AppFolk, a software development company, is seeking certification against ISO/IEC 27001. In the initial phases of the external audit, the certification body in discussion with the company excluded the marketing division from the audit scope, although they stated in their ISMS scope that the whole company is included. Is this acceptable?
Correct Answer: C
No, the audit scope should reflect all of the organization's divisions that are covered by the ISMS. If the ISMS scope stated that it includes the whole company, the audit scope should align with this unless specifically justified and agreed upon by all stakeholders. References: ISO/IEC 27001:2013, Clause 4.3 (Determining the scope of the information security management system)
Question 67
In regard to generating an audit finding, select the words that best complete the following sentence. To complete the sentence with the best word(s), click on the blank section you want to complete so that it Is highlighted in red, and then click on the applicable text from the options below. Alternatively, you may drag and drop the option to the appropriate blank section.
Correct Answer:
Reference: ISO 19011:2022 Guidelines for auditing management systems ISO/IEC 27001:2022 Information technology - Security techniques - Information security management systems - Requirements Components of Audit Findings - The Institute of Internal Auditors
Question 68
You are an experienced ISMS audit team leader guiding an auditor in training. You decide to test her knowledge of follow-up audits by asking her a series of questions. Here are your questions and her answers. Which four of your questions has she answered correctly?
Correct Answer: B,D,E,H
Based on the understanding of follow-up audits, especially in the context of Information Security Management Systems (ISMS) and the guidelines provided by ISO 19011:2018, here are the four questions from your list that the auditor in training has answered correctly: B). Q: Should follow-up audits seek to ensure nonconformities have been effectively addressed? A: YES This is correct. The primary purpose of follow-up audits is to verify that nonconformities identified in previous audits have been effectively addressed and the corrective actions taken are suitable and effective. D). Q: Is the purpose of a follow-up audit to verify the completion of corrections, corrective actions, and opportunities for improvement? A: YES Yes, the follow-up audit aims to verify the completion and effectiveness of corrections and corrective actions. It may also consider the implementation of opportunities for improvement identified during the initial audit. E). Q: Are follow-up audits required for all audits? A: NO This is correct. Follow-up audits are not automatically required for all audits. They are typically conducted when nonconformities or other significant issues were identified in an earlier audit and there's a need to verify the implementation and effectiveness of the corrective actions. H). Q: Could an outcome from a follow-up audit be another follow-up audit if required? A: YES Yes, this is a possible outcome. If the follow-up audit finds that the corrective actions have not been fully effective, or if new issues are identified, it may be necessary to conduct another follow-up audit. The other responses provided by the auditor in training require some clarification or correction. For instance, while a follow-up audit primarily focuses on previously identified nonconformities and corrective actions, it can still identify new nonconformities if observed (A). Opportunities for improvement are generally considered in the scope of regular audits more so than in follow-up audits, which are more narrowly focused on corrective actions (C). Also, the outcomes of follow-up audits should typically be reported to both the audit team leader and the audit client (F and G), ensuring transparency and accountability. The four questions that the auditor in training has answered correctly are B, D, E, and H. These questions and answers are consistent with the definition and purpose of a follow-up audit as specified in ISO 19011:2018, Clause 6.712. A follow-up audit is conducted to verify the completion and effectiveness of corrective actions taken as a result of a previous audit (B, D). Follow-up audits are not mandatory for all audits, but they may be required by the audit program, the audit client, or other interested parties (E). The outcome of a follow-up audit may be another follow-up audit if the corrective actions are not satisfactory or not completed within the agreed time frame (H). The other questions and answers are either incorrect or irrelevant. A follow-up audit should not seek to identify new nonconformities, as this is not its objective (A). Follow-up audits should consider agreed opportunities for improvement as well as corrective actions, as they are both outputs of a previous audit . The outcome of a follow-up audit should be reported to the audit client, as well as to other relevant parties, such as the audit team leader who carried out the previous audit (F, G). References: 1: ISO 19011:2018, Guidelines for auditing management systems, Clause 6.7 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 6: Closing an ISO/IEC 27001 audit
Question 69
Which two of the following options are an advantage of using a sampling plan for the audit?
Correct Answer: B,D
A sampling plan for the audit is a method of selecting a representative subset of the audit evidence to evaluate the conformity of the ISMS1. The advantages of using a sampling plan are: It reduces the audit duration by focusing on the most relevant and significant aspects of the ISMS2. It gives confidence in the audit results by ensuring that the sample is sufficient, reliable, and unbiased3. References: 1: ISMS Auditing Guideline - ISO27000, page 9; 2: Internal Audit Plan - ISO Templates and Documents Download; 3: A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit, Step 4; : ISMS Auditing Guideline - ISO27000; : Internal Audit Plan - ISO Templates and Documents Download; : A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit
Question 70
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
