Question 46

You are an experienced audit team leader guiding an auditor in training.
Your team is currently conducting a third-party surveillance audit of an organisation that stores data on behalf of external clients. The auditor in training has been tasked with reviewing the PEOPLE controls listed in the Statement of Applicability (SoA) and mplemented at the site.
Select four controls from the following that would you expect the auditor in training to review.
  • Question 47

    Scenario 5: Cobt. an insurance company in London, offers various commercial, industrial, and life insurance solutions. In recent years, the number of Cobt's clients has increased enormously. Having a huge amount of data to process, the company decided that certifying against ISO/IEC 27001 would bring many benefits to securing information and show its commitment to continual improvement. While the company was well-versed in conducting regular risk assessments, implementing an ISMS brought major changes to its daily operations. During the risk assessment process, a risk was identified where significant defects occurred without being detected or prevented by the organizations internal control mechanisms.
    The company followed a methodology to implement the ISMS and had an operational ISMS in place after only a few months After successfully implementing the ISMS, Cobt applied for ISO/IEC 27001 certification Sarah, an experienced auditor, was assigned to the audit Upon thoroughly analyzing the audit offer, Sarah accepted her responsibilities as an audit team leader and immediately started to obtain general information about Cobt She established the audit criteria and objective, planned the audit, and assigned the audit team members' responsibilities.
    Sarah acknowledged that although Cobt has expanded significantly by offering diverse commercial and insurance solutions, it still relies on some manual processes Therefore, her initial focus was to gather information on how the company manages its information security risks Sarah contacted Cobt's representatives to request access to information related to risk management for the off-site review, as initially agreed upon for part of the audit However, Cobt later refused, claiming that such information is too sensitive to be accessed outside of the company This refusal raised concerns about the audit's feasibility, particularly regarding the availability and cooperation of the auditee and access to evidence Moreover, Cobt raised concerns about the audit schedule, stating that it does not properly reflect the recent changes the company made It pointed out that the actions to be performed during the audit apply only to the initial scope and do not encompass the latest changes made in the audit scope Sarah also evaluated the materiality of the situation, considering the significance of the information denied for the audit objectives. In this case, the refusal by Cobt raised questions about the completeness of the audit and its ability to provide reasonable assurance. Following these situations, Sarah decided to withdraw from the audit before a certification agreement was signed and communicated her decision to Cobt and the certification body. This decision was made to ensure adherence to audit principles and maintain transparency, highlighting her commitment to consistently upholding these principles.
    Based on the scenario above, answer the following question:
    Based on Scenario 5, Cobt stated that the audit schedule did not properly reflect the recent changes they made in the audit scope. What should Sarah do in this case?
  • Question 48

    You are an experienced ISMS audit team leader providing instruction to a class of auditors in training. The subject of today's lesson is the management of information security risk in accordance with the requirements of ISO/IEC 27001:2022.
    You provide the class with a series of activities. You then ask the class to sort these activities into the order in which they appear in the standard.
    What is the correct sequence they should report back to you?

    Question 49

    Audit methods can be either with or without interaction with individuals representing the auditee. Which two of the following methods are with interaction?
  • Question 50

    You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
    The next step in your audit plan is to verify the information security of ABC's healthcare mobile app development, support, and lifecycle process. During the audit, you learned the organisation outsourced the mobile app development to a professional software development organisation with CMMI Level 5, ITSM (ISO/IEC 20000-1), BCMS (ISO 22301) and ISMS (ISO/IEC 27001) certified.
    The IT Manager presents the software security management procedure and summarises the process as follows:
    The mobile app development shall adopt "security-by-design" and "security-by-default" principles, as a minimum. The following security functions for personal data protection shall be available:
    Access control.
    Personal data encryption, i.e., Advanced Encryption Standard (AES) algorithm, key lengths: 256 bits; and Personal data pseudonymization.
    Vulnerability checked and no security backdoor
    You sample the latest Mobile App Test report - Reference ID: 0098, details as follows:


    You would like to investigate other areas further to collect more audit evidence. Select three options that will not be in your audit trail.