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Certification audit questions
1. Is it a requirement for policy & procedure for the SOA to be approved?
Answer:
It is not a requirement, but a best practice to avoid rework, to approve policies and procedures only after the SoA has been approved, because any changes in the applicability status of controls in the SoA can impact the development, or review of policies and procedures.
These article will provide you further explanation about steps for implementation and SoA:
- ISO 27001 implementation checklist https://advisera.com/27001academy/knowledgebase/iso-27001-implementation-checklist/
- The importance of Statement of Applicability for ISO 27001 https://advisera.com/27001academy/knowledgebase/the-importance-of-statement-of-applicability-for-iso-27001/
2 - Another question is it requirement to have 3 month ISMS evidence/records before ISMS external audit?
Answer:
It is not mandatory by the standard to have 3 month ISMS evidence/records before ISMS external audit, however, some certification bodies, as part of their own processes, require the management system to be 3 months in operation before going for the certification (you should verify this situation with your own certification body).
This article will provide you further explanation about certification process:
- Becoming ISO 27001 certified – How to prepare for certification audit https://advisera.com/27001academy/iso-27001-certification/
These materials will also help you regarding certification process:
- ISO 27001/ISO 22301: The certification process [free webinar on demand] https://advisera.com/27001academy/webinar/iso-27001iso-22301-certification-process-free-webinar-demand/
- Preparing for ISO Certification Audit: A Plain English Guide https://advisera.com/books/preparing-for-iso-certification-audit-plain-english-guide/ -
CISA and ISO 27001 Lead Auditor
I have passed CISM, CRISC and preparing for CISSP. My goal is to do CISSP and either ISO 27001 Lead Auditor or CISA. For now, I am in Europe, so thinking the switch to an Infosec company or environment to be in Europe or Middle East (Dubai). I understand different geographic areas have bias for either CISA or ISO 27001.
What is your take on these two courses (CISA, ISO27001), one that will fit well with my career prospects and the most marketable?
Answer:
The decision about which certification to choose will depend on the type and depth of the activities you desire to perform (both are world-wide recognized certifications for auditing). If you want to focus on auditing information security management, you should consider ISO 27 001 Lead Auditor. If you want to go beyond auditing the scope of information security, and also consider the audit of strategic relationships between information security and the information systems and business objectives you should consider CISA. Please note that these courses do not exclude each other, they only offer different perspectives about how audit the way information interacts with business.
Considering your background, and the certifications you already have taken exam, ISO 27001 Lead Auditor would add more value to your profile (CISA will add auditing skills to CISM knowledge, but the knowledge added by ISO 27001 Lead Auditor can be used as well, and ISO 27001 brand could be more attractive in Europe and the Middle East).
These articles will provide you further explanation about personal certifications:
- CISA vs. ISO 27001 Lead Auditor certification https://advisera.com/training/iso-27001-lead-auditor-course/
- What does ISO 27001 Lead Auditor training look like? https://advisera.com/27001academy/blog/2016/08/29/what-does-iso-27001-lead-auditor-training-look-like/
To see more about the course, please access: https://advisera.com/training/iso-27001-lead-auditor-course/ -
ISO 27001 applicability
(I have a question the ISO 27000 and its annexes can be integrated in a computer equipment optimization procedure or is only integrated for data security?)?
Answer:
ISO 27001 controls from Annex A cover a wide range of controls to protect information, and some of them can be used in a procedure for computer equipment optimization (e.g., A.6.2.1 Mobile device policy, A.11.2.9 Clear desk and clear screen policy, and A.12.5.1 Installation of software on operational systems).
These articles will provide you further explanation about ISO 27001 controls for computer equipment:
- Overview of ISO 27001:2013 Annex A https://advisera.com/27001academy/iso-27001-controls/
- 8 criteria to decide which ISO 27001 policies and procedures to write https://advisera.com/27001academy/blog/2014/07/28/8-criteria-to-decide-which-iso-27001-policies-and-procedures-to-write/ s-to-write/
- How to structure the documents for ISO 27001 Annex A controls https://advisera.com/27001academy/blog/2014/11/03/how-to-structure-the-documents-for-iso-27001-annex-a-controls/ -
DPO and Data breach
Answer:
Appointing a DPO is mandatory if (a) the company has more than 250 employees; or (b) the processing the company carries out is likely to result in a risk to the rights and freedoms of data subjects; or (c) the processing is not occasional; or (d) the processing includes special categories of data (personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, and the processing of genetic data, biometric data for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person’s sex life or sexual orientation);or (e) the processing includes personal data relating to criminal convictions and offenses.
If you want to find out more about the role of the DPO check out this free webinar “Role of the DPO according to EU GDPR” (https://advisera.com/eugdpracademy/webinar/role-of-the-dpo-according-to-eu-gdpr-free-webinar-on-demand/).
2. Can the Security Officer be also the DPO?
Answer:
In theory, yes. However, I would advise against such an approach as the roles would be conflicting in certain areas. The role of the Security Officer is to protect the company information assets using whatever means necessary but the DPO needs to ensure that the means of processing personal data are lawful, transparent and proportionate.
3. In a case of a data breach now do I know if I notify the data protection authority?
Answer:
You first need to assess the severity of the data breach taking into account how that breach can affect the rights and freedoms of the data subjects involves. There are three scenarios:
a) If the breach does not affect the rights and freedoms of the data subjects the breach does not need to be reported;
b) If the breach poses a risk to the rights and freedoms of the data subjects the breach needs to be reported to the Supervisory Authority;
c) If there is a high risk then ten both the data subject and the Supervisory Authority needs to be notified.
If you want to learn more about data breaches check out this webinar “A How-to Guide for GDPR Data Breach Notifications” (https://advisera.com/eugdpracademy/webinar/a-how-to-guide-for-gdpr-data-breach-notifications-free-webinar-on-demand/).
4. Does the data breach need to happen in the EU or it can be outside EU as well?
Answer:
Yes, it does. If the data subjects affected by the data breach are in the EU the breach needs to be notified as described in question 3. This is one of the instances where the extraterritorial reach of the GDPR kicks in. -
Document control in ISO 9001:2015
Answer
Yes, document control is required in ISO 9001:2015. Document and record control are now in clause 7.5 as Documented Information. ISO 9001:2008 had eight different clauses, the 2015 version consist of ten clauses. Now, ISO 9001, ISO 27001; ISO 45001; ISO 14001 have all a common core structure. This structure is called a High-Level Structure. The intent is to make the integration of management systems a lot easier.
The following material will provide you more information about documented information:
New approach to document and record control in ISO 9001:2015 - https://advisera.com/9001academy/blog/2015/06/30/new-approach-to-document-and-record-control-in-iso-90012015/
- Enroll for free course - ISO 9001:2015 Foundations Course - https://advisera.com/training/iso-9001-foundations-course/
- book – Discover IS O 9001:2015 Through Practical Examples – https://advisera.com/books/discover-iso-9001-2015-through-practical-examples/ -
Mandatory documents in ISO 45001
Answer:
The use of the word “shall” in the requirement is indicating that you need to perform this function or activity, but this does not indicate that the ISO 45001:2018 standard requires you to document anything. Many processes which are required do not need to be documented, or have documented records. It is the use of the term “documented information” which indicates that there is a mandatory documentation requirement from the standard. Where the standard does not use the term “documented information”, but many companies include this in their OHSMS, we have included this in the document about mandatory documents of ISO 45001.
There is no one best way to document what is requi red in the OHSMS, so the best advice is to determine what will work best for you to be able to locate the information when needed. For larger companies, there is a good documentation structure discussed in the link below.
For more on structuring documentation in the ISO 45001:2018 OHSMS, see the article: How to structure ISO 45001 documentation, https://advisera.com/45001academy/blog/2018/11/08/how-to-structure-iso-45001-documentation/ -
Audit questions
GRR acceptance crriteria is 10%. In case of GRR for attributes Kappa value acceptance criteria is 0.75. That means in simple comparison method we have min. 90% acceptance. So why Kappa value of 0.75 is accepted and it means 25% rejection is accepted. No able to understand the statistical acceptance in case of attribute study.
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ISO 27001 benefits
Answer:
The most common topics you can consider regarding lowering expenses are related to the impact of information security incidents: the decreasing of their quantity, of their effective impact, or on the resources involved in their handling.
Additionally, you can consider the decrease on fines related to non compliance with legal requirements. -
Measurable quality objectives
Answer
If you write a quality objective that can be countable you ensure that it is measurable. For example:
* Our organization want to increase the number of corporate clients by 5% by the end of the year;
* Our organization want to reduce the number of clients lost to the competition by 7% by the end of the year;
* Our organization wants to reduce by 10% the customer wait time in line by the end of next quarter.
* Our organization wants to reduce employee turnover by 10% by the end of the year.
For each example you can count the number of corporate clients, the number of clients lost, …"
The following material will provide you more information about quality objectives:
How to Write Good Quality Objectives - https://advisera.com/9001academy/knowledgebase/how-to-write-good-quality-objectives/
- Enroll for free course - ISO 9001:2015 Foundations Course - https://advisera.com/training/iso-9001-foundations-course/
- Enroll for free course - ISO 9001:2015 Lead Auditor Course - https://advisera.com/training/iso-9001-lead-auditor-course/
- book – Discover ISO 9001:2015 Through Practical Examples – https://advisera.com/books/discover-iso-9001-2015-through-practical-examples/ -
Surveillance audit and auditors
Answer
Surveillance audits are performed by certification bodies. Certification bodies use the same criteria that they have for certification audits. Normally, certification bodies try to keep one or more auditors from the certification audit in the following surveillance audits.
The following material will provide you more information surveillance audits:
What is an ISO 9001 surveillance audit? - https://advisera.com/9001academy/blog/2016/10/18/what-is-an-iso-9001-surveillance-audit/
[free course] ISO 9001:2015 Internal Auditor Course - https://advisera.com/training/iso-9001-internal-auditor-course/
book - ISO Internal Audit: A Plain English Guide - https://advisera.com/books/iso-internal-audit-plain-english-guide/