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List of mandatory documents required by ISO 27001 (2013 revision)

With the new revision of ISO/IEC 27001 published only a couple of days ago, many people are wondering what documents are mandatory in this new 2013 revision. Are there more or fewer documents required?

So here is the list – below you will see not only mandatory documents, but 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 and 6.2)
  • Risk assessment report (clause 8.2)
  • 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? Is this too much to write? Do these documents cover all aspects of information security?

Click here to download a white paper Checklist of Mandatory Documentation Required by ISO 27001 (2013 Revision) with more detailed information on the most common ways for structuring and implementing mandatory documents and records.

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  • Pranjjay Singh

    why preventive action is removed from the latest version

    • http://blog.iso27001standard.com/ Dejan Kosutic

      Preventive action was removed from 2013 revision of ISO 27001 because preventive actions are basically the same thing as risk management – in risk assessment you have to assess which bad things can happen, and in risk treatment you need to make certain actions to prevent those bad things.

  • Pranjjay Singh

    thanks Dejan!!
    will ask u further if i come across with any more clarification.