Please match the roles to the following descriptions:

To complete the table click on the blank section you want to complete so that it is highlighted in red, and then click on the applicable test from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.

Correct Answer:

Explanation

* The auditee is the organization or part of it that is subject to the audit. The auditee could be internal or external to the audit client . The auditee should cooperate with the audit team and provide them with access to relevant information, documents, records, personnel, and facilities .
* The audit client is the organization or person that requests an audit. The audit client could be internal or external to the auditee . The audit client should define the audit objectives, scope, criteria, and programme, and appoint the audit team leader .
* The technical expert is a person who provides specific knowledge or expertise relating to the organization, activity, process, product, service, or discipline to be audited. The technical expert could be internal or external to the audit team . The technical expert should support the audit team in collecting and evaluating audit evidence, but should not act as an auditor .
* The observer is a person who accompanies the audit team but does not act as an auditor. The observer could be internal or external to the audit team . The observer should observe the audit activities without interfering or influencing them, unless agreed otherwise by the audit team leader and the auditee .
References :=
* [ISO 19011:2022 Guidelines for auditing management systems]
* [ISO/IEC 17021-1:2022 Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements]

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You are an experienced ISMS audit team leader conducting a third-party surveillance visit.
You notice that although the auditee is claiming conformity with ISO/IEC 27001:2022 they are still referring to Improvement as clause 10.2 (as it was in the 2013 edition) when this is now clause 10.1 in the 2022 edition. You have confirmed they are meeting all of the 2022 requirements set out in the standard.
Select one option of the action you should take.

• A.Note the issue in the audit report
• B.Raise a nonconformity against clause 7.5.3 - Control of documented information
• C.Raise it as an opportunity for improvement
• D.Bring the matter up at the closing meeting

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Please match the following situations to the type of audit required.

Correct Answer:

Explanation
* Top management requests auditors from the organisation's compliance department to audit the production process in order to ensure the final product meets quality requirements = First-party audit
* Auditors from the buyer's organisation audit their raw material supplier to ensure the supply fulfils the order and contract = Second-party audit
* Auditors from an independent certification body conduct an audit of the organisation to verify conformity with an ISO Standard for certification purposes = Third-party audit
* The organisation has been audited against two management system standards in one audit = Combined audit Explanation: According to the ISO/IEC 27001 standard, there are three main categories of audits: internal, external, and certification1. An internal audit, also known as a first-party audit, is an audit conducted by the organisation itself, or by an external party on its behalf, for management review and other internal purposes12. An external audit, also known as a second-party audit, is an audit conducted by a customer or other interested party on a supplier or contractor to verify compliance with contractual or other requirements12. A certification audit, also known as a third-party audit, is an audit conducted by an independent certification body to verify conformity with an ISO standard for certification purposes12. A combined audit is an audit where two or more management system standards are audited together3.
References: 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 192: ISO 27001 Audit Types and How They are Conducted23: The Four ISO 27001 Audit Categories, Explained4

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A fire breaks out in a branch office of a health insurance company. The personnel are transferred to neighboring branches to continue their work.
Where in the incident cycle is moving to a stand-by arrangements found?

• A.between threat and incident
• B.between damage and recovery
• C.between incident and damage
• D.between recovery and threat

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You are performing an ISMS audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to verify that the Statement of Applicability (SoA) contains the necessary controls.
You review the latest SoA (version 5) document, sampling the access control to the source code (A.8.4), and want to know how the organisation secures ABC's healthcare mobile app source code received from an outsourced software developer.
The IT Security Manager explains the received source code will be checked into the SCM system to make sure of its integrity and security. Only authorised users will be able to check out the software to update it. Both check-in and check-out activities will be logged by the system automatically. The version control is managed by the system automatically.
You found a total of 10 user accounts on the SCM. All of them are from the IT department. You further check with the Human Resource manager and confirm that one of the users, Scott, resigned 9 months ago. The SCM System Administrator confirmed Scott's last check-out of the source code was found 1 month ago. He was using one of the authorised desktops from the local network in a secure area.
You check the user de-registration procedure which states "Managers have to make sure of deregistration of the user account and authorisation immediately from the relevant ICT system and/or equipment after resignation approval." There was no deregistration record for user Scott.
The IT Security Manager explains that Scott is a very good software engineer, an ex-colleague, and a friend.
He still comes back to the office every month after he resigned to provide support on source code maintenance. That's why his account on SCM still exists. "We know Scott well and he passed all our background checks when he joined us. As such we didn't feel it necessary to agree any further information security requirements with him just because he is now an external provider".
You prepare the audit findings. Select the three correct options.

• A.There is a nonconformity (NC). Scott should have been advised of applicable information security requirements relevant to his new relationship (external provider) with the nursing home. The IT security manager has however confirmed that this did not take place. This does not conform with control A.5.20.
• B.There is a nonconformity (NC). The organisation's access control arrangements are not operating effectively as an individual who is no longer employed by the organisation is being permitted to access the nursing home's ICT systems. This does not conform with control A.5.15.
• C.There is a nonconformity (NC). The IT Security manager did not make sure the user account for Scott was removed from the SCM and did not complete the user deregistration process after the resignation.
  This does not conform with clause 9.1 and control A.5.15.
• D.There is a nonconformity (NC). The operating procedures are not well documented. This prevented the SCM System Administrator from being able to remove a user account immediately. This does not conform with clause 9.1 and control A.5.37.
• E.There is a nonconformity (NC). The organisation does not have a documented procedure setting out the use of systematic tools to provide access and version control of the source code. This does not conform with clause 9.1 and control A.8.4.
• F.There is a nonconformity (NC). The organisation has failed to identify the security risks associated with leaving Scott's account open when he was only re-engaged for a short period monthly. This does not conform with clause 8.2.
• G.There is a nonconformity (NC). The SCM is open-source system software. It is not secured and cannot be used for access and version control of the source code. This does not conform with clause 9.1 and control A.8.4.
• H.There is a nonconformity (NC). The SCM will log the source code check-in/-out activities automatically. If something goes wrong, the team might not be able to trace it. This does not conform with clause 9.1 and control A.8.4.

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