Which of the following does a lack of adequate security controls represent?
Correct Answer: C
Question 177
An external auditor received an offer to conduct an ISMS audit at a research development company. Before accepting it, they discussed with the internal auditor of the auditee, who was their friend, about previous audit reports. Is this acceptable?
Correct Answer: C
No, the auditor should uphold objectivity even when deciding whether to accept the audit mandate or not. Discussing previous audit reports with a friend who is an internal auditor at the auditee may compromise the external auditor's objectivity and independence. References: ISO 19011:2018, Guidelines for auditing management systems, which emphasizes the need for auditors to maintain impartiality and confidentiality.
Question 178
What would be the reference for you to know who should have access to data/document?
Correct Answer: B
Explanation The reference for you to know who should have access to data/document is the Access Control List (ACL), which is a list of users or groups who are authorized to access a specific data/document and their respective access rights (such as read, write, modify, delete, etc.). The ACL is a tool for implementing the access control policy of the organization, which is defined in accordance with ISO/IEC 27001:2022 clause 9.4.1. The ACL should be maintained and updated regularly to ensure that only authorized users can access the data/document. References: [CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course], [ISO/IEC 27001:2022 Information technology - Security techniques - Information security management systems - Requirements]
Question 179
Which three of the following options are an advantage of using a sampling plan for the audit?
Correct Answer: C,D,E
According to ISO 19011:2018, which provides guidelines for auditing management systems, a sampling plan is a method for selecting a representative subset of the audit evidence from a defined population1. A sampling plan can have several advantages for the audit, such as providing a suitable understanding of the ISMS by covering its key processes, activities, and controls; implementing the audit plan efficiently by optimizing the use of time and resources; and giving confidence in the audit results by ensuring that the sample is sufficient, reliable, and unbiased1. Therefore, these three options are examples of advantages of using a sampling plan for the audit. The other options are not advantages, but rather disadvantages or risks of using a sampling plan. For example, overruling the auditor's instincts may lead to missing important evidence or issues that are not covered by the sampling plan; using the same plan for consecutive audits may reduce the effectiveness and validity of the audit results; and missing key issues may result from an inadequate or inappropriate sampling plan1. Reference: ISO 19011:2018 - Guidelines for auditing management systems
