You're reading from Mastering Information Security Compliance Management

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Published inAug 2023

PublisherPackt

ISBN-139781803231174

Edition1st Edition

Concepts

Robotic Process Automation

Authors (2):

Adarsh Nair

Greeshma M. R.

View More author details

Case Studies – Audit Planning, Reporting Nonconformities, and Audit Reporting

This chapter aims to provide practical insights into the audit planning process, nonconformity reporting, and audit reporting within the context of ISO 27001 implementation. It strives to offer real-world examples that you can relate to and learn from. The following are the case studies presented in this chapter:

Case study 1 – audit planning

Case study 2 – reporting Nonconformities (NCs)

Case study 3 – audit reporting

These case studies revolve around a hypothetical organization named Titan Consulting Inc., a rapidly growing technology consulting firm operating in the IT industry with 50 employees. A total of eight employees work in the infosec domain.

The first case study on audit planning aims to help you understand the importance of thorough audit planning and how it contributes to the effectiveness of the audit process. It outlines the key considerations, steps...

Case study 1 – audit planning

Audit planning is crucial in the ISO 27001 implementation process, as it ensures that the audit objectives are clearly defined, resources are allocated effectively, and potential risks and areas of focus are identified in advance, leading to a more efficient and comprehensive audit. It provides a structured approach to assessing the effectiveness of information security controls, identifying vulnerabilities, and determining the compliance level with the ISO 27001 standard, ultimately contributing to the continuous improvement of an organization’s information security management system.

The following is the audit plan prepared for a third-party audit of Titan Consulting Inc. Details such as company information, the audit scope, team details, the audit activities, and who will be facing the audit (the client representative) are recorded in the audit plan:

...

Case study 2 – reporting NCs

Reporting NCs during an audit is essential, as it enables organizations to identify and document deviations from established information security controls. It also provides valuable insights into areas that require corrective actions and improvements to maintain the integrity and effectiveness of their information security management system.

Major versus minor NC and OFIs

A major NC is a significant deviation or lapse in a system or process that either has led, or may potentially lead, to a failure to fulfil a requirement specified by a standard or regulation. This can include situations where a large part or all of a required system is either not implemented or ineffectively managed. Major NCs typically require immediate corrective action due to their severity, and they may significantly impact the quality, safety, or efficacy of the product or service, or pose a serious risk to the business or its customers.

An example of a major NC is...

Case study 3 – audit reporting

Audit reporting plays a crucial role in communicating the findings, observations, and recommendations derived from the audit process. It provides stakeholders with valuable insights into the effectiveness of controls, identifies areas for improvement, and facilitates informed decision-making to enhance the organization’s information security practices.

The final audit report of Titan Consulting Inc. is shown here. The audit details are summarized first, followed by details of the findings and observations, including NCs.

Audit Plan

Summary

This chapter introduced three case studies – an audit plan, reporting an NC, and an audit report, which are key artifacts in the audit process.

With this, we come to the end of the final chapter of ISO 27001 implementation and auditing. An effective information security framework implementation can enable an organization to be a security pioneer and stand out among its competitors. Implementing ISO 27001 management standards can be a guide for organizations to accomplish their security goals and have a robust security framework in place.

We hope you enjoyed reading the book. As we conclude, we hope you have equipped yourself with the knowledge and skills to establish and maintain an information security management system. There are numerous opportunities to apply this learning. Embrace the challenge of implementing ISO 27001 at your organization, leveraging the practical insights, external references, case studies, and best practices shared throughout this book...

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Authors (2)

Adarsh Nair

Adarsh Nair is the global head of information security at UST. He is a recognized information security strategist, author, and keynote speaker. Adarsh holds the title of Fellow of Information Privacy (FIP) by IAPP and is a Google Hall of Fame honoree. He serves as co-chair of OWASP Kerala Chapter, an IAPP exam development board member, and an EC-Council advisory board member. With a decade of experience, Adarsh specializes in information security governance, risk and compliance, business continuity, data privacy, ethical hacking, and threat identification and mitigation. He maintains expertise through memberships, training, and certifications, including CISSP, CIPM, CIPP/E, LPT, OSCP, and ISO Lead Auditor. Adarsh has authored two books, published numerous articles and research papers, and delivered impactful presentations at national and international conferences, establishing himself as a thought leader in information security.
Read more about Adarsh Nair

Greeshma M. R.

Greeshma M. R. is an entrepreneur and seasoned freelance technology writer, specializing in technology domains, especially information security and Web 3.0. She is interested in exploring the intersection of technology and humanity, as well as the social aspects of technology. Her areas of interest also encompass innovation, sustainable development, gender, and society. She is a co-author and publisher of two books and holds a certification as an ISO 27001 Lead Auditor. Having worked in the IT and knowledge and innovation management domains, Greeshma possesses an interdisciplinary perspective that enriches her approach. She has actively contributed to establishing an innovation ecosystem among students via communities of practice, fostering a culture of creativity and collaboration.
Read more about Greeshma M. R.

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Audit report

Report number: 1101

Date of audit: Jan 5, 2023

Audit team: John Doe and Ryan Smith

Audit standard:

ISO 27001:2022

Areas audited (scope): Application development, HR, and infrastructure management within Titan...