For an ISO/IEC 27001:2022 audit, specific documented information about the information security risk treatment process should be readily available to demonstrate compliance with the standard’s requirements. This documentation provides evidence that the organization has identified, assessed, and treated information security risks in a systematic and effective manner.
Essential Documented Information for ISO/IEC 27001:2022 Audit
Risk Management Policy
A document outlining the organization’s approach to risk management, including objectives, scope, and the overall process for managing information security risks.
Risk Assessment Methodology
A detailed description of the methodology used for assessing risks, including criteria for risk evaluation, risk scoring, and risk acceptance.
Risk Assessment Reports
Reports that document the results of risk assessments, including identified risks, their impact and likelihood, and initial risk levels.
Risk Treatment Plan
A comprehensive plan that details the chosen risk treatment options for each identified risk, including the justification for selecting these options and the implementation timeline.
Risk Treatment Policy and Procedures
Policies and procedures that define how the organization selects and implements risk treatment options, including responsibilities and workflows.
Risk Acceptance Criteria
Defined criteria that explain how the organization determines whether a risk is acceptable or requires further treatment.
Approved Risk Treatment Plans
Signed and approved risk treatment plans, demonstrating that risk owners have reviewed and agreed upon the proposed risk treatments.
Residual Risk Authorization
Documentation that shows residual risks have been evaluated and accepted by the appropriate risk owners, including signed acceptance forms.
Implementation Evidence
Records demonstrating that the selected controls have been implemented, such as configuration settings, access control lists, and operational logs.
Monitoring and Review Documentation
Evidence of ongoing monitoring and review activities to ensure the effectiveness of risk treatments, including audit logs, monitoring reports, and review meeting minutes.
Internal Audit Reports
Reports from internal audits that assess the effectiveness and compliance of the risk treatment process.
Management Review Minutes
Minutes from management review meetings where the risk treatment process and its effectiveness are discussed and evaluated.
Continuous Improvement Records
Documentation of feedback mechanisms, audit findings, and subsequent improvements made to the risk treatment process.
Examples of Specific Documents
Risk Management Policy
“XYZ Corporation Information Security Risk Management Policy”
Risk Assessment Methodology
“Risk Assessment and Evaluation Methodology Document”
Risk Assessment Reports
“Annual Risk Assessment Report 2023”
Risk Treatment Plan
“Information Security Risk Treatment Plan Q3 2023”
Risk Treatment Policy and Procedures
“Risk Treatment Selection and Implementation Procedures”
Risk Acceptance Criteria
“Risk Acceptance Criteria and Guidelines”
Approved Risk Treatment Plans
Signed “Risk Treatment Plan Approval Forms”
Residual Risk Authorization
“Residual Risk Acceptance Forms”
Implementation Evidence
“Control Implementation Records and Logs”
Monitoring and Review Documentation
“Security Monitoring Reports”
“Monthly Security Review Meeting Minutes”
Internal Audit Reports
“Internal Audit Report on Risk Treatment Process”
Management Review Minutes
“Management Review Meeting Minutes Q2 2023”
Continuous Improvement Records
“Feedback and Improvement Log”
“Audit Findings and Corrective Actions Records”
Preparation Tips
Organize Documentation: Ensure all documentation is well-organized and easily accessible during the audit.
Update Regularly: Keep documents up to date, reflecting the current status of risk assessments, treatments, and monitoring activities.
Cross-Reference: Cross-reference documents where applicable to demonstrate the linkage between policies, procedures, and actual practices.
Train Staff: Ensure that relevant staff members are aware of the documented information and can provide explanations or additional context during the audit.
By having this documented information readily available and well-organized, your organization can demonstrate its compliance with the ISO/IEC 27001:2022 requirements and effectively support the audit process.
