Select two of the following options that are the responsibility of a legal technical expert on the audit team during a certification audit.
Correct Answer: D,E
Explanation A legal technical expert (LTE) is a person who provides specific knowledge or expertise related to the legal aspects of the information security management system (ISMS) during a certification audit. The LTE is not an auditor, but a member of the audit team who supports the auditors in collecting and evaluating the audit evidence. The LTE is not responsible for evaluating the auditee's legal knowledge, criticising the organisation's legal compliance issues, or debating complex legal points with the auditee, as these tasks may be beyond the scope of the audit, or may compromise the objectivity and impartiality of the audit. The LTE is responsible for advising on legal checkpoints for the audit team, such as the applicable legal, regulatory, and contractual requirements, the relevant sources of information, the methods of verification, and the criteria of evaluation. The LTE is also responsible for verifying the legal status of the organisation, such as the registration, licensing, authorisation, or accreditation of the organisation, and the compliance with the relevant laws and regulations. References: What is the role of a technical expert in ISO audit? Roles, Responsibilities & Authorities for ISO 27001 5.3 Guide to Become an ISO 27001 Lead Auditor
Question 92
An organization does not check the source code of the updated version of an application when it is updated automatically. Thus, the application may be open to unauthorized modifications. This represents a _________________ that may impact information ___________________
Correct Answer: C
A vulnerability is a weakness in an information system, system security procedures, internal controls, or implementation that could be exploited by a threat source. In this case, not checking the source code of an updated application can lead to unauthorized modifications, thus representing a vulnerability that may impact the integrity of the information, as integrity refers to the accuracy and completeness of the information. References: = The explanation aligns with the general principles of information security management systems and the content typically covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs, which include understanding vulnerabilities and their impact on information security attributes like integrity.
Question 93
Which two of the following phrases are 'objectives' in relation to a first-party audit?
Correct Answer: C,F
A first-party audit is an internal audit conducted by the organization itself or by an external party on its behalf. The objectives of a first-party audit are to: 12 Confirm the scope of the management system is accurate, i.e., it covers all the processes, activities, locations, and functions that are relevant to the information security objectives and requirements of the organization. Update the management policy, i.e., review and revise the policy statement, roles and responsibilities, and objectives and targets of the information security management system (ISMS) based on the audit findings and feedback. The other phrases are not objectives of a first-party audit, but rather: Apply international standards: This is a requirement for the ISMS, not an objective of the audit. The ISMS must conform to the ISO/IEC 27001 standard and any other applicable standards or regulations12 Prepare the audit report for the certification body: This is an activity of a third-party audit, not a first-party audit. A third-party audit is an external audit conducted by an independent certification body to verify the conformity and effectiveness of the ISMS and to issue a certificate of compliance12 Complete the audit on time: This is a performance indicator, not an objective of the audit. The audit should be completed within the planned time frame and budget, but this is not the primary purpose of the audit12 Apply regulatory requirements: This is also a requirement for the ISMS, not an objective of the audit. The ISMS must comply with the legal and contractual obligations of the organization regarding information security12 References: 1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2
Question 94
You are an ISMS audit team leader assigned by your certification body to carry out a follow-up audit of a Data Centre client. According to ISO 19011:2018, the purpose of a follow-up audit is to verify which one of the following?
Correct Answer: D
The purpose of a follow-up audit is to verify the completion and effectiveness of corrective actions taken by the auditee in response to the nonconformities identified in a previous audit1. A follow-up audit is a type of audit that is conducted after an initial audit, and it focuses on the specific areas where nonconformities were found and corrective actions were agreed upon2. A follow-up audit can be conducted as a separate audit or as part of a scheduled audit, depending on the nature and severity of the nonconformities and the audit programme objectives3. The other options are not the purpose of a follow-up audit, but rather the purpose of other types of audits. For example: *Option A is the purpose of a performance audit, which is a type of audit that evaluates the effectiveness of the management system in achieving its intended results4. *Option B is the purpose of a compliance audit, which is a type of audit that verifies the conformity of the management system with the specified requirements, such as the ISMS objectives5. *Option C is the purpose of a process audit, which is a type of audit that examines the inputs, activities, outputs, and interactions of a specific process within the management system, such as the risk treatment process. References: 1: ISO 19011:2018, 6.7; 2: ISO 19011:2018, 3.7; 3: ISO 19011:2018, 5.5.2; 4: ISO 19011:2018, 3.6; 5: ISO 19011:2018, 3.5; : ISO 19011:2018, 3.4; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018: ISO 19011:2018; : ISO 19011:2018; : [ISO 19011:2018]
Question 95
Based on the identified nonconformities. Company A established action plans that included the detected nonconformities, the root causes, and a general statement regarding each action that would be taken. Is this acceptable?
Correct Answer: B
The auditee is required to submit action plans that include detailed information on how every corrective action will be implemented. General statements are not sufficient; the action plans must specify the corrective actions in detail to ensure that the root causes of the nonconformities are addressed effectively. References: ISO/IEC 27001:2013, Clause 10.1 (General) and ISO 19011:2018, Guidelines for auditing management systems.