. Industry Standards and Frameworks: Consider interfaces related to industry standards, frameworks, or certifications. This could involve alignment with ISO/IEC 27001, NIST Cybersecurity Framework, or other relevant standards.

Assess Information Security Implications:

1. Data Flows: Map the flow of information between your organization and external entities. Understand the types of data exchanged, the frequency of exchanges, and the criticality of the information.
2. Security Controls: Evaluate the security controls implemented by external entities. Ensure that these controls align with the security objectives of your organization and provide adequate protection for shared information.
3. Contractual Agreements: Review contractual agreements with external entities to identify information security obligations and responsibilities. Ensure that expectations for security measures are clearly defined.
4. Risk Assessment: Assess the risks associated with external interfaces and dependencies. Consider potential threats, vulnerabilities, and the impact on information security if these interfaces are not properly managed.

Integration into ISMS Scope:

1. Include External Interfaces in Scope: Clearly define the external interfaces and dependencies that are considered in scope for the ISMS. This includes activities, systems, and information flows that involve external parties.
2. Security Objectives for Interfaces: Establish security objectives specifically addressing the interfaces and dependencies with external organizations. Ensure that these objectives align with the overall goals of the ISMS.
3. Collaborate on Security Measures: Collaborate with external entities to establish mutually agreed-upon security measures. This could involve joint risk assessments, sharing of best practices, and implementing controls that benefit both parties.
4. Communication and Awareness: Communicate the ISMS scope and security measures to relevant external entities. Ensure that both organizations are aware of their roles and responsibilities in maintaining information security.
5. Monitoring and Review: Implement monitoring mechanisms to continuously assess the effectiveness of security controls related to external interfaces. Regularly review the security posture of external entities to ensure ongoing compliance.
6. Incident Response Planning: Develop incident response plans that account for potential security incidents involving external interfaces. Collaborate with external entities to establish clear communication and response procedures.

By considering interfaces and dependencies with other organizations, the ISMS can address potential risks and enhance the overall security posture. This collaborative approach helps ensure a more robust and resilient information security framework that extends beyond the boundaries of the organization.

The scope shall be available as documented information.

This documentation serves as a reference and communication tool, ensuring that stakeholders within and outside the organization are aware of the boundaries, objectives, and limitations of the ISMS. Here are key points regarding documenting the ISMS scope:

1. Scope Statement: Develop a comprehensive scope statement that clearly outlines the organizational boundaries, information assets included, and any limitations or exclusions. The scope statement should provide a clear and concise overview of what the ISMS covers.
2. Inclusion of Relevant Information: Ensure that the documented scope includes all relevant information necessary to understand the scope. This may encompass internal and external factors, interested parties, and any specific considerations that influenced the determination of the scope.
3. Rationale for Exclusions: If any areas or activities are intentionally excluded from the scope, clearly document the rationale behind these exclusions. This transparency helps stakeholders understand the reasons for certain decisions.
4. Legal and Regulatory References: Include references to legal and regulatory requirements relevant to the scope. This emphasizes the organization’s commitment to compliance and ensures that the ISMS aligns with applicable laws and regulations.
5. Interfaces and Dependencies: Document information about external interfaces and dependencies, emphasizing how interactions with other organizations or entities are managed to maintain information security.
6. Review Dates: Include the date of the last review of the ISMS scope. Regular reviews ensure that the scope remains aligned with the organization’s context, objectives, and any changes in the internal or external environment.
7. Communication of Changes: Clearly communicate any changes to the ISMS scope to relevant stakeholders. This ensures that everyone is aware of modifications and can adjust their practices accordingly.
8. Accessible and Distributed: Make the documented scope accessible to all relevant stakeholders. This may involve distributing the information through internal communication channels or making it available on a centralized platform.
9. Controlled Document: Implement document control measures to ensure the accuracy and integrity of the ISMS scope documentation. This may include version control, access restrictions, and regular audits.
10. Training and Awareness: Incorporate the ISMS scope into training and awareness programs for employees and other stakeholders. This helps in ensuring that everyone understands the scope and their role in supporting information security.
11. Alignment with Policies and Procedures: Ensure that the documented ISMS scope aligns with the organization’s information security policies and procedures. Consistency across these documents enhances the effectiveness of the overall information security framework.
12. Integration with Risk Management: Connect the ISMS scope documentation with the organization’s risk management processes. This integration helps in addressing risks associated with the defined scope.

By documenting the ISMS scope, organizations create a foundation for effective communication, transparency, and accountability in managing information security. This documentation not only facilitates compliance with ISO/IEC 27001 but also supports ongoing improvement and adaptation to changing circumstances.

Let’s create a hypothetical example of establishing the scope of an Information Security Management System (ISMS) for a technology company, TechGuard Solutions. In this example, we’ll consider external and internal issues, requirements of interested parties, and interfaces/dependencies.

1. External and Internal Issues:

External Issues:

• Legal and Regulatory Environment:
  • Compliance with data protection laws, industry standards, and international regulations.
• Market Trends and Customer Expectations:
  • Continuous monitoring of emerging threats and customer expectations for robust information security practices.
• Technological Landscape:
  • Adaptation to evolving technologies, ensuring security measures keep pace.
• Competitive Landscape:
  • Regular assessment of industry competitors and benchmarks for information security.

Internal Issues:

• Organizational Objectives and Strategy:
  • Integration of information security with overall business objectives and strategic goals.
• Business Processes:
  • Mapping and understanding critical business processes that involve sensitive information.
• Information Assets:
  • Cataloging and assessing the organization’s information assets, including intellectual property, customer data, and proprietary technologies.
• Risk Appetite and Tolerance:
  • Aligning information security measures with the organization’s risk appetite and tolerance.

2. Requirements of Interested Parties:

Identified Interested Parties and Their Requirements:

• Customers:
  • Requirements for the protection of customer data and assurance of service availability.
• Regulatory Authorities:
  • Compliance with data protection laws, reporting, and auditing requirements.
• Business Partners:
  • Contractual obligations related to information security, data handling, and confidentiality.
• Employees:
  • Expectations for the secure handling of personal information and adherence to internal security policies.

3. Interfaces and Dependencies:

Identified Interfaces and Dependencies:

• Suppliers and Service Providers:
  • Dependence on third-party cloud services and software providers for various business functions.
• Business Partners and Customers:
  • Collaborative projects and shared information systems with business partners and customers.
• Regulatory Bodies:
  • Interfaces related to compliance reporting, audits, and assessments by regulatory bodies.
• Industry Standards and Frameworks:
  • Interfaces related to the adoption of industry standards for information security.

4. Integration into ISMS Scope:

• Scope Statement:
  • The ISMS at TechGuard Solutions encompasses all departments and business units involved in the development, delivery, and support of technology solutions. It includes the protection of customer data, intellectual property, and compliance with legal and regulatory requirements.
• Rationale for Exclusions:
  • Personal devices used by employees for work purposes are excluded from the scope due to challenges in controlling the security of such devices.
• Legal and Regulatory References:
  • The scope is aligned with GDPR and other relevant data protection laws, as well as industry standards for information security.
• Interfaces and Dependencies:
  • The ISMS scope acknowledges dependencies on third-party cloud services, collaborative projects with business partners, and compliance interfaces with regulatory bodies.
• Review and Update:
  • The ISMS scope is subject to regular reviews to ensure alignment with changing external and internal factors, stakeholder requirements, and emerging technologies.
• Communication:
  • The ISMS scope is communicated internally to employees and externally to business partners and customers. Any changes to the scope are transparently communicated.

This example illustrates how an organization like TechGuard Solutions might establish the scope of its ISMS by systematically considering external and internal issues, the requirements of interested parties, and interfaces/dependencies. This comprehensive approach helps ensure that the ISMS is well-aligned with the organization’s context and effectively addresses information security risks.