Dejan Kosutic If you have ever wondered what documents are mandatory in the 2013 revision of ISO/IEC 27001, here is the list you need. Below you will see mandatory documents, and also the most commonly used documents for ISO 27001 implementation.
Mandatory documents and records required by ISO 27001:2013
Here are the documents you need to produce if you want to be compliant with ISO 27001: (Please note that documents from Annex A are mandatory only if there are risks which would require their implementation.)
- Scope of the ISMS (clause 4.3)
- Information security policy and objectives (clauses 5.2 and 6.2)
- Risk assessment and risk treatment methodology (clause 6.1.2)
- Statement of Applicability (clause 6.1.3 d)
- Risk treatment plan (clauses 6.1.3 e, 6.2, and 8.3)
- Risk assessment report (clauses 8.2 and 8.3)
- Definition of security roles and responsibilities (clauses A.7.1.2 and A.13.2.4)
- Inventory of assets (clause A.8.1.1)
- Acceptable use of assets (clause A.8.1.3)
- Access control policy (clause A.9.1.1)
- Operating procedures for IT management (clause A.12.1.1)
- Secure system engineering principles (clause A.14.2.5)
- Supplier security policy (clause A.15.1.1)
- Incident management procedure (clause A.16.1.5)
- Business continuity procedures (clause A.17.1.2)
- Statutory, regulatory, and contractual requirements (clause A.18.1.1)
And here are the mandatory records:
- Records of training, skills, experience and qualifications (clause 7.2)
- Monitoring and measurement results (clause 9.1)
- Internal audit program (clause 9.2)
- Results of internal audits (clause 9.2)
- Results of the management review (clause 9.3)
- Results of corrective actions (clause 10.1)
- Logs of user activities, exceptions, and security events (clauses A.12.4.1 and A.12.4.3)
Non-mandatory documents
There are numerous non-mandatory documents that can be used for ISO 27001 implementation, especially for the security controls from Annex A. However, I find these non-mandatory documents to be most commonly used:
- Procedure for document control (clause 7.5)
- Controls for managing records (clause 7.5)
- Procedure for internal audit (clause 9.2)
- Procedure for corrective action (clause 10.1)
- Bring your own device (BYOD) policy (clause A.6.2.1)
- Mobile device and teleworking policy (clause A.6.2.1)
- Information classification policy (clauses A.8.2.1, A.8.2.2, and A.8.2.3)
- Password policy (clauses A.9.2.1, A.9.2.2, A.9.2.4, A.9.3.1, and A.9.4.3)
- Disposal and destruction policy (clauses A.8.3.2 and A.11.2.7)
- Procedures for working in secure areas (clause A.11.1.5)
- Clear desk and clear screen policy (clause A.11.2.9)
- Change management policy (clauses A.12.1.2 and A.14.2.4)
- Backup policy (clause A.12.3.1)
- Information transfer policy (clauses A.13.2.1, A.13.2.2, and A.13.2.3)
- Business impact analysis (clause A.17.1.1)
- Exercising and testing plan (clause A.17.1.3)
- Maintenance and review plan (clause A.17.1.3)
- Business continuity strategy (clause A.17.2.1)
So this is it – what do you think? Are you ready to get started? Do these documents cover all aspects of information security?
To get the templates for all mandatory documents and the most common non-mandatory documents, along with the wizard that helps you fill out those templates, sign up for a 14-day free trial of Conformio, the leading ISO 27001 compliance software.
Rhand Leal 
Jean-Luc Allard 
ASIC is recognised by UKVI in UK, is a member of the CHEA International Quality Group in USA, is a member of the British Quality Foundation, and is an institutional member of European Distance and E-Learning Network.
DNV GL Business Assurance is one of the leading providers of accredited management systems certification.
