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Documentation
Answer:
Most of the ISO standards, including ISO 20000 in section, contains requirements for the documents. Additionally, you have to be careful while creating document templates and documents related to processes and procedures in order to avoid overhead.
Our toolkit contains "Procedure for Document and Record Control" (https://advisera.com//wp-content/uploads//sites/6/2015/06/Procedure_for_Document_and_Record_Control_Premium_EN.pdf) which is used to set rules for all documents in scope of the SMS.
In following articles you can find few details how to approach the topic:
"How to structure ISO 20000 documentation" https://advisera.com/20000academy/blog/2016/09/27/how-to-structure-iso20000-documentation/
"Defining roles and responsibilities for ISO 20000-based IT Service Management" https://ad visera.com/20000academy/blog/2017/10/18/defining-roles-and-responsibilities-for-iso-20000-based-it-service-management/ -
Nonconforming output and nonconformity
Answer:
I would like to have more context about the use of the two words. Nevertheless I will try to give an explanation. Nonconforming output is related to the non-compliance with a specification associated with a final or intermediate product or service. Nonconformity can be used in the same context as nonconforming output or, more generally, whenever there is the non-fulfillment of a requirement of a management system. For example, a company did not performed the re-evaluation of its supplier base as scheduled.
The following material will provide you information about nonconformities:
- ISO 9001 – Understanding dispositions for ISO 9001 nonconforming product - https://advisera.com/9001academy/blog/2014/11/18/understanding-dispositions-iso-9001-nonconforming-product/
- ISO 9001 - ISO 9001 – Difference between correction and corrective action - https://advisera.com/9001academy/blog/2016/02/09/iso-9001-difference-between-correction-and-corrective-action/ ion/
- free online training ISO 9001:2015 Foundations Course – https://advisera.com/training/iso-9001-foundations-course/ -
Mandatory DRP
Need your advice on this. As i feel its not mandatory to have DRP.
Answer: Although ISO 22301 clause 8.4.4 requires procedures for responding to disruptive incidents (e.g. business continuity plan(s) and recovery plan(s), including the disaster recovery plans), neither this standard, nor ISO 27001, mention "badge access request", so you need to analyse the following issues to confirm if a DRP is required for this specific process:
- the results of the business impact analysis (can the time needed to recover minimal conditions for this process after a disruptive incident prevent the organization to achieve its objectives for recovery or continuity of the business?)
- legal requirements applicable to the organization (e.g., are there any laws or contracts demanding for this specific DRP?)
- top management decisions specifically related to the recovery or continuity of this process (regardless of any other conditions, does the top m anagement require a DRP for this process?)
If after verifying these issues you identify no reason to have a DRP for this process, then you can consider this DRP as no needed.
This article will provide you further explanation about mandatory ISO 22301 documentation:
- Mandatory documents required by ISO 22301 https://advisera.com/27001academy/knowledgebase/mandatory-documents-required-by-iso-22301/
This material will also help you regarding mandatory ISO 22301 documentation:
- Book Becoming Resilient: The Definitive Guide to ISO 22301 Implementation https://advisera.com/books/becoming-resilient-the-definitive-guide-to-iso-22301-implementation/ -
Auditing clause 4.1
Hi.. May I know how to audit the clause 4.1. thanks. -
Compliance of U.S. company dealing with B2B customers
Answer: In order to provide a precise answer we would need some more information on the type of transactions and services provided by the US based company as well as the purpose of collection of the personal data.
If these information are lacking my first choice would be to consider that the US based company is acting as a processor and since they are dealing with a EU based controller there is high chance that GDPR would be applicable for the processing activities involving EU citizens personal data.
See also this article: EU GDPR controller vs. processor – What are the differences? https://advisera.com/eugdpracademy/knowledgebase/eu-gdpr-controller-vs-processor-what-are-the-differences/ -
Risk assessment
Answer:
There is no requirement in the standard to update the risk assessment on a periodic basis. Nevertheless, a company can decide to update the risk assessment based on the calendar. Another possibility is to update the risk assessment based on nonconformities occurrence (see clause 10.2.1 e)) or after reviewing information about internal and external issues (see clause 4.1), or about interested parties (see clause 4.2).
The following material will provide you information about risk assessment:
- ISO 9001 – How to address risks and opportunities in ISO 9001 https://advisera.com/9001academy/blog/2016/06/21/how-to-address-risks-and-opportunities-in-iso-9001/
- Methodology for ISO 9001 Risk Analysis https://advisera.com/9001academy/blog/2015/09/01/methodology-for-iso-9001-risk-analysis/
- ISO 9001:2015 Risk Management Toolkit https://advisera.com/9001academy/iso-90012015-risk-management-toolkit/
- free online tr aining ISO 9001:2015 Foundations Course https://advisera.com/training/iso-9001-foundations-course/
- book Discover ISO 9001:2015 Through Practical Examples https://advisera.com/books/discover-iso-9001-2015-through-practical-examples/ -
Defining the scope of IATF 16949 based QMS
Answer:
Supporting functions, whether onsite or remote ( such as design centres, corporate headquarters, and distribution centres) should be included in the Quality Management System. you need to include all of them if they are part of your company. Auditing just a corporate headquarters won't provide evidence that you company is fully compliant with the standard, all processes and functions need to be audited.
For more inf ormation, see: How to define scope of the QMS according to IATF 16949:2016 https://advisera.com/16949academy/blog/2017/06/28/how-to-define-scope-of-the-qms-according-to-iatf-16949/ -
CIA
First of all, you should note that threats in ISO 27005 catalogue are only examples. They are not mandatory, and probably your organization will have some threats that won't be there (you have to identify them by performing the risk assessment process).
That said, to identify if a threat is related to confidentiality, integrity or availability, you have to analyse how the threat will work over an asset. For example, a malicious software can either allow an unauthorized person the access an information in a database (compromising confidentiality), change it (compromising integrity), or destroy it (compromising availability). This will depend on how the malicious software work.
In case of embezzlement, it is, by definition, a financial fraud (a fraudulent conversion of the property of another person by the person who has lawful possession of the property). Basically this threat is related to the information related to the ownership of a property, then it can be r elated to compromise of information integrity, since in many times involves falsification of records in order to conceal the activity. -
BCP presentation
Answer: I suggest you to take a look at this free to download presentation: Why ISO 27001 – Awareness presentation, that you can find at this link: https://info.advisera.com/27001academy/free-download/why-iso-27001-awareness-presentation
Yo can use the general framework and adapt to your needs. For example, you can change the following information:
- "what ISO 27001 is all about" to "what ISO 22301 is all about"
- "why is it good for the company – and also for themselves" to "why BCPs are good for the company – and also for themselves"
- "what is their role in handling information security" to "what is their role in BCP"
Then you can finish presenting the BCP.
Additionally, I suggest you to watch this free webinar ISO 22301: Resum en del proceso de implementación de GCN https://advisera.com/27001academy/es/webinar/iso-22301-an-overview-of-bcm-implementation-process-free-webinar/ - maybe you can use some items from here. -
Scope definition
Have you written a blog post that could help me and I’m sure others understand the boundaries of an ISMS scope.
Answer: The first thing you need to identify for the scope's limits is to understand the organization's purpose for its ISMS and the requirements this ISMS has to fulfill. Once you know that you can identify how each department you mentioned is related to this purpose and requirements and then you can define the scope limits.
Examples of limits for the scope related to Finance and HR may be:
- Financial reports deemed for regulatory bodies (e.g., as required by SOX)
- Employees' and customer's medical records (e.g., as required by HIPAA)
For IT departments, the scope could be limited to information systems used by Financial and HR departments.
These articles will provide you fu rther explanation about scope definition:
- How to define the ISMS scope https://advisera.com/27001academy/knowledgebase/how-to-define-the-isms-scope/
- Problems with defining the scope in ISO 27001 https://advisera.com/27001academy/blog/2010/06/29/problems-with-defining-the-scope-in-iso-27001/
- How to identify ISMS requirements of interested parties in ISO 27001 https://advisera.com/27001academy/blog/2017/02/06/how-to-identify-isms-requirements-of-interested-parties-in-iso-27001/
These materials will also help you regarding scope definition:
- Book Secure & Simple: A Small-Business Guide to Implementing ISO 27001 On Your Own https://advisera.com/books/secure-and-simple-a-small-business-guide-to-implementing-iso-27001-on-your-own/
- Free online training ISO 27001 Foundations Course https://advisera.com/training/iso-27001-foundations-course/