Q: 13
Scenario 9:
OpenTech, headquartered in San Francisco, specializes in information and communication
technology (ICT) solutions. Its clientele primarily includes data communication enterprises and
network operators. The company's core objective is to enable its clients to transition smoothly into
multi-service providers, aligning their operations with the complex demands of the digital landscape.
Recently, Tim, the internal auditor of OpenTech, conducted an internal audit that uncovered
nonconformities related to their monitoring procedures and system vulnerabilities. In response to
these nonconformities, OpenTech decided to employ a comprehensive problem-solving approach to
address the issues systematically. This method encompasses a team-oriented approach, aiming to
identify, correct, and eliminate the root causes of the issues. The approach involves several steps:
First, establish a group of experts with deep knowledge of processes and controls. Next, break down
the nonconformity into measurable components and implement interim containment measures.
Then, identify potential root causes and select and verify permanent corrective actions. Finally, put
those actions into practice, validate them, take steps to prevent recurrence, and recognize and
acknowledge the team's efforts.
Following the analysis of the root causes of the nonconformities, OpenTech's ISMS project manager,
Julia, developed a list of potential actions to address the identified nonconformities. Julia carefully
evaluated the list to ensure that each action would effectively eliminate the root cause of the
respective nonconformity. While assessing potential corrective actions, Julia identified one issue as
significant and assessed a high likelihood of its recurrence. Consequently, she chose to implement
temporary corrective actions. Julia then combined all the nonconformities into a single action plan
and sought approval from top management. The submitted action plan was written as follows:
"A new version of the access control policy will be established and new restrictions will be created to
ensure that network access is effectively managed and monitored by the Information and
Communication Technology (ICT) Department."
However, Julia's submitted action plan was not approved by top management. The reason cited was
that a general action plan meant to address all nonconformities was deemed unacceptable.
Consequently, Julia revised the action plan and submitted separate ones for approval. Unfortunately,
Julia did not adhere to the organization's specified deadline for submission, resulting in a delay in the
corrective action process. Additionally, the revised action plans lacked a defined schedule for
execution.
Based on scenario 9, was it acceptable that the top management rejected the action plan submitted
by Julia?
Options
Discussion
A imo. Pretty sure ISO 27001 expects separate corrective actions for each nonconformity, seen something similar in exam reports.
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