ISO 27001 Clause 8.1 Operational Planning and Control

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The ISO 27001 standard requires an organisation to plan, implement and control the processes needed to meet the requirements of Information Security.

In this ultimate guide to ISO 27001:2022 Clause 8.1 Operational Planning and Control you will learn

  • What ISO 27001 Clause 8.1 is
  • How to implement it

What is ISO 27001 Clause 8.1?

ISO 27001 Clause 8.1 Operational Planning and Control is all about processes. Document ISO 27001 operational processes, implementing ISO 27001 operational processes, running ISO 27001operational processes and being able to evidence that they are affective. ISO 27001 clause 8.1 also includes change management and outsourced process management.

Definition

The ISO 27001 Standard defines ISO 27001:2022 clause 8.1 as:

The organisation shall plan, implement and control the processes needed to meet information security requirements, and to implement the actions determined in clause 6 by
– establishing criteria for processes
– implementing control of the processes in accordance with the criteria
Documented information shall be available to the extent necessary to have confidence that the processes have been carried out as planned.
The organisation shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary.
The organisation shall ensure that externally provided processes, products or services that are relevant to the information security management system are controlled

ISO 27001:2022 Clause 8.1 Operational Planning and Control

What are the ISO 27001:2022 Changes to Clause 8.1?

The changes to ISO 27001 Clause 8.1 in the 2022 update are clarification changes and nothing material.

The wording on planning and implementing and controlling processes is widened to the more general wording of ‘meet requirements’ rather than before which was ‘meet information security requirements’.

It now talks to establishing cirtieria for the processes and implementing control of processes in line with those criteria.

Rather than keep documented information it is changed to documented information shall be available.

Outsourced processes are determined and controlled is changed to externally provided processes, products or services that are relevant to the information security management system are controlled.

Implementation Guide

There are many ways to document and evidence operational control. Consider the best methods for you.

When documenting operational processes you can have all your operational processes documented in one document called the Operations Manual (Ops Manual). This approach is great for smaller businesses.

Alternatively you can have many documents spread out in, and embedded in, the business and the operational areas where the processes are executed. This is more suited to a large organisation with teams and more people.

Consider it as a centralised or decentralised approach with the associated pros and cons of those kinds of implementation.

Finally there is always a hybrid approach where some processes are in the business but the ops manual remains the ‘shop window’ or the main reference point for those processes for management and control.

Document all of your operational processes

In a document with appropriate mark up and version control document the operational processes of the business. Make sure you document what you do, not what you think an auditor wants to hear. You can only be audited against what you say you do so be sure you do it. Write clear and concise steps that anyone could follow to achieve the same process results and outcomes. Always include at least one exception step that covers what happens if a part of the process fails or does not operate as intended. You will need to document not only the information security processes but any process that covers the ISO 27001 in scope products and services. It is covered by the ISO 27001 scope statement then it needs documenting.

Ensure your process documents are reviewed and approved

Process documents are part of the information security management system and they should be reviewed and approved and part of the review and approval cycle.

Keep evidence of the process operating

When you come to the audit the auditor will want to see evidence of the operation of the process. This could be tickets in a ticket system, operational performance reports, copies of emails. What ever the artefacts referenced in the process are make sure that you can show copies of at least one of them.

Audit your operation processes

You are required to audit your operational processes at least once annually and then based on need and business risk. Be sure that you have conducted the audit, documented and followed the continual improvement process.

On Ending Employment / Engagement

Ensure that at the end of employment or the end of engagement that you communicate the contractual obligations that are, and will remain, in play in regards to information security.

ISO 27001 Continual Improvement

Continually update your communication plan to respond to known threats, risks and issues.

Implement Change Management

In line with the Change Management Policy and best practice document and implement a change management process ensuring that changes go through the process and you can evidence the operation of the change process at audit time.

Implement Third Party Supplier Management

In line with the Third Party Supplier Policy and best practice document and implement a third party supplier process ensuring you have the controls and reporting mechanisms in place to the extent that you can evidence the operation of the supplier management process at audit time.

Guidance on Operational Planning and Control

There is further guidance provided in the ISO 27001 Annex A Controls that was revised in 2022 with changes to the ISO 27002 standard and specifically calls out required operational processes. We are working to the principle that if it is not written down it does not exist so every process will need to be considered which in reality means that every control of the ISO 27001 Annex A will require a process to be covered by a process. We will not cover the entirety but to get a flavour, let’s take a look at a sample of what Annex A says.

ISO 27001 Annex A 5.24 Response to information security incidents

The organisation should plan and prepare for managing information security incidents by defining, establishing and communicating information security incident management processes, roles and responsibilities

ISO 27001 Annex A 5.24 Information security incident management planning and preparation

ISO 27001 Annex A 5.26 Response to information security incidents

Information security incidents should be responded to in accordance with the documented procedures.

ISO 27001 Annex A 5.26 Response to information security incidents

ISO 27001 Annex A 5.37 Documented operating procedures

Operating procedures for information processing facilities should be documented and made available to personnel who need them.

ISO 27001 Annex A 5.37 Documented operating procedures

ISO 27001 Annex A 5.32 Intellectual property rights

The organisation should implement appropriate procedures to protect intellectual property rights.

ISO 27001 Annex A 5.32 Intellectual property rights

This is usually the function of the legal department and part of good legal practice. Legal will have many requirements of their own but we are interested for ISO 27001 certification in ensuring that they have handled intellectual property rights as well as the legal register.

ISO 27001 Annex A 8.32 Change Management

Changes to information processing facilities and information systems should be subject to change management procedures.

ISO 27001 Annex A 8.32 Change Management

How do you demonstrate compliance to ISO 27001 clause 8.1?

It is very simple and straightforward to demonstrate compliance with ISO 27001 clause 8.1 operational planning and control.

Document all of your processes, have plans in place that you can evidence and have evidence of the processes operating as you have documented that they should.

ISO 27001 Templates

ISO 27001 templates are a great way to fast track your implementation and leverage industry best practice.

ISO 27001 Toolkit

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FAQ

What is ISO 27001 Clause 8.1 Operational and Planning Control?

The organisation shall plan, implement and control operational processes and keep evidence of their effective operation. In addition the organisation shall implement change management and third party supplier management.

How do I evidence I meet the requirement of ISO 27001 Clause 8.1?

You evidence compliance to the ISO 27001 Clause 8.1 by having written and documented processes and procedures in place that say exactly what you do and cover the requirements of the ISO 27001 standard. In addition you have records and evidence of the operation of those processes and procedures so you can evidence that you actually do what you say you and that it works as intended.

Where can I download ISO 27001 Clause 8.1 templates?

You can download ISO 27001 Clause 8.1 templates in the ISO 27001 Toolkit.

ISO 27001 Clause 8.1 example?

An example of ISO 27001 Clause 8.1 can be found in the ISO 27001 Toolkit.

Do my ISO 27001 operational processes need to be documented in Microsoft Word?

No. You can document them in what ever way makes sense for your organisation. As long as they have the appropriate document mark up and controls in place.

My processes are in Monday / Jira / Other .. is that ok?

Yes. As long as they say what you do and you can evidence that you do it that is fine.

How often do I review ISO 27001 operational procedures and ISO 27001 operational processes?

You review them when ever anything changes and at least annually. When it comes to audit make sure that you can evidence they were reviewed at some point in the preceding 12 months to the audit. Can

Should I have one large document or many documents for ISO 27001 operational processes?

The standard does not care as long as they are documented so do what works best for you and your organisation. We recommend one document for small to mid sized organisations.

ISO 27001 Toolkit Business Edition
Do it Yourself ISO 27001 with LIVE EXPERT SUPPORT

ISO 27001:2022 requirements

ISO 27001:2022 Annex A 5 - Organisational Controls

ISO 27001 Annex A 5.1 Policies for information security

ISO 27001 Annex A 5.2 Information Security Roles and Responsibilities

ISO 27001 Annex A 5.3 Segregation of duties

ISO 27001 Annex A 5.4 Management responsibilities

ISO 27001 Annex A 5.5 Contact with authorities

ISO 27001 Annex A 5.6 Contact with special interest groups

ISO 27001 Annex A 5.7 Threat intelligence – new

ISO 27001 Annex A 5.8 Information security in project management

ISO 27001 Annex A 5.9 Inventory of information and other associated assets – change

ISO 27001 Annex A 5.10 Acceptable use of information and other associated assets – change

ISO 27001 Annex A 5.11 Return of assets

ISO 27001 Annex A 5.11 Return of assets

ISO 27001 Annex A 5.13 Labelling of information

ISO 27001 Annex A 5.14 Information transfer

ISO 27001 Annex A 5.15 Access control

ISO 27001 Annex A 5.16 Identity management

ISO 27001 Annex A 5.17 Authentication information – new

ISO 27001 Annex A 5.18 Access rights – change

ISO 27001 Annex A 5.19 Information security in supplier relationships

ISO 27001 Annex A 5.20 Addressing information security within supplier agreements

ISO 27001 Annex A 5.21 Managing information security in the ICT supply chain – new

ISO 27001 Annex A 5.22 Monitoring, review and change management of supplier services – change

ISO 27001 Annex A 5.23 Information security for use of cloud services – new

ISO 27001 Annex A 5.24 Information security incident management planning and preparation – change

ISO 27001 Annex A 5.25 Assessment and decision on information security events 

ISO 27001 Annex A 5.26 Response to information security incidents

ISO 27001 Annex A 5.27 Learning from information security incidents

ISO 27001 Annex A 5.28 Collection of evidence

ISO 27001 Annex A 5.29 Information security during disruption – change

ISO 27001 Annex A 5.31 Identification of legal, statutory, regulatory and contractual requirements

ISO 27001 Annex A 5.32 Intellectual property rights

ISO 27001 Annex A 5.33 Protection of records

ISO 27001 Annex A 5.34 Privacy and protection of PII

ISO 27001 Annex A 5.35 Independent review of information security

ISO 27001 Annex A 5.36 Compliance with policies and standards for information security

ISO 27001 Annex A 5.37 Documented operating procedures 

ISO 27001:2022 Annex A 8 - Technology Controls

ISO 27001 Annex A 8.1 User Endpoint Devices

ISO 27001 Annex A 8.2 Privileged Access Rights

ISO 27001 Annex A 8.3 Information Access Restriction

ISO 27001 Annex A 8.4 Access To Source Code

ISO 27001 Annex A 8.5 Secure Authentication

ISO 27001 Annex A 8.6 Capacity Management

ISO 27001 Annex A 8.7 Protection Against Malware

ISO 27001 Annex A 8.8 Management of Technical Vulnerabilities

ISO 27001 Annex A 8.9 Configuration Management 

ISO 27001 Annex A 8.10 Information Deletion

ISO 27001 Annex A 8.11 Data Masking

ISO 27001 Annex A 8.12 Data Leakage Prevention

ISO 27001 Annex A 8.13 Information Backup

ISO 27001 Annex A 8.14 Redundancy of Information Processing Facilities

ISO 27001 Annex A 8.15 Logging

ISO 27001 Annex A 8.16 Monitoring Activities

ISO 27001 Annex A 8.17 Clock Synchronisation

ISO 27001 Annex A 8.18 Use of Privileged Utility Programs

ISO 27001 Annex A 8.19 Installation of Software on Operational Systems

ISO 27001 Annex A 8.20 Network Security

ISO 27001 Annex A 8.21 Security of Network Services

ISO 27001 Annex A 8.22 Segregation of Networks

ISO 27001 Annex A 8.23 Web Filtering

ISO 27001 Annex A 8.24 Use of CryptographyISO27001 Annex A 8.25 Secure Development Life Cycle

ISO 27001 Annex A 8.26 Application Security Requirements

ISO 27001 Annex A 8.27 Secure Systems Architecture and Engineering Principles

ISO 27001 Annex A 8.28 Secure Coding

ISO 27001 Annex A 8.29 Security Testing in Development and Acceptance

ISO 27001 Annex A 8.30 Outsourced Development

ISO 27001 Annex A 8.31 Separation of Development, Test and Production Environments

ISO 27001 Annex A 8.32 Change Management

ISO 27001 Annex A 8.33 Test Information

ISO 27001 Annex A 8.34 Protection of information systems during audit testing