1️⃣ OBJECTIVE
To evaluate, strengthen, and certify the SAP environment’s compliance and operational integrity against:
- ISO 27001:2022 — Information Security Management System (ISMS)
- ISO 9001:2015 — Quality Management System (QMS)
- NIST SP 800-53 / COBIT 5 — for control mapping
- POPIA & PFMA — for South African regulatory context
2️⃣ AUDIT SCOPE
| Domain | Description | Sample Controls / Artifacts | Standard Mapping |
|---|---|---|---|
| 1. Access Control & Segregation of Duties (SoD) | Evaluate user provisioning, role design, SoD conflicts, and privilege escalation. | SUIM / ST03N logs, GRC AC reports, HR sync validation. | ISO 27001 A.9 / A.5 |
| 2. Change & Transport Management | Validate governance of transports, emergency fixes, and Dev–Test–Prod segregation. | STMS audit, CTS+, ChaRM workflows. | ISO 27001 A.12 / A.14 |
| 3. Infrastructure Security | Review SAP NetWeaver patching, OS/DB hardening, TLS 1.3 encryption, backups. | Solution Manager system data, SAProuter ACLs. | ISO 27001 A.8 / A.10 |
| 4. Data Privacy & POPIA Compliance | Ensure encryption of personal data, data minimization, and consent logs. | Table-level masking configs, SAP ILM/Archiving. | ISO 27001 A.18 / POPIA |
| 5. Continuous Monitoring & Incident Response | Assess audit logs, SOC integration, and response workflows. | SAP ETD or Splunk connectors, alert correlation matrix. | ISO 27001 A.16 |
| 6. Business Continuity & Backup | Evaluate RPO/RTO, DR tests, and restore validation. | DB13 logs, cloud snapshots, DR drills. | ISO 27001 A.17 |
| 7. Vendor & Third-Party Interfaces | Review APIs, middleware, and vendor access security. | RFC destinations, CPI/iFlow configs. | ISO 27001 A.15 |
| 8. Quality & Documentation Controls | Confirm SOPs, testing evidence, version control, and continual improvement. | Process library, audit trail of CAPAs. | ISO 9001 4–10 |
3️⃣ AUDIT DELIVERABLES
- SAP Security Posture Report (SSR)
- Heatmap of 20 critical controls
- Maturity rating (1–5) per ISO clause
- Residual risk register (high / medium / low)
- ISMS + QMS Gap Matrix
- Control coverage vs ISO 27001 Annex A & ISO 9001 clauses
- Remediation plan with owners, deadlines, and KPI links
- Executive Dashboard (Power BI / Tableau)
- SoD violations by module
- Patch latency metrics
- User provisioning SLA trend
- CAPA closure progress
- Certification Readiness Pack
- ISMS scope statement
- Risk assessment report (Annex A & Clause 6.1)
- Statement of Applicability (SoA)
- Internal audit & management review minutes
4️⃣ KEY ISO 27001 CONTROL CLUSTERS FOR SAP
| Cluster | SAP Alignment Example |
|---|---|
| A.5 – Org Controls | Information security policy for SAP; governance charter. |
| A.8 – Asset Management | SAP master data classification and retention. |
| A.9 – Access Control | GRC Access Control (ARA, BRM, EAM). |
| A.10 – Cryptography | SAP Secure Network Communication (SNC) + TLS. |
| A.12 – Ops Security | Batch job governance, interface monitoring. |
| A.14 – System Acquisition | Project QA gates in ChaRM. |
| A.16 – Incident Management | SAP ETD / Solution Manager ticketing. |
| A.17 – Continuity | DR test logs / business impact analysis. |
5️⃣ QUALITY (ISO 9001) ALIGNMENT
| ISO 9001 Clause | Integration with SAP Operations |
|---|---|
| 4 – Context | SAP process landscape mapped to QMS scope. |
| 5 – Leadership | Roles of CIO, CISO, Process Owner defined in RACI. |
| 6 – Planning | Risk-based thinking using SAP audit findings. |
| 7 – Support | Competence matrix for Basis, GRC, and Audit teams. |
| 8 – Operation | Documented change control & transport SOPs. |
| 9 – Performance Eval. | KPI dashboards — MTTR, SoD closure, patch SLA. |
| 10 – Improvement | CAPA logs and continual improvement cycles. |
6️⃣ MATURITY SNAPSHOT (Typical Findings)
| Domain | Current Rating | Target (ISO) | Gaps / Notes |
|---|---|---|---|
| Access & SoD | 3.2 | 4.0 | Role explosion; missing periodic recertification. |
| Patch Mgmt | 2.8 | 4.5 | Unpatched kernel; missing auto-alerts. |
| POPIA Compliance | 2.5 | 4.0 | Data anonymization not system-wide. |
| DR & Backup | 3.0 | 4.0 | Annual restore validation pending. |
| Vendor Mgmt | 2.7 | 4.0 | Incomplete NDA / SLA coverage for API access. |
7️⃣ ACTION PLAN SUMMARY
| Priority | Action | Owner | Timeline |
|---|---|---|---|
| Critical | Deploy GRC Access Control + quarterly SoD review | SAP Security Lead | 30 days |
| High | Patch automation & dashboard integration | Basis Team | 60 days |
| Medium | Finalize POPIA data-masking policy | Compliance Mgr | 90 days |
| Low | Conduct ISO 9001 awareness & internal auditor training | QMS Coordinator | 120 days |
8️⃣ EXECUTIVE SUMMARY (BOARD VIEW)
The SAP landscape shows a moderate-to-strong ISO 27001 alignment (avg 3.1 / 5), with solid governance but material gaps in SoD recertification, patch management, and data privacy enforcement.
Integrating SAP GRC, automation of audit trails, and a joint ISMS/QMS dashboard will lift the environment to certification readiness within 6 months, provided management supports periodic internal audits and CAPA closure.
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