To meet the requirements of ISO 27001:2022, certain documents and records are mandatory, while others are optional but recommended to ensure effective information security management.
Mandatory ISO 27001:2022 Documentation
Scope of the ISMS (Information Security Management System) – Defines which part of the business the ISMS applies to.
Information Security Policy – Outlines the approach and objectives for managing information security.
Information Security Risk Assessment Process – A formal document explaining how risks will be identified, assessed, and mitigated.
Information Security Risk Treatment Plan – Details the controls chosen to mitigate identified risks and how they are implemented.
Statement of Applicability (SoA) – Identifies the applicable controls from Annex A and justifies their inclusion or exclusion.
Risk Assessment Report – Summarizes the risk assessment findings and the risk levels associated with each identified risk.
Information Security Objectives – Defines specific goals related to maintaining and improving information security.
Internal Audit Program and Results – Details how audits are conducted and the results to ensure compliance with the standard.
Corrective Action Process – Describes how non-conformities and incidents are addressed and resolved.
Roles and Responsibilities – Documentation of key roles and responsibilities related to information security.
ISO 27001:2022 Mandatory Records
Evidence of Competence – Records of qualifications and training for personnel involved in ISMS processes.
Risk Assessment and Treatment Records – Documentation of the risk assessment process and the risk treatment decisions made.
Monitoring and Measurement Results – Evidence showing how security controls are monitored and their effectiveness.
Internal Audit Results – Results from internal audits that demonstrate ISMS performance.
Management Review Minutes – Records of management reviews assessing ISMS performance and improvements.
Corrective Actions – Records showing actions taken to address non-conformities or incidents.
Non-mandatory ISO 27001:2022 Documents
While not required, these documents help organizations effectively manage information security:
Access Control Policy – Describes how access to information and systems is controlled.
Backup Policy – Ensures business continuity by specifying how data backups are managed.
Incident Response Plan – Guides the organization on how to handle security incidents.
Supplier Security Policy – Governs security expectations for third-party service providers.
How the ISO 27001:2022 Revision Impacts Mandatory Documents and Records
The 2022 revision of ISO 27001 introduced updates that impact mandatory documents and records:
Updated controls: Annex A was revised with a new structure and additional controls, meaning organizations must update the Statement of Applicability and adjust risk assessments to align with these changes.
Emphasis on leadership and communication: Enhanced focus on top management's role, which may require updating documents related to management reviews and communication protocols.
Monitoring and measurement improvements: Greater focus on ensuring the effectiveness of security controls, requiring organizations to provide better records of monitoring activities and control effectiveness.
How to Ensure Compliance with ISO 27001:2022
Regular Audits – Conduct internal audits to assess the effectiveness of the ISMS and identify areas for improvement.
Management Reviews – Regularly review the ISMS with top management to ensure that it remains aligned with organizational objectives and risks.
Update Documentation – Keep all mandatory and relevant non-mandatory documentation up-to-date with changes in risk levels, processes, and controls.
Ongoing Training – Ensure all relevant personnel receive adequate training on updated processes and security protocols.
Risk Management – Continuously assess and treat risks, adapting to emerging threats and ensuring that security measures are effective.
Incident Management – Maintain effective procedures for identifying, responding to, and learning from security incidents.
By keeping these documents current and ensuring they are implemented effectively, companies can demonstrate compliance with ISO 27001:2022.
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