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 ORGANISATIONAL controls listed in the Statement of Applicability (SoA) and implemented at the site.
Select four controls from the following that would you expect the auditor in training to review.
In the context of a management system audit, please identify the sequence of a typical process of collecting and verifying information. The first one has been done for you.
As the ISMS audit team leader, you are conducting a second-party audit of an international logistics company on behalf of an online retailer. During the audit, one of your team members reports a nonconformity relating to control 5.18 (Access rights) of Appendix A of ISO/IEC 27001:2022. She found evidence that removing the server access protocols of 20 people who left in the last 3 months took up to 1 week whereas the policy required removing access within 24 hours of their departure.
Complete the sentence with the best word(s), dick 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.
-------------------------is an asset like other important business assets has value to an organization and consequently needs to be protected.
Scenario 8: Tessa. Malik, and Michael are an audit team of independent and qualified experts in the field of security, compliance, and business planning and strategies. They are assigned to conduct a certification audit in Clastus, a large web design company. They have previously shown excellent work ethics, including impartiality and objectiveness, while conducting audits. This time, Clastus is positive that they will be one step ahead if they get certified against ISO/IEC 27001.
Tessa, the audit team leader, has expertise in auditing and a very successful background in IT-related issues, compliance, and governance. Malik has an organizational planning and risk management background. His expertise relies on the level of synthesis and analysis of an organization's security controls and its risk tolerance in accurately characterizing the risk level within an organization On the other hand, Michael is an expert in the practical security of controls assessment by following rigorous standardized programs.
After performing the required auditing activities, Tessa initiated an audit team meeting They analyzed one of Michael s findings to decide on the issue objectively and accurately. The issue Michael had encountered was a minor nonconformity in the organization's daily operations, which he believed was caused by one of the organization's IT technicians As such, Tessa met with the top management and told them who was responsible for the nonconformity after they inquired about the names of the persons responsible
To facilitate clarity and understanding, Tessa conducted the closing meeting on the last day of the audit. During this meeting, she presented the identified nonconformities to the Clastus management. However, Tessa received advice to avoid providing unnecessary evidence in the audit report for the Clastus certification audit, ensuring that the report remains concise and focused on the critical findings.
Based on the evidence examined, the audit team drafted the audit conclusions and decided that two areas of the organization must be audited before the certification can be granted. These decisions were later presented to the auditee, who did not accept the findings and proposed to provide additional information. Despite the auditee's comments, the auditors, having already decided on the certification recommendation, did not accept the additional information. The auditee's top management insisted that the audit conclusions did not represent reality, but the audit team remained firm in their decision.
Based on the scenario above, answer the following question:
Question:
Tessa was advised to avoid providing unnecessary evidence in the audit report for Clastus’s certification audit. Is this recommended?
Select a word from the following options that best completes the sentence:
To complete the sentence with the word(s) click on the blank section you want to complete so that it is highlighted in red, and then click on the application text from the options below. Alternatively, you may drag and drop the option to the appropriate blank section.
You are the person responsible for managing the audit programme and deciding the size and composition of the audit team for a specific audit. Select the two factors that should be considered.
The scope of an organization certified against ISO/IEC 27001 states that they provide editing and web hosting services. However, due to some changes in the organization, the technical support related to the web hosting services has been outsourced. Should a change in the scope be initiated in this case?
Select the words that best complete the sentence below to describe audit resources:
Scenario 8: EsBank provides banking and financial solutions to the Estonian banking sector since September 2010. The company has a network of 30 branches with over 100 ATMs across the country.
Operating in a highly regulated industry, EsBank must comply with many laws and regulations regarding the security and privacy of data. They need to manage information security across their operations by implementing technical and nontechnical controls. EsBank decided to implement an ISMS based on ISO/IEC 27001 because it provided better security, more risk control, and compliance with key requirements of laws and regulations.
Nine months after the successful implementation of the ISMS, EsBank decided to pursue certification of their ISMS by an independent certification body against ISO/IEC 27001 .The certification audit included all of EsBank’s systems, processes, and technologies.
The stage 1 and stage 2 audits were conducted jointly and several nonconformities were detected. The first nonconformity was related to EsBank’s labeling of information. The company had an information classification scheme but there was no information labeling procedure. As a result, documents requiring the same level of protection would be labeled differently (sometimes as confidential, other times sensitive).
Considering that all the documents were also stored electronically, the nonconformity also impacted media handling. The audit team used sampling and concluded that 50 of 200 removable media stored sensitive information mistakenly classified as confidential. According to the information classification scheme, confidential information is allowed to be stored in removable media, whereas storing sensitive information is strictly prohibited. This marked the other nonconformity.
They drafted the nonconformity report and discussed the audit conclusions with EsBank’s representatives, who agreed to submit an action plan for the detected nonconformities within two months.
EsBank accepted the audit team leader's proposed solution. They resolved the nonconformities by drafting a procedure for information labeling based on the classification scheme for both physical and electronic formats. The removable media procedure was also updated based on this procedure.
Two weeks after the audit completion, EsBank submitted a general action plan. There, they addressed the detected nonconformities and the corrective actions taken, but did not include any details on systems, controls, or operations impacted. The audit team evaluated the action plan and concluded that it would resolve the nonconformities. Yet, EsBank received an unfavorable recommendation for certification.
Based on the scenario above, answer the following question:
Based on scenario 8, EsBank submitted a general action plan. Is this acceptable?
