Thursday, May 16, 2013

List of mandatory documents required by ISO 27001

'By 'Dejan Kosutic on April 09, 2013
   
It’s actually funny, but it is rather difficult to find a list of all mandatory documents required by ISO 27001 anywhere on the Internet – this problem came to my attention when one of the readers of my blog told me he had to read several of my articles to assemble this list.
Anyway, a complete list of mandatory documents has two parts: the first part is related to documents which are required in the main part of the standard (clauses 4 to 8), and the second part is related to Annex A.
Mandatory documents required in the main part of ISO 27001
The first part is rather straightforward – most of required documents are listed in clause 4.3.1:
  • ISMS scope
  • ISMS policy and objectives
  • Risk assessment methodology
  • Risk assessment report
  • Statement of Applicability
  • Risk treatment plan
  • Description on how to measure effectiveness of controls
  • Procedure for document management
  • Controls for record management
  • Procedure for internal audit
  • Procedure for corrective action
  • Procedure for preventive action
Records required by the main part of the standard are as follows:
  • Records related to effectiveness and/or performance of the ISMS
  • Records of management decisions
  • Records of significant security incidents
  • Records of training, skills, experience and qualifications
  • Results of internal audit
  • Results of management review
  • Results of corrective actions
  • Results of preventive actions
Documents for Annex A
This is where it gets confusing – ISO 27001 doesn’t require all the controls from Annex A to be implemented, and it doesn’t clearly indicate how each control should be documented. To learn how to determine which controls to implement, read this article: ISO 27001 risk assessment & treatment – 6 basic steps.
The documents that are mandatory in Annex A (providing that the control is applicable) are the following:
  • Information security policy
  • Inventory of assets
  • Rules for acceptable use of assets
  • Definition of roles and responsibilities
  • Operating procedures for information technology and communications management
  • Access control policy
  • List of relevant statutory, regulatory and contractual requirements
  • Records provided by third parties
  • Logs recording user activities, exceptions, events, etc.
And, here are the documents that are quite commonly used when implementing controls from Annex A, although they are not mandatory:
  • Classification policy
  • Change management policy
  • Backup policy
  • Disposal and destruction policy
  • Information exchange policy
  • Password policy
  • Clear desk and clear screen policy
  • Policy on use of network services
  • Mobile computing and teleworking policy
  • BYOD – Bring your own device policy
  • Incident management procedure
Which documents do you think should be used in ISO 27001 implementation?
Click here to download a white paper Checklist of ISO 27001 Mandatory Documentation with more detailed information on the most common ways for structuring and implementing mandatory documents and records.

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