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Purpose
The table below can be used by the organization as a checklist prior to a certification audit to confirm that everything is in order, and to collate
the mandatory documents ready for the auditors to review. It can also be used up front when planning and implementing the ISMS as a guide
to the documentation that will have to be created and produced. We have provided a status column for such purposes.
Copyright
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This work is copyright © 2009, ISO27k Implementers' Forum, some rights reserved. It is licensed under the Creative Commons Attribution-Noncommercial-
Documents
mandated by Status Interpretation
ISO/IEC 27001
4.3 Documentation requirements
4.3.1 General
Designed
Documentation shall include Records of key management decisions regarding the ISMS e.g. minutes of management
Allocated
records of management meetings, investment decisions, mandating of policies, reports etc. [not individually specified
decisions … Drafted in the standard apart from the following specific items …]
Approved
Information security policy set matching the characteristics of the business, the
organization, its location, [information] assets and technology, being a “superset of”
(i.e. including) both of the following:
The ISMS documentation
shall include: An ISMS policy defining the objective-setting management framework for the ISMS, giving
it an overall sense of direction/purpose and defining key principles. The ISMS policy must:
a) Documented statements Designed
of the ISMS policy (see Allocated • Take account of information security compliance obligations defined in laws,
4.2.1.b) and objectives; Drafted regulations and contracts;
Approved • Align with the organization’s strategic approach to risk management in general;
• Establish information security risk evaluation criteria (the “risk appetite”);
• Be approved by management.; and
Designed
Information security policy or policies specifying particular information security control
Allocated
b) objectives or requirements in one or more documents [these should also be approved by
Drafted management to have full effect].
Approved
Designed
h) The risk treatment plan Allocated Risk treatment plan i.e. a [project?] plan describing how the identified information security
(see 4.2.2.b) Drafted control objectives are to be satisfied, with notes on funding plus rôles and responsibilities.
Approved
ISO27001security.com Mandatory ISMS documentation
Documents
mandated by Status Interpretation
ISO/IEC 27001
i) Documented procedures
needed by the
organization to ensure the Designed
effective planning, ISMS operating procedures i.e. written descriptions of the management processes and
Allocated
operation and control of activities necessary to plan, operate and control the ISMS e.g. policy review and approvals
its information security Drafted process, continuous ISMS improvement process.
process and describe how Approved
to measure effectiveness
of controls (see 4.2.3.c)
Designed
Information security metrics describing how the effectiveness of the ISMS as a whole,
Allocated
j) plus key information security controls where relevant, are measured, analyzed, presented to
Drafted management and ultimately used to drive ISMS improvements.
Approved
See 4.3.3 below. “Records” means information security paperwork such as user ID
k) Records required by this authorizations, and electronic documents such as system security logs, that are used
International Standard n/a routinely while operating the ISMS and should be retained and made available for the
(see 4.3.3) certification auditors to sample and check. Collectively, these prove that the ISMS has been
properly designed, mandated by management and put into effect by the organization.
Designed Statement of Applicability stating the information security control objectives and controls
l) The Statement of Allocated that are relevant and applicable to the ISMS, generally a consolidated summary of the
Applicability Drafted results of the risk assessments, cross-referenced to the control objectives from ISO/IEC
Approved 27002 that are in scope.
4.3.2 Control of Documents
5 Management responsibility
ISO27001security.com Mandatory ISMS documentation
Documents
mandated by Status Interpretation
ISO/IEC 27001