The Ultimate Guide To ISO 27001 Clause 9.1 Monitoring, Measurement, Analysis, Evaluation

ISO 27001 Clause 9.1 Monitoring, Measurement, analysis, evaluation Essential Guide

What is ISO 27001 Clause 9.1?

ISO 27001 Clause 9.1 Monitoring, Measurement, Analysis, Evaluation requires an organisation to implement measures and monitors to evaluate the effectiveness of the information security management system. It is a requirement to maintain evidence of the results of measures and monitors.

The ISO 27001 standard for ISO 27001 certification wants you to ensure the effective operation of the management system and to implement appropriate analysis and evaluation of the measures and monitors. It is one of the ISO 27001 controls.

ISO 27001 Clause 9.1 Definition

The ISO 27001 standard defines clause 9.1 as:

The organisation shall evaluate the information security performance and the effectiveness of the information security management system.

The organisation shall determine:

a) what needs to be monitored and measured, including information security processes and controls;

b) the methods for monitoring, measurement, analysis and evaluation, as applicable, to ensure valid results;

c) when the monitoring and measuring shall be performed;

d) who shall monitor and measure;

e) when the results from monitoring and measurement shall be analysed and evaluated; and

f) who shall analyse and evaluate these results.

The organisation shall retain appropriate documented information as evidence of the monitoring and measurement results.

ISO 27001 Clause 9.1 Monitoring, Measurement, analysis, evaluation

ISO 27001 Annex A / ISO 27002 2022 Guidance

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 monitoring and analysis. As you would expect this a fundamental area for an information security management system and as such it touches most of the controls. Here will look at some actual specifics and take a look at what Annex A says.

ISO 27002 Clause 5.7 Threat Intelligence

Information relating to information security threats should be collected and analysed to produce threat intelligence.

ISO 27002 Clause 5.7 Threat Intelligence

This is a new ISO 27002 control introduced in 2022. Whilst not a direct measure and monitor it is an indirect measure and monitor that allows an organisation to gather threat intelligence to more effectively understand risk, what controls may be required and better protect itself.

ISO 27002 Clause 8.15 Logging

Logs that record activities, exceptions, faults and other relevant events should be produced, stored, protected and analysed.

ISO 27002 Clause 8.15 Logging

Logging is one of the more straight forward measures and monitors that we can introduce and is often provided as a default capability of most applications and systems.

ISO 27002 Clause 5.22 Monitoring, review and change management of supplier services

The organization should regularly monitor, review, evaluate and manage change in supplier information security practices and service delivery.

ISO 27002 Clause 5.22 Monitoring, review and change management of supplier services

Supply chain security represents one of the biggest risks to any organisation as it is something that is outside your direct control. Ensuring a regular review and monitoring of their security practices and service delivery seeks to gain assurance that they are doing the right thing for information security and therefore protecting you, your customers and your clients.

ISO 27002 Clause 7.5 Physical security monitoring

Premises should be continuously monitored for unauthorized physical access.


ISO 27002 Clause 7.5 Physical security monitoring

The requirements of ISO 27002 clause 7.5 are satisfied by physical controls such as locked doors, manned reception areas, visitor cards, escorted visitors, potentially CCTV cameras and alarms. This is traditional security around access to physical locations.

ISO 27002 Clause 8.6 Capacity Management

The use of resources should be monitored and adjusted in line with current and expected capacity requirements.

ISO 27002 Clause 8.6 Capacity Management

Monitoring, reporting, analysing and responding to capacity management is specifically aimed at the availability aspect of information security. Ensuring that information and systems are available when required and negating any unintended consequences of exceeding the capacity capabilities of those systems.

ISO 27002 Clause 8.9 Configuration Management

Configurations, including security configurations, of hardware, software, services and networks should be established, documented, implemented, monitored and reviewed.

ISO 27002 Clause 8.9 Configuration Management

ISO 27002 Clause 8.15 Logging

Logs that record activities, exceptions, faults and other relevant events should be produced, stored, protected and analysed.

ISO 27002 Clause 8.15 Logging

Similar to the next clause, 8.16 monitoring actives, this clause on logging is a bit of a catch all clause.

ISO 27002 Clause 8.16 Monitoring Activities

Networks, systems and applications should be monitored for anomalous behaviour and appropriate actions taken to evaluate potential information security incidents.

ISO 27002 Clause 8.16 Monitoring Activities

We have seen some specific requirements on measures and monitors but now we enter what we call a ‘catch all’ clause that basically says monitor everything. There is an art and a science in actually deciding and justifying what you monitor so as not to have monitoring overload.

ISO 27002 Clause 8.21 Security of Network Services

Security mechanisms, service levels and service requirements of network services should be identified, implemented and monitored.

ISO 27002 Clause 8.21 Security of Network Services

ISO 27002 Clause 8.30 Outsourced Development

The organization should direct, monitor and review the activities related to outsourced system development.

ISO 27002 Clause 8.30 Outsourced Development

This is one of the few clauses in the statement of applicability that is often not applicable, especially if you do not outsource your software development or do software development. If you do then monitoring and review is required.

How to comply with ISO 27001 Clause 9.1

How to comply with ISO 27001 Clause 9.1 Monitoring, Measurement, Analysis, Evaluation

  1. Document your systems and processes

    To understand what needs to be measured and monitored you must know what you have. Document your systems and processes. System architecture diagrams, network diagrams, server and virtual server layout diagrams, technology stacks, physical asset register and data asset register are examples of good, best practice documentation that will enable you to implement effective measures and monitors.

  2. Conduct a risk assessment

    Follow your risk management methodology and conduct a risk assessment on the assets that make up your products and services. This will allow you to prioritise your resources and identify they key systems that require monitoring.

  3. Decide what to monitor

    Looking at the functionality of the process and systems and using the diagrams and risk assessment decide exactly what it is that you are going to monitor. It is often not feasible to monitor everything. Make sure you are monitoring what is important and of risk.

  4. Decide what to measure

    The measures that make up the monitors should be decided. Exactly what are you going to measure, technically. This will be based on the technology that you have deployed and it’s inbuilt capabilities as well as a review of third party tools that may be required to plug any gaps.

  5. Create a measures report

    Reporting should be conducted at several levels. You will have automatic alerts on that feed into your various processes such as incident management as well as creating snap shot reports to satisfy the various needs of stakeholders in your organisation. You will maintain evidence of these reports.

  6. Implement regular reviews

    It is no point in having measures and monitors if they are not reviewed. Some tools have the capability to issue realtime alerts. It is also good practice to set aside time on a regular basis to preform manual reviews of the all of the data points that you are collecting. This includes a pass over of the automated alerts to ensure that none have been missed, they are configured correctly and being responded to correctly.

  7. Implement exception steps

    Exception steps are important as they define what happens when a measure or monitor hits a particular threshold. Implement steps that cover what happens if the measures and monitors fail, or exceed defined thresholds.

  8. Regularly report the Management Review Team

    It is a requirement to share the out put of the measure and monitors with the management review team as part of the process of continual improvement and oversight. Results should be shared and talked through as well as any required corrective actions.

  9. Follow the continual improvement process

    Measures and monitors will continually evolve so be sure to follow the continual improvement processes. Threat intelligence will lead to changes to what you monitor and how you respond.

ISO 27001 Clause 9.1 Implementation Guide

There are many ways to implement measures and monitors and what is right for you will depend on your company culture and the tools available.

Consider the best methods for you that you know get results and where possible retain evidence of your measures and monitors.

Technical tools are great but also consider the manual reviews, checks and balances and consider for the manual processes how you will record them and evidence them.

How do you demonstrate compliance to ISO 27001 clause 9.1?

You demonstrate compliance to ISO 27001 Clause 9.1 by having in place measures and monitors that you can show to an auditor and evidence of the operation of those measures and monitors with historical reports that show historic results.

ISO 27001 Clause 9.1 Templates

ISO 27001 templates are a great way to implement your information security management system. Whilst an ISO 27001 toolkit can save you up to 30x in consulting fees and allow you to deliver up to 10x faster these individual templates help meet the specific requirements of ISO 27001 clause 9.1

ISO 27001 Clause 9.1 FAQ

What is ISO 27001 Clause 9.1 Monitoring, Measurement, analysis, evaluation?

ISO 27001 Clause 9.1 Monitoring, Measurement, analysis, evaluation requires and organisation to implement measures and monitors to evaluate the effectiveness of the information security management system. It is a requirement to maintain evidence of the results of measures and monitors.

How do I evidence I meet the requirement of ISO 27001 Clause 9.1?

You demonstrate compliance to ISO 27001 Clause 9.1 by having in place measures and monitors that you can show to an auditor and evidence of the operation of those measures and monitors with historical reports that show historic results.

Where can I download ISO 27001 Clause 9.1 templates?

You can download ISO 27001 Clause 9.1 templates here: https://hightable.io/product/iso-27001-templates-toolkit/

ISO 27001 Clause 9.1 example?

An example of ISO 27001 Clause 9.1 can be found here: https://hightable.io/product/iso-27001-templates-toolkit/

What is an ISO 27001 measure for clause 9.1?

A measure is something that can be observed to happen that has a quantitive value.

What is an ISO 27001 monitor for clause 9.1?

A monitor is the system by which the measures are collected and recorded.

What is the difference between ISO 27001 measures and ISO 27001 monitors?

Monitors are the systems by which the measures are captured. A monitor is an oversight or observation where as a measure is an actual value or metric.

How do you comply with ISO 27001 clause 9.1?

You comply with ISO 27001 clause 9.1 by identifying which measures and monitors you need based on risk and business need and then implementing them. In addition you implement the processes to oversee and react to them and you implement effective reporting for governance and oversight. Finally you implement continual improvement and incident management processes to handle the out put of the processes.

What is an example of an ISO 2001 measure for ISO 27001 clause 9.1?

An example measure for ISO 27001 clause 9.1 would be the number of machines with active anti virus, the number of machines patched, the number of people trained.

What is an example of an ISO 2001 monitor for ISO 27001 clause 9.1?

An example monitor for ISO 27001 clause 9.1 would be to have anti virus in place with auto alerts and reporting enabled, to have asset management software in place than handles patching and reports on failed patching attempts, to have a report that periodically shows the number of people that are not trained in information security.

Who does the analysis of ISO 27001 measures and monitors?

The analysis of ISO 27001 measure and monitors is performed by the allocated system and process owner. They are best placed to understand the results and provide guidance based on those results.

How often do you review and analyse ISO 27001 measures and monitors?

As often as is necessary based on risk. It would not be unreasonable for the review to be conducted monthly.

How long do I keep results of ISO 27001 measures and monitors?

For as long as is necessary based on business need and risk. It would not be unreasonable to keep the results for a rolling period of 18 months.

Who do I share ISO 27001 measures and monitors with?

You share the results with the owner of the thing, process, system that is being measured and monitored. In addition you share it with the Management Review Team as part of the process of continual improvement for oversight and signify.

I identified a problem in my ISO 27001 measures and monitors, what do I do now?

Follow your process of continual improvement and make the necessary changes to the measure and monitor.

ISO 27001 Certification Requirements

See Also

Reference

ISO/IEC 27001 Information Security Management

ISO 27001 Strategy Session
ISO 27001 ISO 27001 Toolkit
ISO 27001 Policy Bundle

ISO 27001 Templates Toolkit: Business Edition

ISO 27001 Policy Templates: Professional Edition

Stuart Barker

About the Author

Stuart Barker

Stuart is an ISO 27001 Consultant and author of the ISO 27001 Templates Toolkit. Over 20 years he has helped hundreds of organisations with the ISO 27001 standard and getting them ISO 27001 certification with a 100% success rate.

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