How should an auditor handle findings that suggest a lack of evidence for implemented controls?

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Reporting findings that indicate a lack of evidence for implemented controls as a major nonconformity is appropriate due to the critical role of controls in an organization's information security management system (ISMS). When an auditor identifies a lack of evidence, it suggests that the organization may not be operating according to its established policies and procedures, which can undermine the effectiveness of the ISMS.

A major nonconformity highlights a significant gap or failure in the control environment that could result in a material impact on the organization's information security objectives. Therefore, it is essential for the auditor to escalate the finding rather than minimize its significance. This action emphasizes the importance of demonstrating compliance with established controls and encourages the organization to take corrective action.

In this context, classifying the issue as a major nonconformity serves as a formal recognition of the severity of the situation, prompting appropriate management attention and resources to resolve the matter effectively. This approach aligns with the principle of continuous improvement in an ISMS, ensuring that organizations remain vigilant in managing their information security risks.

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