ISO 27001:2022 Information Security Management System – What are the Mandatory Documents and Records Required?

At Armour, our goal is to educate on ISO standards, giving companies the control to make the best decisions for their business.  

As with all ISO standards, if it’s not ultimately adding value and driving legal compliance, you may be doing it wrong.  Long gone are the days of documents for document's sake. 

To get a sense of what documents and records are needed to comply with ISO 27001 : 2022 Information Security Management – we have compiled a list.  NOTE: Do not panic when you see this list, it looks way worse than it actually is.

Having more documents and/or processes in place should be driven by the risk to the company.  

Discover the list of Mandatory Documents and Records for ISO 27001 : 2022 below:

Mandatory Documents and Records for ISO 27001 : 2022:

• Scope of the ISMS (Information security management system)

• Information Security Policy

• Information security risk assessment process

• Information security risk treatment plan

• Statement of applicability (See Annex A)

• ISMS Objectives

• Evidence of competence

• Documented information necessary to ensure the effectiveness of the ISMS

• Results of information security risk assessment

• Results of information security risk treatment

• Monitoring and measurement results

• Internal audit program

• Results of internal audits

• Results of the management review

• Nonconformances and results of corrective actions

This Annex is a part of ISO 27001 and contains a list of controls that may be implemented to protect information.  These controls should be considered when developing information security risk assessments and treatment options.  Not all controls will apply to every business, and it should be driven by risk, i.e. what would happen if we didn’t apply this control and how would this affect the confidentiality, integrity and accessibility of our information.  

The goal here is to use the Annex in conjunction with the risk assessment process and determine if adding these controls would mean an additional layer of protection. 

There are no hard and fast rules here, all controls may apply or only a few – it depends on your business.  The results of this assessment can be documented in the Statement of Applicability (a document stating what applies, what doesn’t and why.) 

Annex A Controls of ISO 27001 : 2022 Information Security Management: (Broken down into 4 parts (Organisational, People, Physical & Technological controls)

ORGANISATIONAL CONTROLS:

5.1 Policies for information security

5.2 Information security roles and responsibilities

5.3 Segregation of duties

5.4 Management Responsibilities

5.5 Contact with authorities

5.6 Contact with special interest groups

5.7 Threat intelligence

5.8 Information security in project management

5.9 Inventory of information and other associated assets

5.10 Acceptable use of information and other associated assets

5.11 Return of assets

5.12 Classification of information

5.13 Labelling of information

5.14 Information transfer

5.15 Access control

5.16 Identity management

5.17 Authentication information

5.18 Access rights

5.19 Information security in supplier relationships

5.20 Addressing information security within supplier agreements

5.21 Managing information security in the information and communication technology (ICT) supply chain

5.22 Monitoring, review and change management if supplier services

5.23 Information security for use of cloud services

5.24 Information security incident management planning and preparation

5.25 Assessment and decision on information security events

5.26 Response to information security incidents

5.27 Learning from information security incidents

5.28 Collection of evidence

5.29 Information security during disruption

5.30 ICT Readiness for business continuity

5.31 Legal, statutory, regulatory and contractual requirements

5.32 Intellectual property rights

5.33 Protection of records

5.34 Privacy and protection of personal identifiable information (PII)

5.35 Independent review of information security

5.36 Compliance with policies, rules and standards for information security

5.37 Documented operating procedures

PEOPLE CONTROLS:

6.1 Screening

6.2 Terms and conditions of employment

6.3 Information security awareness, education and training

6.4 Disciplinary process

6.5 Responsibilities after termination or change of employment

6.6 Confidentiality or non-disclosure agreements

6.7 Remote working

6.8 Information security event reporting

PHYSICAL CONTROLS:

7.1 Physical security perimeters

7.2 Physical entry

7.3 Securing offices, rooms and facilities

7.4 Physical security monitoring

7.5 Protection against physical and environmental threats

7.6 Working in secure areas

7.7 Clear desk and clear screen

7.8 Equipment siting and protection

7.9 Security of assets off-premises

7.10 Storage media

7.11 Supporting utilities

7.12 Cabling security

7.13 Equipment maintenance

7.14 Secure disposal or reuse of equipment

TECHNOLOGICAL CONTROLS:

8.1 User end point devices

8.2 Privileged access rights

8.3 Information access restriction

8.4 Access to source code

8.5 Secure authentication

8.6 Capacity management

8.7 Protection against malware

8.8 Management of technical vulnerabilities

8.9 Configuration management

8.10 Information deletion

8.11 Data masking

8.12 Data masking

8.12 Data leakage prevention

8.13 Information backup

8.14 Redundancy of information processing facilities

8.15 Logging

8.16 Monitoring activities

8.17 Clock synchronisation

8.18 Use of privileged utility programs

8.19 Installation of software on operational systems

8.20 Networks security

8.21 Security of network services

8.22 Segregation of networks

8.23 Web filtering

8.24 Use of cryptography

8.25 Secure development life cycle

8.26 Application security requirements

8.27 Secure system architecture and engineering principles

8.28 Secure coding

8.29 Security testing in development and acceptance

8.30 Outsourced development

8.31 Separation of development, test and production environments

8.32 Change management

8.33 Test information

8.34 Protection of information systems during audit testing

The exact details of these clauses are covered in more detail in the Armour platform.

With Armour, every step is broken down, simplified and supplemented with all the templates and explanatory notes you need to get your business to ISO standard.  The entire process has been laid out to facilitate a guided experience from start to finish. 

Our team at Armour have decades of experience working as consultants and auditors covering a wide range of sectors and we are always on hand to help.  Click here to explore the Armour platform. To get in touch simply drop us an email at info@armour.ai or fill in the form on our website here.