Free Practice Exam 1

Correct Answer A. The lead auditor should recommend applying the Plan-Do-Check-Act (PDCA) cycle (A), as it is a foundational principle of ISO management systems. The PDCA cycle ensures that improvements are managed in a structured manner by planning changes, implementing them, checking the results, and acting on feedback. Option B (continuous improvement) is valid but lacks the iterative and structured approach offered by PDCA. Option C (top-down management) does not align with a systematic gap management strategy. Option D (compliance-driven approach) might lead to a limited scope focused only on mandatory requirements, missing other critical gaps.

Option B is correct because detective controls, such as logging and monitoring mechanisms, would detect and record unauthorized attempts to decrypt sensitive data, providing visibility into potential security incidents. Without these controls, the company would be unaware of any malicious attempts to bypass encryption. Option A, Preventive, is already implemented through encryption but does not provide visibility. Option C, Corrective, would address incidents after they are detected but does not identify the problem itself. Option D, Physical Control, such as securing the server room, is unrelated to detecting decryption attempts in the database.

The correct answer is A. ISO/IEC 27001 Clause 7.2 requires organizations to ensure that employees are competent and aware of their information security responsibilities. Option A is correct because the absence of training or awareness programs represents a non-conformity, regardless of the employees' experience. Option B is incorrect because past incident history does not exempt the organization from training requirements. Option C may be a good practice but does not address the current non-compliance. Option D is a potential method for raising awareness but is not sufficient on its own to meet the requirements of Clause 7.2.

Option A is correct because ISO/IEC 27001 requires that technical controls, such as encryption, must be implemented in a manner that adheres to legal and regulatory requirements. For example, encrypting data is beneficial, but if the data is stored in a location that violates data sovereignty laws, the organization is still at risk. Option B is incorrect because legal and technical controls must be integrated. Option C is incorrect as technical security cannot justify non-compliance with laws. Option D is incorrect because implementing controls without considering legal requirements can lead to significant compliance gaps.

(A) is incorrect because a simple “Reviewed” column does not provide evidence of what was reviewed or whether the access rights were aligned with job roles. (B) is correct because requesting additional documentation to validate the criteria and results of the access reviews helps the auditor gather more objective evidence for evaluation. The auditor must ensure that evidence is sufficient, appropriate, and supports the organization’s compliance claims. (C) is incorrect because jumping to a non-conformance without first requesting additional information does not reflect a thorough evidence-gathering process. (D) is incorrect because verbal confirmation without documented evidence is not reliable for confirming compliance.

(A) is correct because ISO/IEC 27001 requires that corrective actions be implemented within the specified timeframe, and failure to address non-conformities in a timely manner constitutes a non-conformance. (B) is incorrect because resource constraints do not exempt the organization from fulfilling ISO/IEC 27001 requirements. (C) is incorrect because the auditor’s role is to document non-conformities, not negotiate deadlines. (D) is incorrect because recommendations on process improvements are beyond the auditor’s remit at this stage.

Option A is correct because the absence of a review process and change control for RPA scripts introduces a minor nonconformity, given the potential for unauthorized modifications and unintentional process errors. RPA bots should be subject to the same controls as other automated processes to ensure data integrity and security. Option B is incorrect because the issue does not pose an immediate, critical risk to justify a major nonconformity. Option C is insufficient as it downplays the risk and suggests the issue is less significant than it is. Option D is incorrect because recommendations alone would not address the compliance gap, making it necessary to document the nonconformity formally.

Correct Answer A. In formal and hierarchical cultures like France’s, using formal language and addressing individuals according to their rank (A) demonstrates respect and aligns with cultural expectations, ensuring effective communication. (B) would likely be seen as unprofessional and could undermine the audit’s credibility. (C) ignores the importance of cultural considerations in effective communication. (D) would conflict with the cultural preference for structured roles and clear respect for hierarchy.

The correct answer is D. In combined audits, shared components such as the BIA should address the requirements of both standards. (A) would create redundancy and make the BIA process more complex. (B) is incorrect because information security risks must be considered in business continuity planning. (C) suggests a separate process, which goes against the principles of combined auditing. (D) is correct as it aligns the BIA with both ISO/IEC 27001 and ISO 22301 requirements, streamlining the process and ensuring comprehensive risk coverage.

(A) is correct because ISO/IEC 27001 allows for integration of QMS and ISMS audit processes, provided the ISMS-specific audit requirements are met. (B) is incorrect because QMS audits alone may not cover the unique aspects of ISMS. (C) is incorrect because the auditor must first evaluate if the existing procedures meet ISMS audit requirements before documenting a non-conformance. (D) is incorrect because ISO/IEC 27001 does not mandate separate procedures if integrated procedures are sufficient.

Correct Answer A. In this scenario, the primary concern is inherent risk (A), as the business expansion introduces new risks that are not yet accounted for in the existing risk assessment. The best approach is to perform a comprehensive re-evaluation of risks to reflect the current operational environment. Control risk (B) and detection risk (C) would become relevant once the inherent risks are properly identified. Residual risk (D) would be a concern if there were no changes to the control environment after the risk re-evaluation, but the immediate issue is the need for an updated risk assessment to identify these new inherent risks.

Option C is correct because ISO/IEC 27001 mandates regular internal audits to evaluate the performance and compliance of the ISMS. These audits must be planned and conducted at intervals that suit the organization’s needs, ensuring the effectiveness of the ISMS. Option A, Monitoring and Measurement, involves tracking ISMS performance but does not specifically address audit requirements. Option B, Management Review, refers to evaluating the ISMS at the management level, while the issue here is the lack of internal audit activity. Option D, Corrective Action, addresses responses to non-conformities but does not pertain to audit frequency.

The correct answer is B. If an organization fails to resolve major nonconformities within the allotted suspension period, the appropriate action is to withdraw the certification. Unresolved major nonconformities, especially in critical areas like risk management and access controls, indicate a failure to comply with ISO/IEC 27001 requirements. Option A is incorrect because extending the suspension without resolution risks undermining the credibility of the certification. Option C is inappropriate because reducing the scope would not address the core issues affecting the ISMS. Option D is incorrect because maintaining certification without addressing the major nonconformities violates the integrity of the ISO/IEC 27001 framework.

The correct answer is A because the gap in the training schedule should be documented in the working papers, with references to both the organization’s internal policy and the relevant ISO/IEC 27001 controls. This allows for proper evaluation of whether the lapse could be a non-conformity. Option B is incorrect because failing to document the gap would leave an incomplete record of the organization’s compliance. Option C is incorrect because awareness alone does not replace formal training requirements. Option D is incorrect because internal policies related to information security training are directly relevant to ISO/IEC 27001 compliance and should be included in the working papers.

The correct answer is A. Storing unencrypted audit records externally poses a significant confidentiality risk if unauthorized access occurs. (A) is correct because encryption ensures that even if the records are accessed without authorization, the data remains protected. (B) addresses availability but does not mitigate the confidentiality risk. (C) focuses on integrity, which is not the primary concern here. (D) might improve physical security, but encryption is a more effective and immediate solution for protecting confidentiality.

Option B is correct because a risk-based approach focuses on analyzing the impact and finding acceptable ways to mitigate risks, such as compensating controls if the primary controls are not feasible. Option A disregards the financial constraints and does not align with a practical risk-based strategy. Option C is inappropriate unless it is determined that no acceptable alternatives exist. Option D is incorrect because it delays remediation without considering interim measures, increasing the exposure to risk in the meantime.

Option B is correct because for a government agency handling highly classified information, the absence of regular security awareness training poses a serious risk to information security. This finding is highly material as it could lead to a significant vulnerability in handling classified data. Option A is incorrect because training is mandatory for maintaining an effective ISMS, especially for classified information. Option C underestimates the critical nature of the data being handled. Option D is inappropriate because non-compliance with training requirements should always be reported, regardless of past incidents.

Option B is correct because ISO/IEC 27001 requires a documented and consistent risk management approach that aligns with the organization's policies. Although ISO/IEC 27005 provides guidance, it must be adapted to meet ISO/IEC 27001's mandatory requirements. Option A is incorrect as ISO/IEC 31000 is a generic risk management framework and may not resolve ISO/IEC 27001-specific requirements. Option C is incorrect because ISO/IEC 27002 provides guidance for controls, not risk management. Option D is too drastic and unnecessary, as adjustments can be made during the audit process without suspending certification.

The correct answer is B because applying the benefit of the doubt principle acknowledges that while the organization is not following best practices for log retention, their low-risk environment may justify this approach. The auditor should issue an observation recommending a review of the retention policy to ensure it remains appropriate. Option A is incorrect because a major nonconformity would not account for the organization's risk assessment. Option C is incorrect because the issue should still be raised for consideration. Option D is incorrect because a minor nonconformity may be too formal given the organization's justifications.

Option (A) is correct because implementing parallel processing or other data optimization techniques can reduce bottlenecks and improve alert response times, ensuring the platform meets its objective of near real-time monitoring. Option (B) would reduce the number of alerts but does not address the core issue of delayed processing. Option (C) undermines the purpose of real-time monitoring. Option (D) is extreme without first attempting to optimize the existing platform’s performance.

Correct Answer B. Reasonable assurance (B) requires a layered security approach. Relying solely on physical controls does not provide sufficient assurance against unauthorized access, especially if data is moved offsite or accessed remotely. Encryption would add another layer of security, addressing this risk. (A) is incorrect because reasonable assurance emphasizes comprehensive protection. (C) is incorrect as reasonable assurance applies to all critical data, including backups. (D) is irrelevant because the issue is related to data security, not testing frequency.

The correct answer is A because categorizing non-conformities based on their impact and referencing ISO/IEC 27007 ensures that the audit follows a structured approach consistent with ISO guidelines. Option B is incorrect because it suggests an opportunity to challenge findings before they are categorized, which could undermine the audit’s objectivity. Option C is incorrect because non-conformities should be evaluated as they are identified, not deferred until the closing meeting. Option D is incorrect because categorization should not be subjective but rather aligned with established standards and criteria.

The correct answer is A because reviewing the emergency change management procedure and verifying compliance ensures that the organization followed its own documented process for handling expedited changes, including justifications and approvals. This approach aligns the evidence with defined procedures. Option B is incorrect because interviews alone cannot validate adherence to formal procedures. Option C is incorrect because technical verification does not address the procedural aspect of change approvals. Option D is incorrect because sampling only identifies patterns but does not confirm compliance with the emergency change process.

The correct answer is B. The lead auditor must ensure that all components of the management system, including complaint management, are properly implemented and followed. (A) addresses the issue temporarily but does not resolve the systemic nonconformity. (B) is correct because failing to document and resolve complaints is a significant breach of compliance with the established management system and can undermine the credibility of the audit program. (C) is a necessary step but should follow the formal identification of the nonconformity. (D) is incorrect because the failure to manage complaints correctly can have serious implications and is not a minor issue.

Option B is correct because performing a mapping exercise between ISO/IEC 27001 and NIST allows the organization to identify overlaps and gaps, ensuring that both standards are addressed simultaneously, thus fulfilling both certification and contractual obligations. Option A is incorrect as bypassing contractual obligations would violate the agreement and expose the organization to legal risks. Option C narrows the focus too much and ignores critical requirements. Option D is costly and unnecessary when the mapping exercise can address the issue effectively.

The correct answer is A because ISO/IEC 27001 requires that risk acceptance be a documented and justified decision based on the risk’s impact and likelihood, not merely the absence of incidents. Implementing low-cost controls (Option B) may not be appropriate if the risk is genuinely low. Transferring risk through insurance (Option C) does not address whether acceptance is the right strategy. Mandating quarterly assessments (Option D) is overly prescriptive and may not align with the risk’s context. Evaluating impact and likelihood ensures that risk acceptance is a rational decision based on comprehensive analysis.

Correct Answer B. The technical expert’s role is defined and limited to specific technical areas, such as database configuration in this scenario (B). Expanding the scope to include a review of the organization’s risk register would go beyond the intended responsibilities of the expert and could lead to scope creep. (A) is incorrect as it overextends the expert’s role. (C) could dilute the focus of the technical expert and confuse the original objective of their involvement. (D) is unnecessary as the technical expert’s primary role should remain within the predefined technical scope.

(A) is incorrect because insisting on direct answers may create a defensive atmosphere, hindering effective communication. (B) is correct because using open-ended questions and a non-confrontational tone can help the auditor build rapport and encourage the interviewee to share more information, which aligns with best practices for gathering evidence. (C) is incorrect because jumping to conclusions without trying to elicit more information does not reflect proper audit methodology. (D) is incorrect because bringing in another team member without first exploring the issue with the current interviewee can disrupt the interview process and reflect poor communication skills.

(A) is incorrect because repetitive content can reduce the clarity and specificity of the working documents. (B) is correct because each section of the working documents should be tailored to reflect the specific control being evaluated, ensuring accuracy and relevance. (C) is incorrect because adding a note does not resolve the issue of lack of specificity. (D) is incorrect because leaving the content unchanged can result in misleading or unclear documentation, affecting the audit’s quality.

Correct Answer A. The auditor should suggest conducting a full review of all existing controls (A) to confirm their applicability in the new business environment. ISO/IEC 27001 requires that changes to the organization’s structure, such as acquisitions, trigger a comprehensive review of the SoA to ensure all controls are still relevant and aligned with the updated risk profile. Option B (disclaimer) delays necessary action and is non-compliant. Option C (gap analysis for new units) is insufficient, as the entire SoA must be re-evaluated. Option D (change management log) should be used for tracking changes but does not replace a full SoA review.

Correct Answer A. The lead auditor should recommend implementing a benchmarking process (A). Benchmarking against industry standards or best practices can reveal areas where the ISMS lags behind peers, providing valuable insights for setting new improvement goals. Option B (restructuring the scorecard) could drive higher performance but may not pinpoint specific improvement areas. Option C (SWOT analysis) is useful for strategic planning but lacks the focus on external performance comparison. Option D (management review overhaul) might promote a different focus but does not directly address the lack of progress.

The correct answer is A because stratified sampling ensures that each risk category is represented, providing a balanced view of how patching is handled across high, medium, and low-risk systems. This method allows the auditor to assess whether patching practices are consistent across different levels of risk. Option B is incorrect because random sampling may not ensure balanced coverage across all risk categories. Option C is incorrect because systematic sampling could miss important patterns within specific risk categories. Option D is incorrect because judgmental sampling focuses on auditor discretion, which may overlook broader patterns in the patching process across different risk levels.

The correct answer is C because a RACI matrix is a widely accepted tool for defining roles and responsibilities clearly and aligns well with ISO/IEC 27001’s requirements for accountability. Simply defining roles in documentation (Option A) may not provide the required clarity and structure. Simplifying documentation (Option B) could lead to ambiguity and weaken the ISMS. Conducting a workshop (Option D) might help clarify roles but would not ensure consistency in the documentation. A RACI matrix (Option C) ensures that all stakeholders understand their roles and responsibilities across the entire ISMS.

The correct answer is C. The auditor should recommend implementing a regular review process for access privileges (C) as part of maintaining a secure access control system. Regular reviews are essential for ensuring that privileges align with current job roles and responsibilities, mitigating potential security risks. Option (A) is unnecessary if the procedures already exist and just need a review process added. Option (B) is incorrect because documented procedures alone are insufficient without implementation. Option (D) is incorrect because access control reviews must be proactive, not reactive, to security incidents.

The correct answer is B. A corrective action tracking system ensures that nonconformities are effectively managed and resolved, aligning with the continuous improvement focus of the PDCA cycle. (A) would be part of the "Do" phase but does not address systematic tracking. (B) is correct as it establishes a process for monitoring corrective actions, ensuring they are effectively closed. (C) would not address the root cause of the issue, and (D) may support the process but does not fully integrate tracking and monitoring into the audit program itself, making (B) the most appropriate action.

(A) is incorrect because accepting exceptions without formal approval undermines the control’s effectiveness. (B) is correct because ISO/IEC 27001 requires that security controls, such as encryption, be implemented consistently unless exceptions are documented, justified, and approved through a formal risk assessment. The lack of proper approval and documentation for these exceptions constitutes a major non-conformance. (C) is incorrect because these are not occasional deviations; they represent a significant gap in policy implementation. (D) is incorrect because making recommendations should not replace formally reporting a non-conformance.

Option (A) is correct because a written report is classified as documentary evidence. However, for critical areas like incident response, the auditor should corroborate documentary evidence with technical logs or records to verify that corrective actions were indeed implemented. Option (B) is incorrect because verbal evidence is based on spoken information, not written documents. Option (C) is incorrect as analytical evidence involves interpreting data and drawing insights. Option (D) is incorrect because confirmative evidence typically requires verification from an independent source, not just management attestation.

The correct answer is A. Implementing a digital audit management system would significantly improve the accuracy, accessibility, and efficiency of managing audit records, aligning with ISO/IEC 27001 best practices. B is inefficient and does not address the root problem of manual record keeping. C is not a viable solution as it reduces audit frequency, potentially impacting compliance. D does not solve the issue of errors and inefficiencies in the current system. A digital solution offers long-term improvements in audit record management.

(A) is incorrect because local compliance alone does not meet the ISO/IEC 27001 requirement for a unified ISMS framework. (B) is correct because ISO/IEC 27001 mandates a consistent and centrally managed ISMS policy across the entire organization to ensure uniformity in information security practices and alignment with the organization’s overall risk management objectives. The absence of communication and implementation of a central policy leads to misalignment and potential gaps. (C) is incorrect because allowing independent policies can create fragmentation. (D) is incorrect because adjusting the policy without ensuring centralized oversight may still lead to inconsistencies in ISMS implementation.

The correct answer is A. The lead auditor is responsible for ensuring that audit records are protected in terms of both confidentiality and integrity. (A) is correct because encryption ensures that the data cannot be intercepted or modified during transmission, and using a secure platform adds an extra layer of protection. (B) is incorrect because internal email systems are often not secure enough for transmitting sensitive information. (C) is inadequate as uploading unencrypted files still poses a risk of unauthorized access or modification. (D) may protect confidentiality but does not guarantee integrity and is not a practical solution for large teams or remote environments.

Option (C) is correct because a regulatory audit is conducted by a governmental or regulatory body to ensure compliance with legal or regulatory standards. In this scenario, the government agency is acting in an enforcement capacity, which distinguishes this audit from typical second-party or third-party audits. Option (A) is incorrect as second-party audits are customer-driven and lack enforcement authority. Option (B) is incorrect because third-party audits are typically conducted by independent certification bodies without enforcement powers. Option (D) is incorrect, as first-party audits are internal and voluntary, unlike regulatory audits.

The correct answer is B. The correct conclusion here is a minor nonconformity (B), as the organization’s lack of formal documentation for lessons learned indicates a missing element of the incident management lifecycle, even though incidents are handled effectively. This is a gap in continuous improvement, which is essential in ISO/IEC 27001. Option (A) is incorrect because there is no evidence of a major failure in the overall incident management process, and no significant incidents have occurred recently. Option (C) is incorrect because the absence of a documented process is a nonconformity, even if the organization has not experienced major incidents. Option (D) is incorrect as this issue goes beyond an observation, requiring formal action to document lessons learned.

The correct answer is A because interviewing the IT Security Manager helps the auditor gain insight into the decision-making process, prioritization criteria, and potential constraints preventing timely remediation, which is critical to understanding the root cause. Option B is incorrect because observing a live session may not address historical remediation issues. Option C is incorrect because sampling past incidents does not clarify why known vulnerabilities remain unaddressed. Option D is incorrect because manual testing duplicates existing evidence without providing context for remediation delays.

The correct answer is B. ISO/IEC 27001 requires organizations to ensure that suppliers, including cloud service providers, meet information security requirements (Clause 8.1 and A.15). Option B is correct because obtaining third-party audit reports or certification statements is a common way to demonstrate compliance. Option A is not feasible, as the auditor cannot directly assess external providers without permission or contractual arrangements. Option C is incorrect because mentioning requirements in a policy does not equate to verified compliance. Option D is not practical unless there is a clear non-compliance issue, which cannot be determined without proper evidence.

Option C is correct because while the new business units can be excluded from the audit scope if they are not integrated into the ISMS, it is critical to confirm that the scope statement, ISMS boundaries, and risk assessments accurately reflect this exclusion. This ensures that the defined ISMS is clearly documented and aligns with the organization’s current structure. Option A is incorrect because accepting the scope without verifying supporting documentation could lead to gaps. Option B disregards the current status of the integration. Option D would unnecessarily expand the scope and could complicate the audit process.

The correct answer is D. ISO/IEC 27001 requires that audits be conducted with impartiality, and clear procedures must exist to manage conflicts of interest. Revising the audit policy to include procedures for identifying and addressing conflicts of interest ensures future compliance and audit integrity. Option A is insufficient without formal policy changes. Option B is unnecessarily disruptive, as the audit can proceed while the policy is updated. Option C is inadequate because it does not address the root issue of the missing procedures.

(A) is incorrect because the lack of awareness is limited and does not indicate a major breakdown in the ISMS. (B) is correct because while the roles and responsibilities are documented, insufficient communication and lack of refresher training create a gap in understanding, making it a minor non-conformance. (C) is incorrect because an observation would not adequately address the gap in communication. (D) is incorrect because the issue is not whether roles are documented, but whether they are effectively communicated and understood.

(A) is incorrect because systematic sampling would involve selecting records based on a fixed interval (e.g., every 5th record). (B) is incorrect because stratified sampling involves grouping by categories and randomly sampling from each group, which is not the approach taken here. (C) is correct because judgmental sampling involves the auditor’s discretion to select specific records (high and low attendance) based on their potential impact on the audit objectives. (D) is incorrect because random sampling would not differentiate between high and low attendance sessions, which is the focus of this sampling approach.

Option B is correct because the integrity of the data and the resulting decisions from machine learning models can be compromised if bias is not managed properly. This can lead to inaccurate or misleading outputs, which affect the trustworthiness of the data processing results. Option A, Confidentiality, relates to unauthorized disclosure of data, which is not the issue here. Option C, Availability, addresses system uptime and data access, but it is not impacted by model bias. Option D, Accountability, refers to tracking who made changes or decisions, which is not directly relevant to ensuring data integrity in machine learning.

Option C is correct because ISO/IEC 27001 requires a comprehensive threat landscape analysis to identify all potential sources of risk, including internal and external threats. Ignoring insider threats results in an incomplete understanding of the risk environment, leading to inadequate controls. Option A, Risk Appetite, refers to the level of risk an organization is willing to accept, which cannot be defined accurately without understanding all threats. Option B, Risk Scope, relates to defining the boundaries of the risk management process, not identifying specific threats. Option D, Risk Treatment Plan, is developed after identifying and analyzing risks, so it is not the primary issue in this scenario.

(A) is correct because direct observation allows the auditor to validate the explanation in real-time, providing concrete evidence for the claim. (B) is incorrect because relying solely on verbal explanations without validation is not a robust evidence collection practice. (C) is incorrect because while interviewing additional staff members might provide context, it does not substitute for observing the issue directly. (D) is incorrect because a root-cause analysis report can be time-consuming and may not offer immediate confirmation of the misconfiguration during the audit.

Option B is correct because analytical evidence, such as raw scan data and detailed technical reports, provides in-depth information that validates the summary findings presented. This evidence would include details on detected vulnerabilities, severity levels, and remediation actions, offering a more comprehensive view than a high-level presentation. Option A is insufficient, as verbal descriptions cannot replace detailed reports. Option C is not relevant, as observing a live scan would not verify past findings. Option D is also inadequate because signed reports only confirm management’s acceptance, not the completeness or accuracy of the scan results.

Option A is correct because a first-party audit is conducted internally by an organization to evaluate its own management system. The fact that the audit team is from a different department does not change the classification; it merely ensures impartiality. The purpose of this audit is to assess readiness, which is a common goal of first-party audits. Option B is incorrect because a second-party audit involves external stakeholders such as clients or suppliers. Option C is wrong as a third-party audit requires an external, independent entity, not an internal team. Option D is misleading because "readiness audit" is a descriptive term rather than an official classification based on the relationship of the parties involved.

Correct Answer A. The missing step is to establish a policy review and update process (A). ISO/IEC 27001 requires organizations to ensure that security policies and procedures are regularly reviewed and updated to remain relevant and effective in addressing evolving risks. Option B (internal audits) is valuable but not a substitute for a defined review process. Option C (new risk assessment methodology) is not necessary if the current methodology is effective. Option D (change management process) is beneficial for broader ISMS updates but does not directly address the issue of policy and procedure maintenance.

The correct answer is A because the organization’s failure to conduct required annual training represents a nonconformity with its own ISMS requirements, and corrective action is needed to ensure compliance. Option B is incorrect because the lack of training has a direct impact on security awareness, making this more serious than an observation. Option C is incorrect because the issue needs immediate attention and not a deferred timeline for corrective action. Option D is incorrect because, while this is a significant issue, it does not rise to the level of a major nonconformity unless the lack of training has directly contributed to security incidents.

The correct answer is A. Demonstrating professionalism and maintaining a neutral tone are key attributes of a good auditor. (A) is correct because rephrasing questions to emphasize process improvements helps the auditor gather information without making the interviewee feel targeted. (B) is incorrect as assertiveness in this context may worsen the situation. (C) should only be used as a last resort if the interview cannot continue professionally. (D) is not ideal, as it avoids addressing the issue directly and may result in incomplete information.

The correct answer is A. Reviewing the reports will help identify if the issue is due to inconsistent categorization or a misunderstanding of the standard’s requirements by the auditors, which could lead to lower auditee satisfaction. (A) is correct because it provides a detailed analysis of performance trends. (B) would only add to the problem without addressing the underlying issue. (C) may help understand auditee concerns but does not directly address potential inconsistencies in audit practices. (D) would not be effective without first understanding the root cause of the performance gap.

Correct Answer B. The audit scope must be aligned with the ISMS scope (B). If the ISMS scope excludes HR processes, these should not be included in the audit. (A) would result in a scope misalignment and produce irrelevant findings. (C) may be suggested after the audit for future improvements but is not a solution during the current audit. (D) is inappropriate because the audit scope should be adjusted immediately to reflect the ISMS boundaries, not documented as a discrepancy.

The correct answer is B. The best approach is to suggest that the organization implement a verification mechanism (B) to ensure that employees understand the training material. ISO/IEC 27001 requires not only the provision of training but also evidence that employees comprehend and can apply the knowledge. Option (A) is incorrect because merely offering the course does not guarantee understanding. Option (C) is incorrect as online training can be effective if verified. Option (D) is insufficient because participation alone does not confirm that employees have absorbed the information.

Option A is correct because security objectives must be supported by appropriate controls that directly address the risks associated with achieving those objectives. In this case, without implementing access controls like MFA, the stated objective to reduce unauthorized access cannot be met. Option B is incorrect because revising the objective does not address the lack of supporting controls. Option C is not aligned with the stated objective, as training alone does not reduce unauthorized access incidents. Option D is irrelevant as the issue lies in aligning objectives with internal controls, not external best practices.

The correct answer is A. Version control is a critical aspect of document management to ensure that the most current and accurate information is used across the organization. (A) is correct because it directly addresses the root cause by ensuring a systematic and enforced approach to document versioning. (B) may help in the long term but does not resolve the systemic issue. (C) would be excessive unless the lack of version control resulted in significant issues or non-compliance. (D) is incorrect because accurate content alone is not sufficient if version control is not maintained, as it can lead to confusion and miscommunication.

Option A is correct because evaluating the ISMS policies and procedures for compliance with new regulatory requirements ensures that the existing controls are being adapted to meet international data handling standards. This approach addresses the immediate risk without overextending the audit scope. Option B is incorrect because focusing solely on the legal department would miss the operational implementation of compliance. Option C is impractical as it would lead to scope creep without addressing specific issues. Option D is not advisable as it would delay identifying potential compliance gaps in the newly entered markets.

Correct Answer C. The clause not being effectively addressed is Clause 4.1 (C), which focuses on understanding the organization and its context. This clause requires organizations to identify both internal and external issues that may affect their ability to achieve the intended outcomes of the ISMS. In this scenario, the exclusion of internal issues indicates a failure to comprehensively assess the organizational context. Option A (Clause 4.2) pertains to interested parties but doesn’t cover internal contextual factors. Option B (Clause 5.2) focuses on leadership commitment, which is not the issue here. Option D (Clause 6.1) involves risk management but requires a context analysis first to identify relevant risks.

The correct answer is A. ISO/IEC 27001 Clause 9.1 requires that organizations have a documented process for monitoring, measuring, and evaluating the performance of the ISMS. Option A is correct because the lack of documentation represents a non-conformity, even if informal reviews are being conducted. Option B is incorrect because verbal confirmation does not meet the standard's requirements. Option C is not appropriate as documentation is required regardless of incident history. Option D may validate management’s claims but does not address the compliance issue of missing documentation.

The correct answer is A. Professional auditors should demonstrate adaptability and humility, acknowledging misunderstandings and making adjustments to ensure the audit reflects the actual state of the ISMS. By requesting updated documentation and revising the audit scope if needed, the auditor ensures the findings are accurate and relevant. B is incorrect because proceeding with an outdated understanding could lead to inaccurate findings. C is an overreaction, as the situation can be resolved without ending the audit. D is incorrect because ignoring the issue could leave gaps in the audit findings.

(A) is correct because access logs provide objective evidence that access rights were revoked in a timely manner, aligning with the organization’s termination policies. (B) is incorrect because interviews do not provide sufficient evidence to confirm when access was actually revoked. (C) is incorrect because approval emails are secondary evidence and may not reflect actual implementation. (D) is incorrect because policy review alone cannot confirm compliance without corresponding operational evidence.

Option A is correct because certification can be recommended if the organization agrees to fully implement and test the BCP within a defined timeframe. This approach acknowledges the gap but allows for certification as long as a clear plan is in place. Option B is too harsh unless the lack of testing is a critical risk that cannot be managed in the short term. Option C is incorrect because regular backups alone do not equate to comprehensive BCP testing. Option D is inappropriate because merely noting the issue without a corrective action plan does not align with the requirements for an effective ISMS.

Correct Answer C. The correct approach is to conduct a risk assessment (C) to evaluate whether the current manual access management introduces unacceptable risks. This aligns with ISO/IEC 27001’s emphasis on a risk-based approach to managing security controls. Option A (documenting procedures) may satisfy audit requirements but does not address the potential risk of manual management. Option B (automating access) is a possible solution but should be based on the risk assessment’s findings. Option D (immediate remediation) is premature without understanding the associated risk level.

The correct answer is B. Consulting with external experts during the audit allows the auditor to address the knowledge gap while still conducting an effective audit. Continual competency improvement involves actively seeking resources or training when necessary. A is incorrect because the knowledge gap may affect audit findings. C could cause unnecessary delays, and formal training may not be immediately available. D is incorrect because excluding areas related to new regulations undermines the audit’s completeness and may overlook critical compliance issues.

Correct Answer A. The lead auditor should advise implementing a single, centralized governance framework (A) that defines consistent roles, responsibilities, and reporting structures across all regions. An integrated management system requires a unified governance structure to ensure consistent implementation and control across the organization, irrespective of geographical location. Option B (local reporting structures with audits) may temporarily ensure compliance but does not promote integration. Option C (separate frameworks) contradicts the concept of integration. Option D (global compliance team) adds oversight but does not resolve the inconsistency in governance.

The correct answer is A because ISO/IEC 27001 requires a risk assessment to be tailored to the specific context, including cloud environments, to ensure that all potential threats are identified and addressed. Penetration testing (Option B) is useful but does not replace a risk assessment. Developing a policy (Option C) without understanding risks could lead to gaps in controls. Applying the same methodology (Option D) without considering cloud-specific risks is inadequate. A cloud-specific risk assessment ensures that the organization’s controls are relevant and effective for the new environment.

Option A is correct because the auditor must include all findings that involve noncompliance with legal and regulatory requirements, while also noting the auditee’s remediation plan. Recommending a follow-up audit helps ensure that the corrective actions are implemented without compromising the integrity of the current audit report. Option B is incorrect as it suggests hiding the issue temporarily, which could expose the auditor to ethical violations. Option C is unacceptable because omitting the finding from the report, even temporarily, is a violation of ethical standards. Option D is also incorrect unless the contract specifies a legal obligation for the auditor to notify regulatory authorities directly. The primary responsibility is to report it accurately and allow the auditee to address the issue internally.

Option (B) is correct because the PECB Code of Ethics requires auditors to base their findings on objective and sufficient evidence. If there is a lack of evidence, the auditor must take the necessary steps to gather the information, even if it results in extending the audit. This ensures that the audit findings are reliable and defensible. Option (A) compromises the audit’s integrity, as compliance should never be assumed. Option (C) is incorrect as observations are not appropriate when there is a lack of evidence for a critical control. Option (D) violates professional responsibility by accepting verbal assurances without verification.

The correct answer is A because ISO/IEC 27001 requires that the risk treatment plan include clear timelines and responsibilities for implementing controls. Without defined timelines, the organization cannot demonstrate that it is effectively managing and treating risks, which is a critical component of ISMS implementation. Option B is incorrect because implementing some controls without a structured plan does not meet the standard’s requirements. Option C is incorrect as verbal commitments are not acceptable substitutes for documented plans. Option D is incorrect because prioritization does not negate the need for defining timelines for all risk treatment actions.

The correct answer is A because clarifying that guides are responsible for logistical support, not providing responses or influencing interviews, helps address concerns while maintaining their role in facilitating the audit. Monitoring for bias ensures that any issues can be addressed if they arise. Option B is incorrect because excluding guides entirely can disrupt the audit process and make it difficult to access necessary information. Option C is incorrect because involving the CEO in guide assignments does not address the root concern of potential bias. Option D is incorrect because completely excluding guides from interviews limits their ability to fulfill their support role effectively.

The correct answer is A. Annex A.8.3.2 requires that organizations implement procedures for the secure disposal of media, including printed documents, to prevent unauthorized disclosure of information. Option A is correct because the lack of secure disposal guidelines could lead to the exposure of sensitive data. Option B deals with personnel screening and is unrelated to media disposal. Option C addresses software installation, which is not relevant. Option D is about incident management and does not relate to media handling or disposal procedures.

The correct answer is B because documenting the auditee’s concerns while recommending that corrective actions be prioritized based on risk ensures that critical issues are addressed promptly while acknowledging the auditee’s constraints. This approach maintains audit integrity and fosters collaboration. Option A is incorrect because simply accepting the auditee’s timeline without considering risk could lead to delayed resolution of high-risk issues. Option C is too rigid and may damage the relationship with the auditee. Option D is incorrect because the timeline is relevant to the implementation of corrective actions and should be considered in the conclusion.

The correct answer is B because inconsistent implementation of encryption on mobile devices is a deviation from the organization’s documented controls and should be addressed as a minor non-conformity. The auditor should recommend that the organization implement encryption consistently to protect sensitive data. Option A is incorrect because the inconsistency, while a concern, does not constitute a complete failure of security controls. Option C is incorrect because the organization has already documented encryption as a control, meaning it must be implemented consistently, regardless of perceived risk. Option D is incorrect because encryption, while recommended based on risk, is required when documented as part of the organization’s controls.

The correct answer is A because ISO/IEC 27001 requires that information security objectives be measurable. Without metrics, it is impossible to evaluate whether the objectives are being achieved. Stage 1 audits should confirm that metrics are defined, so the effectiveness of the ISMS can be assessed during Stage 2. Option B is incorrect because metrics must be defined in Stage 1 as part of planning and readiness assessment. Option C is incorrect because halting the audit is not appropriate; recommendations for defining metrics are more constructive. Option D is incorrect because qualitative objectives without metrics would not meet ISO/IEC 27001 requirements.

The correct answer is B because addressing major non-conformities related to incident response requires more than one-time training; regular training and testing ensure that personnel remain prepared and that the plan is effective over time. This recommendation strengthens the proposed action plan by incorporating elements of ongoing compliance. Option A is incorrect because it addresses only short-term compliance. Option C is too drastic unless the current plan has shown repeated failures. Option D is insufficient, as it does not provide a proactive solution for ongoing compliance.