ISO 27001 :2022 Document and Record Control Procedure

Document definition control ensures that only individuals with the appropriate authorization can create, edit, or delete documents. It is important to do this because it prevents unauthorized or accidental alteration of vital organizational information. This control has three components:

• Document management policy: The document management policy defines who can create, edit, or delete documents in an organization.

• Document Register: The document registry should include all organizational documents under control.

• Change control procedure: The change control process should specify how to track and authorize document changes within an organization.

Document and Record Control Procedure

ISO/IEC 27001 standard requires the following documents:

Statement of Applicability

1. Security Policy
2. Risk Assessment
3. Risk Treatment Plan
4. Security Objectives and Controls
5. Security Control Procedures
6. Information Security Incident Management Process
7. Information Security Aspects in Business Continuity Management
8. Complying with laws and regulations
9. Physical and Environmental Security

Record Definition

Records are documents, emails, contracts, financial statements, and website content that an organization has created, received, or maintained to support its business. Records can include written communications, emails, contracts, financial reports, website content, etc. The Record Definition was created to ensure all records are handled uniformly and compliant.

Records must comply with ISMS 27001 requirements:

• Up-to-date and accurate
• The product is complete and cannot be changed.
• Easy to understand and understandable.
• Protection against unauthorized access, destruction, or modification.

According to company policy, the organization must also appoint a records manager responsible for creating, maintaining, and destroying records.

Records Required Under ISO 27001

To comply with ISO 27001, you must keep certain records. The following records must be kept:

• List of assets that are covered by the ISO 27001 certification
• List of individuals who have access to the assets
• List of all the security measures implemented
• List of security incidents
• List of security measures that have changed
• List of audits conducted
• List all training activities and awareness campaigns that have taken place

How Should Documentation and Records be Managed?

To ensure the security and integrity of information assets, a clearly defined and implemented management process for documentation and records is essential. ISO 27001, an international standard, guides how to achieve this. We will describe in detail how ISO 27001 can be used to manage records and documentation.

• It is crucial first to understand the difference between records and documentation. Documentation is any information used to support an organization's operations. Documents describing an organization's work, such as policies, procedures, and plans, can be included. Records are used to document progress or results. Records can be data, logs, or reports, as well as other documentation that documents the results of an activity.

• To effectively manage documents and records, organizations need to create a system to store and manage them. The system must be designed to protect records and documentation against unauthorised access or destruction. The system must also be designed so only authorized individuals can access the records and documentation.

• After establishing a system of storing and managing documents and records, organizations must develop procedures to control access to these documents and records. The procedures must specify who can access documents and records and how. The procedure should specify how to protect the records and documentation from unauthorized access, damage, or destruction.

• Organizations must also create procedures to ensure that documentation and records remain accurate and complete. The procedures must specify how documentation and records should be updated and reviewed on a regular schedule. The procedures should specify how to track changes in documentation and records and when to make them available to authorized users.

• Organizations should develop procedures to ensure authorized users can access documentation and records. The procedures must specify where and how to store the documents and records. The procedures must also detail how documentation and records can be retrieved on time.

Who is Responsible for Document Control Procedures?

Document control is essential for any organization that creates, uses, or stores documents. Document control helps ensure documents are accurate, up-to-date, and accessible to anyone who needs them. Who is responsible for document controls?

Document control typically involves four leading Team:

1. The owner of the document
2. The Author
3. The approver makes the approval.
4. The client or customer is also known as the buyer.

Each team member has a specific role in ensuring documents are adequately controlled. Take a look at them one by one.

1.The Owner of the Document

The document owner can be an individual or organization creating or owning the document. The document owner is responsible for ensuring that documents are accurate and current. In some cases, the document owner is also responsible for approving changes made to the documents.

2.The Author

The author is the person who created the first draft of a written document. The author is often responsible for making any necessary changes to a document.

3.The Approver

The approver can be an individual or organization with the authority and responsibility to approve any changes made to a document. The approver is sometimes also responsible for reviewing new versions of a document and signing them off.

4.The Client or Customer

Clients or customers are the individuals or organizations who will use the document in question. The client or customer may give feedback and approve changes to the document before it can be implemented.

What are the Benefits of Document Control and Record Procedures?

The management of documents and records depends on document control and record-keeping procedures. Correctly used, they can help an organization to control costs, improve productivity, and avoid legal risk. Document control and record-keeping procedures can have several benefits, including:

• Cost Savings: Organizations can save money through document control and record procedures that reduce the amount of paper and other resources they use.

• Improved Efficiency: Document control and records procedures can improve the efficiency of a company by providing clear guidelines on how to manage documents and records.

• Document Control and Record Procedures Reduce Legal Risk: By providing a straightforward procedure for managing documents, they can help reduce the risks of mismanagement.