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Download my GDRP audit

Download my GDRP audit

Download my GDRP audit

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Project: Global Market - GM

GDPR & ISO 27001 Compliance Audit

Objective: The goal of this project was to conduct a comprehensive GDPR and ISO 27001 compliance audit for the fictional company Global Market. The audit aimed to ensure the protection of personal and sensitive data while evaluating adherence to industry standards. It focused on assessing the organization’s data privacy, security measures, and risk management practices, offering a roadmap to address compliance gaps and ensure ongoing regulatory compliance.

Download my GDRP audit

Download my ISO 27001 audit

Step-by-Step Breakdown:

1. Initial Preparation Phase

Objective:

  • Ensure the team is aligned on the scope of the audit and gather necessary documents for both GDPR and ISO 27001 compliance audits.

Tools Used:

  • Project management tools (e.g., Asana, Trello) for tracking progress.

  • Document storage systems (e.g., Google Drive, SharePoint) for gathering required documents.

Process:

  1. Define the scope for GDPR and ISO 27001 audits.

  2. Identify key stakeholders (e.g., DPO, IT, Legal, HR).

  3. Gather all necessary documentation (e.g., Data Protection Policy, ISMS procedures).

  4. Schedule interviews with stakeholders to clarify data handling processes and security controls.

Outcome:

  • The team has a clear understanding of the audit scope and all relevant documents have been collected.

2. GDPR Compliance Audit

Objective:

  • Ensure Global Market is compliant with GDPR, focusing on data protection, processing activities, and data subject rights.

Tools Used:

  • GDPR checklist or template.

  • Interview guides for key departments (HR, IT, Legal).

  • Access to the company’s privacy policies and consent management systems.

Process:

  1. Review data processing activities to ensure they meet the lawful basis requirements (Article 6).

  2. Verify that customer and employee data handling complies with GDPR principles (e.g., transparency, data minimization).

  3. Evaluate data subject rights implementation (e.g., access, erasure, consent withdrawal).

  4. Assess data security measures, including encryption and access controls.

  5. Review third-party contracts (Data Processing Agreements) for GDPR compliance.

Outcome:

  • A comprehensive report on GDPR compliance, identifying gaps in data handling, security, and processes for data subject rights.

3. ISO 27001 Compliance Audit

Objective:

  • Ensure Global Market's information security management system (ISMS) aligns with ISO 27001 standards for protecting sensitive data.

Tools Used:

  • ISO 27001 audit checklist.

  • Risk assessment tools (e.g., risk matrices, threat modeling tools).

  • Incident management tools (e.g., JIRA for tracking security incidents).

  • ISMS documentation.

Process:

  1. Review the ISMS to ensure it covers key security domains (e.g., risk management, asset management, access control).

  2. Evaluate whether security policies align with ISO 27001 requirements and are being followed.

  3. Assess the effectiveness of the risk management process, focusing on identifying and mitigating risks.

  4. Review internal audit reports to ensure regular security assessments are conducted.

  5. Evaluate incident management procedures to ensure they meet ISO 27001 standards.

Outcome:

  • A thorough assessment of Global Market’s ISMS, with an action plan for improving security controls, risk management, and incident response.

4. Addressing Compliance Gaps

Objective:

  • Identify and address any gaps in GDPR and ISO 27001 compliance identified during the audit process.

Tools Used:

  • Action plans based on audit findings.

  • Compliance tracking tools (e.g., Jira, Excel) to manage tasks.

  • Training platforms for employee education (e.g., KnowBe4).

Process:

  1. Prioritize findings based on severity (e.g., high-risk issues like data breaches or lack of encryption).

  2. Implement corrective actions, such as updating data protection policies, improving encryption methods, and enhancing access controls.

  3. Conduct additional training for staff on GDPR and ISO 27001 compliance.

  4. Establish ongoing monitoring and reporting systems to ensure compliance.

Outcome:

  • Resolution of compliance gaps with a focus on high-priority issues, improved policies, and trained employees.

5. Final Reporting and Recommendations

Objective:

  • Document audit findings and recommendations for Global Market to ensure continued compliance with GDPR and ISO 27001.

Tools Used:

  • Reporting templates.

  • Collaboration tools (e.g., Google Docs) for drafting final reports.

Process:

  1. Compile audit findings for both GDPR and ISO 27001.

  2. Create a detailed report with observations, gaps, and corrective actions.

  3. Present the report to senior management and relevant stakeholders.

  4. Provide recommendations for ongoing compliance, including periodic audits and regular updates to security practices.

Outcome:

  • A comprehensive audit report with clear recommendations and a roadmap for ensuring long-term compliance with GDPR and ISO 27001.

6. Continuous Improvement

Objective:

  • Ensure Global Market maintains compliance and continuously improves its data protection and information security practices.

Tools Used:

  • Continuous monitoring tools (e.g., SIEM, vulnerability scanners).

  • Regular audit schedules.

Process:

  1. Implement continuous monitoring to detect any new security vulnerabilities or compliance issues.

  2. Conduct periodic internal audits to ensure ongoing compliance with GDPR and ISO 27001.

  3. Update security measures and policies as necessary to address emerging risks or regulatory changes.

Outcome:

  • Ongoing compliance with both GDPR and ISO 27001, with continuous improvement in security and data protection practices.

7. Final Report and Recommendations

  • Objective:
    To compile a comprehensive PCI DSS compliance report that outlined findings, provided recommendations for improvement, and included an action plan for addressing gaps.
     

  • Tools Used:

    • PCI DSS Audit Checklist

    • Action Plan Templates
       

  • Process:
    We finalized the audit findings, detailing areas where SBS - Secure Bank Solutions was compliant, as well as areas that required further remediation. Each recommendation was prioritized based on its urgency.
     

  • Outcome:
    A detailed report was delivered, including recommendations for implementing encryption/tokenization, updating anti-virus software, and enabling MFA. A timeline for remediation was included to ensure that all PCI DSS requirements were met in a timely manner.

Skills Learned:

  • In-Depth Understanding of GDPR Requirements: Gained a deeper understanding of GDPR compliance, focusing on data protection principles, lawful processing, and data subject rights.

  • ISO 27001 Information Security Management: Acquired hands-on experience in implementing an Information Security Management System (ISMS), ensuring sensitive data is securely handled and protected.

  • Risk Assessment and Mitigation: Enhanced skills in identifying security risks, conducting risk assessments, and implementing controls to minimize vulnerabilities and ensure data protection.

  • Incident Response and Compliance Audits: Learned how to create and test incident response plans for data breaches, while performing audits to ensure ongoing GDPR and ISO 27001 compliance.

  • Continuous Monitoring and Improvement: Strengthened abilities in monitoring compliance, performing periodic audits, and maintaining security controls for long-term data protection and risk management.

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